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HETEROZYGOSITY OF A WOOD TURTLE POPULATION IN CENTRAL NY Kyle Pursel Department of Biological Sciences This presentation will report on the work and results of a genetic study on the wood turtle, Glyptemys insculpta at two sites in Eastern Oswego County, NY for the Student/Faculty Challenge Grant. This study looked at tandemly repeating segments of nuclear DNA, referred to as microsatellites, to assess heterozygosit y and relatedness of marked turtles at both sites. This data is part of a larger project assessing the status of wood turtles at both sites as a part of my honors thesis. I. Introduction Wood turtles, Glyptemys insculpta are riparian species of turtle native to New York State and much of the Northeastern US, Great Lakes, and Southeastern Canada (Ernst et al., 1994). Declines have been documented in populations throughout their range in recent decades (Daigle & Jutras, 2005; Garber & Burger 1995; Harding, 1991; Saumure & Bider, 1998). As a result of the these declines, many states and Canadian provinces are providing protective status to wood turtles by listing th em as endangered, threatened, or a species of special concern (Bowen & Gillingham, 2004). In New York State, the wood turtle is a species of special concern (Al Breisch, personal communication). In 2005, Dr. Peter Rosenbaum and Kyle Pursel initiated surveys to find and study wood turtles in eastern Oswego County in New York State to determine the natural history, ecology, and status of this species in this pa rt of their range. In 2007, a genetic proponent was added to the study to assess the genetic vari ation of turtles found at the study sites and to aid in the assessment. A genetic component was added due to the va luable data genetics can provide about a population. It was determined that microsatellites, which measure tandemly repeating sequences of nuclear DNA and are generally considered to be good measures of heterozygosity, were chosen to calculate the genetic diversity of the population. Heterozygosity is the measure of heterozygotes in a population, and a heterozygote is an individual which has two separate alleles for a given gene. With microsatellites, an allele can be considered to be any variation in the number of tandem repeats (Frankham et al., 2004). For example, an individual that is heterozygous can have one allele for 30 repeats and another allele for 33 repeats, which a homozygous individual would have either two alleles with 30 or two alleles with 33 repeats. Aiding in the decision was also a study released in 2005 which calculated the heterozygosities of six populations
K. Pursel 2 in Quebec, Canada, which provided the data and names of primers proven to work with wood turtles for microsatellite studies (Tessier et al., 2005). II. Methods Blood samples were taken from each turtle using a vacuum syringe. Samples of 1/10 to cc were taken depending upon the size of the turtle and ease of blood taking. Samples were preserved in a clotting buffer and stored in a -40oF freezer until use. Thawed samples were extracted using a PureGene DNA extraction kit and the corresponding manufacturers protocol for clotted blood. The general pro cess consists of lysing the blood cells of the clotted blood were and protein denaturation for subsequent protein removal using proteinase K and centrifugation. For each extraction, roughly 50 L of clotted blood was added to 550 L of cell lysis solution and 3 L of proteinase K solution in a sterile 1.5mL labeled centrifuge tube. This was i nverted 25 times and incubated at 55oC overnight. The sample was then cooled to room temperature and 200 L of protein precipitation solution was added. The solution was then vortexed at high speed for 20 seconds and then placed on ice for 5 minutes before being centrifuged on the highest setting for approximately 5 minutes. The resulting supernatant containing the DNA was then poured into a new sterile 1.5mL labeled centrifuge tube containing 600 L of 100% isopropanol and was mixed by inversion 50 times. The sample was then centrifuged again on high for approximately 1.5 minutes. The new supernatant was poured out a nd the tube allowed to dry while inverted. Then, 600 L of 70% ethanol was added and then centrifuged for another 1.5 minutes. The supernatant was again drained and inverted for about 10 minutes to dry. Once dry, 20 L of DNA hydration solution was added to the DNA pellet and incubated at 65oC for approximately one hour. Once hydrated, the solution was stored at 4oC until needed. DNA was then quantified using a fluorometer. Once quantified, DNA extractions were diluted for PCR. Frozen PCR materials were allowed to thaw and then mixed to make a m aster solution that could be added to the DNA samples. Added materials incl ude 10X PCR buffer, dNTP, MgCl2, and Taq polymerase. During this time, the forward and reverse primer s for one of the five microsatellite primers was added to the master solution. The a ppropriate amounts of master mix and DNA solution were added to a sterile labeled 0.2m L centrifuge tube. This was centrifuged briefly before being placed in a thermocycler. Th e sequence of the program used for the thermocycler was adapted from that used by Tessier et al. (2005) and goes as follows: 2 minutes at 95oC for one cycle, 35 cycles of 94oC for 45 seconds, 54oC for 45 seconds, 72oC for one minute. Samples were then prepared and ran on a Beckman-Coulter CEQ 8000 Genetic Analyzer. Samples were placed in trays and ran in acrylamide gels through capillaries. Fragments would travel at different speeds thro ugh the gel in the capillaries and, when they reached a certain point, a laser would detect the fluorescent tag in the fragments and determine the base pair composition. Once comp lete, the data came out in graphs as a series of one or two peaks, depending on if that individual was heterozygous or homozygous for that loci. From these peaks, the amount of base pairs or nucleotide
Heterozygosity of a Wood Turtle Population in Central NY 3 compliments, was taken and analyzed using the freeware program PopGene to determine the heterozygosity, allele numbers and freque ncies, and Hardy-Weinberg Equilibrium for both sites. The freeware program Structur e was used to determine if both sites compromised one large population or separate populations. III. Results Three of the five loci tested yielded recordable results. The loci which worked were GmuB21, GmuD16, and GmuD93. Not all turtle blood samples worked, with twenty-three different individuals working w ith one to all of the three loci. Base pair data for loci GmuB21 was obtained for 14 individuals from Sloperville and 3 from Little Grindstone, 13 in Sloperville and 4 for Little Grindstone for loci GmuD16, and 11 for Sloperville and all samples for Little Grindstone with loci GmuD93. Analysis using the program Structure could no t differentiate individuals form either site into separate populations. Fig. 1 clearly s hows the close relatedness of turtles from each site to one another, with each turtle consis tently having approximat ely 50% likelihood of being assigned to one site or the other during an alysis. This data is consistent with both sites being part of a single larger population. Fig. 1 Triangle Plot of the likelihood of turtle being in separate populations. Note that all points lie roughly in the center (50%) ra nge of the plot. Red dots are individuals from Sloperville, green dots are i ndividuals from Little Grindstone
K. Pursel 4 Analysis using PopGene shows a total of 35 different alleles total from both sites together. Totals of 13, 9, and 13 different alleles were found for each loci (GmuB21, GmuD16, and GmuD93) respectively. Little Gri ndstone had fewer alleles per loci than Sloperville, but did contain 2 private alleles for GmuD93. Table 1 summarizes allele data for all loci and both site pooled together a nd separated. Sloperville consistently had larger numbers of alleles than Little Grindstone. Table 1. Observed Alle le Numbers per Loci =========================================================================== Locus Diploid # of alleles Observed allele total Sloperville LittleGrindstone =========================================================================== GmuB21 34 13 13 3 GmuD16 34 9 9 2 GmuD93 32 13 11 8 Mean 33 11.6667 St. Dev 2.3094 =========================================================================== In all three loci, the observed hetero zygosity was lower than the expected heterozygosity (Table 2). Tests of Hardy-We inberg equilibrium within both sites pooled together as one population show that loci Gm uB21 and GmuD93 were significantly out of equilibrium (B21 p=<0.001 Chi-Square=142.7; D93 p=0.004, Chi-Square=114.2), whereas loci GmuD16 was not significantly different fro m equilibrium (p=0.741, Chi-Square=30.2). Table 2. Observed and Expected Heterozygosity of Both Sites ============================================================ Locus Diploid Sample Size Observed Heterozygosity Expected Heterozygosity ============================================================ B21 34 0.5294 0.8663 D16 34 0.6471 0.7968 D93 32 0.6875 0.8851 Mean 33 0.6213 0.8494 St. Dev 0.0821 0.0465 ============================================================
Heterozygosity of a Wood Turtle Population in Central NY 5 Data for the individual loci and turtle were not obtained from the Quebec investigators (Tessier et al., 2005). A simple eye-ball comparison of data shows a similar trend amongst all populations (Table 3), in which all populati ons appear to have relatively high numbers of alleles and heterozygosity. However, thorough statistical analysis could not be conducted since only 3 of the 5 loci used in the Quebec studies yielded data for the NY population. Table 3. Heterozygosity and Allele Comparisons Between Quebec & NY Populations ============================================================================= Site Sample Size (turtles) Observed Allele # Observed Heterozygosity ============================================================================= Quebec FA* 46 50 0.561 Quebec SH* 39 46 0.673 Quebec SU* 8 40 0.886 Quebec MI* 19 45 0.804 Quebec TO* 6 36 0.767 Quebec DC* 18 54 0.837 Central NY ~23 35 0.621 ============================================================================ *See Tessier et al., 2005. for in-depth site data and name meanings. IV. Discussion Turtles from both appear to be or recently were part of a larger population that has and continues to be fragmented by human development of the land. Although 2 out of the 5 loci failed to yield reliable data, a relatively larg e number of alleles were found for Sloperville and the overall population. This data indicates that turtles from Sloperville and the overall population are possibly genetically stable. Howe ver, Little Grindstone had lower allele numbers for 2 of the 3 loci. This may be an indication that Little Grindstone, through recent isolation and human impacts, may be faci ng an ecological and genetic bottleneck, and might be losing some of the genetic diversity that is present at other sites. This is consistent with the turtle collection data, which only yi elded 5 turtles over 3 years. Since one loci, GmuD93, did yield a relatively decent number of alleles, it is possible that the addition of other loci may show that Little Grindstone turtles are more genetically variable than the current data suggests.
K. Pursel 6 The heterozygosity and Hardy-Weinberg data suggests that the populations have fewer heterozygotes than expected for the number of loci present. However, Hardy-Weinberg is based off of many assumptions of nonrandom mating, no selection pressures (for that gene), no mutation, no migration, no genetic drif t, and large populations. It is possible that sample sizes are not large enough to provide en ough data and that the population is within equilibrium. However, it is also possible th at there have been declines within the population, as appears to have happened at the Little Grindstone site, which could also lead to the elimination of some alleles and cha nges in allele frequency through genetic drift, since there should be little to no selection o ccurring for these genes, unless they are linked to selected genes. V. Acknowledgements I would like to thank the numerous volunteers w ho have helped me collect field data and turtles and the landowners who have graciously given me permission to conduct the field research and turtle surveys that led to this pr oject. Funding for this work was provided by a Student/Faculty Challenge Grant. I would especi ally like to thank my two advisors, Dr. Peter Rosenbaum and Dr. Amy Welsh, both of whom have provided much help and advice. VI. Literature Cited Bowen, K. D. & Gillingham, J. C. (2004). R9 Species conservation assessment for wood turtle Glyptemys insculpta (LeConte, 1830). U. S. Forest Service, Eastern Region, Milwaukee, WI. Daigle, C & Jutras, J. (2005). Quantitative evid ence of decline in a southern Quebec wood turtle ( Glyptemys insculpta ) population. Journal of Herpetology 39(1): 130-132. Ernst, C., Jeffrey, E., Lovich, E., and Barbour, R. W. (1994). Turtles of the United States and Canada Smithsonian Institute Press, Washington, D. C. Garber, S. & Burger, J. (1995). A 20-yr study documenting the relationship between turtle decline and human recreation. Ecological Applications 5(4): 1151-1162. Harding, J. H. (1991). A twenty year wood turtle study in Michigan: implications for conservation. First International Symposium on Turtles & Tortoises: Conservation and Captive Husbandry : 31-35. Saumure, R. A. & Bider, J. R. (1998). Impact of agricultural development on a population of wood turtles ( Clemmys insculpta ) in southern Quebec, Canada. Chelonian Conservation and Biology 3(1): 37-45. Tessier N, Paquette, S. R., & Lapointe, F. J. (2005). Conservation genetics of the wood turtle ( Glyptemys insculpta ) in Quebec, Canada. Canadian Journal of Zoology 83(6): 765-772.
LONGEVITY OF THE NORTHERN SHORT-TAIL SHREW ( BLARINA BREVICAUDA ) AT RICE CREEK FIELD STATION, SUNY OSWEGO Sara Ressing Department of Biological Sciences Long-term longitudinal studies can provide information on habitat quality over time. The Short-tailed shrew ( Blarina brevicauda ) is carnivorous, abundant in most habitats and lives 18 months or less. Ageing criteria based on weight or reproductive condition provide unreliable r esults since shrews are nearly adult weight at emergence from the nest and can begin reproduction shortly thereafter. The only reliable ageing criterion is microscopic evaluation of wear on cheek teeth of preserved specimens: not applicable to live animals. We used field measurements of incisors of marked indi viduals trapped repeatedly over a 7 month period to see if incisor length could be reliably related to known age. We live trapped short-tailed shrews ( Blarina brevicauda ) at SUNY Oswegos Rice Creek Field Station every 1-2 weeks, MayNovember 2007. Individuals were marked with PIT tags and released. We trapped 62 individuals a total of 263 times (max. captures/individual = 14; max. interval between first and last capture: 193 days). Tooth wear is measurable over longer interv als of time, and incisor length can be used to place individuals into 3 age classes. I. Introduction The northern short-tailed shrew is the most abundant small mammal at Rice Creek Field Station. They are known to be relatively short lived with starvation, exposure, predation, and old age the primary causes of mortality. I ndividuals in captivity ha ve lived for over 30 months and wild caught specimens have been shown to live at least 15 months (Pearson, 1945). Most long term longitudinal studies of shrew populations (e.g. Getz et al., 2004) lack aging criteria, a fundamental demographic component, due to the difficulty of accurately determining the age of living shrews. Gene ral criteria for an ideal age determination technique for short-tailed shrews include: independence from irregular nutritional and physiological variations; clear separations into age classes without subjective judgment; suitability for living animals of all ages; a nd easy application (Larson & Taber, 1980). Criteria of this caliber are thus far absent from the literature regarding age identification in the northern short-tailed shrew ( Blarina brevicauda ). The most reliable criterion requires microscopic evaluation of wear on the cheek teeth of preserved specimens: a method not applicable to live animals (Pearson, 1945; Pr uitt, 1954; Choate 1968; Strait & Smith 2006). Here we discuss the value of using length of the pigmented portion of the upper incisor, a measurement that is easy to take in the field, as an appropriate aging criterion. We test the
S. Ressing 8 reliability of incisor pigment length as an indicator of age, and apply this measurement to a living population of B. brevicauda at Rice Creek Field Station, Oswego, New York. II. Materials and Methods A museum study of preserved material was first conducted to assess the accuracy of using incisor pigmentation as an indicator of age. Th e skulls of specimens (n=102) used in this study were collected throughout the central Ne w York area, preserved by Dr. J. A. Lackey, and held at SUNY Oswegos Rice Creek Biological Field Station, Oswego, New York. The upper mandibles of these skulls were inspected under a dissecting microscope, examining the occlusion of the three molars and third premolar (Fig. 1). Wear classes were established using criteria published by Pruitt (1954) and Pearson (1945) based on wear on the occlusion surfaces of the molars. Measurements of the length of the pigmented portion of the right upper incisor were taken using calipers accurate to 0.01 mm without reference to molar wear class. Incisors were measured twice, from beginning of pigmentation to the tip of the tooth. The repeated measures of incisor pigmentation were analyzed for experimenter consistency using Pearsons correlation. A representative photographic record of the dentition of the upper mandible, as well as a lateral view of the upper incisor was taken for each wear class (Fig. 2). After establishing and testing the aging criteria, we applied the aging method in a mark and recapture study of living individuals. Shrews were live trapped at SUNY Oswegos Rice Creek Field Station every 1-2 weeks from May-November 2007. Due to the mainly nocturnal summer activity cycle of B. brevicauda Sherman live traps were set at dusk and checked 3-4 hours later. Individuals we re marked with Biomark 8.5mm X 2.12 mm passive integrated transponders (PIT tags) and released. Animals were handled at night by headlamp, and immobilized in rip-stop nylon cones. Basic data were recorded on each animal at the time of each capture, including weight, reproductive status, total body length, tail length, and right hind foot length. Inciso r pigment length was measured using a set of calipers. Fig. 1: Dorsal view of B. brevicauda upper jaw. Dental formula P3M 1M2M3
Longevity of the Northern Short-Tail Shrew ( Blarina brevicauda ) 9 Fig. 2: Age Wear Classes based on Pearson (1945) and Pruitt (1954). Photographs show the dentition of the upper mandible and lateral view of the upper incisor at each wear class.
S. Ressing 10 II esults I. R ip between incisor pigment length and wear class based on wear of the olars was highly significant (r= 0.768, p= 0.000, n=102, 5) establis hed wear classes with young adults enc cant cha ere young adults, and 6.4% were old adult anim y from 40% to 30.4% (Chi-squared, P=0.0104); and using animal proAgeThe relationsh occlusal surface of the m Pearsons Correlation); however there was some overlap between wear classes (Fig. 3). Observer consistency was very high for inci sor pigment length remeasure (r = .950, p = 0.000, n=102, Pearsons Correlation). Table 1 shows range of incisor pigment length for age groups. Age classes were assigned based on Pearsons (194 ompassing classes one and two; adults expect ed to have teeth consistent with wear classes three and four, and old adults would be considered in wear class five and six. In the field study, 62 individual shrews were trapped a total of 263 times. A regression of tooth wear over time using only the first and last measurements showed signifi nge for the shrews of the upper field (P = 0.0001; R2 = 37%) but not for the lower field (P = 0.903; R2 = 0%) (Fig. 4). A comparison of total change in incisor pigment length and days between first and last capture (Fig. 5) shows considerable variability over shorter periods of time, but measurable decrease in incisor length over longer periods of time. Average change in one month was less than one millimeter, however after two months, the average change, 0.21 mm was substantial enough to be measured using calipers Standard deviation in changes in incisor pigment length (SD=0.3 mm) is not large enough to move individuals from one age class to another. In Fig. 6, age profiles over the trapping period are shown. On average, 64% of individuals captured were adults, 29.6% w als based on the criteria outlined in Table 1. Fig. 7 shows the longevity of animals marked at the upper and lower field. The maximum number of capt ures per individual was 14, and the largest interval between first and last capture was 193 days. Forty-eight percent of marked animals were not subsequently r ecaptured. The average number of captures per individual was 3.5. Efforts were made to reduce trap mortality in the shrews. The use of cardboard inserts reduced trap mortalit tein as bait in the trap reduced trap mortality from 28.8% to 12.9% (Chi-squared, P=0.0010); but only very frequent trap checks (<4 hours) reduced trap mortality to an acceptable level of 3%. These results were re ported in a poster presented by Chepko-Sade and Gerald Zoanetti at the American Soci ety of Mammalogists meetings in 2001, Table 1: Age categories based on incisor pigment length in B. brevicauda Category Pigmented Part of Incisors (mm) Young Adult >2.0 Adult 1.0 2.0 Old Adult <1.0
Longevity of the Northern Short-Tail Shrew ( Blarina brevicauda ) 11 Fig. 3: Degree of incisor wear is highly correla ted with degree of wear on the cheek teeth Wear ClassLength of Pigmentd Portion of Upper Incisor (mm) 6 5 4 3 2 1 2.5 2.0 1.5 1.0 0.5 0.0 Incisor Length vs Wear Class (r = -0.768, p = 0.000, n=102). 140 120 10080 604020 0 0.4 0.2 0.0 -0.2 -0.4 -0.6 -0.8 Time periodChange in tooth length Lower Fieldf Lower Fieldm Upper Fieldf Upper Fieldm GridSexScatterplot of Change in tooth length vs Time period Fig. 4: Regression of tooth length over time shows a significant change for individuals in the upper field (Upper Field: P = 0.0001; R2 = 37%, n=37), but not for the lower field (Lower Field: P = 0.903; R2 = 0%; n=28).
S. Ressing 12 Tooth Attrition Over Time-2.5 -2 -1.5 -1 -0.5 0 0.5 1 1.5 2 2.5 -55 45 145 245 345 445 545DaysTooth Loss (mm) Fig. 5: Reliable measures of w ear may take 18+ months. Total t ooth loss over capture interval is depicted. The red line shows the projected ch ange in tooth length, with .3mm standard deviation shown by dotted lines. Age profile for 2007 0.0% 20.0% 40.0% 60.0% 80.0% 100.0%January M a y J une July A ugust Sept e mber October N o ve mb e r A v e ra g e Young Adult Adult Old Fig. 6: Graphed age profile indicates the progression of aging as spring young mature, and adults from the previous spring die off. Over the trapping period 64% of individuals captured were adult, 29.6% were young a dult, and 6.4% were old adult animals.
Longevity of the Northern Short-Tail Shrew ( Blarina brevicauda ) 13 28-May17-Jul5-Sep25-Oct14-Dec 985153000022595 985153000022601 985153000022603 985153000022607 985153000022608 985153000022610 985153000022614 985153000022621 985153000022622 985153000022623 985153000022624 985153000022625 985153000022635 985153000022637 985153000022640 985153000022643 985153000022644 985153000022650 985153000022653 985153000022654 985153000022655 985153000022658 985153000022661 985153000022667 985153000022673 985153000022674 985153000022676 985153000022680 985153000022684 985153000022693 985153000022696 985153000022699 45756F030E 985153000002586Upper Field Longevity PIT Tag 28-May17-Jul5-Sep25-Oct14-Dec 985120013872742 985120028903494 985153000002286 985153000002294 985153000002355 985153000002406 985153000002447 985153000002462 985153000002489 985153000002492 985153000002512 985153000002521 985153000002614 985153000002629 985153000002679 985153000002699 985153000022502 985153000022504 985153000022508 985153000022530 985153000022535 985153000022549 985153000022563 985153000022565 985153000022571 985153000022573 985153000022580 985153000022585Lower Field Longevity PIT Tag Fig. 7: Persistence of short tailed shrew on the upper and lower field grids. Date of the first and most recent capture for each individual is shown. The largest interval between first and last capture was 193 days. Blue bars are males, pink ar e females. IV. Discussion Incisor pigment length is an accurate and reliabl e indicator of age in short-tailed shrews and can be used to place individuals into three age classes as shown in Table 1. As individuals
S. Ressing 14 age, their teeth wear down which is confir med by decreases in the amount of pigment measured on the upper incisors. The practical application of using these criteria for aging animals in the field is clear. Individuals can be placed in age groups (Fig. 6) to create a demographic profile for a living population for comparison with results of previous studies based on dead individuals (Pearson, 1945). This allows the periodic examination of the age profile of the same population at different times without the impact of removing large numbers of individuals from the population to ascertain age profiles based on cheek teeth attrition. Mortality for this trapping session was greatly reduced compared to mortality recorded in previous seasons (ChepkoSade, unpublished data). B. brevicauda weaken and die quickly in Sherman traps due to their fast me tabolism and the stress of captivity. Frequent trap checks reduced mortality the greatest amount, but the inclusion of cardboard inserts and animal protein in the traps also had an effect. Due to small sample sizes and high varia tion between successive measurements of the same individual, further trapping is needed to alleviate the spread in the data. The project will be continued over the summer in order to further quantify the rate of tooth attrition over time so that individuals may be more pr ecisely aged rather than just assigned to age classes. This information will allow us to st udy the demographics of this population in more detail. V. Acknowledgements Dr. B. Diane Chepko-Sade, Dr. J. A. Lackey, and Dr. Andrew Nelson. Field Assistants: Matthew Volny, Wendy Paterson, and Je nna McAdoo Funding received from Student Faculty Collaborative challenge Grant and Rice Creek Associates Grant. VI. References Choate, J. R. (1968). Dental Abnormalities in the Short-tailed Shrew, Blarina brevicauda Journal of Mammalogy 49(2), 251-258. Getz, L. L., Hofmann, J. E., McGuire, B., Oli, M. K. (2004). Population Dynamics of the Northern Short-tailed Shrew, Blarina brevicauda Insights from a 25-year study. Canadian Journal of Zoology 82, 1679-1686. Larson, J. S. & Taber, R. D. (1980). Criteria of Sex and Age. In S. D. Schemnitz (Ed.), Wildlife Management Techniques Manual (4th ed., pp. 143-202). Washington: The Wildlife Society, Inc. Pearson, O. P. (1945). Longevity of the Short-tailed Shrew. American Midland Naturalist, 34(2), 531-546. Pruitt, W. O., Jr. (1954). Notes on the Shortta il Shrew (Blarina brevicauda kirtlandi) in Northern Lower Michigan. American Midland Naturalist, 52 (1), 236-241. Strait, S. G. & Smith, S. C. (2006). Elemental Analysis of Soricine Enamel: Pigmentation Variation and Distribution in Molars of Blarina brevicauda. Journal of Mammalogy, 87(4), 700-705.
EVALUATION OF PERSISTENT CONTAMINANT LEVELS IN GREAT LAKES SALMON EGGS Colleen M. Alexander & James J. Pagano Environmental Research Center, Department of Chemistry, 310 Piez Hall, Chinook, coho, and steelhead eggs collected in 2006 from Lake Ontario, L. Erie, L. Michigan, and L. Superior were analyzed by gas chromatography for congener-specific polychlorinated biphenyls (PCBs), polybrominated diphenyl ethers (PBD Es), and select organochlorine pesticides (OCs). Across lake compar isons for total PCB, total DDT, and total PBDE indicated a consistent trend in contaminant concentrations in which Lake Michigan > Lake Ontario > Lake Erie > Lake Superior. The contaminants Mirex and octachlorostyrene (OCS) were found not to be consistent with this trend, but we re instead found to exist in higher concentrations in Lake Ontario in re lation to the other Great Lakes. PCB chlorination patterns, as indicated by the average number of chlorines per biphenyl (Avg Cl/BP) were compared within species. The PCB chlorination pattern in chinook eggs wa s found to be similar for both Lake Michigan (5.47) and Lake Ontario (5.4 3). The PCB chlorination pattern in coho eggs was notably different in La ke Superior (5.78) than in Lake Ontario (5.41). I. Introduction The USEPA Great Lakes Fish Monitoring Pr ogram (GLFMP) is designed to evaluate contaminant concentrations in Great Lakes s port and top predator fish, evaluate human exposure to contaminants, and obtain new information on persistent and emerging contaminants. As a part of the GLFMP sport fish program, the purpose of this preliminary research was to investigate the utilization of salmon eggs as bioindicators of persistent and emerging contaminants in the Great Lakes. The utilization of bioindicators in persiste nt contaminant research is widely discussed in the literature. Species such as snapping tur tles and tree swallows have been widely used as reliable bioindicators of persistent contaminants in the environment (Pagano et al., 1999; Nichols et al., 1995). The utilization of fish e ggs as biomonitors of persistent contaminants has advantages including: ease and cost effectiveness of collection and analysis; large composite egg batch samples reflecting entir e spawning populations; and reduced adverse effects to the general salmon population (Miller, 1993; Miller, 1994; Pagano, 2005; Pagano, 2007).
C. Alexander & J. Pagano 16 II. Materials and Methods The Salmon River Fish Hatchery located in the Village of Altmar, Oswego County is operated by the New York State Department of Environmental Conservation (NYSDEC) to meet the sport fishery stocking needs of Lake Ontario and tributaries. Lake Ontario coho (Oncorhynchus kisutch ) and chinook ( Oncorhynchus tshawytscha ) salmon eggs were randomly sampled by NYSDEC personnel at th e Salmon River Fish Hatchery. Sampling locations for Lake Superior, Lake Michigan, and Lake Erie eggs are noted in Fig. 1. Egg samples were collected during the Fall 2006 spawning run. For the Lake Ontario samples, paired egg and muscle fillet (skin off) samples were collected from individual coho and chinook salmon before fertilization as prev iously described (Pagano, 2005b). Fig. 1: Great Lakes 2006 fish egg collection sites. Map obtained from USEPA GLNPO, 2008. Egg samples were extracted at Clarkson Univ ersity by Accelerated Solvent Extraction (ASE) using a Dionex ASE 300 and dichlorome thane solvent. The sample extract was condensed to 2 mL in a TurboVap II for Gel Permeation Chromatography (GPC) cleanup. Sample cleanup followed EPA method 3640A (G PC cleanup pesticide option) using a Waters GPC system (binary pump, Envirogel column, UV detector, and fraction collector) followed by silica gel column for separation of PCBs/OCs/PBDEs from other interferences. Adsorption column chromatography clean-up u tilized 5.5 grams of 4% deactivated silica (Sigma-Aldrich, grade 923, 100-200 mesh) placed in a chromatography column and sample extract sequentially eluted with 25 mL of hexane (fraction 1) and 25 mL hexane:dichloromethane (1:1, fraction 2). Each fraction was then concentrated in a TurboVap II to 2 mL for gas chromatographic analysis. Congener-specific PCB, hexachlorobenzene, p-p' DDE, and Mirex analyses were conducted based on capillary column procedures previously described (Pagano et al., 1995; Pagano, 2005a; Pagano, 2007b). Briefly, analytical instruments were recalibrated every five samples, with a system blank, instru ment blank, and mid-level calibration check
Evaluation of Persistent Contaminan t Levels in Great Lakes Salmon Eggs 17 solution analyzed during each analytical r un. A Hewlett-Packard (HP) Model 5890II GC with an electron capture detector (ECD Ni63) and autosampler were used for primary data acquisition. The capillary column utilized was a HP Ultra II, 25 meter with 0.22 mm id and 0.33 u m film thickness. The calibration standard used was a 1:1:1:1 mixture of Aroclors 1221, 1016, 1254, and 1260 each at 200 pg/uL, he xachlorobenzene (HCB) at 5 pg/uL, and p-p' DDE and Mirex each at 10 pg/uL (Custom Mixed Fraction #3, AccuStandard, Inc.), which allows for the analysis of 99 chromatographic zones of 132 congeners/co-eluters. PCB analyses were confirmed with a HP Model 5890 II gas chromatograph with an electron capture detector (Ni63) and autosampler using a 60 meter DB-XLB capillary column with 0.25 mm id and 0.25 u m film thickness. The calibration standard used was a 1:1:1:1:1 mixture of congener mixture sets C-CSQ-SET 1-5; 10 pg/uL per individual congener (AccuStandard, Inc., New Haven, CT ). PCB data was processed using HP ChemStation software and Microsoft Excel spreadsheet procedures such that the mole percent (congener specific and homolog), and average chlorine/biphenyl (Avg Cl/BP) values were generated. Congener-specific PBDE analyses were conducted with HP Model 5890 II gas II. Results and Discussion A comparison of select contaminant and percent lipid data for five egg sample groups is chromatograph with an electron capture detector (Ni63) and autosampler using a 60 meter DB-XLB capillary column with 0.25 mm id and 0.25 u m film thickness. The PBDE calibration standard used was an 800 pg/uL (total PBDE = 12 components) solution using the original Great Lakes Chemical Corporation (Great Lakes DE-71, CAS 32534-819) technical formulation. The DE-71 techni cal formulation mass fractions and congener identifications were confirmed with pure PBDE congener standards (BDE-MXE) purchased from Wellington Laboratories, Guelph, ON, Canada, and by mass spectrometric confirmation. presented in Table 1. As noted, total PCB c oncentrations ranged from 863.1 ng/g in Lake Michigan chinook eggs to 105.3 ng/g in Lake Superior coho eggs. Similar across-lake concentration trends are noted for total PBDE and total DDT. Concentrations in these three contaminants groups were found to be greatest in Lake Michigan, followed by L. Ontario, L. Erie, and L. Superior. In comparison, la ke trout whole fish data from the USEPA Great Lakes National Program Office (GLNPO) Great Lakes Environmental Database (GLENDA) is reported in Fig. 2. Similar to the fish egg trend noted in Table 1, total PCB concentrations for 2003 lake trout whole fish were found to be greatest in Lake Michigan, followed by L. Ontario, L. Huron, L. Erie, and L. Superior. The similarity of fish egg and lake trout whole fish tr end data appears to indicate that fish eggs have the potential to act as bioindicators of contaminants in Great Lakes fish.
C. Alexander & J. Pagano 18 Table 1. Select contaminant data fo r five egg sample groups (concentrations expressed in ng/g wet weight). LM Chinook LO Chinook LO Co ho LE Steelhead LS Coho (N=10) (N=3) (N=3) (N=7) (N=3) Total PCB 863.1 663.7 428.8 311.8 105.3 Ave Cl/BP (PCB) 5.47 5.43 5.41 5.49 5.78 % Lipid 10.3% 5.2% 3.7% 11.5% 8.9% Total PBDE 55.2 40.3 25.6 23.2 23.2 Total DDT 291.9 267.3 154.9 40.8 34.7 Mirex 1.2 26.0 19.4 0.6 0.6 OCS 0.4 4.9 3.4 0.4 0.4 ry to total PCB, PBDE, and DDT acrosstrends, Mirex is present in significantly Contra lake higher concentrations in Lake Ontario than any of the other Great Lakes. For example, L. Ontario chinook egg Mirex concentrations (26.0 ng/g wet) are significantly higher than chinook eggs from L. Michigan (1.2 ng/g wet). Mirex was released into Lake Ontario by the Hooker Chemical company from the Niagara River and, to a lesser extent, the Oswego River (Pagano, 2004). Our fish egg results are consistent with the established fact that Mirex is a contaminant associated with Lake Ontario and not significantly present in the other Great Lakes. 0 200 400 600 800 1000 1200 1400 MichiganOntarioHuronErie*Superior Great Lake Total PCB concentration (ng/g wet) Michigan > Ontario > Huron > Erie > Superior Fig. 2. Across-lake total PCB concentrati ons in 2003 lake trout whole fish. Data obtained from EPA GLNPO GL ENDA database. Lake Er ie samples are walleye. n order tovali t to I date use of eggs as envi ronmental biomonitors, it is importan demonstrate if quantitative and qualitative relati onships exist between contaminants found in eggs and contaminants found in muscles. In Fig. 3, a linear regression analysis of PCB congener concentrations in 2006 eggs vers us muscle tissue was performed. Results indicate (R2 = 0.97 for coho, and R2 = 0.98 for chinook) a very strong quantitative fit
Evaluation of Persistent Contaminan t Levels in Great Lakes Salmon Eggs 19 between egg and muscle PCB congener concentrations for both species. Although the egg to muscle relationships are different for coho and chinook, both demonstrate a very strong quantitative relationship indicating that e gg PCB congener concentrations have the potential to be highly predictive of mu scle PCB congener concentrations. y = 0.0836x + 0.0168 R2 = 0.97 y = 0.2395x 0.0582 R2 = 0.98 0.0 5.0 10.0 15.0 20.0 25.0 30.0 0.010.020.030.040.050.060.070.0 PCB congeners eggs (ng/g)PCB congeners muscle (ng/g) Coho 2006 Chinook 2006 Fig. 3. Comparative linear regression analys is for 2006 coho and chinook average muscle and average egg PCB congener concentrations Data adapted from Pagano, 2007a. PCBs in the envir ich the number of chlorines substituted per biphenyl ma y vary from 1-10. In Fig. 4, PCB assigned onment are a complex mixture of 209 possible congeners, in wh congener numbers are displayed by mole perc ent in order to illustrate PCB chlorination patterns, independent of concentration in each fish-egg group. The lower assigned PCB congener numbers correspond to lower-chlor inated PCB congeners, and the higher assigned PCB congener numbers correspond to high er-chlorinated PCB congeners. In Fig. 4a, visual observation of L. Ontario and L. Mi chigan chinook egg data demonstrates very similar PCB chlorination patterns. As contrasted in Fig. 4b, a comparison of the L. Ontario and L. Superior coho data demonstrates a ma rkedly different (and higher-chlorinated) PCB chlorination pattern in L. Superior eggs.
C. Alexander & J. Pagano 20 0 2 4 6 8 10 12 14 16 15913172125293337414549535761656973778185899397 Assigned PCB Congener #Mole % Lake Michigan Lake Ontario (4a.) 0 2 4 6 8 10 12 14 16 15913172125293337414549535761656973778185899397 Assigned PCB Congener # Mole % Lake Superior Lake Ontario (4b.) Fig. 4. Congener-specific P CB mole percent comparison of L. Ontario versus L. Michigan chinook eggs (4a.) and L. Ontario versus L. Superior coho eggs (4b.). In Fig. 5, PCB homologs are displayed by mo le percent and average number of chlorines per biphenyl in order to represent the PCB ch lorination for each sample group. Homologs are subcategories of PCB congeners having equa l numbers of chlorine substituents. As noted in Fig. 5a, similar mid-chlorinate d homolog patterns and Avg Cl/BP values are observed in both L. Ontario (5.43) and L. Michigan (5.47) chinook eggs. As contrasted in Fig. 5b, notably different homolog chlori nation patterns and Avg Cl/BP values are observed for L. Superior (5.78) and L. Ontario (5.41).
Evaluation of Persistent Contaminan t Levels in Great Lakes Salmon Eggs 21 0 5 10 15 20 25 30 35 40 45 Cl 1Cl 2Cl 3Cl 4Cl 5Cl 6Cl 7Cl 8Cl 9 PCB homologsMole % Lake Ontario (5.43 Cl/BP) Lake Michigan (5.47 Cl/BP) (5a.) 0 5 10 15 20 25 30 35 40 45 Cl 1Cl 2Cl 3Cl 4Cl 5Cl 6Cl 7Cl 8Cl 9 PCB homologsMole % Lake Ontario (5.41 Cl/BP) Lake Superior (5.78 Cl/BP) (5b.) Fig. 5. Mole percent PCB homolog comparis on for L. Ontario versus L. Michigan chinook eggs (5a.) and for L. Ontario versus L. Superior coho eggs (5b.). Determination of the qualititativ e relationship between PCB c ongeners found in fish eggs and muscle tissue is important for evaluating the reliability of fish eggs as biomonitors. In Fig. 6, congener-specific PCB mole pe rcent values for 2006 coho and chinook were submitted to a linear regression analysis for egg and muscle tissue data. A strong qualitative fit between egg and muscle tissue is indicated for both coho (R2 = 0.98) and chinook (R2 = 0.98). These results qualitatively indicate that the contaminants found salmon eggs are highly predictive of the contaminants found in muscle tissue.
C. Alexander & J. Pagano 22 R2 = 0.98 R2 = 0.98 0.0 2.0 4.0 6.0 8.0 10.0 12.0 0.01.02.03.04.05.06.07.08.09.010.0 PCB congeners eggs (mole %)PCB congeners muscle (mole %) Coho 2006 Chinook 2006 Fig. 6. Comparative linear regression analysis for 2006 coho and chinook average muscle and average egg PCB mole pe rcent. Data adapted from Pagano, 2007a. IV. Conclusions Results from preliminary data indicate an acro ss-lake contaminant concentration trend for total PCB, PBDE, and DDT in which concen trations are highest in Lake Michigan, followed by L. Ontario, L. Erie, and L. Supe rior. Our data suggests that fish eggs are highly predictive both quantitatively and qualitativ ely of congener-specific PCBs found in muscle tissue. Although preliminary, our results to date suggest that fish eggs have the potential to be utilized as bioindicators of persis tent contaminants in the Great Lakes. V. Acknowledgements The authors would like to thank the USEPA Great Lakes Fish Monitoring Program for funding this research. We also thank Phil Hulbert and Andy Gruelich, NYS Department of Environmental Conservation for providing samp les and technical advice. We would also like to thank Beth Murphy EPA Project Manager, Greg Sumner SUNY Oswego ERC for assistance in preparing samples, and Be rnie Crimmins Clarkson University for extracting samples. VI. References Miller, M. A. (1993). Maternal transfer of organochlorine compounds in salmonines to their eggs. Can J. Fish. Aquat. Sci. 50:1405-1413. Miller, M. A. (1994). Organochlorine concentration dynamics in Lake Michigan chinook salmon. Arch. Environ. Contam. Toxicol. 27: 367-374.
Evaluation of Persistent Contaminan t Levels in Great Lakes Salmon Eggs 23 Nichols, J. W., Larsen, C. P., McDonald, M. E., Niemi, G. J., and Ankley, G.T. (1995). Bioenergetics based model for accumulation of polychlorinated biphenyls by nestling tree swallows, Tachycineta bicolor Environ. Sci. Technol 29(3): 604-612. Pagano, J., Scrudato, R., Roberts, R. and Bemis, J. (1995). Reductive dechlorination of PCB contaminated sediments in an anaerobic bioreactor system. Environmental Science & Technology 29:10 2584-2589. Pagano, J. J., Rosenbaum, P., Roberts, R., Sumner, G., and Williamson, L. (1999). Assessment of maternal contaminant burde n by analysis of snapping turtle eggs. Journal of Great Lakes Research 25(4):950-962. Pagano, J., (2004). Identification of a s ource of Aroclor 1268 and mirex to the Oswego River Area of Concern. In: Proceedings of the 228th National Meeting American Chemical Society Philadelphia, PA, USA, Vol. 44 No. 2: 525-530. Pagano, J. (2005a). Deposition and ambient c oncentrations of PBTs (PCBs, OCs, PBDEs, and Dioxins/Furans) in support of the La ke Ontario air deposition study (LOADS), Quality Assurance Project Plan (QAPP). Great Lakes Commission-Great Lakes Air Deposition (GLAD) Program, Ann Arbor, MI. June 28, 2005 Version 01. Pagano, J. (2005b). Utilization of salm onid eggs as bioindicators of organohalogen pollutants in Lake Ontario. Proceedings of the 230th National Meeting American Chemical Society Washington, DC, USA, Vol. 45 No. 2: 337-342. Pagano, J. (2007a). Polybrominated diphenyl ethers in Lake Ontario salmonid fillets and eggs. Proceedings of the 234th National Meeting American Chemical Society Boston, MA, USA, Vol. 47 No. 2: 223-229. Pagano, J. (2007b). Deposition and ambient concentrations of PBTs (PCBs, OCs, PBDEs, and Dioxins/Furans) in support of the La ke Ontario air deposition study (LOADS). Final Report: Great Lakes Commission-Great Lakes Air Deposition (GLAD) Program, Ann Arbor, MI. December 20, 2007. United States Environmental Protection Agency GLNPO, (2008). Great Lakes Monitoring. http://www.epa.gov/glnpo/monitoring/fish/index.html accessed March 11, 2008.
A GUI FOR EVOLVE ZAMS D. R. Schlegel Computer Science Department Here the early work on a new user in terface for the Evolve ZAMS stellar evolution code is presented. The initial go al of this project is to provide an easy way to generate and visualize stellar evolution tracks for use in the classroom or lab. Eventually the code will allow for more complex analysis looking at star models as they evolve along an evolutionary track, becoming more useful for the researcher. I. Introduction A study of stellar evolution intends to discuss how a star changes throughout its lifetime. This can be a very difficult subject governed by so many equations that it would be nearly impossible for someone to accurately determine th e evolution of a star without the use of a computer program. A computer program can often make the process much less painful but an experiment can still be difficult to set up requiring a lot of scripting and in depth knowledge of both stellar evolution and the computer code you intend to use. The code which was used for this project Evolve ZAMS, or often just called EZ is no different than this. Like most research so ftware it shows signs of being written for a specific purpose, and trying to do anything outside of that is very difficult. Therefore it is not very user friendly and the learning curve is very steep. In order to run a simulation you must of course know the parameters of the star to wish to simulate, but you must also understand how EZ works. After one has figured out how to use EZ and they have produced output (in the form of a tab-delimited table printed to the console), the task then becomes analyzing the data. The tables generated are often 20 columns wide and 50 lines or so, intermixed with debug statements about the status of the star on its evolutionary track. This is great if perhaps you are analyzing the age of a star at which it leaves the main sequence which is only one point, but many times a graph is desired. My goal with this project was to make this process as a whole something which is easy for the user to do. My aim wa s to provide an end-to-end solution to the user, beginning with a graphical interface for setting variables about the star, and ending with a tabular look at the two variables the user chose with th e option of generating a GNUPlot script which can be easily loaded.
D. R. Schlegel 25 II. Evolve ZAMS Evolve ZAMS itself is a stellar evolution c ode written by Bill Paxton from the University of California at Santa Barbara. The evolution code itself is derived from a one dimensional code written by Peter Eggleton. As the name of the code implies, the program evolves stars from the Zero Age Main Sequence (ZAMS) to a specified stopping point (Paxton, 2007). The application uses simulation files which are compiled FORTRAN code calling each module required individually. This is more di fficult to use than a scripting language since there are preconditions and pos tconditions to take into account with each module. Not limiting the user to a predefined set of commands provides a lot of flexibility for the user if they are willing to become acquainted with both FORTRAN and the modules available in the code. The problem with this though is that the documentation available for EZ is slim to none. The main form of documentation is in th e two demo simulations distributed with the code. These can be easily modified to change the mass of a star and some other basic variables but they do not do everything a user might be looking for, and they dont make it clear how they do much of anything. In order to produce results the user really wants they need to dig into the FORTRAN code, for which there is a browser supplied on the web site. III. Basic Stellar Plots Someone studying stellar evolution very often does not use just numerical values to do their analysis, graphs are very common. As a star e volves a great deal of variables need to be taken into account from the temperature at the very center of a star, to the concentration of Helium in the star. There are a lot of very interesting plots possible, but perhaps the most common one is plotting a stars evolution on a HR or Hertzsprung-Russell diagram. In its most basic form, an HR diagram plots the logarithm of the luminosity of a star (measured in terms of the luminosity of our sun) versus the log of the temperature of a star in a reversed axis. An example of this is provided in Fig. 1. This figure shows this relationship for many stars during a single snapshot of time. From the image you can see where the main sequence lies, and where some stars which have evolved off of the main sequence now r eside. While this plot can come largely from observational data, on these same axes a plot can be made of a single stars evolution from the main sequence through its different evolutionary phases. Shown in Fig. 2 is an example of one such plot. A plot like this is impossible to arrive at observationally since stars exist for billions of years, but it can be arrived at mathematically and therefore, computationally. A plot like this shows much of how a stars appearance to the outside world will change as it evolves (since luminosity is related to brightness, and surface temperature is related to color).
A GUI for Evolve ZAMS 26 Fig. 1: HR Diagram (Brinkworth & Thomas, 2001) Fig. 2: Star Evolution (M=1.0, Z=0.3) (Paxton, 2007)
D. R. Schlegel 27 IV. The Project The concepts behind stellar evolution can be very difficult to understand, but I feel that the software to simulate it doesnt have to be. The goa l of this software is for it to be able to be used by students, professors, and researchers in their generation and analysis of stellar evolution graphs. The project design in general consists of three phases generating/running the simulation (input), allowing the user to choose the data which is important to them, and the output phase in which a graph is created. The first phase is that which abstracts the user from having to deal with the intricacies of the EZ stellar evolution package itself. The in terface provides to the user options so that they can set the mass, metalicity, etc of the st ar they wish to evolve. Based on the users selections the program automatically generates the FORTRAN code that EZ requires to run a simulation. This is compiled and run by the GUI, never requiring the user to touch a command prompt. One the simulation has finished (after a couple of minutes usually), the tabular format of the data is broken down into its individua l parts automatically. EZ tries to make itself more user friendly by dispersing throughout th e output table comments about when the star is leaving the main sequence, when the helium flash occurs, etc. The program therefore has to clean up this data before it is presen ted to the user for use in graphing. Most of these messages dispersed throughout the output can actually be turned off by editing the source code sufficiently, but this is not necessarily desirable. As the project evolves it is very likely that it will be desirabl e to plot these events on the graph, so keeping them around is in our best interest. Once the data has been parsed it is presen ted to the user. The user chooses from drop down boxes which data they would like to plot (the column headers are preserved to make this easier). As this is done a preview of what the results look like graphically are shown to the user in a preview pane. This can help reduce errors choosing X and Y properly. Finally once the user has selected what data they are interested in and selected any plotting preferences (such as reversing an axis or setting the ranges manually), the data can be output to a GNUPlot script. This includes both the data file and a script to load it and set the preferences the user selected. V. Guaging Success In order to call this project a success it was deci ded that it needed to plot some basic stellar evolution paths without forcing the user to touch any command line tools. While the project is in desperate need of usability testing, these goa ls appear to have been met. Fig. 3 is an evolution path created completely using this user interface for a star similar to our own sun. Creating a graph such as this is very st raight forward for anyone, even someone who knows nothing about how stellar evolution actua lly works. The goal has been to provide as many options to the user as possible while not asking the user to fill in many fields manually. This makes it so the user always k nows what the possible values are and doesnt let the user mess up. As time goes on and th e amount of options increases one goal of the application should be maintaining this ease of use.
A GUI for Evolve ZAMS 28 Fi g 3: Evolution Path ( M=1.0 Z=0.2 ) In addition to this, the appli cation also has to provide activ e feedback to the user about what they are doing. To do this the program has a part of its display known as the graph preview area. As the user is selecting what th ey want to plot this area actively updates showing the points to be plotted. Obviously it is not as sophisticated as a tool like GNUPlot, but it lets the user see what they are doing before they spend the time generating a GNUPlot script, which the program also automates. VI. Future Work The system presented here is still in its infancy but already could prove useful in perhaps an introductory astronomy or astrophysics course as an instructional tool. That said though, there are much more ambitious goals for this project as time goes on. These range from simple additions to the plotting abilities, to mu ch more complex analysis of the models of stars as they evolve. The first of these features I would like to see added is the ability to note important points along the evolutionary curve much like those in Fig. 2. This would increase the utility of the diagrams for physicists interested in a specific phase of evolution specifically. The much larger and more significant long term goal for the project is examining the model of the star at points along the evolutionary path. EZ allows the user to specify in the
D. R. Schlegel 29 design of an experiment at what points they would like to save model data of the star, but this function is not currently used by this application. This would obviously allow us to create much more advanced plots. An example of one such plot which one might generate is a plot of log ([ M MR]/ M ) vs T Specifically of interest in this plot is the photosphere (denoted by the black dots in Fig. 4) and determining its interaction with the hydrogen ionization front as the star evolves. The real challenge here will not be the act ual code generation itself I think, it will be providing a consistent and easy to use interface. The more functions and features that are added that dont necessarily fit to the same purpose, the more cluttered and complex the interface will be come. Fig. 4: Analysis of Mass at a Ra dius (Kanbur, Ngeow, & Buchler, (n.d.)) VII. Conclusion Scientific research tools have a reputation for being extremely difficult to use. This learning curve makes it very difficult for an undergradua te student who perhaps does not have the UNIX background to use these tools. In turn, mo st research tasks are given to a graduate student with more experiance. Text based systems do have their appeal for power users, but for the casual user or for a student who is interested in only a certain function of the software a user interface is a much nicer presentation.
A GUI for Evolve ZAMS 30 While still in its early form this project is already a useful tool for generating evolution paths of stars very quickly. I hope that this project has a long life ahead of it and that it will inspire others to create easy to use interfaces for research software. The amount of development time spent creating something like this will in the end save much more time for the scientific community as a whole and pr oduce better researchers earlier in their college career. VIII. References Brinkworth, C., & Thomas, C. (2001). Stars An Overview. Retrieved April 20, 2008, from http://www.le.ac.uk/ph/faulkes/web/stars/o_st_overview.html Kanbur, S. M., Ngeow, C.-C., & Buchler, J. R. (n.d.). Period-colour and amplitude-colour relations in classical Cepheid variables II: the Galactic Cepheid models. Paxton, B. (2007). EZ Stellar Evolution Retrieved April 20, 2008, from http://www.kitp.ucsb.edu/~paxton/EZ-intro.html
DESKTOP RELATIONAL SEARCH OR ONE WAY AI COULD SAVE US FROM OUR FILES D. R. Schlegel Computer Science Department Herein a new system for the automatic organization of user files based on metadata is presented. The system is based on a new derivative of Kohonens Self-Organizing Map algorithm which is also discussed in detail. The system overall is one which aims to provide an end to end user experience for their file and metadata management. I. Introduction Consider the chore of searching for files on your computer. Consider the usual metaphors for search. You go to your computer, realize youve lost some document, open up a search tool, type in some sort of search string and wait as the computer finds the document you are looking for. What if you dont remember the file name? What if all you remember is that you worked on it with your roommate in colle ge? With todays search paradigm you are out of luck. The goal of this paper is to outline a new sy stem which has been created to solve this kind of problem. This system is not based on searching for file names, it is based on the looser and less well defined search for relationships. Now imagine you go to your computer and type in a search string such as Paper with Alex and the system parses that and searches for it in some sort of relational store of your data. You would be returned a lot of things having to do with Alex himself, papers of his, pictures of him, etc but tangentially related visibly could be a collection of things which you did together. This is the grand vision of search and while the work shown here doesnt quite reach that goal, it does get us much closer. Herein I will chronicle my attempt at a search system such as this. First discussed will be the problem with searching using todays f ile organization techniques and the concept of metadata. Next I will present the method I have used to solve this problem and its origins. Finally the search algorithm will be considered in context as part of a larger system from the point of view a user. II. File Organization Overview We are all familiar with todays methods of storing files on our computers. Our files are stored on drives, the drives are split into a fold er hierarchy, and files are stored throughout this hierarchy. When this paradigm was developed disk size was measured in kilobytes, not
D. R. Schlegel 32 gigabytes or terabytes. In those days we used to label our disks with what specifically they contained. The main organization difficulty was losing the physical disks themselves, not losing our files. Today our operating systems try to recreate this paradigm through the use of special folders like My Documents in Windows XP. Windows Vista takes this one step further with folders such as Pictures and the concep t of stacks which are actively updated with all files meeting a certain criteria. These f iles are just deposited into these folders willynilly with no attempt to organize by content. Users dont like to spend their time actively organizing their files, so there must be another way to find what they are looking for. Some applications such as Windows Media Player will manage your music folders for you, creating new ones when you rip CDs, but this does not suit every user. We are all different and like to access data in different ways. Enter search. Since nearly the beginning of computing we have had search systems that would find something based on its file name or type. In the old days of DOS filenames using the .3 format (8 letters for the file name, and three for the extension) this made practically no sense. UNIX traditionally has fared be tter due to less strict limitations for file names, but file name doesnt always convey what a file is really about. These search systems would manually traverse a directory tree looking for matches. This requires a complete disk traversal which is very costly. Today we enjoy desktop search systems from Google, Microsoft, and Apple which catalog our files and even our e-mail in a centr alized database. Desktop Search tries to emulate the internet search experience on the desktop. When we search on the internet we navigate to a search engine, enter our query a nd are returned a list of relevant pages from a pool of billions of documents. Therein lies the problem as yet unsolved documents are not in standard easily searchable formats (a la HTML), and on the computers of today documents are no longer the principal file format. Lately we seem to have a bit of an infatuation with the ease of internet search engines such as Google. When we search on the internet we look for a topic based on a search string, click on the results, and see if they contain what we are looking for. This paradigm does not easily extend to the desktop search for our own files is a much more difficult job. We have to search for image and mp3 files directly without the benefit of related data that could be stored on a web page. Therefore extending this search-and-browse paradigm to the desktop cannot succeed. Google has tried to change this internet search paradigm by adding video and image search to their engine, but just as on the deskt op this requires a lot of manual tagging work, and the results are often faulty (Could Google News be Sued for Libel?, n.d.). They have spent countless man-hours on this technology for these two file types and it is useful but as it currently stands is not transferable to the desktop, and of course it only represents a small subset of files on a users machine anyway. So how to do we fix this? The amount of f iles on our computers is growing all the time. Combine this with the laws of entropy and th e ability of any organization system we devise becomes limited. Therefore we must seek out a new paradigm, a new, automatic, strategy
Desktop Relational Search 33 for organizing data based on what the data r eally means, based on the things we as users would use to organize our data. III. Metadata Contained within our data, without our even knowing it, is a resource just waiting to be tapped. In some cases this data is already ther e just waiting for us to look at it. In other cases it requires a bit more work to get at, but is still helpful. This resource I refer to of course is metadata. Loware defines metadata as "...our knowledge of data that we have interpreted as information in a particular decision-making situation (Laware, 2005)." So what really is metadata then? More simply, it is knowledge about our data. When we talk about knowledge about data it follows that this knowledge needs to at some point either be explicitly defined or au tomatically generated. In the case of IDv3 tags for mp3 files it is explicitly defined by some one, and then propagated using a tool over the internet to our media players when we rip our CDs or sync our music with an external player. For a textual document on the other hand, the metadata is generally not going to be explicitly defined and requires so me sort of a generation tool. As time goes on it will be more important to discover ways to extract important features from our documents whether it be image tagging as in social network sites like Facebook, or in rhythmic identification in our music files (Tenbergen, 2007). Once this new metadata is extracted there will be the need to organize it in a relational way, in a way which makes sense to the user. If metadata is determined properly it should describe the data it represents. This highly filtered form of the data is much easier for our computers to process and compare versus whole documents of unknown type. There have b een many attempts to solve this problem. On the web a search engine can employ algor ithms to generate "sni ppets" of a web site. These snippets are essentially an abstract or the main idea of the article. Microsoft Word allows another way to auto-generate the idea of a document through its summary feature. So for at least a few document formats we have already started to solve the problem of generating the metadata. There of course is more work needed in this area but after we have the metadata putting it to use is all that is left. So far we have discussed that we have a pr oblem with organizing our data because we have so much of it. We have also discussed th e fact that there is knowledge about this data we have available to us. Combining this knowledge with some maturing AI techniques a new, more natural paradigm can be develope d. We have to combine metadata, search, and artificial intelligence techniques to help create a new paradigm for search. IV. Self-Organizing Map The Self Organizing Map, developed by Teuvo Kohonen, is an artificial neural network (ANN) based technique for organizing data in an unsupervised manner. This means that there is no user interaction while the algorithm runs, denoting a black-box type algorithm. It is generally represented by a tw o dimensional array of nodes (which in ANNs
D. R. Schlegel 34 have the biological counterpart neurons). These nodes contain some numeric data which represents what is being organized.The result of the map is similar to multidimensional scaling techniques which aim to recover the underlying structure among stimuli which is hidden in the data (Schiffman Reynolds, and Young, 1981)." When the algorithm is initially started the map is created using the specified size and is initialized with random data. This random data is stored in what is called a weight vector and is of the same dimensionality of the input to the map. Once the training of the map begins, input v ectors in a training set are exposed to the network. When this happens, each node has a leve l of activation and that which is activated the most is called the Best Matching Unit. Gene rally to determine this level of activation Euclidean distance is used, and the one which generates the smallest distance is the BMU. This unit and its surrounding neighborhood nodes are then made to be closer to the input vector (Zavrel, n.d.) (How much closer is determined by a Gaussian function and a learning rate usually). The neighborhood is define d by a radius which shrinks over time. This process is iterative, happening hundreds or thousands of times until the network is converged and smooth. This happens since over time the neighborhood shrinks. At the start of the run it may be as wide as the lattice, but by the end it is usually very small in relation to the map size. Some SOM algorithms split this into two phases. During the first, longer, phase the neighborhood shrinks very rapidly. During the second phase which lasts much longer, the neighborhood shrinks much more slowly until it is finally converged (Kaski n.d.). Kohonen mentions in his book on SOMs that since there are generally far less training data than numbers of iterations of training necessary "the samples may be applied cyclically or in a randomly permuted order, or picked up at random from the basic set (socalled bootstrap learning ). It has turned out in practice that ordered cyclic application is not noticeably worse than the other mathematically better justifiable methods (Kohonen, 2001). The speed of convergence of the network is very important. If the network converges too quickly it will end up mosaic-like, with blocks of related data but not very smooth. If it converges too slowly then each node in the ne twork will contain largely the same data. Either of these cases are not optimal and will only result in results which are not representative of the data. The typical toy example for self organizing maps is to categorize colors based on an array containing their RGB values. This case is very simple since the color can already be represented with numbers without any extra ab straction and there are a finite number of values which fall into definite categories. The results from these maps are very successful and have been shown to work with any random initialization of the map (Honkela et al., 1998). In addition to toy examples, there have been several real world applications of SOMs. SOMs have been used extensively in Biolog y to sort organisms into their respective families. Kohonen himself has spent many years working to organize large document collections using what is called the WE BSOM method (Honkela, et al., 1998). Other researchers have worked to create virtual lib rary systems which involve creating shelves of similar data to be browed by a user on the web (Merkel & Rauber, 1999).
Desktop Relational Search 35 All is not rosy for the SOM though; there are a great deal of real wo rld limitations when it comes to the algorithm itself. The self organizing map depends on a very structured model for feature vectors. It is easily applicab le to systems where feature vectors are easily represented through numerical values. For text ual values though, things are more difficult. For example, Kohonen mentions in his SOM book that most ways for organizing documents involves to some extent a word histogram. Methods are employed to simplify it, but it is still a histogram of thousands of word s, with lots of empty space, and breaking any biological representation the SOM might have. V. Abstract Self-Organizing Map The ASOM or Abstract Self Organizing Ma p is different than a normal SOM in how it handles its features. The method for comparing feature vectors is not as obvious as it is with a word histogram or some other method since the input vectors may be only tangentially related (or not at all) to the training set. To deal with this the actual computation comparing vectors is done outside of the map itself where a weight showing the correlation between the input and the node on the map is generated. This abstraction is the reason for the algorithm being called the Abstract Self Organizing Map. The ASOM (Fig. 1) has been designed to work with any set of data. The only requirement is that the author of that specific implementation devise a way to make the data comparable. A node in a self organizing map contains the numeric weights on which the algorithm will operate. In an ASOM the node is basically a container for the Feature Vector and its coordinates on the map. Fig. 1: ASOM Algorithm
D. R. Schlegel 36 The feature vector in an ASOM is really two vectors which are side by side. The first of these is a vector of characteristics and the second is a vector of weights The feature vector also contains some method of comparing itself to another feature vector and returning a single value, this is called the relative weight This relative weight function replaces the Euclidean distance method for determining similarity in Kohonens SOM algorithm. It is important to mention though at this point, th at an argument could be made against this algorithm being a neural network. It contains many of the same features of a neural network, but ideologically it breaks from the tradition of neural networks by requiring the weights to be computed and not stored concretely. Also, in the same way the SOM algorithm does, this algorithm goes against th e highly interconnected view of a neural network. Indeed without an input vector, no connections exist between the nodes, which obviously is not biologically accurate and is not perhaps conducive to maintaining its status as a neural network based algorithm. A characteristic is a defining aspect of whatev er the implementer is trying to organize. It can be of any data type as long as the implementation can compare that type for likeness. The weights are a numeric value which say how important that specific characteristic is. These values are unbounded and should be tweaked to fit the needs of the specific implementation. Finally the relative weight is the outcome of the comparison. In general higher values denote a higher level of likeness, and lower values denote the opposite. This too is unbounded and should be taken as a re lative scale in comparison to the entire map and never on its own. Since the ASOM shares its ma in architecture with Kohonens feature map, in many of the same ways that SOMs fail to represent biology, so does the ASOM. Even though this is the case, the ASOM may be more akin to how we consciously think about information. The SOM fails in mimicking our thought pro cesses by forcing everything to be represented through weights with no real data attach ed to them. The ASOM though creates relative weights by actually comparing the data and not just a weight associated with it. This is more similar to how we draw connections be tween information cognitively, but is perhaps more an issue of semantics than an actual likeness. Altohough this seems to be an improvement conceptually, there are still issues. It appears from initial testing that the rate of l earning must be very carefully tuned to the amount of iterations of learning (and consequently the radius of the neighborhood this is especially important in a small network). If either of these are disproportionate then the system over-converges, meaning that each node becomes nearly identical to every other. Obviously search breaks down at this point and results are nearly random. V.a Implementation In my test of the map I chose to use 100 Word 2007 documents which I had local on my machine as a sort of real world test. Based on the metric of the number of nodes as documents, the result was a 5x5 map. Looking at examples from other SOM work this seems to be a fairly natural value Kohone n used 1/6 in his WEBSOM experiment but there is no tried and true method for determin ing this value. The advantage though to a
Desktop Relational Search 37 larger map is that there is more room for unrelated documents to separate themselves. A 5x5 map is fairly useful in analyzing whether or not the map works since there are several inner nodes and several edge cases. After creating the map the next step was to define what the feature vectors were going to contain. For my feature vectors I extracted all of the words which are capitalized and arent extremely common sentence starters (suc h as For, It, The, Then, etc) and set the weight for each of these characteristics to the number of occurrences of that word. This is obviously a very crude method but for the purpose of testing the maps ability to organize data it is sufficient. In order to compare these feature vectors the algorithm first finds all of the characteristics which are in common between the two FVs being compared. The weights of each in common characteristic are multiplied together and these values are summed. This determines the relative weight of these two feature vectors. The implementation which I designed uses a Gaussian function for the purpose of converging neighbor nodes with the BMU. The Gau ssian function is useful for this since it allows for the natural graded-ness of the map which we are seeking. The learning rate is two, and the terminal learning rate is 1/2. I ran the map for 100 iterations. Testing at different values determined this was optimal for this size map, but there is no known algorithm for determining what this value s hould be. At values much smaller than this (~50) the map would not have any gradient, and at values much higher (~300) the maps gradient was too large (as expected and discussed earlier). V.b. Algorithm Analysis To test the ability of the ASOM to organize da ta I used a technique which is used often with traditional SOMs. This method tries to de termine whether the topology of the map has converged at the end of the training. This involves using input samples to determine how continuous the mapping from the input space to the map grid is. If the two reference vectors that are closest to a given data item are not neighbors on the map lattice, the mapping is not continuous near that item(Kaski, n.d)." Testing that two nodes are neighbors is not enough though the map should be smooth. If the map has a large spike when an input is presented and nearly no activation ar ound it, then the map has not been trained over enough iterations. To do this I applied some sample search st rings to the converged map. In each case the node for which the BMU was the document I was looking for was found, and one node removed from it showed lower activation le vels. Depending on the search string usually two nodes removed produced an activation level of zero which is expected for a map of this size. A sample of this is shown in Table 1. Th is has been tried with maps smaller than this, and the results seem to scale well from the limited tests I have performed thus far. 0 0 0 0 0 10 60 10 0 0 15 10 0 0 0 10 10 0 0 0 0 0 0 0 0 Table 1: A search gradient
D. R. Schlegel 38 Neural networks have a reputation of not being particularly speedy. The combined time of training the map (including getting the gene rated metadata from persistant storage) averaged around three minutes on an older Pentium 4M laptop. Previous tests have shown that smaller maps take far less time to compute. There is a nearly exponential increase in time as the training set grows larger, but there are several techniques for increasing the speed of SOM-like algorithms which have not b een explored yet. In comparison, standard desktop search systems can take many hours or days to catalog just the document data on someones PC. The ASOM algorithm and method provide a gr eat deal of needed improvement over the original SOM algorithm. The major improvement s are reiterated below in a more easily digestible tabular form. Abstract SOM Classic SOM Flexible design Doesnt require changing the algorithm to sort different data types The SOM is crafted and optimized for the target data type as needed Can sort multiple types of data together as long as a method is defined to make them mutually comparable Maps are created with a specific purpose in mind, there are few (if any) in general type solutions. Uses feature vectors to store comparable data. Weights are relative, on no particular scale. Does not have a defined method, sparse word histogram arrays are often used for text. Must be made to correspond to a 0-1 weight value VI. The User Perspective Making search relational is not enough, the user needs an intuitive way to interact with their files. I have thought hard about what types of applications this metadata-driven system might allow us to take advantage that we cannot today. One example may be a system to tag images. As the user adds tags to an im age they influence the way search works with those files. This adds an extra dimension to the idea of search essentially giving the user control over their search results. It is conceiva ble that in time this could be expanded with functionality to tag a group of related images t ogether, or to propagate changes to like images. This flexibility will be appreciated by the user later when they search for their files. This allows a user to impact search before they do it, but all that we have done here is so that the user can relationally search for their files, and an interface is needed for that. In the SOM Explorer interface (Fig. 2) there is no need for an advanced search interface the user can simply type in what they ar e looking for and hit search. Since the SOM has already been created and has converged the sear ch results are returned instantly. The nodes in the center of the image are very closely re lated to the search string, and the top ranked feature in that node is displayed. As you look further out in the image the items are less related. This is simply a view of the un derlying neural network which the SOM algorithm has already ordered in this way for us.
Desktop Relational Search 39 Fig. 2: SOM Explorer Fig. 3: Image Tagger
D. R. Schlegel 40 VII. Thoughts for Future Work The list of further work I would like to do on th is project easily is far more expansive than any of that which has been completed thus far. These changes range from finding methods to enhance the speed of convergence to finding better results through more useful metadata generation techniques. One way to speed up the convergence coul d be to take advantage of multicore processors. Kohonen mentions some examples in which he uses many small maps of data to estimate the layout of the larger map. These smaller maps could each be computed separately in dedicated processors or processo r cores which can then be combined and calculated as we are now. In addition to the improvements in speed, there is a need for better data to test on. The feature vectors from the documents are formed in a very rudimentary way (choosing all of the important capitalized words). I can see several simple ways of improving this. Chopping off a words prefixes and suffixes woul d help the weighting be more accurate (Etzioni and Zamir, 1998), and grouping words that are capitalized that appear consecutively may also help si nce they are likely related. I would also like to explore how we determine characteristics of documents more carefully. In addition to using proper nouns, I think the structure of documents should be considered. For example, the size of text, or whether or not text is in a bulleted list can provide a sense of importance to words or phrases. Using this kind of an alysis we could not only compare documents with similar important words or phrases, but also documents with a similar structural format. On top of these improvements more tests will be needed, on a larger data set. Obviously a 5x5 network is not appropriate to determine if an algorithm is a success or failure. Just because it works at a small scale doesnt mean it will not break down or become far too complex at larger sizes. I aim next to test on a network at least an order of magnitude larger, with perhaps a thousand doc uments and two hundred nodes. As Ive mentioned multiple times throughout th is paper, documents do not define all or perhaps even a large part of the files on a u sers computer. The project contains an early tagging system for images now, but there is much of room for improvement. Current AI techniques for facial recognition and comparison could be used to automatically tag images. In addition to images, work has been done to categorize music not only by tag but by the actual musical patterns. This type of syst em could be included into this system with relative ease. VIII. Conclusion Organization of user data has over the last few years become an exponentially more difficult problem as the ubiquity of the internet and downloading of files becomes obvious, and several attempts have been made to try to solve the problem. These solutions though are just extensions of research that has alr eady been done for search on the web and do not translate particularly well to the desktop paradigm. There have been novel ideas such as
Desktop Relational Search 41 Microsofts proposed relational file store (WinFS), but it was ultimately cancelled in 2006 (Clark, 2006). In order to succeed researchers and compan ies alike need to begin thinking about metadata as a viable method for ascertaining the meaning of user data. There have been many problems trying to use metadata in the past because it is largely non-standard. We can no longer ignore what is in reality self evident though, we need to bite the bullet and write code for these non-standard constructs or work together to ensure our data has proper metadata and that it is properly used. Algorithms such as the SOM have shown prom ise for document organization, but have been quite clumsy and slow. Over time our AI techniques will improve and I think therein lies the next paradigm of search. AI has cons istently gotten a bad rap as consisting of a collection of very complex programs which don t work, but slowly AI based applications are making their way to the desktop. The solution I have presented here is just one example of this evolution. Although I dont think ther e will ever be a permanent solution for our user data woes, I hope the technique presented here will help to fuel the next generation research. IX. References Clark, Q. (2007). Update to the Update WinFS Team Blog. June 26, 2006. http://blogs.msdn.com/winfs/archive/2006/06 /26/648075.aspx (accessed November 13, 2007). Could Google News be Sued for Libel? http://www.cyberjournalist.net/news/001346.php (accessed November 3, 2007). Etzioni, O. and Zamir, O. (1998). "Web docum ent clustering: a feasibility demonstration." Proceedings of the 21st annual international ACM SIGIR conference on research and devoeopment in information retrieval 46-54. Honkela, T, Kaski, S., Kohonen, T, and La gus, K. (1998). "WEBSOM Self-organizing maps of document collections." Neurocomputing 21, 101-117. Kaski, S. (n.d.). ( Data Exploration Using Self-Organizing Maps. PhD Thesis, Helsinki University. Kohonen, T. (2001). Self-Organizing Maps. Springer. Laware, G. W. (2005). "Metadata Manageme nt: A Requirement for Web Warehousing and Knowledge Management." In Web Mining: Applications and Techniques edited by Anthony Scime. Merkel, D., and Rauber. A. (1999). "The SOMLib Digital Library System." Third uropean Conference on Research and Advanced Technology for Digital Libraries, 323-342. Schiffman, S. S., Reynolds, M. L., and Young, F. W. (1981). Introduction to Multidimensional Scaling : Theory, Methods, and Applications. Academic Press. Tenbergen, B. (2007). "Similarity Clustering of Music Files According to User Preference in Proceedings." MICIA 182-192.
D. R. Schlegel 42 Zavrel, J. Neural Information Retrieval: An Experimental Study of Clustering and Browsing Document Collections with Neural Networks. PhD Thesis, University of Amsterdam.
SKETCH UML: A TABLET PC-BASED E-LEAR NING TOOL FOR UML SYNTAX USING A MINIMALISTIC INTERFACE Bastian Tenbergen, Colleen Grieshab er, Lisa Lazzaro, & Rick Buck Human-Computer Interaction MA Program The Interactive Learning Technology Laboratory of the State University of New York at Oswego has developed a Tablet PC-based, ink-input enabled learning utility that will aid students in learning the UML syntax as well as teachers in critiquing UML diagrams designed by students. This is intended to enhance the learning and teaching experience regarding UML using non-traditional interfaces. As a merely ink-based application, Sket chUML is a novel approach in penbased user interfaces. As such, the usability of it h as not been assessed. This study addresses the question of usability of non-hybrid, ink-only, non-traditional interfaces by conductin g usability tests. The collected data shows that ink-only interfaces facilitate learning in non-expert users and do not hinder the usability and learnability of these interfaces and allow for an enhanced learning experience. I. Introduction SketchUML was conceived as an interactive learning utility that allows for learning the syntax of the UML modeling language usi ng Tablet PCs. UML or Unified Markup Language is a general-pur pose standardized specification modeling language, used in Software Engineering to model object diagrams and abstract specifications of software systems. UML has a wide range of symbols and syntactical rules according to which valid diagrams are designed (Fowler, 2003) Learning the entire UML syntax can be tedious and time consuming, due to its error-driven nature. Computer-aided UML learning has a number of advantages over ordinary approaches using pen and paper. The fact that it allows for immediate feedback to the user if a certain UML symbol is incorrect in the current context is an invaluable tool that cannot be accomplished by pen and pa per approaches. Furthermore, computeraided UML design enables the user to modify an existing diagram quickly without the need to redesign a specific section or even th e entire diagram. Another advantage that is provided by incorporating software into UML diagram design is that from an existing class diagram, code can be exported, resulting in class and method stubs in a programming language of choice that obey to the class hierarchy depicted in the diagram and only have to be filled with content. However, using software to design UM L schemes has a negative impact on the learning curve of UML. When a student is asked to learn the UML syntax by using a certain software, this generally results in th e fact that the software has to be learned beforehand. It is very uncommon for a u ser to know how to use a software that performs a specific task without having in-d epth knowledge of the task itself. Many
B. Tenbergen, C. Grieshaber, L. Lazzaro, & R. Buck 44 UML softwares that are currently available do not tackle this problem. They are not designed to facilitate the learning experience of a user to learn the syntax of UML. Instead, these programs are designed to inco rporate more and more features, which results in amazingly complex software that is hard to use for novices. This problem is tackled by SketchUML. Previous publications by Qiu (2007) have shown that this software is a very usable and versatile tool for learning and designing UML diagrams. The product has been mass ively augmented since Qiu (2007) and incorporates many new features. SketchUML is a completely user centered software. It is designed to facilitate the learning of computer-aided UML design, so that it is virtually entirely naturalistic. The interf ace is designed with simplicity being the driving force, offering only a paper-like white canvas and a menu bar. Users can simply open the application and start drawing UML diagrams, as if they would use pen and paper. Designed for Tablet PCs, SketchUML acc epts input using the Tablet PC's pen or stylus and converts the drawn ink into UML components, if the ink input corresponds to a valid symbol in UML. This allows for immediate feedback to the user when an ink gesture is not valid UML syntax component. The user is thereby forced to design UML diagrams accurately which aids in learning the UML syntax. Since SketchUML is designed to be as versatile as possible, it allo ws to fully edit the entire diagram at any point in the design process, just as users would expect to use pen and paper. Also, SketchUML is designed to be robust against different drawing styles of ink gestures that represent a UML symbol for instance, it does not matter if a user draws a square by drawing one side at a time, lifting the pen tip every time a stroke has been performed, or if the user draws a square by using only one stroke from start to end, with the start and end point being identical. Previous studies have shown that using Ta blet PC technology is an effective tool for teaching and collaborative learning (Bull et. al., 2004; Berque et. al., 2004; Simon et al., 2004). SketchUML is intended to allow for an augmented teaching experience for faculty teaching UML to students. This is achieved by the ability to import a student's diagram that has previously been saved to hard disk, and critiquing it using the Teacher Mode. Critiquing the students' diagrams allows the teachers to give feedback on the student's work online, without the need of paper. Also, this reduces the amount of time needed to correct students' solutions to a given assignment. More significantly, it aids the teacher in a way that there is no need for an actual teacher's model solution. It is conceivable that the system can create a model solution or a solution template by analyzing a number of student solutions that have been critiqued by the teacher. Overall speaking, SketchUML offers a good learning platform for students and teachers with regard to UML diagram design and syntax learning. Its wide variety of user centered features and the incorporat ed design metaphors create a well developed conceptual model that allows users to learn the syntax of UML rather than learning the software that is supposed to aid them to do so first. This paper discusses the research that has been done to augment the usability of SketchUML. A number of usability tests have been conducted in order to assess the pitfalls of ink-only, non-traditional interfaces and to understand how these types of interfaces can aid in e-Learning. The results of these experiments directly infl uenced the understanding of how learners interact with learning software and how the proposed software SketchUML needs to be augmented in order to provide for a decreas ed learning curve and a more naturalistic approach in Advanced Learning Technologies.
Sketch UML: A Tablet PC-Based E-Learning Tool for UML Syntax 45 II. Methods The main purpose of the tests was to assess the limitations of ink-enabled user interfaces. SketchUML is not only an e-learning tool that facilitates learning of the UML syntax, it also a novel approach for only ink-input accepting computer interfaces. The testing session was intended to identify the limitations of ink-only input and evaluate the usability of non-hybrid interfaces (rather than hybrid ink & point-andclick-based interfaces) and the effectiveness of SketchUML as an e-Learning tool for UML diagrams. II.a. Participants A number of undergraduate students (7 seniors 3 juniors and 1 sophomore) that were enrolled in a software engineering class have been tested in this study. The students were all novices to UML or had intermediate knowledge, but no student was an UML expert. The participants' experience with computers and user interfaces ranged from 5 to 15 years (M = 12,8, SD = 2.5). No stude nt received any reward for participating in the study and their participation was voluntary. All but two students were new to Tablet PCs and the SketchUML software. II.b. Apparatus The environment was a classroom setting w ith other students, desks and typical supplies. The lighting was also that of a typical classroom. The equipment being used was 6 Hewlett Packard Compaq TC4200 Tablet PC Laptops, with 1.7GHz Intel Centrino Processors, 512MB Ram, running Windo ws XP Tablet PC Edition. The test software was the latest stable release of Sk etchUML. For testing, the laptops have been switched to Tablet Mode and participants we re asked to use the Pen as the input device. II.c. Procedure After the participants signed informed consent forms and filled out a pre-test demographic questionnaire, they were given a short introduction to the interaction with Tablet PCs and the software SketchUML. The introduction consisted of a brief overview of the features of SketchUML and the features of the Tablet PC hardware that was used and was presented using a standard classroom projector. All participants were introduced at the same time so every participant received the same introduction. An effort was made to randomly divide the participants into two groups, so that 6 participants were in group one and 5 participants were in group two. Each participant was given a task sheet with a task description; the task the students had to complete was different for both groups. The members of group one were given a class hierarchy description and were asked to draw the class hierarchy using the Tablet PCs, on which SketchUML was running. Group two was given the same class hierarchy description and a pre-loaded class diagram that was drawn incorrectly and does not meet the hierarchy description. The erroneous part s of the diagram were labeled accordingly (e.g. The class name wrong class for a class that must be deleted), with exception of incorrectly placed connectors, as connector labeling support is currently not fully supported in SketchUML. Participants in group two were asked to critique the pre-
B. Tenbergen, C. Grieshaber, L. Lazzaro, & R. Buck 46 loaded diagram using the Teacher Mode that is built into SketchUML. Fig. 1 shows the experimenters ideal solution to the task of the first group. Fig. 2 shows the pre-loaded diagram the participants in the second group were asked to critique and Fig. 3 shows the ideal solution to the task of group two. Fig. 1. Ideal Solution to the Task of Group One
Sketch UML: A Tablet PC-Based E-Learning Tool for UML Syntax 47 Fig. 2. Pre-Loaded Diagram to the Task of Group Two
B. Tenbergen, C. Grieshaber, L. Lazzaro, & R. Buck 48 Fig. 3. Ideal Solution to the Task of Gr oup Two. Note, that some elements are shown in a red background in the original program The tasks were designed so that every featur e of SketchUML was used at least once by at least seven participants throughout the experiment. The experiment was not timed and the par ticipants could modify their diagram or start all over again as often as they wanted. The completed diagram was collected from the participants individually when the pa rticipants felt like they were done. The
Sketch UML: A Tablet PC-Based E-Learning Tool for UML Syntax 49 diagram was stored into the XML format using SketchUML's built-in Save function and later converted into JPEG format for easier analysis. Each participant was asked to fill out a uniform post-test survey after they completed the individual task. The post-test survey contained questions regarding the subjective quality of SketchUML, ease of use, entertainment aspects and missing features. The post-experiment data analysis was performed in two parts. The first parts regarded the qualitative answers from the pos t-test questionnaire. The second part focused on the quantitative performance of the participants, i.e. how well the interface allowed them to fulfill their individual tasks. Since the participants were explained in detail how to use the interface, and since th e participants were not unfamiliar with UML, a failure to achieve a certain goal (for instance, a connector could not be drawn or an attribute field was added incorrectly) is a result of a usability issue with the interface, which we seek to uncover in this study. The quantitative analysis could therefore be done by simply measuring the number of mistakes of a participants solution (i.e. the amount of diagram compone nts, like connectors, or operation labels, that weren't drawn correctly in the diagram) and comparing the minimum number of steps needed to create an id eal solution (i.e. the number of gestures, actions and clickevents minimally necessary to complete the task). The mistakes were divided into three groups: mistakes made during class symbol manipulation (i.e. when a class symbol was to be created, moved, or deleted), mistakes made during label manipulation (i.e. when a class symbol label or attribute or operation la bel was to be created, modified or deleted) and mistakes made during connector manipulation (i.e. when a connector like aggregation or generalization was to be created, modified or deleted). III. Results In the first condition, i.e. the task that was given to the first group, 9 mistakes were made overall. It took a minimum of 21 steps to complete the task. In total, no mistakes were made by any participant regarding clas s manipulation. Only one participant failed to correctly manipulate a connector this participant created an aggregation instead of a generalization. The majority of 8 mistakes were done during label manipulation, with similar likelihood in every participant. These errors were exclusively errors in assignment of correct labels (e.g. two labels is and Automatic instead of one label isAutomatic). Each student made an average of 1.5 mistakes during label manipulation. In the second condition, i.e. the task that was given to the second group, a total of 7 steps was minimally necessary to complete th e task. A total of 16 mistakes were made, which corresponds to 3.2 mistakes per par ticipant. Only two students incorrectly manipulated a class symbol, and a total of 5 mistakes were made during label manipulation. During connector manipulation, a total of 9 mistakes were made. The qualitative post-test survey shows that the majority of the students ranked the overall quality of SketchUML as medium to high, which corresponds to a score of 4 on the 5-point Likert scale that was employed in the survey questionnaire. Open questions regarding the participants' subjec tive opinion of the program (their likes and dislikes) and their ideas for improvement uniformly contained criticism on
B. Tenbergen, C. Grieshaber, L. Lazzaro, & R. Buck 50 SketchUML's mode of feedback. Students mainly complained about difficulties to correctly spell names of attributes and oper ations. Positive feedback comprised the ease of creating connectors and class symbols. All students independently reported a low frustration level (despite the fact that they were not all able to complete the task correctly) and a high factor of enjoyment. IV. Discussion and Future Work The purpose of the Usability Testing with SketchUML was twofold: Firstly, the quality and usability of the newly developed softwa re and the recently added features or SketchUML were to be assessed. Secondly, this study aims at understanding the advantage of Tablet PCs in non-collaborative educational work and in which way this technology can help to facilitate learni ng concepts in Software Engineering, exemplified at the UML syntax. The first group completed a task that was designed to exploit all features of SketchUML's Student Mode, in which stude nts have the ability to sketch UML components and thereby creating UML diag rams naturally in a pen-and-paper resembling minimalistic interface. The overall performance of the participants in this condition was very good, as only a minimal amount of mistakes were made by each student in drawing a diagram. The majority of the errors made were during label manipulation. Labels are deleted by using a scratch-out gesture and created or corrected by handwriting into the specific area. The posttest survey showed that no participants reported trouble when interacting with SketchUML using gestures, but the majority of criticism was directed towards poor recognition of the handwriting. This is consistent with the fact that no errors were made during class symbol manipulation (as this is mainly done by interaction through gestures) and with the fact that all label manipulation mistakes were made when assi gning correct content to the label. The post-test survey further shows that the poor performance of the handwriting recognition engine is the mere reason for increased frustr ation, as it took some participants multiple attempts to correctly create a label. Although this significantly affects the efficiency of interacting with SketchUML, it did not affect the effectiveness, as all participants in the first group were able to create correct diagra ms, compared to the target solution. The fact that one participant made one error during connector manipulation is assumed be caused by a lack of expertise with the UM L syntax, as the student correctly created a connector it was just the wrong type. Connector manipulation can therefore be considered both effective and efficient to use, as no student reported difficulties with such. Overall speaking, these findings suggest that the features of the Student Mode are naturalistic, effective, efficient and en joyable. Improving the poor handwriting recognition performance will reduce the remaining frustration during label manipulation. The second group was asked to complete a task that exploited all features of the Teacher Mode that differ from the Student M ode. The performance of the participants in this condition was not as high as in the first condition, yet remarkable. As the Teacher Mode gives slightly different visu al feedback to certain gestures than the Student Mode, participants seemed to be so mewhat confused. When creating a class or a label, it will occur with a red background co lor, to symbolize that this component was
Sketch UML: A Tablet PC-Based E-Learning Tool for UML Syntax 51 created by a teacher. This however, was inco rrectly interpreted by some students who made mistakes during class symbol and labe l manipulation. Both errors during class manipulation and three of the five errors during label manipulation occurred when a student intended to create a class or a label and was uncertain about the red background. As a result, the previously correctly created class or label was removed. The other two mistakes during label manipulation were errors due to poor handwriting recognition. Similar in the first condition, the students' handwriting was incorrectly recognized, therefore rendering wrong label na mes. The majority of mistakes were made during connector manipulation in th e second condition. When a connector is created in Teacher Mode, it will appear in re d, to symbolize that this connector was created by a teacher. In contrast, when a c onnector, that was created in Student Mode (therefore appearing in black) is deleted in Teacher Mode, this connector will appear in red, with a red cross in the middle, symbo lizing that this connector was removed by a teacher. Just like the problems during class symbol and label manipulation in the second group, this seems to be a problem with the mapping and feedback of the system to user input. Although the participants correctly understood that the red ink color depicts changes made in Teacher Mode, the difference between teacher created connectors (plain red ink) and teacher dele ted connectors (red ink with a cross in the middle) does not appear to be obvious. Exclusiv ely all mistakes have been made due to confusion of these two different connector drawing styles. The post-test questionnaire further shows that SketchUML as an ink-only nonhybrid, non-traditional interface is very capable of satisfying user needs. The ease and effectiveness of the participants' interacti on with the software shows that simplistic paper-and-pen resembling interfaces suffice in providing a good interaction with the user. Participants generally did not miss the ability to use the mouse, in fact, preferred using the pen as a pointing device over the tr aditional pointing devices. Also, the use of a keyboard was not missed, except for when handwriting recognition was not performed correctly. As a suggestion, it was mentioned that a virtual keyboard can help to manually correct incorrectly recogni zed handwriting. These results are very promising. Combined with the idiom of learning software, ink-enabled software for Tablet PCs have a high and important value in computer-aided learning (as also described in Bull et al and Bergue et al, both 2004), also when exposing simplistic interfaces, as it can be seen from this study. SketchUML also proves to be a compet ent tool to facilitate learning the UML syntax. On basis of the findings of Qiu (2 007), the recognition accu racy of gestures could be improved by a great deal so that SketchUML can be considered a naturalistic, learning facilitating tool for UML diagrams. SketchUML has not reached a state of completeness. This study aimed at adding further functionality to SketchUML and assessi ng its usability in a formal evaluation. Work still needs to be done to improve the recognition performance of handwriting. From Qiu's findings earlier in 2007, gesture recognition was already improved significantly, but SketchUML needs to be mo re reliable in terms of handwriting. Also, this study has shown that there is some c onfusion about feedback in the Teacher Mode. In order to disambiguate the meaning of certain complex symbols, especially with regard to connectors, future work has to find a way to implement extended feedback abilities and a better mapping between gestures and their representing symbols. One idea to accomplish this task would be to include a status bar that informs the user what
B. Tenbergen, C. Grieshaber, L. Lazzaro, & R. Buck 52 the last gesture was that the system recogni zed. Alternatively, tool tips that appear on the screen when the cursor is hovering over a symbol and explain what the underlying symbol represents can help to disambiguate the meaning of similar symbols. For the near future, further development is planne d to add more UML-related features (i.e. symbols of the UML syntax that are curren tly not supported in SketchUML) as well as non-UML-related features, like undo/redo f unctionality, or a layout algorithm that supports the user to design uncluttered diagrams. V. Acknowledgement This project is made possible by the generous support of Dr. Gary Klatsky, Dr. Douglas Lea (both at SUNY Oswego) and Dr. Lin Qiu (formerly at SUNY Oswego) and, in part, The Research Foundation of SUNY throug h the generous funding of the HewlettPackard Development Company, L. P., HP Technology for Teaching Grant Number U06TFH0037C. VI. References Berque, D., Bonebright, T., and Whitesell, M. (2004). Using pen-based computers across the computer science curriculum. Proceedings of the 35th SIGCSE Technical Symposium on Computer Science Education. Norfolk, Virginia, USA, pp. 61-65. Bull, S., Bridgefoot, L., Corlett, D., Kiddie, P., Marianczak, T., Mistry C., Sandle, N., Sharples, M., Williams, D. (2004). Interacitive Lagbook: the development of an application to enhance and facilitate co llaborative working within groups in higher education. A book of papers from MLEARN 2004. pp. 39-43. Fowler, M. (2003). UML Distilled, Third Edition: A Brief Guide to the Standard Object Modeling Language. Addison-Wesley, Pearson Education. Heines, J. M., Liang, W. T. (2007). Combining, Storing, and Sharing Digital Ink. Proceedings of SIGCSE 2007. Covington, Kentucky, USA. Qiu, L. (2007). SketchUML: The Design of a Sketch-based Tool for UML Class Diagrams. Proceedings of World Conference on Educational Multimedia, Hypermedia and Telecommunications. Chesapeake, Virginia, USA, pp. 986994. Simon, B., Anderson, R., Hoyer, C., and Su, J. (2004). Preliminary experiences with a tablet PC based system to support active learning in computer science courses. SIGCSE Bull. Vol. 36, No. 3, pp. 213-217.
LAKE-EFFECT STORM CLIMATOLOGY STUDY Andrew Aizer, Ted Letcher, & Scott Steiger Department of Earth Sciences Lake-effect weather can affect millions of lives in upstate New York every winter. A major field project aimed at studying lake-effect weather is currently in the planning stages. In order to assist the planning and coordination of this project a climatol ogy study of lake-effect weather is underway. The two main aspects of this study are focused on 1) snow band climatology and 2) lake-effect lightning climatology. In both cases there was little differences between La ke Erie and Lake Ontario with respect to total events, however there was a much more significant difference when the lakes were compared on a monthly scale. I. Introduction Lake-effect snow can severely impact reside nts near the lower Great Lakes (Erie and Ontario). Lake-effect storms are relatively well-forecasted; however there are still significant errors with respect to predicted band location and snowfall rates (Ballentine, 2007). More research is needed to fully understand the dynamics and behavior of this phenomenon. The goal of this project is to dete rmine the climatology of lake-effect events in order to support the planning of a major scientific field project aimed at studying lakeeffect weather produced by the lower Great Lakes. This is a two part project. Part I of the project will focus on the type of lake-effect snow being produced, specifically the difference in occurrence between wind parallel and shore parallel bands off of both Lakes Ontario and Erie. The second part of the project will examine lightning associated with lake-effect weather events off of the lower Great Lakes. II. Lake-effect Band Frequency The first part of this project will answer tw o questions about lake-effect snow occurrence per lake: 1) how often per year do they occur? 2) which band type can be expected more often; wind parallel bands or shore parallel bands. a. Data and methods Lake-effect events for both Lake Ontario and Lake Erie were observed from 1996 to 2001 between October and March. Those months we re chosen because the majority of lakeeffect events tend to occur during the cool season. For this time period, both radar and upper-a ir soundings were examined in order to search for lake-effect characteristics. They had to be used in conjunction with each other to
A. Aizer, T. Letcher, & S. Steiger 54 act as mutual fail-safes since the radar data used did not have very high spatial or temporal resolution, so reflectivity could have been misinterpreted undermining the credibility of this research. For example, there could be reflectivity over a lake which does not necessarily look like lake-effect snow band and could be associated with a low pressure system, but in reality it is a lake-effect snow event because the upper air soundings show the conditions were right for a lake-effect storm to form. Also, upper-air sounding data were only observed at 00Z and 12Z (7 pm & 7 am) where as radar data were available hourly most times throughout the day. So usi ng upper-air soundings might have hinted a lake-effect band could form, but the radar data can be used as visual confirmation it did actually form. Some radar data were easy to confirm lake-effect simply by whether or not there was reflectivity over the lake during the day. If there was no reflectivity over either lake, then the day was diagnosed as having no lake-effect. However, if there was reflectivity over the lake then the upper-air sounding da ta were analyzed in order to confirm the atmosphere met the conditions for lake-effect to occur. Sin ce the radar data was only available every 4 hours, satellite data or higher resolution radar data would give a better idea whether or not lake effect occurred during those gaps, but this would only be used if certain days were questionable. These are the parameters that were examined to determine whether or not the atmosphere was conducive to lake-effect: i. T(lake)-T(850) 13C, where T = temperature ii. No to weak low-level vertical wind shear (<30), between the surface and 700mb iii. No or weak low level capping invers ion, capping inversion base above 800mb. Once a band was confirmed as having existed, the band was classified as either a wind parallel band (Fig. 1) or shore parallel band (Fig. 2). Niziol et al. (1995) defined both of these band types. A wind parallel band is a band which forms parallel to the low-level wind direction and also one which forms parallel to the short axis of the lake. A shore parallel band is a band which forms parallel to the long axis of the lake. This band will form with a west wind over Lake Ontario and with a southwest wind over Lake Erie. Using an EXCEL spreadsheet, a binary scale (0/1) was used placing a one where the band type occurred and over which lake also placing a zero if it did not. Then these values were added up obtaining a total for each band type over each month. b. Results Table 1 shows the results from analyzing every day from 1996 to 2001 of the months of October through March. The main months for lake effect bands are December and January for both lakes an average of about five events occurred per month per lake. A difference between the two lakes is Lake Er ie tends to have more events in October than Lake Ontario, but Ontario generally has mo re events toward the end of the lake-effect season in February and March when Lake Erie tends to freeze over. Another interesting note is the preponderance of shore para llel bands compared to wind parallel
Lake-Effect Storm Climatology Study 55 Fig. 2: Radar image of a shore parallel lakeeffect band. Fig. 1: Radar image of a wind parallel lake-effect Table 1. Average of the number of lake effect bands per month. Average Erie Ontario Month Shore-Parallel Wind Parallel Shore-Parallel Wind Parallel October 1.6 0.2 0.8 0.4 November 1.8 1.6 1.8 1.8 December 4.4 1 4.6 0.8 January 4.6 0.4 4.4 1 February 1.2 0.4 1 1 March 1 1.2 2 1 Total 14.6 4.8 14.6 6 bands. Shore parallel bands double to triple wind parallel bands in occurrence. Both lakes have the same number of shore parallel events each season (14.6). III. Lightning Study The second facet of the lake-effect project deals with the electrical aspects of lake-effect storms. This research is focused on compar ing lighting events between Lakes Erie and Ontario. This research is divided into thr ee main sections. The first section compares the frequency of lightning events between Lakes Er ie and Ontario. The second step in this research categorizes the lightning events by precipitation type, e.g., rain, snow or mix. The
A. Aizer, T. Letcher, & S. Steiger 56 third and final step in this research compares the intensity (number of flashes per storm) of lightning events by lake. a. Data and methods There is a particular methodology that was employed during all three parts of this research. All three parts centered on looking at lake-effect lightning events. Materials consisted of a list of lake-effect lightning events betw een 1996-2007 found by Hamilton et al. (2008), National Lightning Detection Network (NLDN) lightning density plots (e.g.,(Fig. 3) for those events, National Environmental Satellite Data, and Information Services (NESDIS) radar data, National Severe Storms Laborat ory (NSSL) archived surface observations, and upper air sounding data archived by the University of Wyoming. -300 -200 -100 0 100 200 300 -300 -200 -100 0 100 200 300 0 0.02 0.06 0.10 0.14 0.18 0.22 > 0.26 Fig. 3: Composite lightning density for all of the lake-effect events found by Hamilton et al. (2008). The first section of research, comparing lightning event frequency by lake, centers on the NLDN lightning density plots. The first step in the diagnosing of lake-effect lightning is analyze a lightning density plot for a given lightning event. In some cases this is enough to determine which lake produced the lightning. However there is often a lot of noise on some of the density plots, and it is hard to determine which lake produced lightning. If th at was the case, radar data were examined for the given date, and looped in order to find lake-effect precipitation. However this was sometimes inadequate due to the low resolution of radar data, or lost data. In that case, sounding data (typically from measurements at the NWS at Buffalo) were examined; the
Lake-Effect Storm Climatology Study 57 main parameter examined on a sounding was the wind direction in the lower levels of the atmosphere. b. Results It was found that both lakes, Erie and On tario produced a very similar frequency of lightning (Fig. 4). In the 12 year data set of lake-effect lightning events provided by Hamilton et al. (2008) 60 of them were attribut ed to Lake Ontario and 58 were classified as Lake Erie events. While the lakes had a similar frequency of lightning events, there were major differences between the two lakes with respect to time of year (Fig. 5). It was found that in the late fall and early winter (October & N ovember) both lakes peaked in frequency of lightning events, which agrees with research done in the past (Niziol et al. 1995). However, in the early lake-effect season (September through early December) Lake Erie dominated as the main producer of lake-e ffect lightning events, while in the core of winter in January and February, Lake Onta rio produced a significantly higher amount of lightning than Lake Erie. Lake Erie Total Events Lake Ontario Events Frequency Lake110 9 8 7 6 5 4 3 2 1 0 Lake-effect Lightning Events by Lake Fig. 4: Frequency of lake-effect lightning events per lake (1995-2007).
A. Aizer, T. Letcher, & S. Steiger 58 Erie vs. Ontario Lightning Events by Month 25 20 15 10 5 0 Septembe r Month Fig. 5: Lake-effect lightning events compared by month (1995-2007). March February January Decembe r Novembe r Octobe r Frequency Lake Ontario Lake Erie c. Discussion From the results several conclusions can be drawn about the climatology of lake-effect lightning for each individual lake. In the early part of the season lake-effect lightning is more apt to be found off of Lake Erie. This is most likely due to the fact that Lake Erie has a much smaller volume (484 km3) than Lake Ontario (1640 km3) (EPA, 2006). From this the inference can be made that Lake Eries water temperature will fluctuate more through the seasons than Lake Ontario. Hence, in the early lake-effect season Lake Erie will be significantly warmer than Lake Ontario and therefore more likely to produce lake-effect thunderstorms. Subsequently Erie will cool down at a more rapid rate than Ontario throughout the winter and will be colder than Ontario in the latter part of the season. This shows very good support for the accepted hypothesis that lake-induced instability is directly correlated with the strength of conv ective updrafts and lake-effect weather. This is because if there is a warmer lake, than th ere is a higher potential for greater amounts of lake-induced instability and more lightning. IV. Future Research The second phase of this project is to determine the precipitation type of lake-effect lightning events, and compare this characteris tic for the two lower Great Lakes. This involved a little bit more methodology and is some what more subjective. Precipitation type of lake-effect can be difficult and reli es on several different parameters. To categorize precipitation type for this project, three categories (rain, snow, mix) were established and a funnel approach was utilized to make the data more manageable. First
Lake-Effect Storm Climatology Study 59 the month of the event was investigated: if th e month was January or later it was classified as snow. The reasoning for doing this is that the average lake temperatures for Ontario and Erie at this time of year are around 5C or less. Since lake-effect storms require at least a 13C difference between the surface lake temperat ure and the 850mb level, this incurs that the 850mb temperature must be at least -8C. In the winter months this will almost always yield a below freezing temperature near the surface, and thus all lake-effect precipitation from January through until the end of lake -effect season will be classified as snow. The next step in this funnel approach is to examine an upper air sounding from the date (typically taken at 12Z from Buffalo, NY). The temperature at 850 mb is examined and if this temperature is above 0C then the event is classified as rain. The next step is to examine surface data fo r every event. This is done in order to get an idea of the temperatures at the surf ace around the region, or in the lake-effect precipitation itself. However mixed precipitation can be found even if the temperatures are into the lower to mid 40s F. The final step in this methodology is to reexamine at the upper air sounding, and perform a modified top down method. A top down method used in diagnosing lakeeffect precipitation is very similar to the top down method used to diagnose precipitation types in larger synoptic scale storms (Vasquez, 2002) except for one major difference. In larger scale storms the atmosphere is examin ed from high up in the atmosphere, where in lake-effect events only the lower section ( 700mb and lower) of the atmosphere will be analyzed as lake-effect clouds only extend about 3km AGL. The top down method is fairly simple conceptually. It follows the path of a precipitation particle from start to finish (high to low altitude) and traces its track along the vertical axis of the atmosphere. Layers of above freezing air are typically examined the most thoroughly. If a precipitation particle fa lls though a significantly thick layer of above freezing air (> 600ft), it will at least partially me lt. Rules of thumb have been developed by meteorologists (Vasquez, 2002) to determine how thick of a layer is needed to fully, or partially melt a frozen particle falling through the cloud. By using these accepted rules of thumb the top down method is generally accurate and efficient. The precipitation type of a lake-effect event can typically be accurate ly estimated by using this methodology. For the lake effect occurrence study, data from 2002 to present still need to be analyzed in order to confirm the trend developed a nd explained earlier. After all these years are analyzed, there can be high confidence in the results. Also, satellite data and higher resolution radar data will be obtained for th e questionable (unclassifiable) days and a consensus formed on whether or not lake-effect did occur. The results for the precipitation type classification study are not listed because the data has not yet been fully analyzed. There are so me indications that Lake Erie produces more rain and mix events where as Lake Ontari o produces more snow events, however this cannot be concluded because there is still a large portion of data to go though. In the future the precipitation type classification will be completed, and the third aspect of this research project can begin. Again the third and final step in the lake-effect lightning research will be to classify lightning intensity (number of flashes) of each lightning event,
A. Aizer, T. Letcher, & S. Steiger 60 and compare Lakes Erie and Ontario by lightning intensity in order to determine which lake produces the strongest storms. V. REFERENCES Ballentine, R. (2007). Improving the Unde rstanding and Prediction of Lake-Effect Snowstorms in the Eastern Great Lakes Region. Final Report on COMET Partners Project, UCAR Award S06-58395. Environmental Projection Agency. (2006, March 9). Great Lakes Fact Sheet. Retrieved April 28, 2008, from http://www.epa.gov/glnpo/factsheet.html Hamilton, R., Keeler, J., Orville, R. E., & St eiger, S. M. (2008). Lake-effect Thunderstorms in the Lower Great Lakes. Submitted to Journal of Applied Meteorology Historical Weather Data Archives [Data file]. (n.d.). Retrieved Spring, 2008, from National Severe Storms Laboratory (NSSL) database: http://data.nssl.noaa.gov/dataselect/ NEXRAD National Mosaic Relflectivity Images [Data file]. (n.d.). Retrieved Spring, 2008, from National Environmental Satellite, Data and Informational Service (NESDIS) database: http://www4.ncdc.noaa.gov/cgi-wi n/wwcgi.dll?wwnexrad~images2 Niziol, T. A., Snyder, W. R., & Waldstreicher, J. S. (1995). Winter Weather Forecasting throughout the Eastern United States. Part IV: Lake Effect Snow. Weather and Forecasting, 10, 61-75. Upper Air Soundings [Data file]. (n.d.). Retr ieved Fall/Winter, 2007, from University of Wyoming, Department of Atmospheric Science Web site: http://weather.uwyo.edu/upperair/sounding.html Vasquez, T. (2002). Winter Forecasting. In Weather Forecasting Handbook (pp. 143-146). Garland Texas: Weather Graphics Technologies.
THE STRUCTURAL DEVELOPMENT OF THE KANMANTOO SCHIST BASED ON FIAS FROM SAMPLES AT PETREL COVE AND THE STRATHALBYN ANTICLINE Laura Bianchi (Helen Daly Bohmer Quest best paper) Department of Earth Sciences Inclusions within porphyroblasts from Petrel Cove and the Strathalbyn Anticline provide evidence for metamorphic events not previously recognized in the Delamerian orogen b ecause they contain more than five foliations defining at least two foliation intersection/inflection axes (FIAs). At Petrel Cove one FIA is preserved within cordierite. An identical FIA is preserved within staurolite in the Strathalbyn Anticline but another younger FIA is present in andalusite. The latter sequence appears to resolve the problem of a pparently synchronous multiple phases of growth of staurolite and andalus ite in these rocks (e.g., Adshead-Bell & Bell, 1999). Reactivation has destroyed these foliations or rotated them into parallelism with the bedding which is why they were not distinguished until measurements of FIAs were made. The FIA succession distinguishes a progression of metamorphic events and further work of this type in the region will provide enough data for the shear senses suggested by this preliminary study to be confirmed. 1. Introduction The start of orogenesis on the eastern margin of Gondwana in Australia occurred in the Precambrian (e.g., Preiss, 1987; Foden et al, 2002; Foden et al, 2006) with initiation of subduction and commencement of development of the Delamerian orogen (Talbot & Hobbs, 1968; Steinhardt, 1989; Sandiford & Alias, 2002). Although subduction is well documented, the processes associated with its initiation are poorly understood. This lack of understanding results from the probl em of accessing information on what took place as deformation commenced. Multiples phases of deformation result in destruction of earlier phases through reactivation of compositional layering which both decrenulates and/or rotates developing a nd previously developed foliations into parallelism with the bedding (Bell, 1986; Ham & Bell, 2004). Fortunately, porphyroblasts and their inclusion trails pr eserve evidence for the interaction between heating and deformation during orogenesis for all deformation events after the first, even where this evidence h as been entirely destroyed in the matrix because of reactivation of the bedding (Bell et al., 2003; 2004; 2005). Consequently, the measurement of FIAs provides access to bot h structural and metamorphic information that occurred at the commencement of s ubduction and which has been completely obliterated in the matrix. This paper uses this approach to access information on the early stages of orogenesis associated with th e initiation of subduction on the Eastern margin of Gondwana.
L. Bianchi 62 I. FIA Measurement: A foliation intersection or inflection axis in porphyroblasts (FIA) is measured for a sample by observing the orientation of the switch in inclusion trail asymmetry within porphyroblasts (clockwise or anticlockwise) fro m a series of vertically oriented thin sections observed consistently in the one direction around the compass (Bell et al., 1998). For example, Fig. 1A contains a simple spiral with a clockwise curvature from core to rim in the 040 section but an anticlockwise curvature in the 360 section. This switch in asymmetry takes place across the FIA trend. The principle is expanded in Figs. 1B and 1C. Fig. 1: A FIA trend is measured for a sample using a ll the porphyroblasts intersected by each vertical thin section, the principle of measurement is shown using a 3-D sketch drawn of a simple spiral. B: Sketch illustrating the principal with a fold preserved in an outcrop. The geologists to either side have no idea of the plunge direction. However the geologist in the ce ntre does. C: Precise measurement of FIA made by cutting sections 10 apart and constraining the as ymmetry switch within 10 (Modified from Bell & Newman, 2006).
The Structural Development of the Kanmantoo Schist 63 II. Regional Geology II. a. Petrel cove: Petrel Cove is located 100 kms south of Adelaide (Fig. 2). The Rosetta Head area (Petrel Cove) in southern Australia form a part of the Kanmantoo Group of supposed Cambrian-age. There is a variety of metamorphic grades represented, from lower greenschist to amphibolite facies. The rocks of the region consist of schists with interbedded meta-sandstone which also c ontain well-bedded porphyroblastic biotite, andalusite, cordierite and chlor ite (Steinhardt, 1989). The schists at Petrel Cove are not quite true pelites because they lack the nor mal percentage of potassium (Sandiford & Alias, 2002). Fig. 2: Map showing location of Petrel Cove, approxima tely 100 km south-southwest of Adelaide (Modified from Adshead-Bell and Bell, 1999). There has been much debate over the number of phases of deformation at Petrel Cove (e.g., Talbot & Hobbs, 1968; Steinhardt, 1989; Sandiford and Alias, 2002). The most recent workers (Sandiford & Alias, 2002) have suggested that there were three phases of deformation in these rocks. The significance of D1 is uncertain because it is only preserved as a foliation parallel to com positional layering. Dolerite dikes and pegmatites were intruded prior to the development of the S2 fabric. During the third deformation, megacrystic feldspar and biotite growth occurred and granite was emplaced. The highest temperatures achieved within the Petrel Cove rocks are between 550600C. The following equations are chemical changes and mineralogical assemblages
L. Bianchi 64 that have been previously described as occurring throughout the Petrel Cove sequence (Sandiford & Alias, 2002), (1) Chl + Msc Cord + Bt (2) Cord + Msc And + Bt (3) Cord And + Chl (4) And + Cord St (5) Msc + Chl St + Bt + Qtz + H20 but only the first of these was f ound in the rocks described herein. II.b. Strathalbyn anticline: The Strathalbyn Anticline is located approximately 45 km southeast of Adelaide (Fig. 3). These rocks were always somewhat enig matic because their axial plane lay parallel to all the other regional folds of the Adelai de Geosyncline the north and west which had S1 axial plane, yet these folds appear to have at least S3 as their axial plane structure (Fleming & Offler, 1968; Offler & Fleming, 1968). This problem was addressed by Adshead-Bell & Bell (1999) and they showed that the regional folds all formed at the same time, and that the Strathalbyn Anticlin e was reused and modified several times during younger overprinting deformations. Fig. 3: Southern Australia, the Kanmantoo Group and the St rathalbyn Anticline. The Strathalbyn Anticline is approximately 40km east-southeast of Christies B each. Two samples, K21 and K24, were examined for the purpose of this paper. The map above shows that K24 comes from just to the west of the anticlinal hinge whereas K21 comes from the east side but further away from the hinge. (Modified from Jenkins and Sandiford, 1992).
The Structural Development of the Kanmantoo Schist 65 Around the Strathalbyn Anticline, the mineralogical compositions consist of namely staurolite and andalusite porphyroblasts in a matrix of quartz, biotite, and on occasion muscovite, ilmenite, sillimanite, and pl agioclase. As one moves from west to east, the mineralogy changes from biotite, andalusite, and staurolite to sillimanite (fibrous and prismatic) and migmatites. Th e following reactions have been inferred based on previous works (e.g., Jenkins & Sandiford, 1992; Adshead-Bell & Bell, 1999). (1) Msc + Str + Qtz Al2SiO5 + Bt + H2O (2) Msc + Chl Al2SiO5 + Bt + Qtz + H2O (3) Msc + Chl Str + Bt + Qtz + H2O (4) Grt + Chl Str + Bt + Qtz + H2O (5) Msc + Chl Grt + Bt + H2O III. Sample Setting III.a. Petrel cove: Two samples, named PC2 and PC3, were collect ed from locations 2 and 3, respectively, at Petrel Cove (Figs. 4 & 5). Bedding, S0, usually has a schistosity S1 lying parallel to it. There appears to be at least two generations of cordierite porphyroblast growth within these schists but they contain the same FIA. A distinctive layering of metamorphic/deformational origin oblique to bedding occurs in phyllites, and cordierite/andalusite mica schists (e.g., Ta lbot & Hobbs, 1968). This layering is known as the stripy layering because of its distinctive appearance. The layers alternate from light to dark-gray bands, and the lighter bands are generally much thinner on the scale of mm-cm in size. It lies parallel to S2 which dips shallowly SE. Bedding can be very difficult to observe within an outcrop because of the dominance of the stripy layering and many have previously mistaken this structure for bedding (T. Bell pers. comm., 2007). Bedding, S0, is shown up close in Fig. 5c. The stripy layering in samples PC2 and PC3 consists dominantly of cordie rite porphyroblasts and quartz. These porphyroblasts contain the same FIA as that preserved in porphyroblasts in the adjacent matrix. However, the inclusion trails in porphyroblasts within the stripy layering are commonly truncated by the dominant matrix foliation S2 suggesting that they both predate this foliation and that it may have b een rotated into parallelism with them by reactivation (Fig. 6, Bell et al., 2004). Fig. 7 shows detail of some folds at Petrel Cove. III.b. Strathalbyn anticline: Two samples, K21 and K24, were examined for the purpose of this paper. Fig. 8 shows that K24 comes from just to the west of the anticlinal hinge whereas K21 comes from the east side but further away from the hi nge. Sample K24 contains smoothly-curving sigmoidal-shaped inclusion trials in andalu site and staurolite porphyroblasts which are continuous into the matrix. The matrix, defi ned by slightly elongate quartz grains and aligned biotite grains, shows a flat foliation.
L. Bianchi 66 Fig. 4: Petrel Cove, sample setting looking southwest.
The Structural Development of the Kanmantoo Schist 67 a) b) c) Fig. 5: a) Petrel Cove location 2, facing south. S0 dips west across the outcrop and is locally outlined in blue. S2 is parallel to the stripy layering (red), and S3 has formed sub-vertically (yellow); b) Close up of location 2; c) Petrel Cove station PC 3, photo looking south-southwest. S0 is outlined in green. S2 lies perpendicular to bedding and in this outcrop is parallel to the stripy layering. S3 has formed sub-parallel to bedding.
L. Bianchi 68 Fig. 6: Model of crenulation cleavage (Sn+1) development during folding by buc kling. In this example finescale crenulations of Sn (sub-parallel to S0) form by buckling due to bulk shortening (a, b, c), cleavage development (Sn+1) occurs through pressure solution of long limbs (f, h), and th e geometry of the cleavage orientation is a function of the compet ition between buckling rota tion of the fold limbs S0 (c, e) versus shear on the folded foliation by flexural flow (f, h). Any shear on the cleavage Sn+1 (f, h) only occurs late in the development of the fold. (Modified from Ham & Bell, 2004).
The Structural Development of the Kanmantoo Schist 69 Fig. 7: Australian $2 coin for scale. Foliations seen within a Petrel Cove outcrop looking SW Folded stripy layering, which lies parallel to S2 (red) and andalusite layering, lie s sub-parallel to sub-vertical S3 (yellow). The shear sense on S3 is right side up (NW side up).
L. Bianchi 70 Fig. 8: Location of the Kanmantoo Group and Strathal byn Anticline (Modified from Adshead-Bell and Bell, 1999). IV. Structural Setting IV.a. Petrel cove: Petrel Cove is a region of fine-grained meta-psammites and meta-siltstone that has experienced lower greenschist to almandin e amphibolite facies deformation during the Cambrian (Sandiford & Alias, 2002; Talbot & Hobbs, 1968). The S1 schistosity lies parallel to S0. Cordierite porphyroblast growth is mainly controlled by different composition beds (Figs. 5b, 5c, & 7), but thin section work has revealed that cordierite
The Structural Development of the Kanmantoo Schist 71 growth defines the stripy layers in many locations and that S2 lies parallel to them as well. Biotite grains are oriented randomly inside the matrix. However, where they are more aligned, cordierite porphyroblasts can be easily found. The folded stripy layers (Fig. 7) were suggested by Talbot & Hobbs (1968) to contain andalusite/cordierite assemblages associated with intrus ion of the Rosetta Head Granite At the PC2 sample site, there is an increase in the intensity of S2 (Fig. 9). The number of porphyroblasts also increases within the S2 fabric, to create the white striped layering. At the PC3 sample site, the S2 fabric is perpendicular to bedding while S3 remains parallel to bedding (Figs. 5 & 7). Fig. 9: Closer location of Petrel Cove, showing second deformation event at Petrel Cove (Modified from Steinhardt, 1989).
L. Bianchi 72 IV.b. Strathalbyn anticline: The Precambrian rocks of the Adelaide Fo ld Belt lie below the Cambrian Kanmantoo Group. The Strathalbyn Anticline can be descr ibed as a dextral and asymmetrical macroscopic fold which lies within the Kanm antoo group and the Adelaide Fold Belt (Adshead-Bell & Bell, 1999; Bell, 1994). Th is fold, formed by a thrusting tectonic setting, left the stratigraphy near the surface re latively stable and untouched. The fold is presumed by some to have formed at the same time as the spiral inclusion trails, assuming that the porphyroblasts didnt rotate (Adshead-Bell & Bell, 1999; Bell, 1994). The structure of the anticline has a near-vertical axial plane and a shallowly-plunging hinge (Adshead-Bell & Bell, 1999). The firs t deformation event left folds preserved which show axial-plane slaty cleavage w ithin the Adelaide Fold Belt; the young crenulation cleavage lies parallel to the ax ial-plane (Adshead-Bell & Bell, 1999). At least five foliations can be seen which alternate from steep to shallow orientations, thus possibly suggesting that these folds formed as late structures because a differentiation crenulation cleavage and bedding that is paralle l to schistosity exist. However, the folds formed in the early part of orogenesis (Adshead-Bell & Bell, 1999). V. Microstructures/FIAs V.a. Petrel cove: Cordierite porphyroblasts generally have symmetrical strain shadows (Steinhardt, 1989). According to Talbot & Hobbs (1968), the massive Rosetta Head porphyritic granite intruded well-bedded schists, whic h contain well preserved bedding, ripple marks, and slump structures. The rocks are broadly folded and contain a well-developed schistosity overprinted by more than one crenulation cleavage with associated asymmetric micro-folds. Sample locations PC2 and PC3 contain only cordierite porphyroblasts (Figs. 10, 11 & 12). The cordierite porphyroblasts are rela tively fresh in PC2. The FIA in PC2 is located at 30. The stripy layering contains cordierite porphyroblasts and quartz and lies sub-parallel to S2. The compositional heterogeneity provided by the stripy layering causes it locally to behave like bedding and r eactivate when suitably oriented relative to the deforming forces and shear sense (e.g Ham & Bell, 2004). The stripy layering/S2 probably formed sub-horizontal and has been rotated NW side up by the S3 shear which is NW side up in both PC2 and PC3. PC3 contains cordierite grains that are altered into muscovite and chlorite (Fig. 12). The FIA lies between 30 and 60. Some cordierite porphyroblasts show NW side up shear indicating a similar relationship to th at of location PC2. Most grew in a steep to flat event with shear sense top to SE. V.b. Strathalbyn anticline: Although many of the matrix foliations that have developed have been subsequently destroyed by reactivation, porphyroblasts and minerals in their strain shadows are preserved. Most of inclusion trails can be traced into the matrix, especially in andalusite, but also can be seen as continuous with staurolite (Fig. 13). Those that are truncated in staurolite commonly show younger andalusite or biotite with muscovite
The Structural Development of the Kanmantoo Schist 73 Fig. 10: Sample taken from PC2 at 30. Sample shows a ge neral clockwise trend in the inclusion trails which are continuous into the matrix of quartz, biotite, and muscovite
L. Bianchi 74 Fig. 11: Sample PC3 trending at 30. Cordierite has been overgrown by muscovite, and the inclusion trails are continuous into the matrix. Quartz and biotite grains are aligned preferentially.
The Structural Development of the Kanmantoo Schist 75 Fig. 12: This figure from sample PC3 with a trend of 60 s hows that the cordierite grain in the center has been overgrown by muscovite, chlorite, and biotite. Quartz grains are preferentially aligned. Muscovite grains are randomly aligned within the cordierite sugge sting that these grains are relatively older than the matrix.
L. Bianchi 76 Fig 13: Sample K24 from the Strathalbyn Anticline s howing staurolite grains switching from an anticlockwise pattern to a clockwise direction from th e 20 to the 30 section. The FIA lies between these two sections. The inclusion trails in the LH figure coul d be continuous with the matr ix foliation as inferred by the dashed lines. The inclusion trails in the RH figure are definitely truncated by the matrix foliation. that has overgrown the truncational foliati on and, of course, where the trails are continuous with those in the matrix. The andalusite grains are highly poikiloblastic with over 50% of their mass made of inclusions Their trails consist of biotite, quartz, and a little illite and muscovite. The trails are mostly straight across the porphyroblast with slight curvature near the rims, but some are sigmoidal (Figs. 14 & 15). Sample K21 contains two different FIAs (Table 1). The FIA is located at 30 + 10 for staurolite and 55 + 5 for andalusite. Within the 0 and 30 thin section samples, the inclusion trails within st aurolite are generally straight and gently pitching with a slight curve on their edges. Inclusion trails in staurolite in sections to either side
The Structural Development of the Kanmantoo Schist 77 Table 1: The data collected shows the changes between ACW and CW FIA patterns as well as similarities between the Petrel Cove samples and Stratha lbyn Anticline samples. are steeply pitching and tend to be sigmoidal in shape. Inclusion trails in andalusite tend to be sigmoidal and steeply pitching close to the FIA and straight and gently pitching further away. Sample K24 also contains differently trending FIAs within staurolite versus andalusite. The staurolite FIA trends around 25 whereas the andalusite FIA trends at 45. Both andalusite and staurolite grains contain steeply pitching sigmoidal trails. Inclusion trials in most staurolite grains are truncated while those in andalusite are
L. Bianchi 78 continuous with the matrix. The inclusion trails show NW side up for flat to steep changes in pitch and top to the SE for steep to flat changes in pitch identical to those observed and remarked on by Adshead-Bell & Bell (1999). Fig. 14: ACW inclusion trails in Andalusite in the 20 section from Strathalbyn for sample K21, switch to CW in the 60 section across the FIA. The FIA trend is controlled by the sub-vertical foliation-forming event (Bell & Bruce, 2006). The strike of this sub-ve rtical foliation therefore lies on the FIA. Steeply pitching inclusion trails swing through the horizontal on the FIA as one crosses the strike of the vertical foliation creating them in 3D. Therefore the FIA lies clos e to 60. The inclusion trails are truncated by the matrix foliation.
The Structural Development of the Kanmantoo Schist 79 Fig. 15: Shows the switch in asymmetry in staurolite porphyroblasts from ACW in the 20 section to CW in the 40 section across the FIA trend (30) in sample K21 from the Strathalbyn Anticline. The FIA trend is controlled by the sub-vertical foliation-forming event (Bell & Bruc e, 2006). The strike of this subvertical foliation therefore lies on the FIA. Therefor e, steeply pitching inclusion trails swing through the horizontal on the FIA as one crosses the strike of the ve rtical foliation crating them in 3D. This suggests the FIA trend is close to 20 than 40. The inclusion trails in the RH staurolite are truncated. Inclusion trails commonly appear continuos in thin s ections that lie sub-perpendicular to the matrix foliation because they exit he porphyroblast into strain shadow s relative to that foliation (Cihan, 2004).
L. Bianchi 80 VI. Interpretation VI.a. Petrel cove: The stripy layering that dominates these ro cks in outcrop, and which is commonly quite oblique to bedding, controlled where cordierite porphyroblasts grew in samples PC2 and PC3. Therefore, it is likely that in these rocks this layering formed as a result of fluids emanating from a granite that altered the margins of the fractures along which they escaped (c.f., Alias & Sandiford, 200 2; Talbot & Hobbs 1968). The steeply pitching inclusion trails preserved in these cordierite porphyroblasts curve anticlockwise looking SW at the rims suggesting that the cordierites grew during top to the SE shearing. S2 my have formed sub-horizontally at this time as a sub-horizontally pitching foliation in porphyroblast strain shadows merges with S2 in the matrix. The sub-parallel stripy layering to S2 indicates that the stripy layering developed relatively early. S2 therefore may have been associated with W to E thrusting (Jenkins & Sandiford, 1992). D3 resulted in NW side up shear and the local development of a differentiated S3 in both samples. VI.b. Strathalbyn anticline: The inclusion trails preserved here show NW side up shear on the steep foliations and top the SW shear on sub-horizontal foliations suggesting uplift to the NW and thrusting to the SE. VI.c. Petrel cove versus strathalbyn anticline: FIA 1 in the Strathalbyn Anticline is similarly oriented to with FIA 1 at Petrel Cove suggesting that they formed at the same tim e. FIA 2 in the Strathalbyn Anticline formed subsequently but no porphyroblast growth at this time was seen in the sample from Petrel Cove. Furthermore, the steep to flat changes in inclusion trail geometries seen in FIA 1 at both Petrel Cove and the Strathalbyn Anticline are identical and strongly suggest top to the SW thrusting during orogenesis. Even though the FIA trends changed by some 30 during the new development of FIA 2 in the Strathalbyn Anticline, the shear sense did not change suggesting that thru sting continued to the SE. This is supported by the fact that flat to steep changes in inclusion tail geometry during the development of FIA 1 in both regions were NW side up indicating uplift to the NW and thrust the potential fold gravitational collapsed and thrusting to the SW at this time (Bell & Johnson, 1989; Bell & Newman, 2006). VII. Discussion VII.a. Porphyroblast rotation? A debate over whether porphyroblasts rotate or not has been taking place ever since Bell (1985) proposed that in general they do not. All quantitative data that has been presented on FIA trends indicates that porphyroblasts do not rotate (e.g., Bell & Newman, 2006). The argument as to whether they do rotate has been entirely theoretical and model driven (Fay et al., 2008 in review). Indeed, modellers argued that porphyroblast non-rotation was impossible in a continuous medium. Fay et al (2008)
The Structural Development of the Kanmantoo Schist 81 have recently demonstrated that this is not the case. Indeed, they have discovered the phenomenon of gyrostasis whereby once an anastomosing or millipede geometry (a general strain developed within heter ogeneous rocks) has been established by porphyroblast growth early during essentially coaxial deformation, all rotation ceases even in progressive bulk inhomogeneous simple shear (Fig. 16)! Although pressure shadows have been described in the past as being the results from rotation, they can also form as a result of gyrostasis, a pr ocess modelled in the form of a mesh-type structure which demonstrates its irregular sh ape as different magnitudes of strain are forced upon it (Fay et al, 2008; Cihan, 2004) Steinhardt (1989) argued that no porphyroblast rotation had occurred at Petrel Cove because the inclusion trails in all porphyroblasts that he measured were essen tially sub-horizontal. Jiang & Williams (2004) inferred that non-rotation of porphy roblasts during non-coaxial deformation is mechanically impossible. However, the results presented herein disagree with his data because they suggest that many porphyroblasts overgrew a steep foliation rather than a horizontal one. One way in which his data could be reconciled with this data is if he cut a preponderance of thin sections striking within 30 of the FIA which trends at 30 in one sample and between 30 and 60 in the other. Fig 16: Figures showing the effects of shearing on porphyroblasts. The millipede geometry demonstrates that there are various levels of stra in being exerted on the mesh squares, yet none of the above illustrations demonstrate rotation. Bulk shortening is the result of strain on porphyroblasts (Modified from Fay et al, 2008 in review).
L. Bianchi 82 The similar FIA trends determined at Petr el Cove versus FIA 1 in the Strathalbyn Anticline, which lie approximately 50 kms apar t (Fig. 2), suggest that there has been no porphyroblast rotation (Bell, 1981; Fay et al, 2008) particularly knowing that at least 2 locally penetrative deformations have aff ected the rocks in the Strathalbyn Anticline post the development FIA 1. VII.b. Stripy layering: The origin of the white strip es within the rock formations at Petrel Cove has been controversial. Talbot & Hobbs (1968) suggested that they formed in a non-dilatational event and represent an in situ differentiation process with some degree of chemical exchange between the host rock and a solu tion that may have emanated from the adjacent granite. Sandiford & Alias (2002) have suggested that this layering occurs at a shallow angle relative to schistosity and th at the porphyroblasts form augen that are elongate parallel to this foliation. The resu lts presented here provide a solution to both these observations. The stripy layers presumab ly formed due to fluid emanating from a granite which caused alteration to either si de of the fractures in the country rock through which they passed. During subsequent deformation these altered zones were of a bulk composition such that cordierite prefer entially grew within them at the prevailing PT. The deformation that accompanied cordier ite growth would have caused rotation of the stripy layers towards the developing fo liation. Subsequent de formations tended to cause the stripy layering to behave like bedding and thus reactivate (e.g., Fig. 6) and this further rotated any previously form ed foliations and decrenulated any newly developing foliation leaving S2 sub parallel to them (e.g., Ham & Bell, 2004). VII.c. Thrusting : Previous workers (e.g., Jenkins & Sandiford, 1992) have argued that thrusting occurred from the west to east on the western side of the Mount Lofty Ranges (Fig. 2) during the Delamerian orogen. If this was the Precamb rian margin of the southern Australian craton, subduction would have occurred of an oceanic plate to the east under these rocks to the west, and this accords with the direction of thrusting observed by Jenkins & Sandiford (1992). The inclusion trail asymmetry data from the FIAs accords with this both at Petrel Cove and in the Strathalbyn Anticline. VIII. References Alias, G., Sandiford, M. (2002). The P-T record of synchronous magmatism, metamorphism and deformation at Petrel Cove, southern Adelaide fold belt. Journal of Metamorphic Geology 20, 351-363. Ashead-Bell, N. S., and Bell, T. H. (1999). Progressive Development of a macroscopic. Tectonophysics v 306, 121-147. Bell, T. H. (1981). Foliation development: the controls, geometry and significance of prograde bulk inhomogeneous shortening. Tectonophysics 75, 273-296. Bell, T. H. (1985). Deformation partitioning and porphyroblast rotation in metamorphic rocks: A radical reinterpretation. Journal of Metamorphic Geology 3, 109-118. Bell, T. H. (1986). Foliation development and refraction in metamorphic rocks; reactivation of earlier foliations and d ecrenulation due to shifting patterns of deformation partitioning. Journal of Metamorphic Geology 4, 421-444.
The Structural Development of the Kanmantoo Schist 83 Bell, N. S (1994). The Structural and metamorphic reinterpretation of the Kanmantoo Foldbelt, South Australia. Honours Thesis from James Cook University. Bell, T. H., Ham, A. P., and Hickey, K. A. (2003). Early formed regional antiforms and synforms that fold younger matrix schistosities; their effect on sites of mineral growth. Tectonophysics 367, 253-278. Bell, T. H., Ham, A. P., and Kim, H. S. (2004). Partitioning of deformation along an orogen and its effects on porphyroblast growth during orogenesis, Journal of Structural Geology 26, 825. Bell, T. H., Ham, A. P., Hayward, N., and Hickey, K. A. (2005). On the development of gneiss domes. Australian Journal of Earth Sciences 52, 183-204. Bell, T. H., and Johnson, S. E. (1989). Po rphyroblast inclusion trails; the key to orogenesis. Journal of Metamorphic Geology 7, 279-310. Bell, T. H., and Newman, R. (2006). Appal achian orogenesis: the role of repeated gravitational collapse In:-Styles of Continental Compression, Eds R. Butler and S. Mazzoli, Special Papers f the Geological Society of America 414, 95-118. Bell, T. H., Hickey, K. A.., and Upton, G. J. G. (1998). Distinguishing and correlating multiple phases of metamorphism across a multiply deformed region using the axes of spiral, staircase and sigmoidal inclusion trails in garnet. Journal of Metamorphic Geology 16, 767-794. Cihan, M. (2004). The drawbacks of sectioni ng rocks relative to fabric orientations in the matrix: A case study from the Robertson River Metamorphics (Northern Queensland, Australia). Journal of Structural Geology 26, 2157-2174. Fay, C., Bell, T. H., and Hobbs, B. E. (2008) In Review. Porphyroblast rotation versus non-rotation: Conflict resolution! Fleming, P. D., Offler, R. 1968. Pre-tectonic crystallization in the Mt. Lofty Ranges, South Australia. Geol. Mag. 105, 35659. Foden, J., Elburn, M. A., Turner, S.P., Sandi ford, M., OCallaghan, J., and Mitchell, S. (2002). Journal of Geological Sciences London 159, 601-621. Foden, J., Elburg, M. A., Dougherty-Page, J., and Burtt, A. (2006). Journal of Geology 114, 189-210. Ham, A. P, and Bell, T. H. (2004). Recycling of foliations during folding. Journal of Structural Geology 26, 1989-2009. Jenkins, R. J. F. & Sandiford, M., (1992). Observations on the tectonic evolution of the southern Adelaide fold belt. Tectonophysics, 214, 27-36. Jiang, D., and Williams, P. F. (2004). Reference frame, angular momentum, and porphyroblast. Journal of Structural Geology 26, 2211-2224. Offler, R., Fleming, P. D., (1968). A synthesi s of folding and metamorphism in the Mt. Lofty Ranges, South Australia. J. Geol. Soc. Aust 15, 2456. Preiss, W. V. (1987). Geological Survey of Australia Bulletin 53, 438. Sandiford and Alias, (2002). P-T Record. Journal of Metamorphic Geology 20, 351363. Steinhardt, C. (1989). Lack of porphyroblast rotation in non-coaxially deformed schists from Petrel Cove, South Aust ralia, and its implications. Tectonophysics 158, 127140. Talbot, J. L, and Hobbs, B. E. (1968). The Relationship of Metamorphic Differentiation to other structural features at three localities. Journal of Geology 76, 581-587.
SYSTEMATIC FRACTURE ANALYSIS USING HIGH-RESOLUTION IMAGERY: EXAMPLES FROM THE HUDSON HIGHLANDS AND THE LAKE ONTARIO SHORE, NEW YORK 1Joshua D. Valentino, 1Regina L. Cuevas, 1David W. Valentino & 2Alexander E. Gates (Bill Bosch Quest 2008 Best Poster) 1SUNY Oswego, Department of Earth Sciences 2Rutgers University, Department of Earth and Environmental Sciences Detailed bedrock joint patterns were studied in two parts of NY, integrating outcrop data and analysis of high-resolution images obtained through the NYS GIS Clearinghouse and supported by The Institute for the Application of Geospatial Technology, and the NY Geological Survey. The areas examined include the H udson Highlands, Orange Co. and the shore line of Lake Ontario, Oswego Co. Low water level on Lake Ontario provided access to outcrops of the Ordovician Oswego Fm that would normally be covered. Most outcrops in clude two subvertical fracture sets. The oldest strikes NW, and fresh surfaces contain plumose structure typical of Mode I joints. A second set, strikes ENE and has a variety of morphologies including sinistral en-echelon zones and fracture zones with microgouge. The first set is often displaced across the second with a sinistral shear sense. High-resolution images of Lake Ontario reveal a detailed pattern of fracture density that was compared with the outcrop data. The digital images were spatially analyzed and lineament maps were produced. Master joints that appear in the images were then confirmed at places where they come ashore, and many were mapped beyond the extent of the image using a small motor boat with GPS. The image data was sorted by length and strike, and consistently shows that the second set dominates this region. The western region of the Hudson Highlands is underlain by Proterozoic crystalline rocks and was mapped over the past decade including fracture analysis to compile maps at the scale of 1:24,000. Within Harriman and Sterling Forest St Parks, there are extensive bedrock outcrops with minima l cover, therefore, high-resolution images were used to augment the field analysis. The Kanawauke fault traces ENE across the Hudson Highlands, crosscuts the Proterozoic structures, and has dextrally offset various units. There are two dominant subvertical fracture sets. One set occurs at almost every outcrop and strikes NW, but the second appears to be more regionally restricted to ENE striking faults. Again, digital images of outcrops near the KF were spatially analyzed to produce high -resolution fracture trace and fracture density maps. As anticipated, the fracture density of the second set increases in rocks adja cent to the fault. With this study, it was demonstrated that field data could be integrated with available image data with overall positive results.
J. D. Valentino, R. L. Cuevas, D. W. Valentino, & A. E. Gate 85 I. Introduction An understanding of bedrock jointing (fracturi ng) is fundamental any construction project that requires a solid foundation, such as larg e buildings, industrial sites and bridges. As well, an understanding of bedroc k joint patterns, including a ttitude, distribution, aperture and density (number of joints per volume of rock), is critical in fields that involve subsurface fluid flow, such as in the petroleum and mineral resource industries. Finally, joints are often the primary bedrock porosity and serve as the source for potable water, or as conduits for pollution dispersion and mi gration in the shallow subsurface. The quantitative and qualitative study of joints typically requires intensive field work over long periods of time. This field work may involve measurement of the attributes of joints, such those listed above. It may also involve the documentation of mineralized domains (veins), kinematic evidence (movements) and surface morphology to piece together the history of bedrock failure (Twiss & Moores, 2006). A lineament is a linear feature that ap pears on a map, air photo or remote sensing image. Lineaments reflect the geomorphology of the land surface at the map scale, but with the acquisition of high-resolution imagery li neaments may represent zones of joints, discrete faults, or in some cases individual join ts. Therefore, the analysis of high-resolution air photographs and remote sensing data can ai d in the understanding of bedrock joints and fault patterns. However, it is important to "g round-truth" image analysis in different areas with the integration of image analysis with more traditional bedrock study. Detailed bedrock joint patterns were studie d in two parts of New York State (Fig. 1), integrating outcrop data and analysis of high-resolution images obtained through the NYS GIS Clearinghouse and supported by The Institu te for the Application of Geospatial Technology, and the New York Geological Su rvey. The image analysis was completed in conjunction with detailed field work for valid ation. Two image analysis projects were completed during the summer 2007, and field work was done during the fall and winter 2007. This paper is a preliminary report of the study results. II. Bedrock Geology and Joint Patterns of the Eastern Lake Ontario Basin The central Appalachian basin is host to a num ber of regional joint sets associated with the late Paleozoic Alleghanian orogeny (Engleder 1979; Engelder & Geiser, 1980; Evans et al., 1989; Zhao & Jacobi, 1997; Younes & Engelder, 1999; Engelder et al., 2001). A number of researchers demonstrated the orthogonal relationship between fracture sets and the trend of broad-open folds in the Paleozoic strata, and concluded that a major set are cross fold joints (Engelder & Geiser, 1980; E ngelder, 1985). Cross fold joints are fractures that develop perpendicular to fold axes and occur as non-parallel sets (Zhao & Jacobi, 1997) in the Appalachian basin of Pennsylvania and New York due to the arcuate shape of the orogen. Generally, the cross fold joints radiate perpendicular to the acuate trend of the orogen. In central New York, the northern extent of the Appalachian basin, steeply dipping fractures that strike generally northwest are in terpreted to be cross fold joints (Zhao & Jacobi, 1997). Development of these joints requi res a component of orogen parallel tension.
Systematic Fracture Analysis Using High-Resolution Imagery 86 In a systematic study of regional joints, Engelder (1982) proposed a tie between specific joint sets and the contemporary stress within the lithosphere. This set of steeply dipping joints strikes generally east-northeast and were documented througho ut the Appalachian basin from Ohio to central New York and it was proposed that they are related to the contemporary stress field (Engelder, 1982). Fig. 1: Geologic map of New York showing the areas that were studied during this inve stigation (NY State Museum). Along the southeastern shoreline of Lake Ontario there are abundant outcrops of Ordovician Oswego Formation. As well, the eastern rivers within the basin are down-cut into the underlying Pulaski Formation forming excellent bedrock exposures in the Salmon River gorge. Both of these rock formations ar e dominated by clastic sedimentary rocks, are generally flat lying and contain a number of systematic joint sets. A recent study of these joints documented sets with orientations simila r to the cross fold joints described above. Additionally, a set of east-northeast striki ng joints have evidence for sinistral shear including displacement of earlier joints and parallel zones of en-echelon fractures. During this field trip six locations will be visited to show the regional and local fracture sets in the Ordovician Oswego and Pulaski Formations in th e eastern Lake Ontario basin, with special emphasis on evidence for sinistral shear. The central region of Oswego County, New York is underlain by the Ordovician sedimentary rocks of the Pulaski and Oswego Formations. The Pulaski Formation consists
J. D. Valentino, R. L. Cuevas, D. W. Valentino, & A. E. Gate 87 of interlayered gray-red sandstone, siltstone a nd shale with the amount of shale decreasing upward in the section. The best outcrops o ccur in the Salmon River gorge in the eastern part of the county. The Pulaski Formation is overlain by the Oswego Formation, named for the excellent bedding-plane exposures in the Os wego River and along the shoreline of Lake Ontario in the city of Oswego, NY. The Oswego Formation is characterized by interlayered thin to thick beds of gray-green sandstone and siltstone containing large cross beds, abundant ripple marks, channel structures, and rare trace fossils (Patchen, 1978). The contact between the Pulaski and Oswego Formations is gradational with the Pulaski Formation containing substan tial shale and the Oswego Formation containing only minor shale partings (Fisher & Laird, 1978). Ta ken together, these formations represent a regressive package of sediments associated with the transition from marine to terrestrial depositional environments and the onset of the Taconic orogeny (Patchen, 1978). The Pulaski and Oswego Formations are generally flat-lying with only minor eastward dip of a few degrees locally. No major faults are s hown to break these formations in Oswego County, however, both formations contai n extensive joints and minor faults. II.a. Bedrock joint data Joints were studied at outcrops of the Oswe go Formation along the Lake Ontario shoreline, in the riverbed of the Oswego River, and in the Pulaski Formation in the Salmon River gorge. Outcrop maps were completed for all the exposures along the lake-shore and in the Oswego River. These maps include the attitude of every major joint (joints that transect the entire exposure) and a systematic sampling of typical discontinuous joints. As well, these maps document joint density for specific sets, the distribution of en-echelon fracture zones, and domains of high-density joints. The join t density was quantified at most outcrops by counting the number of joints that occur over the outcrop distance, measured perpendicular to the joint set, and the joint density was de termined for each joint set separately. Where available, joint patterns were interpreted from high-resolution air photographs (Figs. 2 & 3). The length and strike of individual jo int traces were collected from the photographs. Finally, any kinematic information, such as s licken-sides, en echelon zones, or off-set markers were noted to assess potential displacements associated with shear fractures. II. b. Regional joint patterns In general, two joint dominant joint sets occur in the Oswego and Pulaski Formations in Oswego County. At any given ou tcrop, just one may be present, both present with either one as the dominant (higher density) set. Fig. 4 shows the typical distribution and geometry of joint sets in the Oswego Formation at SUNY-Oswego. The Oswe go Formation contains thick beds of sandstone with large cross beds common (Fig. 5A), and the Pulaski Formation consists of interbedded shale, siltstone and shale (Figs. 2 & 6). Generally, the two joint sets are subvertical and strike NW and EN E. The regularity of the spacing and
Systematic Fracture Analysis Using High-Resolution Imagery 88 Fig. 2: High-resolution air photograph of the shoreline of Lake Ontario at the campus of SUNY Oswego. Air photograph data was obtained from the New York State GIS Clearinghouse in ternet database. The locations of bedrock k exposures discussed in the te xt are shown. The image al so shows major underwater fracture sets.
J. D. Valentino, R. L. Cuevas, D. W. Valentino, & A. E. Gate 89 Fig. 3: Fracture trace map interpreted from the air photograph image of Fig. 2. Note the continuous fractures that strike east-northeast. They range in length from 10 meters upward to more than 200 meters. These fractures are believed to be the same set that shows sinistral shear in the lake side bedrock exposures.
Systematic Fracture Analysis Using High-Resolution Imagery 90 planar morphology of two joint sets produced a diamond shaped pattern in the bedding planes (Figs. 5B, 5C). Few plumose struct ures were observed on joint surface in the Oswego Formation, however, there are few favor able exposures to view joint surfaces, and many are severely weathered. On the cont rary, the exposures of the Pulaski Formation exhibit excellent plumose structures. Some well exposed joint surfaces exhibit irregular jagged, or stair-shaped asperities (Fig. 5D). Systematic sampling of hundreds of joint orientations from the Lake Ontario shoreline re veals the consistency of joint attitude in the Oswego area. Rose diagrams were produced to portray the strike of the joints, and the obvious joint populations that are viewed at the outcrop dominate the plots, however, the attitude of the joints varies about 10o to 20 o from the Oswego shoreline and in the Oswego River bed (Fig. 4). A third population of joints with a generally N-S strike occurs in the rose diagrams, but are less apparent at most outcrops. The trend of joint traces interpreted from high-resolution air photographs (NYS GIS Clearinghouse) taken immediately offshore at SUNY-Oswego show nearly the same pattern that is observed at the outcrop, with the exception that the individual joints are much larger than the average shoreline exposures. These data was collected using a scal e-calibrated image in a computer-mapping program (Canvas GIS), where interpreted jo int traces were quantified for attitude and length. A map of the interpreted joint traces app ears in Fig. 3. The interpreted joint traces were sorted according to length and attitude, and the rose diagrams of Fig. 6 show the systematic variation. Most very long joints are parallel to the east-northeast striking set. Fig. 4: Rose diagrams for joints that occur shore line outcrops along Lake Ontario Oswego River south of the Utica Stre times and will not be viewed during this in the Oswe go Formation in the area of Oswego, NY. A. A composit of at SUNY-Oswego; B. Pavement outcrops that occur in the bed of the et Bridge (these exposures are onl y available during the lowest water trip).
J. D. Valentino, R. L. Cuevas, D. W. Valentino, & A. E. Gate 91 Bedding plane exposure with multiple join t sets. The view is looking southeas t. C. Two intersecting joint sets. View is looking easterly. D. Close up view of the NW striking joint showing the irregular joint surface. Fig. 5: Outcrop photographs of the Oswego Formation on La ke Ontario. A. Meter-scale crossbeds in sandstone. B. AB C D Fig. 6: Rose diagrams for joint traces interpreted from the high-resolution air photograph of Fig. 3. The scale of the image was calibrated in a computer mapping program, and the length of joint traces were measured in addition to the attitude A. Joint traces less than 10 meters in length; B. Joint traces greater than 10 meters in length.
Systematic Fracture Analysis Using High-Resolution Imagery 92 II.c. Evidence for sinistral shear En-echelon fracture zones have been found in the Oswego and Pulaski Formations. The individual fractures that make up the zones strike about 25 o to 30 o anticlockwise to the general east-northeast strike of the fractur e zone. The boundaries of these en-echelon zones are roughly parallel to the joints that strike east-northeast. In some cases, the trace of an individual fractures terminates by curving into the leading en-echelon fracture in a zone. The orientation of these en-echelon domains, a nd the distribution of fractures relative to each other is consistent with a component of left-lateral shear. Often these en-echelon domains are confined to discrete beds in th e Oswego Formation, and terminate where the intersection with the bedding plane. Although th e en-echelon fracture z ones have been seen throughout the study region, they are best developed in the Oswego Formation along the shoreline of Lake Ontario. Small faults have been documented in the Oswego Formation along the Lake Ontario shoreline. These faults strike about 070 o and are subvertical (Fig. 5B). They are approximately parallel to the dominant east-northeast striking joints and parallel the local en-echelon fracture zones. As well, they are pa rallel to the longest fractures that were interpreted from the high-resolution air photograph of Fig. 3. Due to limited exposure, the length of these faults has not been accurate ly determined, however, the longest one observed was traced more than 70 meters paralle l to strike. Sometimes these faults occur as discrete breaks in the bedrock, but more often they occur as fracture zones 10 to 20 centimeters wide. These faults appear to cross cut all other joints in the Oswego Formation and the northwest striking set have been used as offset markers that document a left lateral slip history (Fig. 5B). The most amount of displacement inferred for any one of these faults was about 1 meter, and the average displace ment is about 20 centimeters. The dominant joints appear to be mutually intersecting at most outcrops with no apparent displacement, however, in the vicinity of these minor faults both sets of fractures show evidence for left lateral displacement of the other joint set. Fig. 7 shows two examples of northwest striking joints with apparent left lateral displace ment of the east-northeast striking joints. II.d. Conclusions about Oswego joints From out observations of regional and local joint patterns along the southeastern Lake Ontario shoreline and in the Salmon River gorge, there are joints related to those described by earlier researchers in central New York. Specifically, the northwest striking set of subvertical joints is probably related to the late Paleozoic Alleghanian orogeny which produced regional cross fold joints in the Paleozoic strata (Engelder, 1979; Engelder & Geiser, 1980; Zhao & Jacobi, 1997). The other dominant joint set, east-northeast striking, are parallel to joints described by Engelder (1982) and proposed to be associated with the modern stress field in the crust. At most out crops of the Oswego and Pulaski Formations, it is difficult to determine the relative timing be tween these two joint sets because they appear to be mutually intersecting. However, the east-northeast striking left lateral en echelon fracture zones and minor left lateral faults appear to displace the apparent Alleghanian joints (NW striking set). Engelder et al. (2001) demonstrated minor displacement on joints
J. D. Valentino, R. L. Cuevas, D. W. Valentino, & A. E. Gate 93 Fig. 7: Preliminary bedrock geologic map fo r the area of the Hudson Highlands (Gates & Valentino, 2000; 2003) including the Kanawake Fault. The inset on the geology map is the area of the high-resolution air photograph (NY GIS Clearinghouse). The E-W trace of th e Kanawake fault is repr esented by the series of continuous white lines. in the Finder Lakes region, but attributed it to layer parallel deformation during the Alleghanian orogney. Only in the vicinity of these minor faults do the northwest striking fractures show evidence of shear. We interpret this local shear near the left lateral faults as sympathetic reactivation on older joints, possibl y those with a locally favorable orientation relative to the stress field that produced the overall left lateral s lip. Engelder (1982) proposed that the origin of the east-northeast striking joints could be the result of the contemporary stress field in the lithosphere. If these joints are directly associated with the en-echelon fracture zones and minor left lateral faults, then the local stress field should be consistent with this type of displacement. Overcoring data were collected for Ninemile Pont during the construction of the nuclear power stations (Dames & Moore, 1978). Engelder & Geiser (1980) compiled these data and show that the maximum horizontal compressive stress trends northeast-southwest. Th e orientation of te inferred stress would be consistent with left lateral slip on east-northeast striking failure surfaces. III. Joints and Faults in the Hudson Highlands, New York In conjunction with bedrock mapping for the StateMap program in NY State, joint maps, including joint attitude and joint density fo r multiple sets were produced for the Monroe, Sloatsburg, Thiells, Popolopen Lake and Gree nwood Lake 7.5' quadrangles, located in the Hudson Highlands, southern New York State. This area of the Hudson Highlands is mostly underlain by high-grade metamorphic and igneous rocks, and experienced a long history of ductile deformation associated with the Grenville orogenic cycle (Gates et al., 2004). Joint 2 km Area of air photograph
Systematic Fracture Analysis Using High-Resolution Imagery 94 orientations are highly consistent across th e entire Grenville massif of the western Hudson Highlands and some joint sets correlate with mapped faults and topographic lineaments. Minor joints that are parallel to foliation occu r in all bedrock units. The general strike of these joints is northeast-southwest, and the dip is variable depending on the attitude of the local foliation. Although most topographic lineaments are parallel to, and can be correlated with bedrock units, there are many, that range in length from 1 to 5 km, that cross the regional bedrock structure. These lineaments are most pronounced west of the Ramapo Fault in the Sterling Forest, but a few tran sect the valley between the western and eastern structural blocks that form the Hudson Hi ghlands. These lineaments extend for 10's of kilometers, and correlate with faults that o ffset the bedrock Proterozoic structure. This section of the paper summarizes the relationship between outcrop joints and faults, joint intensity, and patterns observed using high-resolution imagery. III.a. Bedrock geology: a summary Previous mapping in the Hudson Highalnds area (F igs. 8 & 9), divided the bedrock units by discrete rock types. Gundersen (1986) suggested that lithologic and stratigraphic associations and rock sequences should be grouped as units in a kind of sequence stratigraphy or lithofacies for metamorphic rocks. This system of grouping rock types was adopted for the latest round of geologic maps by Gates et al. (1999), hence, the lithofacies described below constitute the bedrock of the central Hudson Highlands structural blocks. Fig 8: General geologic map showing the location of Proterozoic baseme nt massifs in the Appalachians and a general geologic map of the Hudson-New Jersey Highlands. The Highlands Province of the north central Appalachians is also known as the Reading Prong and extends from Pennsylvania to Connecticut (Fig. 8). It is composed of crystalline Mesooproterozoic Grenville-age ro cks and as such forms a link between the
J. D. Valentino, R. L. Cuevas, D. W. Valentino, & A. E. Gate 95 larger Blue Ridge Province to the south and the Berkshires-Green Mountains province to the north. The Highlands are subdivided into western, central and eastern blocks by the Reservoir Fault to the west and the Ramapo Fault to the east. The western Highlands are variably overlain by and disappear beneath th e Paleozoic sedimentary rocks of the Valley and Ridge to the west. The eastern Highlands are variably overlain by and tectonically interleaved with Paleozoic sedimentary and metasedimentary rocks of the Manhattan Prong and Taconics to the east and variably overlain by Mesozoic sedimentary and volcanic rocks to the southeast. The central Highlands overthrust and are overlain by early Paleozoic sedimentary rocks to the north and northw est. The Hudson Highlands form the central Highlands within southeastern New York Stat e, primarily within the Hudson River valley north of New York City. There are numerous geologic maps of th e Hudson Highlands that attempted to map every lithology separately. These maps are very complex and do not reveal the structural and stratigraphic relations clearly. The main probl em is that it is difficult to even determine if a highly deformed granulite is a metasedim ent or a metaigneous rock much less detailed relations. In an attempt to resolve these problems, a new mapping project has been underway since 1997, that considers the area in a sequence stratigraphy approach. Three primary lithofacies have been identified with several intrusive units. Fig. 9: Generalized bedrock geology map of the Hudson Highlands New York (modified from Gates et al., 2004). The geographic distribution of the three major lithofacies and general structural trends are represented. The rectangle shows the approximate location of Fig. 11.
Systematic Fracture Analysis Using High-Resolution Imagery 96 III.a.i. Metavolcaniclastic lithofacies A discontinuous sequence of medium to coar se grained massive to layered (10 cm-2 m) quartzofeldspathic gray gneiss is interepreted as the metavolcaniclastic lithofacies. These rocks contain quartz, plagioclase and varying amounts of hornblende, biotite, garnet and Kfeldspar as a function of the layering. They ar e locally interlayered with, and in gradational contact with metavolcanic rocks. Thinly interl ayered K-feldspar-pyroxene calc-silicates are also present in this lithofacies. III.a.ii. Metavolcanic lithofacies Numerous blocks of thin to thickly banded black and white gneiss are interpreted as the metavolcanic lithofacies. Mafic, intermediate a nd felsic compostion layering occurs at the subto meters scale. Mafic layers cont ain pyroxene, hornblende, magnetite and local biotite. Quartz and plagioclase comprise the felsic layers with minor mafic phases previously listed. These rocks are locally inte rlayered with calc-silicate gneiss containing diopside, K-feldspar and quartz, and gradati onal contacts with the metavolcanic lithofacies. III.a.iii Metasedimentary lithofacies The metasedimentary lithofacies is inferred from an interlayered group of gneisses including biotite-sillimanite-garnet metapelitic gne iss with cordierite locally, quartzite with minor biotite and/or garnet, K-feldspar-pyroxene calc-silicate, graphite-sulfide gneiss with garnet, sillimanite, biotite, quartz and feldspar and rare thin lenses of calcite marble. Typically, the contact with the metavolcaniclastic and metavolcanic lithofacies is sharp with no obvious gradation as in the other lithofacies. The three rock units previously described were involved in two main tectonic episodes. The first event is the most pervasive of the two, and reflects the main Grenville orogeny in the Highlands terrane. The rocks were deformed into tight recumbent west-directed fold nappes with subhorizontal, highly attenuated lo wer limbs and shallowly dipping, more intact upper limbs. This nappe propagation w as accompanied by the granulite facies metamorphic conditions, and the age of this event appears to be about 1060 to 1020 Ma (Gates et al., 2004). The second event was a large scale dextral strike-slip episode. It began after the intrusion of the 1008 Ma Tiorati dior ite and continued until sometime prior to 981 Ma (Gates et al., 2004; Price, 2005). There were several periods of igneous intrusion. They include preto synkinematic granites and granite sheets, a 1008 Ma diorite-granite suite that intruded after the first tectonic event but at the initiation of the second tectonic event, and coarse pegmatites that intruded at 981 Ma (Gates et al., in review). III.b. Joints and joint patterns There are two dominant joint sets in the Hudson Highlands with other localized sets that appear to be associated with faults. The most dominant joint set is characterized as steeply dipping to subvertical, strikes northeast-southwest, and can be found at almost every bedrock exposure. The general joint de nsity ranges from 3-6 per meter counted
J. D. Valentino, R. L. Cuevas, D. W. Valentino, & A. E. Gate 97 perpendicular to the joint strike. The strike of these joints generally parallels the foliation in the bedrock. A second set of very common subvertical joints strikes east-northeast (Fig. 10). This joint set appears to be more localized but occurs in bedrock that is near long Fig. 10: Rose diagrams of joints from three locations in the Hudson Highlands. A. Sterling-Tuxedo Lake area; B. Indian Hill area; C. Torne valley area. topographic lineaments that also transect the regional structural grain of the Hudson Highlands. A third set of subvertical joints st rikes west-northwest, and appear to be linked to faults with the same attitude that show oblique-dextral displacement (north-side-up) (Figs. 10 & 11). Joint surface morphology is high ly varied. The joint set that is generally parallel to the regional foliation appear to be Mode I, with no apparent displacement (Fig. 12). However, the second and third joint set commonly exhibits minor displacement and mineralized slick surfaces (Figs. 12D). Fig. 11: Photographs showing exampl es of densely spaced joints. A. Metavolcanic lithofacies along the Kanawake fault. Two joints sets are apparent. The one inclinded to the left is roughly parallel to the location foliation. The set that is s ubvertical is subparallel to the Kanawa ke fault. B. Joints with obliquereverse displacement in quartzofelds pathic gneiss with minor amphiblite layers. The white arrow points to amphibolite layers offset across a joint. A. B. A.
Systematic Fracture Analysis Using High-Resolution Imagery 98 Fig. 12. Photographs of joints feature and minor faults in the Hudson Highlands. A. Fault surface in the gneiss of the metasedimentary lithofacies, Seven Lakes Drive, Harrima n State Park; B. Close up view of a highly polished, mineralized joint surface at the same location as A.; C. Northeast striking, apparent fault scarp in quartzofeldspathic gneiss near the New York Thruway; D. Joint with minor dextral displacement in pelitic gneiss in Torne Valley. III.c. Active (?) faults in the Hudson Highlands Using the bedrock geology as a marker, some of the faults in the central Hudson Highlands have up to 2 km offset. These faults also co rrelate with strong topographic expression (Fig. 6). One of the more pronounced faults trace s eastward across the Sterling Forest into Harriman State Park, and through Lake Kanawa ke (Kanawake Fault). This fault displaces major geologic units. In the area of north of Tuxedo, NY, the fault jogs northwestward and merges with another east-northeast striking fault that cuts across the Sterling Forest area. Although this region is highly glaciated, some of the Kanawake Fault segments trace through fresh talus slopes. As well, this fault traces into a region of modern seismicity suggesting the fault has minor activity (Fig. 8). Seismicity data for the region was obtained from the Lamont-Doherty Cooperative Seismic Network database (Kim, W. Y.-personal communication). Of the numerous earthquake events compiled for the New York City metro area, on that occurred on September 3, 1951 lies approximately along the eastern extension of the Kanawake Fault in Rockland County. This earthquake had a Richter (ML) magnitude of 3.6 and a maximum intensity (MM) of V, and is cited as the eleventh largest A. B. C. D.
J. D. Valentino, R. L. Cuevas, D. W. Valentino, & A. E. Gate 99 earthquake in this region. Some of the more notable earthquakes in the area are apparently association with Mesozoic faults such as the Ramapo Fault. However, the joints and the faults associated with the trend of the Kanawake fault appear to be the youngest structural features and may reflect current stress fields. IV. References Dames & Moore (1978). Geologic investigation: Ninemile Point nuclear station unit 2, Doc. 04707-125-19 to Niagara Mohowk Power Corporation, Syracuse, New York. Engelder, T. (1979). The nature of deforma tion within the outer limits of the central Appalachian forland fold and thrust belt in New York state, Tectonophysics 55, 289310. Engelder, T. (1982). Is there a genetic rela tionship between selected regional joints and contemporary stress within the lithosphere of North America?, Tectonics 1, 161-177. Engelder, T. (1985). Loading paths of joint propagation during a tectonic cycle: an example from the Appalachian Plateau, U.S.A., Journal of Structural Geology 7, 459-476. Engelder, T. & Geiser, P. A. (1980). On the use of regional joint sets as trajectories of paleostress fields during the development of Appalachian Plateau, New York, Journal of Geophysical Research 85, 6319-6341. Engelder, T., Haith, B. F. & Yones, A. (2001). Horizontal slip along Alleghanian joints of the Appalachian Plateau; evidence showing that mild penetrative strain does little to change the pristine appearance of early joints, Tectonophysics 336, 31-41. Evans, K. F., Engelder, T. & Plumb, R. A. (1989). Appalachian stress study 1. A detailed description of insitu stress variations in Devonian shales of the Appalachian Plateau, Journal of Geophysical Research 94, 1729-1754. Fisher, J. A. & Laird, H. S. (1978). Engineering geology at Ninemine Point, New York, New York State Geological Association Guidebook, 50th Annual Meeting, Syracuse, NY, p. 257-272. Gates, A. E., Valentino, D. W. & Krol, M. A. (1999). The Grenville Province in the western Hudson Highlands, New York, Friends of the Grenville Field Conference Guidebook, Montreal, Canada. Gates, A. E. & Valentino, D. W. (2000). Bedrock geologic map of the Sloatsburg 7.5 Minute Quadrangle, New York, New York Geological Survey, Open-file Report. Gates, A. E. & Valentino, D. W. (2003). Bedrock geologic map of the Thiels 7.5 Minute Quadrangle, New York, New York Ge ological Survey, Open-file Report. Gates, A. E., Valentino, D. W., Chiarenzelli, J. R., Solar, G. S. & Hamilton, M. A. (2004). Exhumed Himalayan-type syntaxis in th e Grenville Orogen, northeastern Laurentia, Journal of Geodynamics 37, 337-359. Gundersen, L. C. (1986). Geology and geoche mistry of the Precambrian rocks of the Reading Prong, New York and New Jersey; implications for the genesis of ironuranium-rare earth deposits, U.S. Geological Survey Circular 19.
Systematic Fracture Analysis Using High-Resolution Imagery 100 Patchen, D. G. (1978). Depositional envir onments of the Oswego sandstone (Upper Ordovician), Oswego County, New York, New York State Geological Association Guidebook, 50th Annual Meeting, Syracuse, NY, p. 368-385. Price, R. P. (2005). Age constraints for gran itoids in the Hudson Highlands using SHRIMP U-Pb on zircons, M.S. Thesis, Rutgers University, Newark, NJ. Twiss, R. J. & Moores, E. M. (2006). Structural Geology, Freeman. Younes, A. I. & Engelder, T. (1999). Fringe cracks; key structures for the interpretation of the progressive Alleghanian deformation of the Appalachian Plateau, Geological Society of America Bulletin 111, 219-239. Zhao, M. & Jacobi, R. D. (1997). Formation of regional cross-fold joints in the northern Appalachian Plateau, Journal of Structural Geology 19, 817-834.
GREEN OSWEGO J. Dorsey, A. Hazar, L. Lee, & M. K. Morris Marketing and Management The purpose of this paper is to discu ss environmental issues concerning Oswego State University. These issues include current commitments we are undertaking and changes that have already been made. It will also include remedies other schools are undertaking that we could consider in the future. One of the things that we found during the course of our research was the American College and University Presidents Climate Commitment, or the ACUPCC ( http://www.presidentsclimatecommitment.org/ ). Deborah Stanley, our own President here at Oswego, was one of the charter signatories. We asked ourselves, what does this commitment mean? One of the things we committed to by signing it was initiating the development of a comprehensive plan to achie ve climate neutrality as soon as possible. Within two months of signing this document in September 2007, we agreed to create institutional structures to guide the developmen t and implementation of the plan. Within one year of signing this document, all si gnatories were to complete a comprehensive inventory of all greenhouse gas emissions (inc luding emissions from electricity, heating, commuting, and air travel) and update the inventory every other year thereafter. Within two years of signing this document, we woul d develop an institutional action plan for becoming climate neutral. We were also to initiate two or more of the following tangible actions to reduce greenhouse gases while the more comprehensive plan is being developed: establish a policy that all new campus constructi on will be built to at least the U.S. Green Building Councils LEED Silver standard or equivalent; adopt an energy-efficient appliance purchasing policy requiring purchase of ENERGY STAR certified products in all areas for which such ratings exist; establish a policy of offsetting all greenhouse gas emissions generated by air travel paid for by our institution; encourage use of and provide access to public transportation for all faculty, sta ff, students and visitors at our institution; within one year of signing this document, begin purchasing or producing at least 15% of our institutions electricity consumption fro m renewable sources; establish a policy or a committee that supports climate and sustainability shareholder proposals at companies where our institution's endowment is invested; and participate in the Waste Minimization component of the national RecycleMania competition, and adopt three or more associated measures to reduce waste. Lastly, we would make the action plan, inventory, and periodic progress reports publicly available by providing them to the Association for the Advancement of Sustainability in Higher Education (AASHE) for posting and dissemination.
J. Dorsey, A. Hazar, L. Lee, & M. K. Morris 102 SUNY Oswego also participated in Focus the Nation, joining with more than 1,550 other colleges and universities on January 31st, 2008. This was a country-wide day of teach-ins about environmental issues. Among the speakers was Patrick Moore, co-founder and former director of Greenpeace Internati onal, who spoke about Nuclear power and how it is the only way to provide the energy the world needs and simultaneously reduce humankinds carbon footprint. We are already doing a lot here at Oswego State to deal with the environmental issues that we face. For example, we are in th e process of switching to an electronic campus, decreasing the impact made by the over whelming amounts of paper used on college campuses. We are also active in recycling, a nd we use energy efficient lighting in many of the buildings. We offer Distance lear ning courses which studies show can cut carbon emissions by two thirds even for part time on campus students, and we have implemented greener building plans and environmentally friendly construction techniques. In the course of our research we also found some very interesting things other schools are doing, which we could implement here at Oswego to make an even bigger difference. Middlebury College in Vermont touts an e nvironmentally friendly dining hall with a vegetated roof that opened in 2005. UC-San ta Cruz is an institution recognized for reversing the outsource trend by moving from a food service company contract to an inhouse operation, and now, instead of using na tional mega-suppliers, the dining halls buy organic produce grown on local farms, whic h supports the area economy and reduces transportation time (and thus gas emissions). UCSC also recycles used cooking oil and use paper plates made from recycled materials. The dining operation is also reducing landfill waste by donating leftover food to the Second Harvest Food Bank. When UCSC started buying fresh, locally grown organic produce the local farmers organization ALBAs output increased by 300 percent in a single month. At Case Western Reserve University, a new housing complex will feature a kiosk that displays statistics on the buildings energy use. The University of South Carolina uses recycled materials (right down to the carpets) and keeps energy use to a minimum through good engineering and usage changes. Think lots of natural light, low-flow faucets, and mo tion-detected lighting. This is the way we need to go in all buildings. There is also the impressive Northland College Environmental living and learning center (ELLC). Living arrangements featur e three styles: regular double rooms, suites, and apartments. It also includes nine lounge or study areas, and four different energy and waste management systems. Among the special environmental features is a 120-foot 20 kilowatt wind tower. Three photovoltaic arrays will provide efficient active solar energy collection and help study the efficiency -one array is stationary, a second one tracks the sun's path horizontally, and the third tracks bot h horizontally and vertically to maximize solar gain. Fourteen solar panels placed on the roof will preheat hot water for use by residents. Composting waterless toilets in two of the apartments will provide a demonstration of their function and efficiency. The apartments have passive solar design and share two greenhouses open to student use. The school also utilizes Heat recovery units in the buildings ventilation system. They have high efficiency natural gas w/ solar preheating and use green building materials in the construction. The environmental
Green Oswego 103 features of the ELLC result in a 50% greater efficiency than a similar building designed to code. Students living in the dorm said it made them more ecology-conscious. This is an excellent example of where we could go with our school in the future. There are also some simple things that students themselves can do. First of all, we can recycle everything, especially paper! Think about how many pieces of paper a student can go through in a semester. There are class notes, scrap copies, term papers, daily school newspapers, and assorted stuff that has been pr inted out from the internet. It all adds up. Look for a paper recycle bin on campus -they are often near a dormitory or large classroom building. And we can recycle other items as well, including cans, bottles, and cardboard boxes. We can also use our printe rs more carefully. We can save paper by printing on both sides of the page. Many professors don't mind if a student turns in a paper like this -we just need to ask first. Students can save pages that have been printed and use the backs to print out drafts and other things th at dont need to be tu rned in. In addition, many printers have multiple settings for prin t quality. Use the high quality print setting for things that have to look nice, but use the low quality setting for things that don't. This will save ink. While were at it, we can consider cutting down on the things we print out. Do we really need to print out that web page, or can we just bookmark it? Another thing students can do is limit the use of disposable cups a nd plates, and the use of paper napkins. If a student moves into his or her first off-cam pus apartment, it can be tempting to buy disposable cups and plates to save time. This adds up to a lot of waste and money. He or she can buy some inexpensive plates and wash them. This also works in a dorm setting. Many dorms have a kitchen, and if it doesn't, students can wash dishes in the bathroom sink. Also, since college students eat a good d eal of fast food, napkin use can add up. One napkin will usually do the trick, instead of using a whole pile of them. There are a lot of other things students themselves can do to reduce their impact on our environment. You can use compact fluorescent light bulbs. These bulbs cost more, but they last longer and ultimately save you mone y. If you live in a dorm, get yourself a lamp and screw in one of these bulbs. Lamp light is much more pleasant and environmentally efficient than overhead dorm lighting. Another thing you can do is walk, bike, and limit your use of a car. Most campuses are very pe destrian friendly, and many college towns offer good public transportation and bike path s. Ask yourself if you really need a car as a college student, because if you can get by w ithout one, you can save a good deal of money on gas, repairs, and overpriced student car insurance. If you do own a car, try to use it as little as you can. Buy recycled products whenever you can, especially paper. Buy environmentally safe cleaning products as well. Some of these products cost more-but many don't, or the price difference is neglig ible. Students can also carry a water bottle instead of drinking from disposable plastic bo ttles. Think of how many bottles of water get consumed on a campus every day. Save wast e and money and carry a refillable bottle. If the tap water on your campus is questionable, buy large containers of waters to refill your bottle. Use refillable binders, not disposable notebooks. This is a simple way to save waste. If you want to save your notes after the se mester is over, take them out of the binder and staple them. Or you can go electronic and take all of your notes on a laptop. Lastly, students can buy, sell, and donate at second hand stores. Lots of students do this to save
J. Dorsey, A. Hazar, L. Lee, & M. K. Morris 104 money, but it's also a great thing to do for the environment. Reusing clothes decreases the use of resources to make clothing and puts a dent in the problem of worldwide sweatshops. All these small sacrifices can add up, especially at Oswego State. Also, something you dont think about much, but there are Green mutual funds out there, ones that not only avoid companies that harm the environment but actively pursue investment with companies that make a positiv e impact on the world. Not only should our University look into this type of investing but all individuals can too. In conclusion, we at Oswego are doing a great job in our opinion, and we appear to be at the forefront of schools trying to make a difference. We need to make more advances in the areas of Environmental education by implementing course work in Photovoltaic Systems and the National Electrical Code, Solar Hot Water Education, Wind Energy Science, Criterion-Referenced Testing and Nuts and Bolts of Ethanol and BiofuelsHydrogen and Fuel Cells. I got this direc tly from Renewable energy onlines article Educating the Green Workforce. But that is what we need. More challenging course work involving these fields would be instrume ntal in making advancements in the green movement, bringing more students who are actively involved in the changes that must be made to our campus and our world. Many would wonder why here? According to Bartleby of Associated Content it is because campuses are diverse in their development: they combine residential components like dorms and dining halls with offices, classrooms, laboratories, sports venues, theatres, and all kinds of other spaces. They are like models of a city or even of a country. We can a nd do learn so much from what we have here. Universities are also where many people learn how to live on their own, forming habits that will last throughout their lives. That is if they are good habits and being green can be part of that. We would like to offer a quote in closing. Sustainability is the art of ever after, assuring that people in the future will have what they need to lead fulfilling lives.
Impact of New Product Developmen t of Store Brands on Branded Manufacturers in the U.S. Grocery Industry. N. G. Leader & I. D. H. Cuthill Marketing Department, School of Business Store brands of U.S. packaged food products have made considerable strides in the last 20 years. Read ily available technology has enabled manufacturers and retailers to unders tand consumer tre nds and buying habits and quickly offer private label substitutes. U.S. consumers recognizing value are more willing to bu y private label, and the level of penetration is approaching once loft y European share levels. This has branded manufacturers looking harder at NPD as a weapon to fend off private label and grow category share. This paper will explore the process of new product development in privat e label and the role private label plays for manufacturers, retailers, consumers and brands. Further a research proposal will be outlined to de termine the impact of private label growth on branded NPD strategies. I. Introduction The proportion of private label (PL) food produc ts on U. S. supermarket shelves has been growing steadily for the last twenty years at the expense of national brands (NB) until it is now on average across categories about 16% of total supermarket sales (PLMA 2006). In the past year, more than 41% of consumers bought PL (PLMA 2007). There is only a finite amount of shelf space in supermarkets, so as retailers have allocated more shelf space to their own brands, it has become more difficult for manufacturers to get distribution for both existing and new products (Amrouche & Zaccour, 2007). This is expected to continue for the foreseeable future, presenting manufacturer s with a dilemma about the best way to compete with their own customers (Amrouche & Zaccour, 2007). Our study will evaluate the moderating factors that govern the extent to which this trend will continue and provide strategic direction for NB marketers on how to deal with it. Several additional factors have further intensified competitive pressure on manufacturers. The U.S. food market has beco me increasingly open to foreign firms due to lowering of trade barriers, for example the North American Free Trade Agreement (NAFTA) with Canada and Mexico. The tre nd towards elimination of trade barriers globally will continue as virtually every country has an interest in the World Trade Organization (WTO). At the same time the U. S. market is attractive to foreign firms because of its size and diversity. Tec hnology has speeded up and automated communications and fostered development of websites that offer 24 hour availability of every conceivable form of merchandise on a worldwide basis. All of these influences have
N. G. Leader & I. D. H. Cuthill 106 intensified competition for food marketers in a mature market where total demand is increasing only in proportion to population gr owth, no more than 3% in dollar volume annually. Additionally, structural changes in th e industry due to improved methods of communication, gathering and analysis of check-out scanner data, and automation of inventory control have made it possible for s upermarkets to measure the sales and profit contribution of every stock keeping unit (SKU) in the store on a daily basis. Due to this new-found capability, during the last twenty y ears the balance of power in food industry distribution channels has shifted from the ma nufacturer towards the retailer. This is a powerful illustration of the old adage, Knowle dge is Power. Whereas previously only large manufacturers like Procter & Gamble (P&G) or market research firms like A.C. Nielsen had the capability to collate and analyze checkout scanner data, now retailers can do it. They have gone further and turned access to checkout data into a profit center. WalMart used to give scanner data to Nielsen w ho charged them for analyzing it. Now, they sell it to them. Also, since they have better data sooner than P&G, they have been able to negotiate deals which take into account the savings that P&G can obtain in manufacturing efficiency because of access to Wal-Mart inventory information. The result of this shift in power is that, in order to get distribution, ma nufacturers now have to convince retailers that a new product introduction will ge nerate at least as much profit as the product it will displace. Since it is impossible to forecast exactly the potential demand for a new product, retailers also demand a slotting allowance which may run as high as $40,000 per store, before agreeing to carry a new product (Desira ju, 2001). Some manufacturers have claimed that this is a restraint of trade and particularly a barrier to entry for small manufacturers. Several Congressional committees have pondered whether or not to outlaw the practice, so far without any result. It is evident, howev er, that retailers ow n new brands have a competitive pricing advantage in not having to carry the added cost of a slotting allowance Branded packaged food products have been marketed in the U.S. for more than 100 years by manufacturers who were much quicker than grocery stores and supermarkets to see the benefits of branding to marketing strategy. However, with their new-found sophistication in marketing, retailers have also come to realize that branding their own food products is a good way to differentiate themsel ves from other retailers. (Tarnowski, 2007) In this respect, European food retailers such as Sainsbury in the U.K., and Ahold in the Netherlands have been much quicker to adopt a branding strategy for their own label packaged goods. It is estimated that on average, the proportion of private label in U.S. supermarkets is around 16%, while in Europe it averages around 40% and in the UK chain, Sainsburys, it is as high as 65% (Harcar et al., 2006; PLMA 2006). Loblaws Presidents Choice PL line is so popular that it is licensed to non-competing retailers and is distributed internationally. Wal-Mart, the largest food reta iler in the U.S. has its Great Value brand, and Target has its Archer Farms label. Perhaps one of the most disappointing revela tions of recent studies is that the heavy users of PL products are middle and upper middle income consumers (PLMA 2006).
Impact of New Product Development of Store Brands 107 The proportion of relatively affluent consumer s who shop at discount stores but who also demand quality has increased (Nunes, Johnson & Breene, 2004). Astute retailers like Target have based their marketing strategy on catering to this segment and Wal-Mart is trying to follow suit. The most brand-loyal consumers tend to be lower income and ethnic minorities. Few food retailers possess their own manufacturing operations. Exceptions include Kroger which supplies around 4,300 SKUs from 41 manufacturing plants for distribution to its own and other stores. Re tailer and wholesaler-sponsored co-ops also have limited manufacturing capabilities. Most depend upon contract manufacturers who produce and package PL products to their specifications. In some cases, manufacturers of branded products also produce private label products (Table 1) This may seem paradoxical behavior when private label products are direc tly in competition with them. However, they do it when it allows them to reduce their co st of goods although the profit margins for manufacturers on private label products are typical ly about half that of branded products. There are also competitive advantages to supplyi ng PL products that will be discussed later. Table 1 Wal-Mart Share of Cons umer Package Goods Companies 2004 Sales Company Global Sales ($ millions) % Sales to Wal-Mart Procter & Gamble 56,741 16 General Mills 11,244 16 Kellogg 9,614 14 Kraft 32, 168 14 Source: Kumar & Steenkamp, Brand Versus Brand (2007) The conventional wisdom is that failure rates of new food products are typically around 90%. Scholarly studies have shown that it actually varies from 33 50%, depending upon the uniqueness of the product and the nature of the product category (Crawford & Di Benedetto, 2008). One of the factors that increases the likelihood of failure is the similarity of the new product to others already on the market.(Crawford & Di Benedetto, 2008). In this respect, PLs are mostly me-too products However, they will always be guaranteed distribution, an advantage not enjoyed by na tional brands. As the proportion of private label grows, manufacturers will be competing for less and less shelf-space in order to get distribution and will be pressed to introduce ne w products that are well-differentiated from PL products. Store brands are priced lower than equiva lent national brands by about 20 30% (Mendez 2008, Tortola 2007). Until recently, they relied mostly on price to differentiate themselves and did not apply the same marketing methods as those used by national brands. However, that has changed ( Bell 2008). Consolidation in manufacturing has led some marketing managers to cross over into the retail side of the business. The result is that PL products have improved in product and p ackaging quality and now compare favorably with NBs. It follows that as private label grows, manufacturers will be forced to develop more innovative products in order to get distribution and maintain their market share.
N. G. Leader & I. D. H. Cuthill 108 It should also be mentioned that the cross category average proportion of store brands does not reveal the complete competitive picture since it varies widely by product category. For example, in 2006 the average PL market share of milk was 58.7 %. For packaged frozen entrees it was 2.4% and for chewing gum only 0.7% (Table 2). Table 2 Retail Grocery Market Shar e of U.S. Private Label Food Products Category PL % Share of Market PL % Annual Growth Top Ten High Share Milk 58.7 + 5.8 Butter 45.5 +20.1 Frozen Vegetables 45.5 1.0 Frozen Seafood 38.2 +6.2 Natural Cheese 36.1 + 7.1 Snack Nuts 29.6 + 25.6 Pickles/Relish 28.3 -1.8 Frozen poultry 24.3 +6.1 Bottled Water 21.1 +10.1 Pasta 20.1 -6.2 Top Ten Low Share Baby Food 0.4 +47.1 Gum 0.7 -5.5 Chocolate 1.2 + 9.1 Frozen Dinners 2.4 -5.2 Granola Bars 3.8 +0.3 Salty Snacks 4.7 3.5 Prozen Appetizers 4.9 +13.8 Candy 5.7 +7.2 Carbonated Beverages 6.4 + 6.0 Dressings/Deli 8.1 + 8.0 Source: Stagnito (2005) The food industry is often referred to as a low-tech industry. However, this is not an accurate description. For example, todays food industry is actually based upon extremely high-tech developments in animal and cr op husbandry, food preser vation systems, and ingenious high speed packaging systems whic h are based upon basic scientific discoveries in biology, chemistry, genetic engineering, mathematical modeling, microbiology, nanotechnology, nutrition, physics, physiology, an d process engineering. All of this is not apparent to the consumer of the finished product, but without it our current global food distribution system would not exist. National brand manufacturers possess more of the technological know-how required to produce truly innovative new products than do retailers or the contract manufacturers who supply the bulk of the private label trade and who tend to be technology followers. This, along with their marketing expertise and
Impact of New Product Development of Store Brands 109 financial strengths, provide the national bra nd manufacturers with their most significant competitive edge in deve loping new products. II. Literature Review An extensive literature has developed during the past twenty years, much of it from European scholars, about the relationship be tween private label and national brands. It covers analyses of the economic basis and na ture of consumer buying preferences for PL products and the strategic alternatives availabl e to retailers and manufacturers in dealing with them (Amrouche & Zaccour, 2007; Ashley, 1998; Batra & Sinha, 2000, Bronnenberg et al, 2007; Kumar, 2007). This paper is conc erned mostly with the impact of this relationship on new product deve lopment practices, and so we review the literature from that standpoint. As PL market share increases, most resear chers conclude that manufacturers should develop more innovative products that are well-differentiated from PLs (Ashley, 1998), Kumar & Steenkamp, 2007). Prior research has indicated that failure rates of new products that are similar to existing products are hi gher than those that are well differentiated (Crawford & Di Benedetto, 2008). Also, vari ous researchers have suggested that the leading brand in a category can use contract packing to reduce unit manufacturing cost and assist a PL product to fulfill the role of a lower quality flanker NB (Wu and Wang, 2005). As manufacturers lose market share to PLs, it is reasonable to suppose that they will increase their rate of new product launches in or der to compensate for the loss. In fact new food and beverage product intr oductions have continued to increase for the last twenty years. This is undoubtedly due to the stage of the U.S. food industry life cycle which is mature and intensely competitive. Howeve r, the number of new product introductions seems greatly disproportionate to the market need. For example, the total number of new packaged food products introduced annually h as been more than 10,000 for the past ten years (Table 3). A recent report in Industry Week stated that consumer packaged goods companies increased new product introductions by 25% over the last three years and a similar increase is forecast for 2008 ( I ndustry Week, Feb 28, 2008). The average U.S supermarket carries 30,000 stock keeping un its (SKUs), while a Wal-Mart Supercenter may stock 100,000, of which around 40,000 ar e of food products. An SKU can be a different package size of the same brand. Al so, many of the products taking up shelf space such as bread, milk, meat, and vegetables are staples that have been in distribution for centuries. According to Marketing Intelligence, Ltd., retail chains are offered around 200 new SKUs each week of whic h at least 70% are rejected by buying committees. Of those that are accepted, it is often at the store mana gers discretion if they will be stocked in his store. On average, as we have said, 16% of the existing stock is private label (Adkawski & Bari, 2004). It is extremely unlikely that a new NB food product being introduced will obtain distribution, let alone become a success. Many of these products may only be seasonal or intended for regional rather than national or international distribution. Nevertheless, the difficulties in new product de velopment faced by national food marketers are apparent and likely to get worse.
N. G. Leader & I. D. H. Cuthill 110 Table 3 : New Packaged Food Product Introductions Year 1989 1990 1991 1992 1993 1994 1995 1996 1997 Total 8420 10641 9866 9770 10320 13451 13397 14596 13840 Top 20 Firms 1549 1713 1718 1566 1562 1562 1935 1377 1430 Source: Marketing Intelligence Service, Ltd., 2000 Most scholars who have studied the dilemma of marketers faced with the prospect of intensifying competition with their retailer and wholesaler customers have advised them to develop value-added products th at carry benefits for the ta rget market that cannot be matched by PL. (Harcar et al, 2006; Herste in & Gamliel, 2006; and Kumar & Steenkamp, 2007) They have also suggested that the technology base of NB products should be protected by patent applications or maintenance of trade secrets. (Kumar & Steenkamp, 2007) They have also advocated greater use of advertising to build brand equity and customer loyalty rather than trade promotions which favor a sales or short-term strategy. (Kumar, 2007) Retailers favor promotions because they defray the cost of local advertising and often include allowances that go to their bottom line (Abraham & Lodish, 1990). At the same time research has shown that only 16% of trade promotions actually provide incremental profit to manufacturers (Abraham & Lodish, 1990). All of these suggestions play to the strengths of manufacturers which are in marketing and manufacturing expertise and research and development capability (Lew is, 2006). However, in order to accomplish this they will also have to wean their cu stomers off of their current reliance on trade promotions, which will not be easy (Abraham & Lodish, 1990). If manufacturers follow these strategic recommendations, one would exp ect the ratio of unique new products to incremental new products to increase. If, as seems likely, the increased marketi ng competence of retailers leads them to develop PL line extensions within each category, this will bring them even more directly into competition with NBs (Anonymous, 2007). The large manufacturer s, such as P&G, General Mills, and Kraft have recently exte nded their new product development activities to worldwide external R&D networks including consultants, universities, and contract suppliers (Huston & Sakkab, 2006). Providing th ey have sufficient resources, the large chains such as Wal-Mart, Safeway, Target and Costco could do the same to compensate for their lack of NPD infrastructure. The British retailers, Tesco and Sainsbury have their own PL premium brands, as have Loblaws in Cana da (Anonymous, 2007). In the U.S., Food Lion has launched a food product line differen tiated by quality (Daniel, 2007). While this trend may grow in the short term, and despite th e fact that Kroger has been able to do so for many years, it is unlikely that retailers would be able to or even want to sustain a heavy NPD program or make the significant investment in plant and equipment required. Some scholars have estimated an optimum ratio of PL as about 50% overall of market share (Kumar & Steenkamp). However, this issue is best looked at on a category basis rather than cross-category as most researchers have done. For example, the PL market share of
Impact of New Product Development of Store Brands 111 commodity type products such as bread, milk butter and eggs already exceeds 50% (Table 2, Wellman, 2003). It seems likely that there is an inverse relationship between PL market share and product degree of innovativeness (Lewis, 2006). However, if the U.S. market develops in the same way as has European ma rkets, this picture may be changing. For example, Tesco in the U.K., Loblaw in Ca nada, and Food Lion are already marketing premium PL brands. In fact, F ood Lion is using a three tier approach of marketing generic, flanker and premium products The conventional wisdom in the food industry is that it is difficult to compete as the third or lower market share brand. If market share grows as expected to European or Canadian levels, PL will become at least the third brand in most categories, making it extremely difficult for firms with lower market share to maintain distribution (Harcar et al, 2006; Herrstein & Gamliel, 2006; Ward et al., 2002; Wu & Wang, 2003). Also, consumers like variety in food products but supermarkets are continually pruning their assortment of brands with respect to volume and profit per square foot of sh elf space Consequently it is to be expected that the average number of NBs per store will decline as the marginal market share competitors drop out. III. Research Questions 1. As PL market share increases, how will this affect the number of NB new product launches? 2. As PL market share increases, how will this affect the success rates of new NB products? 3. As PL market share increases, how will th is affect the ratio of radical to incrementally new NB products? 4. As PL market share increases, will retailers introduce less incrementally new and more unique products? 5. As PL market share increases, will this squeeze out tertiary NBs? IV. Hypotheses H1: As PL market share increases, the numbe r of new NB market launches will increase. H2: As PL market share increases, the ratio of NB unique product market launches will increase H3: As PL market share increases, the ratio of PL unique new product introductions will increase H4: As PL market share increases, the success rate of NB new product introductions will increase H5: As PL market share increases, the number of NB brands will decrease.
N. G. Leader & I. D. H. Cuthill 112 V. Methodology It is proposed to conduct a survey of retailers, private label contract manufacturers and national brand manufacturers in or der to determine the current role that PL plays in their NPD strategy and future plans with r espect to new product development (NPD) Data will be collected via a self-administe red questionnaire using a random sample collected from regional, national, and la rge NB manufacturers, PLMA members, and retailers with respect to five high market share and five low market share categories of PL products. Measures will be developed regarding: current and planned role of PL in re tailer, contract manufacturers and NB manufacturers strategy, e.g. retailer increase in profit contribution per square foot of shelf space; contract manufacturers into proprietary technology; NB manufacturers to reduce unit manufacturing cost and increase pressure on competition current and planned NPD practices of Re tailers, Dedicated PL Mfrs, and NB Mfrs. current and planned brand strategy of re tailers, e.g. me-too in direct competition with NB, or differentiated from them. It is proposed to carry out analysis of th e data in order to determine relationships between variables using Correlation Analysis and Regression Analysis. We will also conduct Factor Analysis in order to determine if there are combinations of variables that influence relationships. Regression analysis will be used to model the relationships between variables. VI. References Abraham, M. M., & Lodish L. M. (1990). Getting the Most Out of Advertising & Promotion. Harvard Business Review, May-June, Vol 68, Iss 3, 50-57. Adlawski, K., & Bari, H. (2004) An Empirical Analysis of the Determinants of Retail Margins: The Role of Store Brand Share. J ournal of Marketing, 68 (January) 147-165. Amrouche, N. & Zaccour G. (2007). Shelf-s pace Allocation of National and Private Brands. European Journal of Operational Research, 180 648 663. Anonymous. (2007). Analysis: Anger at Competition Commissions Supermarket Whitewash. Marketing Week Nov. 8, 2007. Anonymous (2007). $55 billion in Sales Could Shift to Store Brands, McKinsey Study Predicts at Private Label Trade Show in Chicago. PR Newswire New York, Nov. 13, 2007. Anonymous. (2007). Retailers Across the C ountry Win Awards for Outstanding Store Brand Products. PR Newswire New York, Oct 2, 2007. Ashley, S. R. (1998). How to Effectively Compete Against Private-Label Brands. Journal of Advertising Research, January*February, 75-82. Batra R. & Sinha I. (2000). Consumer-level factors moderating the success of private label brands. Journal of Retailing Vol 76(2), 175-191.
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N. G. Leader & I. D. H. Cuthill 114 PLMA Consumer Research Report, (2006). Star Power: The Growing influence of of Store Brands in the U.S. Ipsos MORI survey for Private Label Manufacturers Association, 2006. Stagnito Communications (2005). Supplier Source Book Thomson Gale & Goliath (2006) Tarnowski J. (2007). Thinking Like a Brand. Progressive Grocer 11/01/2007, Vol. 86, Issue 15, 16-22. Tortola, J. O. (2007) Private Eyes. Progressive Grocer 12/01/07, Vol 86, Issue 17, 14-16. Ward M. B., Shimshack, J. P., Perloff, J. M. & Harris, J. M. (2002). Effects of the Private Label Invasion in Food Industries. American Journal of Agricultural Economics 84 (4), 96173. Wellman, D. (2005). Frozen in Place. Frozen Food Age April, 53, 9, 18-21. Wu, C-C., & Wang, C-J. (2005). A Positive Theory of Private Label: A Strategic Role of Private Label in a Duopoly National Brand Market. Marketing Letters 16:2, 143161.
FUTURE OF RETIREMENT BENEFITS M. Muniz Department of Accounting Defined benefit plans were the main type of retirement plans offered by companies up until the mid 1980s. From the mid 1980s to the present there has been a dramatic increase in the number of defined contribution plans. Companies discovered that de fined contribution plans were more beneficial to the company, which resulted in a large number of companies switching the type of retirement plan they offer. This project will explore the reasons why many companies have switched to defined contribution plans and the methods that they have used to switch plans. The switch in plans places more pressure on the employees to invest their money appropriately in order to have suffici ent funds for their retirement. This project discusses the pros and cons of these two kinds of retirement plans. This research conducted by M. Muniz. I. Introduction The futures of retirement plans are uncertain. De fined benefit plans were the main type of retirement plans being offered by compani es until the mid-1980s. From the mid-1980s to the present there has been a major shift from de fined benefit plans to defined contribution plans. The main reason for the switch is that defined contribution plans are more profitable for companies. Companies are not investing as much money in defined contribution plans as they do in defined benefit plans. Another possible reason for the change may be a result of the new rule that the Financial Accountings Standards Board (FASB) issued last year. This rule requires modifications to how defined benefit plans are recorded. Defined benefit and defined contri bution plans each have advantages and disadvantages. However, with the increasing number of defined contribution plans it is evident that employers are seeing more advant ages to these plans than defined benefit plans. In contrast, the main disadvantage of the increasing number of defined contribution plans is the greater amount of responsibility being placed on employees to invest their money wisely for retirement. II. Defined Benefit Plans Defined benefit plans used to be the traditiona l retirement plan that companies offered their employees. According to the Department of La bor (2007), under a defined benefit plan an employee receives a specified monthly payment wh en they retire. This payment usually is,
M. Muniz 116 created through a formula that considers salary and service, among other items. A company under this plan accumulates some assets in equity or debt securities (Grant, Grant & Ortega, 2007). The company ensures that it will have sufficient funds to satisfy the pension obligations by investing money into financial assets (Glover, 2007). Many corporations offer defined benefit plans. Some of these plans have been successful. An example of a successful defined benefit plan is the New York State Teachers retirement plans (Top Funds by Type, 2007). However, there are many examples of failed defined benefit plans. According to Davolt (2006), in 2002 United Airlines filed for bankruptcy, which meant that they could not afford to pay their retirement obligations to their employees. As a result, the Pension Benefit Guaranty Corporation assumed United Airlines pension obligations (Davolt, 2006). II.a. Advantages and disadvantages of defined benefit plans There are many advantages to defined benefit plans that companies find attractive. One of the advantages that will save a company money is the combination of the longevity risk and the insurance principle. The longevity risk is the possibility that one will outlive ones money. Defined benefit plans are only financed to the employees life expectancy instead of to the extreme outer limit of the individua ls life span (Waring & Siegel, 2007). The insurance principle is used when an individual dies prematurely and the excess money is used to pay for those individuals that live beyond the life expectancy (Waring & Siegel, 2007). The company saves money by using this excess money to pay for the retirement of an employee that lives longer than expected. The lack of excess deferment is another advantage of defined benefit plans compared to defined contribution plans (Waring & Siegel 2007) Under defined contribution plans if every employees was fully funded there would be a great deal of excess deferred compensation. This means that if every de fined contribution plans were financed to individuals maximum possible age the result would be a great deal of unspent money from those individuals that died before they could spend the money. Another advantage of defined benefit pl ans is the forced savings for employees (Waring & Siegel, 2007). Forced savings is a hidden advantage for an employee because the savings rate is unknown to the employee. The employee pays in a certain amount of money, according to this rate, that will result in sufficient amount of money set aside for their retirement (Waring & Siegel, 2007). Professional management is another advant age of defined benefit plans. Having investments made by professional investment managers improves an employees chances of having the money well invested than if they did it themselves (Waring & Siegel, 2007). Since defined benefit plans use professional investor managers, they have access to investments that are not available to the aver age investor. Some examples of these types of investments are real estate, private e quity, and hedge funds (Olleman, 2007). Another advantage for employees is predic table payouts. The amount of money being paid out is the easily calculated, which mean s that planning for the future is easier for retired individuals (Wilburn, 2007). According to Waring and Siegel (2007), the fees that
117 F uture of Retirement Benefits employees pay through defined benefit plans are lower than defined contribution fees. The average fees for United States equity funds, whic h are used mostly in defined benefit plans, are under .5% a year. Retail mutual funds, which are used most in defined contribution plans, are above 1% per year (Waring & Siegel, 2007). Lastly, defined benefit plans can have extra benefits that are advantageous for employees. These extra benefits can include cost of living adjustments, retiree health c overage, and early retirement (Wilburn, 2007). Defined benefit plans are not without their disadvantages. For employees, one of the flaws with this retirement plan is that it is not portable. The amount of money that was accrued is not able to be taken with the employee if they change jobs before they retire. In addition, employees cannot borrow money against this plan. Also, defined benefit plans cannot be bequeathed to another after that person has died. Currently, many companies are focusing on the perceived disadvantages of defined benefit plans instead of on the advantages. Companies making the switch view defined benefit plans as dangerous to their ba lance sheets and income statements. Companies fear that their balance sheets and income stat ements are being exposed to uncontrollable volatility. In addition, companies view defined bene fit plans as being more costly than the alternative, defined contribution plans (Waring & Siegel, 2007). This idea is a result of the financial burden that defined benefit plans place on the company to fund the plan to a set target amount (Glover, 2007). III. Defined Contribution Plans Defined contribution plans are very different from defined benefit plans. Under defined contribution plans employers and employees make contributions into the pension accumulation accounts. Employees, typically, are allowed to distribute money into a dozen or so asset-class options. Unlike defined benefit plans, where an individual receives payments for their entire lifetime, employees under defined contribution plans usually draw a lump sum amount when they retire fro m the company (Ambachtsheer, 2007). Some examples of common defined contribution plans are 401(k), 403(b), and 457 plans (Aon Consulting Inc., 2007). A 401(k) plan is a private-sector salary deferment retirement plan that is authorized in the Internal Revenue C ode Section 401. 403(b) is a public-sector salary deferment retirement plan that was created in the Internal Revenue Code Section 403. 457 plans are nonprofit-sector salary deferment retirement plan that was created in the Internal Revenue Code Section 457 (History of 401(k) Plans: An Update, 2005). III.a. Advantages and disadvantages of defined contribution plans The advantages for defined contribution plans are employer and employee specific. Waring and Siegel (2007) believe employers value defined contribution plans because these plans have a lower out of pocket deferment than defined benefit plans. This results from the lump sum payment that employees receive as opposed to the deferred payments made by defined benefit plans. In addition, under these plans the amount of money that the employer matches is significantly less then in define d benefit plans (Waring & Siegel, 2007).
M. Muniz 118 Employees value defined contribution plan s because these plans are flexible, which means that employees that cannot afford to put money into their retirement plans are not required to (Waring & Siegel, 2007). Defined c ontribution plans are valuable to employees because employees are allowed to borrow money against their plans (Waring & Siegel, 2007). Each defined contribution plan varies with its borrowing features. An example of borrowing against a defined c ontribution plan is evident in the city of Orlando. An employee for the city of Orlando can borrow a minimum of $1500 (City of Orlando, 2004). The maximum amount of money that can be borrowed is 40% of the accumulated retirement balance or $50,000, which ever is smaller. Repaying the loan is done through payroll deduction. The amount of the deduction cannot be any more than 20% of the employees salary (City of Orlando, 2004). In addition, a defined contribution plan is portable and the only item that can reduce the value is poor investment returns (Waring & Siegel, 2007). The portability of the plan means that the amount of money accrued in the retirement plan before that indi vidual retires can be take n to another job if that employee leaves their current position. Defined Contribution plans are not without its flaws or disadvantages. One major flaw is having the employee invest their own m oney. Many individuals are inconsistent, hesitant, and irrational when it comes to th eir own financial future (Ambachtsheer, 2007). There are negative effects of employees being hesitant or not having initiative when it comes to investing money on their own in defined contribution plans. According to Olleman (2007), these effects can be seen in a study done in Nebraska. In Nebraska, state and county employees hired from 1964 to 2003 were using a defined contribution plan. During this same time school employees, state judges, and state patrols were using a separate defined benefit plan. Over the years leading up to 2002, the return from defined benefit plans were 11% while de fined contribution plans only returned 6-7%. Deeper investigation uncovered that half of the defined contribution plan members were only using the default stable fund for thei r money when they should have had funds allocated in more risky but more profitable stock funds in order to increase the amount of the return that the individuals were receiving (Olleman, 2007). Individuals are at a disadvantage in investing money for their own retirement. Many people do not know the basic asset-class buildin g ideas. For example, an individual in their late 20s should invest more in riskier assets, like stocks, than in safer assets, like bonds because a young worker can wait out the ups and downs of the market (US Securities and Exchange Commission, 2007). An individual in their 40s should have more of their retirement invested in safer assets, like bonds, instead of in riskier assets, like stocks. In this case, this individual is closer to retirement a nd cannot risk their retirement in the ups and downs of the market (US Securities and Exchange Commission, 2007). In addition, most individuals are not able to identify the risks of these assets (Waring, 2007). Due to this lack of understanding today, many employees invest a great deal of their retirement money in the plan sponsors stock (Ambachtsheer, 2007) This is a huge problem because if the sponsors stock price drops dramatically th e employee will lose a great deal of their retirement money.
119 F uture of Retirement Benefits As an example, consider an employee in Ford Motor Company that invested all of their retirement in the companys stock. According to the Wall Street Journal (2007), Fords stock price in 2002 was approximately $16 a share. Five years later, on June 23 2007, Fords stock price was about $9 a share (Wall Street Journal, 2007). This employee would have lost about half of their retirement money. If this same employee had invested all their money in a mutual fund like Morgan Stanley American Opportunities B the employee would have enjoyed a net increase in wealth. According to the Wall Street Journal (2007), in 2002 Morgan Stanley stock cost approximately $22 per share. Five years later, the stock was about $28 per share, resulting in a five year return of 27%. To obtain an optimal portfolio an employee should have diversified i nvestments. The lack of diversification is not a problem under defined benefit plans. Inv estment professionals know that the best way to invest money is to have a diversified plan (Ellis, 2007). Ambachtsheer (2007) states that other flaws workers under defined contribution plans face are information asymmetry and misaligned inte rest with regard to the financial service industry. Information asymmetry occurs when the employer knows more about the trustee of the pension plan than the employee. Misaligned interests occur if the employer receives a kickback for using that trustees company. In addition, excessive fees hinder employees abilities in reaching their pension goals. This tends to drive a wedge between workers and the retirement money that they invest. Also, defined contribution plans leave members to bear the burden of the longevity risk (Ambachtsheer, 2007); although it is possible for employees to hedge this risk by investing in annuities when they retire (Waring & Siegel, 2007). Annuities are stable investments that will provide return without the risk of losing money. Investing in annuities is important because it will give an individual the opportunity in having enough money to live on when they retire. Another problem that employees face under defined contribution plans is having enough money to live on when they retire. One can see from the Nebraska example that if employees do not invest their money appropriately then their return will be almost half of the return from a defined benefit plan. Th is reduction in money can make retirement difficult. One may suggest that the solution to this problem would be to save additional money, outside the defined contribution plan, in interest bearing accounts. This is very hard for employees to do because payments in defined contribution plans are made from pretaxed earnings (Chen & Estes, 2007). Saving m oney outside the plan requires more pretaxed dollars. IV. Financial Accounting Standards (FAS) 158 The Financial Accounting Standards Board (FAS B) is making major changes in the first phase of Financial Accounting Sta ndards (FAS) 158. According to FASB (2006), Phase I of the rule requires employers to recognize either overfunded or underfunded status of defined benefit retirement plans as either assets or liabilities. An overfunded plan would be an asset while an underfunded plan would be a liability to a company. In addition, Phase I requires employers to recognize changes in funding status, either overor under-, in the time period that these changes occurred (FASB, 2006).
M. Muniz 120 One of the main changes in this phase i nvolves a companys disclosure notes. Phase I requires that a company should add any additi onal information on the effects from delayed recognition of gains or losses on net periodic be nefit costs for the next fiscal year in its disclosure notes (FASB 2006). Net periodic benefit costs are the smoothing impacts of gains, losses, changes in prior service benefits and transition costs (Burrows, 2006). In the industry, smoothing is a company that spreads out its gains or losses over several years instead of recording them all in the period in which they were incurred (Bell, 2006). Phase I of this project, for publicly funded companies, took effect on December 15, 2006. For all other companies FAS 158 takes affect June 15, 2007 (Bell, 2007). FASB had several goals for creating FAS 158. FASB wanted to make it easier on the users of the financial statements. Befo re FAS 158, having und erfunded or overfunded status appear only in the disclosure notes made it more difficult for the users of the financial statements to assess the companys fi nancial position. In add ition, it was difficult to determine the companys ability to satis fy their Projected Benefit Obligation (PBO) (FASB, 2006). In addition, FAS 158 was created to improve financial reporting made by companies. FASB believes that FAS 158 makes information more reliable since it is more complete and timely. Also, it eliminates the alternative measurement date that companies in the past could have used for plan assets or benefit obligations (FASB, 2006). There were numerous reasons that FASB felt this rule was needed. One major reason was to correct allowances made by previous rules. According to FASB (2006), previous rules allowed employers to recognize a liability that was significantly less than the amount that the retirement plan was underfunded. As a result, companies that did this had an overstated equity section of their balance sheet to make up for the understated liabilities section. Having more equity than liabilities makes the company appear more valuable. Previous rules, also, allowed employers to recognize assets in its financial statements even though the company had an underfunded pension plan. Other rules, also, allowed employers to delay recognition of certain cha nges in plan assets or obligations that would have affected the cost of providing pe nsion benefits to employees (FASB, 2006). V. How FAS 158 Works and Objections to the Rule The major change under FAS 158 deals with the excess of Projected Benefit Obligation (PBO). According to Burrows (2006), PBO is the value of the benefits that have been accrued through the current period. These values are adjusted to reflect any expected future income increases (Burrows, 2006). If a company has a PBO that exceeds the fair market value of the assets than the excess amount will be recognized as a liability. On the other hand if a company has fair market value of its assets exceeding the PBO then that excess needs to be recorded as an asset (Burrows, 2006). Since FAS 158 is requiring companies to recognize gains or losses in the period that they occurred there are some changes that will affect the sm oothing technique. Any gains, losses, changes in prior service benefits, and transition costs should be immediately recorded in the Other Comprehensive Income account (Burrows, 2006). The Other Comprehensive Income account records any amounts that are not part of the processing or
121 F uture of Retirement Benefits selling of a product. The amounts in this account will be later recognized by the company (Burrows, 2006). As these items, eventually, become a part of Net Periodic Benefits there will be a balancing entry to Accumulated Other Comprehensive Income. Accumulated Other Comprehensive Income is an account of the accumulated year by year adjustments that have been made to Other Co mprehensive Income (Burrows, 2006). There are many companies that are rais ing objections to FAS 158. Companies are arguing that pension deficits or surpluses s hould be based upon already built up retirement benefits not on expected income increases. The reason that companies are against using expected income increases is that these increases are not certain and may not happen (Reilly, 2006). Some companies have problems with how to recognize expected future payments. According to Reilly (2006), these companies argue that obligations that use expected future payments are not liabilities and should not be presented as such on the financial statements. One of the biggest objections from companies is that PBO tends to result in larger obligations than already earned obligations (R eilly, 2006). This means that already earned obligations produce lower deficits or more surpluses for companies. Based on a study by actuarial consultants Milliman, 100 of the countrys largest public companies have a combined pension deficit of $90 billion dolla rs in 2005. If the already earned benefit method is used this deficit shrinks to about a $10 billion deficit (Reilly, 2006). V.a Effects of FAS 158 on companies The exact effects that FAS 158 will have on comp anies are not certain at this point. It is possible that FAS 158 will have a negative impact on a companys stock prices. According to Friedman (2006), FAS 158 may show companies as weaker than they were previous to this rule, which means that fewer individuals will choose to invest in the company. FAS 158 may give bond holders more rights at the e xpense of equity owners. This situation occurs if the companys debt covenants were based upon stockholders equity and not on the analysts adjusted shareholders equity amount (Friedman, 2006). Another possibility is that FAS 158 will ha ve no impact on companys stock price. Under current models, financial analysts have already taken into consideration accounting reform changes. Since the information was publicly available before FAS 158 professionals could just look in a companys disclosure notes to determine the funding status of the pension plans (Friedman, 2006). Since the companys funding status was public before FAS 158 this means that accounting reform changes are already reflected in the current prices of the companys stock. In addition, companies that are experiencing big pension deficits or other problems already have low stock prices (Friedman, 2006). FAS 158 may increase a companys stock price. FAS 158 could produce less volatility in operating earnings since analysts and investors are focusing on operating costs without adjusting the financials. Under FAS 87 comp anies were excessively netting components in operating income. Some examples of these components would be service cost, interest cost, expected return on assets and amortizations (Friedman, 2006). With Phase II of FAS 158 the only components that will remain in operating costs will be service costs and possibly
M. Muniz 122 price or service amortizations. FAS 158 could increase a companys stock prices is by promoting better analysis and decision making fro m corporate leader and users of financial statements (Friedman, 2006). The improved an alysis and decision making will result in more accounting transparency. FAS 158 will allow a companys Chief Financial Officer (CFO) to manage the companys pension plans better. This would occur since a companys financials are better aligned with the underly ing economics of the plans (Friedman, 2006). However, Reilly (2006) believes that FAS 158 could have a negative effect on a companys net worth. Under FAS 158 many companies will now recognize a larger liability. This increased liability recognition could jeopardize the lending agreements that companies have made (Reilly, 2006). The resu lt of losses of lending agreements is that companies could suffer a lower net worth. VI. Switching from Defined Benefit Plans to Defined Contribution Plans In 2003, more than 20% of companies that offe red defined benefit plans had taken action to freeze these benefits or were actively considering freezing these benefits in order to switch to defined contribution plans (Chen & Estes, 2007). Companies that are considering this switch have some options to make the switc h successful. According to Waring and Siegel (2007), a company could choose to soft freeze the current retirement plan. A soft freeze requires that after a certain date a compan y stops admitting new participants into the current defined benefit plan. It, also, requires that the company cut down the future accruals of current defined benefit plan participants (Waring & Siegel, 2007). However, a company could take a more radi cal approach. A company could decide to hard freeze their defined benefit plan particip ants. A hard freeze occurs when on a certain date a company terminates the existing defi ned benefit plan and there are no further accruals for the existing plan participants (Waring & Siegel, 2007). There are various reasons that companies cite to explain the shift from defined benefit plans to defined contribution plans. According to Ellis (2007), by switching to a defined contribution plan a company can avoid the l ong term liabilities of defined benefit plans. This means that a companys liability to its em ployees is reduced. In addition, the attendant risk of quarterly Earnings per Share (EPS) disruptions that result from unexpected changes in interest rates help push companies towa rd defined contribution plans (Ellis, 2007). The main reason that companies give for switching to defined contribution plans deals with competitiveness. Defined contribution plans can help a company stay competitive domestically and internationally. Chen & Estes (2007) believe that these plans cut a companys costs and put the company more in line with their domestic competitors that do not offer defined benefit plans. In addition, by switching to defined contribution plans these companies are staying competitive with foreign firms. Many foreign companies have their pension plans covered either by the governme nt or by the personal savings of their employees (Chen & Estes, 2007). Companies that are concerned with the volatility of defined benefit plans are choosing to switch to defined contribution plans to eliminate this issue (Geisel, 2007).
123 F uture of Retirement Benefits There has been a large shift in the types of retirement pl ans that companies offer from 1980 to the present. According to Glover (2007), the number of employees that were enrolled in defined benefit plans has droppe d 27% from 1988 to 2005. During this time, defined contribution plans increased 39%. Single employer plans have, also, seen a decrease. Since 1980, the number of single employer defined benefit plans has dropped 74.4% to 28,769 in 2005 (Glover, 2007). With th e decrease in defined benefit plans it is not surprising that defined contribution plans have almost twice the amount of assets as defined benefit plans. Defined contribution plans hol d $2.68 trillion of assets while defined benefit plans only hold $1.58 trillion of assets (Glover, 2007). Public industry is not the only one to see a drop in defined benefit plans. Public industry consists of companies listed on a stock exchange, required to file statements with the Securities Exchange Commission, and clo sely held, which means that most of the public shares are owned or controlled by a few individuals (Privately Held Company, 2007). Private industry has seen a drop in defined benefit plans, as well. From 1992 to 2005 defined benefit plans have decreased from 25% to 10%. Defined contribution plans have increased from 1992 to 2005 from 44% to 63% (EBRI, 2007). Recently, there are numerous large companies that are choosing to switch from defined benefit plans to defined contribution plans. General Motors is one of these highly public companies making the switch. According to Larkin (2006), as of January 1, 2007 General Motors is choosing to freeze its current defined benefit plan and is beginning to shift into a define contribution plan. General Motors iden tified the main reason for this switch was to reduce the financial risks associated wi th the retirement plans (Larkin, 2006). VII. Conclusion It is rather important for employees, in todays market, to take an active role in understanding their retirement plan. Employees under a defined benefit plan need to recognize the large switch that does not appear to be slowing down. Instead of having a secure and predictable retirement future, with a defined benefit plan, many employees are now facing an uncertain retirement. It is up to these employees to pr operly invest their money in order to have sufficient income for their retirement. Without obtaining proper information or taking an active role in thei r retirement investing employees, under defined contribution plans, will find it very hard to live during their retirement without getting a part-time job. The companies conducting the switch from defined benefit plans to defined contribution plans are doing so because defined contribution plans are more advantageous to their companys success. Even though many companies believe that defined contribution plans are more advantageous there are equa l advantages and disadvantages to each plan. Although, many companies are make this switc h the Financial Accounting Standards Board will continue to monitor and reform pension recognition made by companies.
M. Muniz 124 VIII. References (2005, February). History of 401(k) Plans: An Update. Retrieved June 20, 2007, from Facts from EBRI Web site: http://www.ebri.org/pdf/publications/facts/0205fact.a.pdf (2007). Top Funds by Type. Pensions & Investments 35, 30. Ambachtsheer, K. (2007). Why We Need A Pension Revolution. Financial Analysts Journal 63 21-5. Aon Consulting Inc, (2006). Aon Consulti ng's 2006 National Employee Benefits Trends Survey: Key Findings. Forum 1-8. Bell, A. (2006). FASB Comple tes Pension Reporting Standard. Life & Health 110, 7. Burrows, E. (2006). Dramatic New Accounting Rules for Pension Plans. Journal of Pension Benefits 14, 5-9. Chen, H., & Estes, J. (2007). Planning for Defi ned Pension Plans in Today's Environment. Financial Service Professionals. 55-8. City of Orlando. (2004). General Employee Defined Contribution Retirement Plan (1-8). Orlando: Pension Advisory Committee. Davolt, S. (2006). Stewardesses Reveal 'Naked Truth' About Pensions. Employee Benefit News 26, 56. Department of Labor, (2007). Types of Retir ement Plans. Retrieved June 23, 2007, from U.S. Department of Labor in the 21st Century Web site: http://www.dol.gov/dol/topic/r etirement/typesofplans.htm EBRI, (2007, June). Retirement Trends in the United States Over the Past Quarter-Century. Retrieved July 5, 2007, from Facts from Employee Benefit Research Institution Web site: http://www.ebri.org/publications/facts/ Eillis, C. (2007). Where Were We?. Financial Analysts Journal 63, 18-20. FASB. (2006). Statement of Financ ial Accounting Standards No. 158, Employers Accounting for Defined Benefit Pensi on and Other Postretirement PlansAn Amendment of FASB Statements Nos. 87, 88, 106 and 132(R). Norwalk, CT: Financial Accounting Standards Board Friedman, E. (2006).Will Accounti ng Reform Be Bad for Sponsors. Financial Executive. 22, 48-51. Geisel, J. (2006). Big Names Join Defined Benefit Exodus. Business Insurance 40, 14. Glover, H. (2007).Defined-Benefit Plans Still Seen as Viable. American Banker 172, 1-2. Grant, T. C, Grant, G. H, & Ortega, W. R (2007). FASB's Quick Fix for Pension Accounting is Only First Step. Financial Analysts Journal. 63 21-35. Larkin, J. (2006). GM Annouces Restructuring of its U.S. Salaried Retirement Benefits. Automotive Industries 186, 41. Olleman, M. (2007). Defined Contribution Experience in the Public Sector. Benefits & Compensation Digest 20-5. Privately Held Company. (2007). Dictionary of Accounting Terms Retrieved June 22, 2007, from Answers.com Web site: http://www.answers.com/topic/privately-heldcompany Reilly, D. (2006). Moving the Market-Tracking the Numbers/Outside Audit: Accounting Board Sticks to Its Guns. Wall Street Journal p. C3. US Securities and Exchange Commission, Securities Exchange Commission, (2007). Retrieved July 11, 2007, from Beginners' Gu ide to Asset Allocation, Diversification, and Rebalancing Web site: http://www. sec.gov/investor/pubs/assetallocation.htm Wall Street Journal, (2007). Stock Charting. Retrieved June 23, 2007, Wall Street Journal: http://online.wsj.com/quotes/stock_char ting.html?symbol=AMCPX&type=usfund Waring B. M., & Siegel, L. B. (2007). D on't Kill the Golden Goose! Saving Pension Plans. Financial Analyst Journal 63 31-45. Wilburn, D. A. (2007). A Bad Idea Defined. NEA Today 25, 48.
SOFONISBA ANGUISSOLA: A TALENT THAT TELLS THE TRUTH ABOUT WOMEN Sara Getz Art Department Due to scientific theories about reproduction, women during the sixteenth century were thought of as inferior to men, unable to create, and unequipped to create new and unique artwork (Jacobs, 1999). During the sixteenth century, Sofonisba Anguissola was one of the first women to raise awareness about the falsity of th ese ideas. Her artistic talents impress male artists such as Giorgio Vasari and Michelangelo (Jacobs, 1999). Even more significantly, she is credited by Vasari for creating work that is truly lifelike (Jacobs, 1999). Sofonisbas talent gives her status among other male artists and gives the women around her hope for gaining an equal status among men. Since the beginning of art history women have struggled to find equality in the world, including equality in the practice of art making. Due to scientific theories about reproduction, women have been thought to be inferior to men, unable to create, and unequipped to create new and unique artwork (Jacobs, 1999). During the sixteenth century, Sofonisba Anguissola was one of the first women to raise awareness about the falsity of these ideas. In the first art history class I ever took we discussed the beautiful expressionist paintings of Monet. We analyzed the brilliant ideas behind Picassos cubism. We gazed in awe at the carvings of Michelangelo and admired his fresco ceiling. These brilliant men crowded our art history textbook, but where were the women artists while all of this history was being made? Among all of these talented men I knew there must be some women to match them. So, why dont we hear more about women artists throughout history and were those who did exist at all significant? Surprisingly, I found that science was a dr iving factor in the oppression of women artists during the sixteenth century. Thoughts about the inferiority of women were guided by Aristotles theory about reproduction. Aristotle says that there are four causes involved with reproduction (Jacobs, 1999) Here are the causes that he brings up: The efficient cause, or the impetus to the making of that thi ng, the formal cause, or that which gives form to matter, the material cause, or matter that receives the form; and the telic cause, or goal it endeavors to reach (Jacobs, 1999, p.31). The efficient, formal and telic causes each deal with the role of the male. During reproducti on, these include the creation of sperm and the passing of sperm from the male to the female. The man is therefore thought of as a giver and creator of life.
S. Getz 126 The material cause, on the other hand, is the one and only cause attributed to the female (Jacobs, 1999). This cause puts emphasis on the passiveness of the woman. She is the one who is given the sperm by the male and passi vely accepts it into her body (Jacobs, 1999). Her only role is to give it protection during the creation of a child. Basically, Aristotle is saying that the man is in control of the re productive process and, unlike women, can create and give life to new beings. Unfortunately, Artistotles theories about re production are applied to other aspects of life as well. For example, at this time women are very restricted with what they are allowed to do in the world of art. For the most part, art is thought of as a mans profession as it involves the act of creating, something Aristotle says is not a womans activity; in fact women do not even posses the ability to create (Jacobs, 1999). However, during the sixteenth century, when women did insist on picking up the paintbrush, there were additional restrictions that they were expected to follow. For example, painting the figure was absolutely prohibited. It was certainly not proper for a lady to use nude models, which was a necessity in order to learn how to paint the figure (Chicago & Lucie-Smith, 1999). Therefore, it was also rare to have a woman painting portraits because this was also a form of figure painting (Chicago & Lucie-Smith, 1999). The most forbidden painting genre among women was the highest-ranking form of figure painting, called history painting (Chicago & Lucie-Smith, 1999). These paintings tended to be highly complex images, loaded w ith detail of narrative and full of religious content (Chicago & Lucie-Smith, 1999). Lower-ranking forms of art such as landscape painting and still-life painting were the most accepted genres among women artists (Chicago & Lucie-Smith, 1999). However, Sofonisba Anguissola, knowing the set conventions for women artists and aware of Aristotles theories, overcomes a nd challenges these obstacles through her subject matter and her level of skill. One painting from the 1550s, called Pieta shows that Sofonisba is quite able to be creative (Fig. 1) (Perlingieri, 1992). She copies Pieta from a painting that her teacher has already made w ith the same title (Perlingieri, 1992). Then, a man named Lionello Venturi comes across these two paintings at their original exhibition in Milan (Perlingieri, 1992). He says: In a small room of the same gallery, with a similar background of gloomy cliffs, the central group of Bernardino Campis Pieta was copied by Sofonisba Anguissola. The luminous close-up imagery and sfumato [a smoky shading and coloring from light to dark] of the countryside, on the right, is thus enhanced (Fig. 1). Her teachers work is scrupulously and truthfully copied. But Sofonisba shows more signs of Parmigianesque influence than Bernardino, in the point ed hands of the Virgin, in the golden color, in the delicacy of the pointed face and tiny features (Perlingieri, 1992, p.47). Venturi describes Sofonisbas work as havi ng a higher quality and better usage of techniques such as sfumato and detailing than even her own teacher who was, of course, a male. Sofonisbas Pieta (Fig. 1) is an exact copy of her teachers painting of the same title;
Sofonisba Anguissola: A Talent that Tells the Truth about Women 127 however, she drastically alters it to make it even more successful than the original (Perlingieri, 1992). Fig. 1: Pieta by Bernardino Campi, 1550s on left and Pieta by Sofonisba Anguissola, 1550s on right. Sofonisbas talents are even able to impress the famous scu lptor and painter, Michelangelo. Receiving recognition and guidan ce from this master alone speaks volumes about Sofonisbas abilities. Furthermore, after seeing Sofonisbas drawing of a girl smiling, Michelangelo requests that she should also draw a boy weeping (Jacob, 1999). Although impressed by her first drawing, Michelangelo believes that this would be a much more difficult task (Jacobs, 1999). Sofonisba then accepts this challenge and creates a drawing called Asdrubale Bitten by a Crayfish, in 1557 (Fig. 2) (Jacobs, 1999). Author Fredrika Jacobs describes the level of difficulty involved with creating such a drawing: Anguissolas drawing of her tearful brot her and smiling sister may also be seen as a successful resolution of the problem of differentiating responses that, while generally expressive of opposite emotions, are strikingly siilar in their physiognomic manifestations (Jacobs, 1999, p.57).
S. Getz 128 Fig. 2: Sofonisba Anguissola, Asdrubale Bitten by a Crayfish 1557. He explains that the facial differences between laughing and weeping can be very hard to distinguish for an artist (Jacobs, 1999). The sli ght differences that appear on the face are hard to differentiate; therefore, it is a huge accomplishment to create each of these facial expressions. Upon seeing Sofonisbas paintings, another artist, Giorgio Vasari, in addition to Michelangelo, was also impressed by her talent. After reviewing Sofonisbas work, he says that If women know so well how to make livi ng men, what marvel is it that those who wish are also so well able to make them in painting (Jacobs, 1999, p.38)? He is actually crediting Sofonisba as being able to give life to men as well as her paintings. Her painting, The Chess Game, from 1555 is an example of her ability to give life to painting (Fig. 3) (Perlingieri, 1992). Perlingieri, the author of Sofonisba Anguissola: The First Great Woman Artist of the Renaissance describes this painting as a complex and ambitious project (Perlingieri, 1992, p.82). Sofonisba paints three of her siblings playing chess along with a woman that appears to be
Sofonisba Anguissola: A Talent that Tells the Truth about Women 129 Fig. 3: Sofonisba Anguissola, The Chess Game 1555. the maid. She creates an outdoor setting that was most likely constructed from her imagination using some elements from the city and landscape around her (Perlingieri, 1992). Similar to Pieta, here she uses sfumato in order to create a soft blue landscape in the background that nicely contrasts with the decorative and elaborate clothing of the foreground figures (Perlingieri, 1992). Vasari again, complements Sofonisbas work, explaining that It was done with such diligence and quickness that they all seemed truly alive and only lacking in speech (Perlingieri, 199 2). He is referring to the figures in this painting as being lifelike, which is, again, a huge compliment for any woman artist to receive. Furthermore, the interaction between the figures makes the game of chess seem real. The youngest sibling appears to be laughing at the sibling on the right as she raises her hand in defeat. Meanwhile, the oldest sibling look s out at the viewer as if asking for praise and congratulations as she holds her sisters black queen, indicating that she has won the game of chess (Gerrard, 1994). Perhaps th ese gestures and expressions are what cause Vasari to credit Sofonisba with the ability to create life. The Chess games main subject is also important to Sofonisbas message for this painting. Chess had undergone many rule chang es as it was introduced and popularized in Italy in 1510 (Gerrard, 1994). The new game of chess, much like the kind played today,
S. Getz 130 gave the pawns new abilities. For example, in order to make the game move along faster, the bishop pawn gained the ability to move an infinite number of spaces diagonally, when previously it could have only moved one dia gonal space at a time (Gerrard, 1994). Every other pawn also had its own new set of ru les. The most significant rule change for Sofonisbas painting, however, belongs to the Queen. Author Mary D. Gerrard (1994) states that The new status and power of th e queen-now greater than that of the king himself--was evidently the most noteworthy result of the rules change As the oldest sister grasps her siblings black queen in her le ft hand, she signifies more than the fact that she has just won the game; the queen, as a sym bol, implies that the status of women should at least be equal to the status of men in soci ety (Gerrard, 1994). As the status of the chess queen has risen, so should the status rise of all women in society. Sofonisba did not create life-like paintings by accident. She knew that what she was doing was significant. In her Self-Portrait from 1554, her pose and what she holds in her hand are important signifiers for her message (Fig. 4) (Perlingieri, 1992). She sits in a three quarter pose and gazes out at the viewer in a challenging stare (Perlingieri, 1992). She dresses in a simple, yet elegant gown adorned with lace at her collar and sleeve openings. Her dress is simple, but shows that her status in society is not of lower-class. Fig. 4: Sofonisba Anguissola, Self-Portrait 1554.
Sofonisba Anguissola: A Talent that Tells the Truth about Women 131 The book that Sofonisba holds in her left hand is a sign of her intelligence and success (Chicago and Lucie-Smith, 1999). On it is written, Sofonisba Anguissola virgo se ipsam fecit 1554 (Sofonisba Anguissola, the unmarried maiden painted this herself, 1554) (Perlingieri, 1992, p.78). Here she makes a statement about having never been married. Therefore, she is also saying that she has ne ver belonged to a man and never given birth to a child (Perlingieri, 1992). She detaches hersel f from the theories of Aristotle and in a way rejects them while also taking on some manlik e qualities. She also writes in a very matterof-a-fact tone which puts emphasis on the fact that and unmarried, childless woman painted the portrait. Women during this time had trouble gaining the full respect from men that they may have deserved. In order to gain this resp ect, women who wanted to paint could either choose to paint with some restrictions, or paint on their own accord but gain no respect. Artist and author Judy Chicago and Edward Lucie-Smith (1999) describe the situation as follows: Essentially a female artist could either elect to be a gentlewoman who painted, with the restrictions which this implied in terms of both daily conduct and longterm social mobility, or she could resign herself to being thought of as a not quite repectable outsider. A gentlewoman artist had access to a particular sort of patronage she could become a favorite with the female members of a court or aris tocratic circle. But this limited the scope of her art. This seems to have been the choice made by the gifted mannerist portraitist Sofonisba Anguisso la (Chicago & Lucie-Smith, 1999, p.115). The book that Sofonisba holds shows that she has joined this circle of intellect and sacrifices many freedoms in order for her work to be respected and well-known (Chicago & Lucie-Smith, 1999). Sofonisba was one of the first women to begin the fight for equal rights among men and women. She fought for the right to be taken seriously as an artist in the same way that men were taken seriously as artists. Sofonisba turned her knowledge a nd determination into master works of art. Credited by Vasari as have truly life-like images, and praised by Venturi for improving upon her own teachers work, Sofonisba has accomplished more than art; she has helped rise the status of women to a position of equal importance as men (Jacob, 1999). References Chicago, J. & Lucie-Smith, E. (1999). Women and Art: Contested Territory New York: The Ivy Press Limited. Gerrard, M. D. (1994). Heres Looking at Me: Sofonisba Anguissola and the Problem of the Woman Artist Renaissance Quarterly, 47(3) 556-622. Retrieved Spring, 2008, from WilsonWeb database.
S. Getz 132 Jacobs, F. H. (1999). (Pro)creativity. In Defining the Renaissance Virtuosa: Women Artists and the Language of Art History and Criticism (pp. 27-63). Cambridge: Cambridge University Press. (Original work published 1997). Perlingieri, I. S. (1992). Sofonisba Anguissola: The First Great Woman Artist of the Renaissance New York: Rizzoli. Photographs Anguissola, Sofonisba. Self-Portrait. Oil on Canvas. (1554). Kunsthistorisches Museum, Vienna. Web Gallery of Art Ed. Emil Kren and Daniel Marx. 1996. 28 Mar. 2008 . Anguissola, Sofonisba. Asdrubale Bitten by a Crawfish. Black chalk and charcoal on brown paper. 1554. Pinacoteca Nazionale, Siena. Web Gallery of Art Ed. Emil Kren and Daniel Marx. 1996. 28 Mar. 2008 . Anguissola, Sofonisba. Pieta. Oil on Canvas. (1550's). Pinacoteca di Brera, Milan. Sofonisba Anguissola: The First Great Woman Artist of the Renaissance. By Ilya Sandra Perlingieri. New York: Rizzoli, 1992. Plate 23. 50. Campi, Bernardino. Pieta. (1550's). Pinacoteca di Brera, Milan. Sofonisba Anguissola: The First Great Woman Artist of the Renaissance. By Ilya Sandra Perlingieri. New York: Rizzoli, 1992. Plate 23. 50. Sofonisba Anguissola: Lucia, Minerva a nd Europa Anguissola Playing Chess (1555) National Museum, Poznan; Photo credit: Erich Lessing/Art Resource, NY. Art Resource. [26 March 2008], http://www.artres.com/
Adoption: A Literary Exploration Claire A. Kavanaugh Counseling and Psychological Services Department Adoption is a legal process in which a child is raised by someone other than his or her biological parents and can be accomplished with varying degrees of openness. Adopted children often experience a period of grief at some point in their lives related to their adoption and their loss of their biological origins. Bibliotherapy is one method of helping children cope with adoption related grief and though most of the adoption books in print are authored by adoptive parents and fail to address the issue of the childs birth parents in any detail. In response I authored a childrens picture book intended to supplement the available literaturerecreational, educational and therapeuticwritten from the pers pective of a birthmother that focuses on the love involved in adoption. The purpose of the book is to function as a bibliotherapy tool and aid in the healing process of adopted children as well as facilitate a better understanding of the often stigmatized practice of adoption. I. Openness in Adoption There are several types of adoption that differ in the way the legalities are handled, either through private attorneys or through adoption agencies, and in the amount of contact allowed between the birth and adoptive families. In closed adoptions there is no contact between the child and his adoptive family and his birthparents; all access that an adopted child may have to his biological origins is cut off until he is an adult and able to search for his birth family himself. Open adoptions, on the other hand, allow for open contact between the two families. This contact can include lette rs, pictures and visits. In between closed and open adoptions are semi-open and semi-closed adoptions that have varying degrees of openness and contact. The most important benefit of open adoptions is the access the adopted child has to his entire history. Children of open adoption have the opportunity to learn about the history of their biological family, their own medical history, ethnicity, genealogy and even whose eyes they have or from whom they inherited their talentsall luxuries children in closed adoption do not have. Adopted children run the risk of not being able to develop a complete sense of self and that risk is even higher in ad options where the child is not able to explore freely his biological origins. No matter what the circumstances or openn ess of an adoption, many adopted children struggle with related grief and loss. While open adoptions can aid in minimizing these feelings by providing immediate answers that only birth parents can provide, the grief
C. Kavanaugh 134 process is one that most adopted children will most likely have to work through at some point in their lives. II. The Grief of Adopted Children In our western society we operate under the assumption that children do not grieve. We believe them to be r esilient and able to bounce back from any loss or injury, be it emotional or physical. Often we conclude that if we si mply do not mention loss or, at the very most, give it only a passing acknowledgment and stay strong, children will do the same and just move on; in essence, if we as adults skirt the i ssue of grief and loss with children then they will remain protected from sorrow and pain. We want so badly to protect the fleeting innocence of children that we have convinced our selves that the best course of action is to brush aside their pain with phrases like youre ok, dont feel bad, and dont worry, and not address their grief directly, or at all, because, after all, they are only children and, therefore, cannot possibly comprehend loss to the extent that an adult is able to. The latter comment may have a kernel of truth, in that ch ildren rarely have to deal with the logistical aftermath of a loss, such as death, but that does not mean, however, that they do not grieve that loss as deeply or personally as their adu lt counterparts. When we shelter children from grief we are really protecting ourselves from addressing our incapability to relate to and help a child through a loss (Fiorini and Mullen, 2006). The fact of the matter is children do grieve. Though their understanding and concept of loss matures with time (a nine-year-old will recognize that death is permanent while a three-year-old may ask when the deceased relative is coming back) they are capable of internalizing and recognizing a loss no matter what their age. What eludes adults and leads us to believe that children do not grieve is the way in which children grieve. They will often act out, or alternate between being sad or angry and being outwardly fine, or they may escape to a world of fantasy (Fiorini and Mullen, 2006). Children are not adults and as such we do not expect them to approach the world in the same way we do, so why should we expect them to approach loss as we do or grieve as we do? Adopted children face a unique type of loss. Their loss occurred very early in life; in many cases right after they were born. This pre-existing loss was one they could not deal with or even comprehend as a newborn, but this does not mean that it is one they will never feel the ramifications of. Adoption is a process, not simply a single, isolated event and will be a large part of a childs story and sense of self; while it does not define a person, it is, nevertheless, a part of who they are (Silber, 1990). Loss can be defined as: the permanent or temporary removal of an important object, person, or event, or failure to achieve a coveted goal (Van Gulden and Bartels-Rabb, 1993, p. 20). Under this definition the loss of an adopted child is the loss of a person, or persons; his birth family. It is also a loss of origins and of a complete self identity (Joshua and DiMenna, 2000). The lack of shared physical traits with family members could create feelings of detachment as physical similar ities are an easily recognizable, outward sign of belonging (Van Gulden and Bartels-Rabb, 1993). This feeling of isolation is further compounded by societal conceptualizations that define procreation and parenthood as indistinguishable entities, thereby facilitating th e notion of real parents. Adopted children face the dilemma of who their real parents are, those who gave birth to them or those who raised them. Their grief may also stem largely from their conflicting feelings as they struggle to integrate the two sides of themselve s: their adopted family, which to them is
Adoption: A Literary Exploration 135 their real family, and their biological family, which society has deemed their real family (Leon, 2002). Family is where you go to belong and feel like an intrinsic part of something. Adoptees, however, lose that biological connection and so may feel as if they do not truly belong anywhere. As a child grows and matures so does his concept of adoption, which may trigger feelings of grief. Adoption loss is certainly a loss that can change and reemerge over time. As children grow they will understand inform ation regarding their adoption in new and different ways. Things that didnt make sense to them as a child may make sense as an adolescent and they may need to grieve and repr ocess their feelings in order to reconcile their new understanding. This cycle can easily take a lifetime and may never be fully resolved. Preschool aged children often grieve by rej ecting the fact that they were born to someone other than their adoptive parents and mourn the loss of not only their biological family but also the loss of a genetic tie to their adoptive parents (Silber, 1990). Adoption related grief typically becomes most noticeable in school aged children at which point they are cognitively able to better understand and internalize adoption and apply its implications to their own lives. They may become angry with their adoptive parents for not being their real parents or they may feel as if they s hould have been born to the parents they live with like many of their friends were (Silber, 1990; Van Gulden and Bartels-Rabb, 1993, p. 34). At this age children may also begin to f eel guilty about being adopted; they may feel there was something wrong with them and that is why they were unwanted by their birthparents and will view the relinquishmen t as abandonment and rejection (Joshua and DiMenna, 2000). In a study conducted by Triselio tis (1973, as cited in Watkins and Fisher, 1993) the main thing interviewed adult adoptees said they would have liked to have been told was that they were not rejected but wanted and loved by their birthparents. As children begin to make sense of their own adoption story they may experience many secondary losses including: Security if their first parents gave th em up why wouldnt their second (adoptive) parents who they are not even biologically related to, in most cases, do the same? Also, what if their biological family came to take them away from the only family theyve known? Control someone else chose who their family would be and what their life would be like. Sense of normalcy if few, or any, of their other friends are adopted, thereby making them different. Innocence they are realizing that life isnt always easy and that sometimes bad or sad things happenespecially if their adoption was in response to drugs, alcohol, abuse, abandonment, economic hardships, etc. Perspective they may view their adoptive parents differently. They are no longer their only set of parents. They ma y even idealize their birthparents and make up stories about their past if not enough information is available to them.
C. Kavanaugh 136 Identity they may feel like they dont know who they are or where they belong, especially if they are from another country or culture. They may feel disconnected from themselves because th ey dont know anything (or little) about their ethnic, medica l and genetic background. They may also grieve the fact that their questions may never be answered. They will have to come to terms with the fact that they may never have the opportunity to know why or have the chance to speak with a birthparent or someone else who can answer at least some of their questions. This unknowing may leave them with a feeling of emptiness. Those of us who are fortunate enough to have been raised by our biological parents undervalue the easy access we have to informa tion regarding our past. We even take for granted the fact that a persons past doesnt begin with their birth but instead encompasses events that happened long before they were bor n, events that involved our family members and ancestors whose actions laid the pathway to our present. For adopted children their adoptive parents past is not their past and th eir own story often only involves the events of their lifetime. Curiosity about ones origins is natural but, unfortunately, it is this natural inquisitiveness that adoptive children usually feel guilty about having. The adoption process involves extremely complex emotions on all sides of the triad (the adoptive parents, birth parents and adopted ch ild) and therefore warrants the same level of openness that is necessary in other relationshi ps (Silber, 1990). They may not want to approach their adoptive parents (the only link to information they have) with questions regarding their birth family as they are worried they may hurt their parents feelings. By asking about their adoption story and genealogy they fear that it may suggest to their adoptive family that they do not love them or view them as their true family. They may even swallow their grief or questions in an a ttempt to fit in with their adoptive family due to fear of further rejection as sometimes adoptees feel as if they owe their adoptive families for accepting them when their biol ogical families did not (Eldridg e, 1999). It is, therefore, up to the adoptive parents to be receptive to their childrens grief and curiosity and encourage conversation to address issues and c oncerns related to their adoption that may arise. Maria Trozzi outlines the three major f unctions that caregivers of grieving children have: 1. To foster honest and open relationships with children 2. To provide a safe and secure space in which children can mourn 3. To be role models of healthy mourning (Trozzi, 1999, p. 11) Children grieving the losses associated with adoption or questioning their self identity and origins need their feelings to be recognized and validated; they need to be assured that what they are going through is normal. Due to possible fear and guilt of the child adoptive parents often need to initiate conversation or at least let children know that its ok to talk about their adoption. It is important for children to know that they can approach their adoptive parents with their questions and that they will share in their grief and search for information. Adoptive parents themselves are not immune to feelings of grief and loss of their own related to adoption. They feel the lo ss of being able to have biological children, loss at having to share their children with anot her set of parents, loss at having to prove to others that they are ready for and would be good at parenting. By sharing in this grief and mourning together parents and children can begin to cope together and will only
Adoption: A Literary Exploration 137 strengthen the bond between them. After all, grief shared is grief diminished (Trozzi, 1999, p.11). III. Bibliotherapy as a Coping Tool Experiences that elicit grief and loss are ones that will cause a child to question how the world works; they will have encountered new experiences and emotions that will ultimately alter their perception (Manifold, 2007). Children generally lack the verbal skills to express complex emotion and thus may rely on their im agination as a safe haven in which they can work through their experiences. Emotionally pa inful experiences can be brought to mind by a sensory stimulus and by understanding the tr iggering event can learn about the emotional response. Picture books can be the perfect means for initiating a deeper emotional understanding in children by providing the exact tools that enable the imaginative mind to interpret painful experiencesrhythm, meta phor, image and simple narrativeand thus tap into a primal way of dealing with emo tional stress (Manifold, 2007). Egan created a framework for the stages of imagination th at a person will go through as they grow (Manifold, 2007). These stages are somatic, mythic, romantic, philosophic and ironic thought with somatic being the earliest stage and ironic thought the final stage. Elementary aged children usually relate best to books that utilize the characteristic elements of the somatic and mythic stages: rhythm, metaphor and narrative. Even in older children, adolescents or even adults, when a deeply stressful situation arises the instinct is to regress to the mythic and somatic stages, regardless of current imaginative developmental stage, to begin making sense of their experience (Manifold, 2007). Due to their ability to guide us to personal understanding no matter what our age, picture books can be an important bibliotherapy tool used by both parents a nd professionals in initia ting conversation with children who have experienced a loss. Bibliotherapy is broadly defined as the use of books to address emotional or behavioral issues (Barancik, online). It is meant to create a therapeutic interaction between the audience and the literature (Grier, 2006). When using picture books as bibliotherapy, in which the child is often read to, the child not only interacts with the book itself (both text and illustrations) but also with the reader. It is this added dimension that makes bibliotherapy an ideal way for a parent to open up communication with their child on topics such as their adoption and birth family. The a dvantage of bibliotherapy is that it allows children to step back and take a third-party, objective view of their own personal situation and test out their different emotions and reactions in a safe, risk-free environment (Grier, 2006). A good bibliotherapy book will gently lead the reader to a better, deeply personal understanding of not only their experience or situation but also of themselves. The revelation may be as simple as realizing that, like the character in the book, the reader also isnt a very good listener all the time or as complex as understanding that being adopted means that they were chosen by their adoptiv e parents and will always be loved by their birth parents (Pehrsson, 2006). Books can provide a voice for children who are unable to express what they think and feel and even prom ote an enhanced self awareness and worth, especially valuable to children dealing with adoption losses. By reading about how others dealt with similar situations or by being in troduced to another perspective children can identify and develop their own healthier, mo re informed method of coping (Pehrsson, 2006). Perhaps most importantly is that by using bibliotherapy to approach topics related to their childs adoption, adoptive parents are not only validating their childs feelings,
C. Kavanaugh 138 reassuring them that it is ok to talk about th eir adoption and aiding in their grieving process by sharing in it with them, but they are also strengthening the parent-child bond that will further their emotional growth and healing. Simply reading an appropriate bibliotherapy book is not enough to elicit a therapeutic effect in a child. Rather it is the resulting in teraction, including questioning, exploration, and conversation, that is incited by the book th at will allow the child to apply what they have been read to themselves and their own situ ations. If the child is not invited to relate the story to themselves or make sense of their own situation by questioning different aspects of the book it will have no therapeutic value. Bibliotherapy can also be used in more than just a one-on-one setting. Classrooms are ideal venues for introducing larger groups of children to different points of view. Some grief issues in adopted children arise from being treated as different by their classmates who do not understand adoption. By using a doption related bibliotherapy to inspire discussions in class, students can become educat ed about adoption thus leading to a greater general understanding and acceptance among an a dopted childs peers (Manifold, 2007). Not all picture books are appropriate as bibliotherapy. In order for a picture book to be a useful therapeutic device it must have not on ly meaningful text and engaging illustrations but a successful marriage of the two (Manifold, 2007). The illustrations must highlight and reinforce the important messages of the text and the sophistication of both the illustrations and text must match precisely. For example, if the vocabulary used in the text is appropriate for elementary aged children th e illustrations should not be geared toward preschoolers. The child audience will use the illu strations as an interpretive guide for the story he is being read. Also, the author must approach the central question of the book with dignity and avoid presenting the resolution as th e only possibility to encourage imaginative interpretation by the child (Manifold, 200 7). Finally, selection of an appropriate bibliotherapy book must be done with the child (e .g. his age, maturity and education level, interests, and specific problems) in mind. If the child is unable to relate to or is simply uninterested in the book he will be unable to in ternalize its meaning and it will fall short of its therapeutic, healing goal. It is with the coping process of children and the goals of bibliotherapy in mind that I conceived and designed my picture book so that it would be a useful bibliotherapy tool for children dealing with adoption related grief and loss. The story is meant to explain one possible adoption scenario and explain why bi rth parents might relinquish their child. Unique among most adoption books available it focuses primarily on the birth parents and the dual love of the childs two families. Adoption, while emotionally difficult at times, is a beautiful practice that can lovingly create families and should be celebrated as such. IV. My Piece This is the story Of how you came to be Part of not one But two families There are few little boys As lucky as you Instead of one family
Adoption: A Literary Exploration 139 Why, you, sir, have two It all started way back One mid winter day When I did find out You were on the way I called up my love To tell him the news So unexpected Well, what should we do? We took stock of our lives Took a good look around With school, bills, and youth Nothing promising found No yard you could run in No room for a crib Wallets with cobwebs For bottles, toys, bibs We thought and we thought And came up with a plan Adoptions the ticket! For our little man! Well find him a family With all that we lack A castle to live in Fun toys by the sack! This big decision Was no easy one We wanted forever To be with our son But we knew we could not Give you the whole world For you deserve life, Before you unfurled
C. Kavanaugh 140 We read through the stories Of ladies and lads Who all had one wish: To be mothers and dads We looked at the pictures Read you every word To see which of the couples You liked or preferred We read you of dogs, And apple picking And knew they were it By your joyful kicking After nine fleeting months And long labor and strife You came to try out This thing they call life The three of us played You, your birthdad and I For two wonderful days Till the time for good bye An excited young couple, Your parents-to-be, Had flown cross the country Their son for to see When your parents arrived, Looking elated and smart, Into their arms We handed our heart Through pictures and letters We watch you grow The smiles and adventures Your happiness shows Every so often A child comes along So unique and so special
Adoption: A Literary Exploration 141 Too little love would be wrong The love of one family Just will not do For one so amazing Double the number by two Though so far away We love you so much Theres not a day that goes by That our hearts you dont touch So remember, my love We whisper each night To reach you by moonbeams We love you, good night IV.a. My piece as bibliotherapy I believe this book to be a useful bibliother apy tool because it will facilitate and encourage conversation about and a deeper exploration of a childs adoption history. The piece itself is lively yet heartfelt, simple yet intricat e and focused on adoption but anchored on the universal topic of love. It explains the reasons a birthparent may relinquish their child and reassures the reader that it was not out of malice or disappointment or due to any fault of the childs; instead it was a decision made out of love and wanting nothing but the best for that child, which the birthparents could not provide. The central theme is not sacrifice and the tone is not maudlin or depressed. A childre ns book needs to speak to children on their level. It needs to touch them through both text and illustrations. If they cannot relate to the book or if it simply does not hold their interest it fails to convey its message. The strength of my work is that it gently conveys complex emotions in a positive, interesting way that a child can easily relate to. It will, however, be up to the counselor or parent to engage the child in the story by perhaps asking questions along the way that promote a more complex understanding of the meaning of the text or by going back through the story once it has been read through completely in order for the book to reach its full therapeutic potential. V. Acknowledgements I would like to thank Dr. Jody Fiorini for he r encouragement and support in preparing this piece and Dr. Maureen Curtin for her vast contributions to my project as a whole.
C. Kavanaugh 142 VI. References Barancik, S. (2006). Best childrens books. Find, read or write. Bibliotherapy: Good book happier kid. Retrieved January 9, 2008, from http://www.best-childrensbooks.com/index.html. Eldridge, S. (1999). Twenty things adopted kids wish their adoptive parents knew. New York, NY: Dell Publishing. Fiorini, J. J. and Mullen, J. A. (2006). Counseling Children and Adolescents through Grief and Loss. Champaign, IL: Research Press. Grier, L. O. (2006) Bibliotherapy: Coping with loss. Louisiana Libraries, 69 12-20. Joshua, J. M. and DiMenna, D. (2000). Read two books and lets talk next week: Using bibliotherapy in clinical practice. New York, NY: John Wiley and Sons, Inc. Leon, I. G. (2002). Adoption losses: Natura lly occurring or socially constructed? Child Development, 73 652-663. Manifold, M. C. (2007). The healing picture book: An aesthetic of sorrow. Teacher Librarian,34, 20-26. Pehrsson, D. E. (2006). Benefits of utiliz ing bibliotherapy within play therapy. Play Therapy 1.2, 10-14. Silber, K. (1990). Children of open adoption and their families. San Antonio, TX: Corona Publishing Co. Trozzi, M. (1999). Talking with children about loss. New York, NY: Berkley Publishing Group. Van Gulden, H., and Bartels-Rabb, L. M. (1993). Real parents, real children: Parenting the adopted child. New York, NY: Crossroad Publishing Co. Watkins, M. and Fisher, S. (1993). Talking with Young Children About Adoption. London: Yale University Press.
ALLEGORIES OF VAMPIRE CINEMA Jeremy Magnan Department of English & Creative Writing Allegories of Vampire Cinema is a theoretical film essay involving the issue of spectator relations to vampire films before, during, and after viewings. The piece closely examines which character the spectators are truly meant to connect with. This is an interesting and important issue to raise as it offers a new analysis that had not previously been explored, aligning the spectators not with the protagonists of these stories, but with the vampire itself. In my research, I gathered dozens of books, magazine articles, and journal entries to delv e deeply into the horror genre and vampire subgenre. I also screened ove r three dozen vampire films, though only a handful are cited directly. The essay was pieced together from the beginning of January through Marc h when, upon completion, I presented my findings at the 2008 PCA/ACA National Conference in San Francisco. Implications that are brought to light upon the revelation that the spectator is being aligned with vampires includ e the notion that the vampire film may not be an isolated case. With further study, theories and analyses may bring about spectator relations and alignments with not only a myriad of other antagonistic horror icons, but antagonists throughout the entire scope of film. Many authors have sought to lend insight into the metaphorical relationship between the vampire, their victims, and even their spect ators. On the spectators of horror films in general, Joseph Biggs and Dennis Petrie offer that ...one goes to the horror film in order to have a nightmare... a dream whose undercurrent of anxiety both presents and masks the desire to fulfill and be punished for certain conventionally unacceptable impulses (Biggs & Petrie, 2008, p. 484). It is their position that the spectators of horror view these films due to a subconscious desire to see their unaccep table impulses played out by the monster (in our discussion, vampires) and to be punished for the surrogate actions that the monster plays out in our stead. In regards to the vamp ire, Jorg Waltje sees our clear alignment with the vampire as soon as we sit down in the theater. He explains: The vampire only comes out in the dark and spends the rest of the time in his coffin. The spectators voluntarily sit in a coffin (the darkened cinema), watching a screen on which not only light but also (within and between every frame) darkness is projected (Waltje, 2000, p. 29).
J. Magnan 144 While I agree that this is a startlingly clear example of our relationship to the vampire, this vampire-spectator relationship can be further clarified through a common iconographical object in most of these films in a way that has not as yet been established. Lacans famous mirror stage is one of his pillars of seeking out the moment when the identity of a child in relation to itself begins to develop. The child... can already recognize as such his own image in a mirror. This recognition is indicated in the illuminative mimicry of the AhaErlebnis ... This event can take place... from the age of six months... up to the age of eighteen months (Lacan, 2004, p. 441-442). Aha, you may say, but the vampire casts no reflection, does it not? Stoker himself, Draculas keeper, has been the catalyst for your exclamation: This time there could be no error, for the man was close to me, and I could see him over my shoulder. But there was no reflection of him in the mirror (Stoker, 2003, p. 30-31)! So what would Draculas answer to Lacans mirror stage be in fact? Fiona Peters states: Vampires have no need for an unconsciousnor can they be seen in mirrors because they do not need to rely on the process of identifications that Lacan describes; in other words they have not become formed as human subjects, and in the case of those who become vampires after being human... they have evaded the symbolic order... (Peters, 2006, p. 180) In Peters argument, humans who become vampires have separated and transcended themselves from the symbolism th at is the vampire to become one of them. Interesting... My question for Peters would be What if someone was a vampire and didnt know it? Must they still graduate from the fully-fledged humans mirror stage? I believe they do. But who ever heard of someone not knowing that they are in fact a vampire? Perhaps my line of questions has no value... I believe Slavoj i ek had it right when he said, It is therefore clear why vampires are invisible to the mi rror: because they have read Lacan and, consequently, know how to be have... (iek, 19992, p. 126) Christian Metzs groundbreaking work in The Imaginary Signifier is the starting point from which I will make clear the metaphorical truth behind the absence of the vampire from the mirror. He theorizes that ...film is lik e a mirror... (Metz, 2000, p. 410). He goes on to explain that, ...although... everything comes to be projected, there is one thing, and one thing only that is never reflected in it: the spectators own body (Metz, 2000). If this is true, then perhaps we have not developed our identification inside of this film-mirror through Lacans mirror stage. Metz responds, ... what makes possible the spectators absenceis the fact that the spectator has already known the experiences of the mirror... (Metz, 2000, p. 411) Later he adds that because of this, The spectator has the opportunity to identify with the character of the fiction (Metz, 2000, p. 411). Im not entirely convinced though that it is a simple identification that we are meant to make.
Allegories of Vampire Cinema 145 It is through iek and Metz though that my claim is ready to be revealed: the mirrors in which vampires cannot be seen are analogous to the film-mirror that we encounter when we go to the cinema to view one of these films. As such, it is clear that not only are we aligned with the vampire through the space we enter and the darkness we become enveloped in as Waltje has claimed earlier, but we are the vampires that we see in front of us. It is not a mythic, undead man with phallic teeth that we are being warned against; the vampire is our subconsciously primal sexual and violent desires, and we are seeing our mirrored selves in its eyes. We do not identify with the fictional character as supposed by Metz though; it is the vampire who is identifying with us. Our vampire cannot be seen inside of the mirror. Metz also adds that there is not only so me sort of relationship between spectators and characters in the films but also with the e quipment that films employ as well, ...the spectator can do no other than identify with the camera, too, which has looked before him at what he is now looking at... (Metz, 2000, p. 413-414) This can be seen as an explanation of our absence from the film-mirror as well. If it is true that we see what the camera before us has seen, then the camera is, in fact, a surrogate for our sight in our absence from the set. What is projected upon the screen then, is our vision returning to us. This is only appropriate in regards to our absence because, supposing we were there to witness the acts being displayed for us on the scr een, we wouldnt be able to see ourselves then either. So, if the screen, or film-mirror, is actually casting our own reflection when we see the vampire, then it is safe to assume that when the vampire looks into the mirror, s/he
J. Magnan 146 must see us, and, when they do, they often react violently upon this reflection, frequently shattering the glass. But why? If the vampire is meant to be the embodiment of human evil (Wright, 1974, p. 45), and/ or the incarnation of unbridled sensua lity (Wright, 1974, p. 45), as Judith Hess Wright claims, then perhaps the vampire dest roys the mirror because it sees in that instant that it is only one fragment of who we are and/ or who we can become and the idea that we have a choice to leave the theatre and its da rkness behind is more than the vampire in us can bear. We have let the vampire in us escap e into the screen for a few hours and when we drag it kicking and screaming, pushing it back down into our subconscious realm, it reacts in the same way a two year old reacts when hearing the word no. Through this, ieks joke about vampires having read and/ or at least having gone through Lacans mirror stage holds more weight than he probably surmised when adding it to the page because, in fact, we all have. Waltjes earlier claim is unfinished. He goes on to say, Having turned themselves [the spectator s] into vampires, they are waiting for the film-vampire to come out and join them (Waltje 2000, p. 29). This is actually a half-truth. We spectators are merely waiting for the vamp ire within us to have its fun and then rejoin us once we see that side of us punished for its desires by the protagonists that we thrust it against. Matthew Bunson explains the vampires aversion to mirrors in The Vampire Encyclopedia : Folklore for this aversion stem from the concept that a mirror also reflects a soul, and evil beings have no soul to reflect. It has also been argued that the bloodsuckers actually exist in two worlds, that of the living and that of the dead. As it is in neither world completely, it will not be seen in a mirror (Bunson, 1993, p. 176-177). Without us, the vampire wouldnt have a soul to reflect, as it is nothing more than a decimal without our complete presence. Also as I have just outline, the vampire does indeed live in two worlds. Apart from us, acti ng out its desires inside of the screen, it is dead. It cannot actually live without its true host. Before we release it into the screen and after we trap it once again after the film, it is a part of our whole and, as such, is alive with us. It is also interesting to note that this spectator-screen-vampire relationship has not gone unnoticed and that films since Coppolas Bram Stokers Dracula have actually taken this dynamic a step further than only showing us the vampires absence from the mirror. Patrick Lussiers Dracula 2000 includes a scene in which a young, voluptuous reporter (Valerie Sharpe) and her cameraman are attacked by Dracula. As the attack begins, the camera man sees Valerie seize up, and her neck is suddenl y sliced open though no cause can be seen through the lens of the camera. Sharpe flees into the news van and watches in horror as Dracula manhandles her colleague. As she watc hes on the video monitor receiving the feed
Allegories of Vampire Cinema 147 from the camera, Dracula is absent from the screen He is absent from this film-mirror just as we are absent from the film-mirror in front of us. Valerie Sharpe is attacked. The cameraman is being attacked by Dracula though he cannot be seen on the screen.
J. Magnan 148 In Shadow of the Vampire (E. Elias Merhige, 2000), Max Schreck is fictionalized as being a real vampire during the filming of Murnaus Nosferatu In a pivotal moment of the film, Schreck encounters a projector on his own, without the interference of Murnau and his crew. Stacey Abbott describes the scene: Like a child amongst toys, he curiously begins to crank the lever resulting in an image of a sunrise being projected onto the wall. While he is transfixed by the sight of the first sunrise he has seen in centuries, the sequence changes meaning as soon as Schreck instinctively places his hand before the lens in order to protect his shadow on the screen. This equipment captures and projects a part of himself (Abbott, 2004, p. 3). The vampire, in this scene, is seeing what it is to be the whole without us. His shadow, the part of himself that Abbot is referring to, is representative of the vampire as part of us cast upon the screen. It is not a surprise that in spite of this essays claims, people will continue to flock to the theatres to unleash their inner vampires ever y time a new vampire film is released. For lovers of these films, it is a necessary evil, a period of time when they can allow these subconscious desires to manifest themselves be fore their eyes, relieving the tension that bottling these desires creates. Nina Auerbach sh ares that ...what vampires are in any given generation is a part of what I am... (Auerbach, 19 95, p. 1) Do not be afraid of the vampires that reveal themselves to you on the screen. Be afraid if you find yourself trapped in the darkness of the theatre, unable to bottle them back inside once the credits have rolled. References Abbott, S. (2004). Spectral Vampires: Nosferatu in the Light of Technology. Horror film: Creating and Marketing Fear Ed. Steffen Hantke. Jackson: University Press of Mississippi. 3-20. Auerbach, N. (1995). Our Vampires, Ourselves Chicago: University of Chicago Press, Biggs, J. M., and Petrie, D. W. (2008). The Art of Watching Films 7th ed. New York: McGraw Hill. Bram Stoker's Dracula Dir. Francis F. Coppola. Perf. Gary Oldman, Winona Ryder, Anthony Hopkins, and Keanu Reeves. DVD. Columbia Pictures, 1992. Bunson, M. (1993). The Vampire Encyclopedia New York: Crown. Dracula (2000) Dir. Patrick Lussier. Perf. Gerard Butler, Christopher Plummer, Jonny Lee Miller, and Justine Waddell. DVD. Dimension Films.
Allegories of Vampire Cinema 149 Lacan, J. (2004). The Mirror Stage as Formativ e of the Function of the I as Revealed in Psychoanalytic Experience. Literary Theory: An Anthology Ed. Julie Rivkin and Michael Ryan. Malden: Blackwell, 441-446. Metz, C. (2000). The Imaginary Signifier. Film and Theory: An Anthology Ed. Robert Stam and Toby Miller. Malden: Blackwell. 408-436. Peters, F. (2006). Looking in the Mirror: Vampires, the Symbolic, and the Thing. Vampires: Myths and Metaphors of Enduring Evil New York: Rodopi Press. 177187. Shadow of the Vampire Dir. E. E. Merhige. Perf. John Malkovich, Willem Dafoe, Udo Kier, Cary Elwes. DVD. Lions Gate Films, 2000. Stoker, B. (2003). Dracula New York: Barnes and Noble Classics. Waltje, J. (2000). Filming Dracula: Vampires, Genre, and Cinematography. Journal of Dracula Studies Official Publication of the Canadian Chapter, Transylvanian Society of Dracula. 24-33. Wright, J. H. (1974). Genre Films and the Status Quo. Jump Cut Jump Cut. 42-50. iek, S. (1992). Enjoy Your Symptom!: Jacques Lacan in Hollywood and Out New York: Routledge. Further Reading Bauer, R. N. (1999). Hearing Dracula: Sound as Sign in Film. Romance Languages Annual West Lafayette: Purdue R esearch Foundation 9, 138-143. Bordwell, D. and Thompson, K. (2008). Film Art: An Introduction 8th ed. New York: McGraw Hill. Braudy, L. and Cohen, M. (1999). Film Theory and Criticism 5th ed. New York: Oxford University Press, 610. Clover, C. J. (1993). Men, Women, and Chainsaws: Ge nder in the Modern Horror Film Princeton: Princeton University Press. Dyer, R. (2001). Dracula and Desire. Film/ Literature/ Heritage: A Sight and Sound Reader Ed. Ginette Vincendeau. Berkley: University of California Press, 91-97. Heldreth, L. G. (1999). Vampires in Film & Television. Journal of Popular Film & Television Washington: Heldref Publications. Henderson, C. J. (2001). The Encyclopedia of Science Fiction Movies: From 1897 to the Present New York: Checkmark Books. Holte, J. C. (1999). Not All Fangs are Phallic: Female Film Vampires. Journal of the Fantastic in the Arts Armonk: Sharpe, Inc., 163-173. Jenkins, H. (2000). Reception Theory and Audience Research: The Mystery of the Vampires Kiss. Reinventing Film Studies Ed. Christine Gledhill and Linda Williams. London: Arnold, 165-182. Kittler, F. (1997). Literature, Media, and Information Systems New York: Routledge. Konigsberg, I. (1998). How Many Dracul as Does it Take to Change a Lightbulb? Play it Again, Sam: Retakes on Remakes Berkley, University of California Press, 250-275.
J. Magnan 150 Senf, C. A. (1979). Dracula: Th e Unseen Face in the Mirror. The Journal of NarrativeTechnique Ypsilanti: Eastern Michigan University Press, 160-170. Siegel, S. and Siegel, B. (2004). The Encyclopedia of Hollyw ood: An A-Z Guide to the Stars, Stories, and Secrets of Hollywood 2nd ed. New York: Checkmark Books. Worland, R. (2007). The Horror Film: An Introduction Malden: Blackwell. iek, S. (1991). For They Know Not What They Do: Enjoyment as a Political Factor New York: Verso.
REPLY TO WARD CHURCHILL Andrew Feldheim Philosophy Department In this paper, I reply to Ward Churchills contention that, in struggles against tyrannical regimes and oppressive political systems, nonviolent resistance is ineffectual without either corresponding violence or the threat of violence. My response attempts to show why nonviolent resistance is an effective method in its own right, and can be superior to violent alternatives in terms of accomplishing both short and long term objectives. Finally, I address a peculiar aspect of Mr. Churchills position that, while insulating it from falsifiability, simultaneously limits both its credibility and usefulness. In Pacifism as Pathology: Notes on an American Psuedopraxis, Ward Churchill condemns nonviolent resistance as ineffectual unless accompanied by either violent resistance or the threat of such violence. In his words, The essential contradiction inherent to pacifist praxis is th at, for survival itself, any nonviolent confrontation of state power must ultimately depend either on the state refraining from unleashing some real measure of its potential violence, or the active presence of some counterbalancing violence of precisely the sort pacifism professes to reject as a political option (Churchill, 1998, p. 44). His contention is that all nonviolent resistance must necessarily result in one of two outcomes: .) To render themselves perpetually ineff ectual (and consequently unthreatening) in the face of state power. In which case they will likely be largely ignored by the status quo and self-eliminating in terms of revolutionary potenti al; or 2.) to make themselves a clear and apparent danger to the state, in which case they are subject to physical liquidation by the status quo and are self-eliminati ng in terms of revolutionary po tential (Churchill, 1998, p. 44). In other words, he claims that nonviol ent resistance is either ineffective or extinguished before becoming effective. I believe that Mr. Churchill has base d his argument on a false dichotomy. Between the extremes of the impotent and the vanquished lie those movements, many of them nonviolent, who have achieved varying degrees of success on behalf of the disenfranchised and oppressed. The purpose of this paper is to prove the viability of this largely nonviolent middle ground and to highlight the flaws in Churchills argument. My argument will consist of four parts. The first will propose an alternative to violent action in the form of nonviolent coercion. The second will show how Gene Sharp (2002) makes use of such nonviolent methods to construct a strategy desi gned to systematically undermine and, in some cases, disintegrate, tyrannical regimes. The third highlights some of the reasons why violent resistance may be less effective than its nonviolent counterpart. The fourth and final part shows that Mr. Churchills contentions, while containing some elements of truth, have serious structural flaws that may cause one to question the strength of his conclusions.
A. Feldheim 152 Churchill seems to confuse nonviolent action with inaction This is clearly not the case. As Kurt Schock makes clear, [N]onviolent action is active it involves activity in the collective pursuit of social or political objectives and it is non-violent it does not involve physical force or the threat of physical fo rce against human beings (Schock, 2005, p. 705). And herein lies the only limitation. All other forms of coercion, except physical violence, remain as viable options for the nonviolent proponent of social change. As will be outlined in the next section, the concerted application of economic and social pressure against repressive political systems can be of enormous value in achieving a greater share of justice for the oppressed, without resorting to physical violence or the threat of such violence. In From Dictatorship to Democracy: A Conceptual Framework Gene Sharp conducts a comprehensive examination, probing for th eoretical and historical weaknesses within tyrannical regimes, that can be effectively, and nonviolently exploited to undermine and, in some cases, disintegrate, these unjust systems. Sharps logical strategy is clear and powerful: Locate the points where an oppressive re gime is most vulnerable, and the points at which this system depends on the cooperation of the very people it oppresses. Then apply pressure to those points in order to fu rther weaken its overall structure and exploit these dependencies. In terms of well thought out strategies and tactics, Gene Sharp provides an impressive list that should be effective at weakening, an d eventually dissolving, repressive authorities, and which also aims at the successful establishment of democracies after the dictatorships have fallen. It is noteworthy that Sharp s methods for accomplishing both short and long term goals have consistently proven to be effective in many different instances, without resorting to the violent tactics that Church ill insists are necessary. Notable examples can be found among the nonviolent actions taken in Chile during the late 1980s, when resistors exposed the illegitimate acts of torture perpetrated by their government (Deats, n.d.), and the Argentinean women who courageously and peacefully protested the illegitimate acts of kidnapping perpetrated by their government (Ruddick, 1989, p. 226). Any overview of nonviolent struggles, however brief, seems incomplete without some mention of the paradigm examples of the nonviolent movements headed by Mahatma Gandhi, on behalf of his fellow Indians struggle for equality and self-rule, and Dr. Martin Luther King, Jr., on behalf of the African-Am erican struggle for equal rights in the United States. Mahatma Gandhi, the great pioneer of nonviolent resistance, showed, through his incredible courage and relentless determina tion, the true power and effectiveness of nonviolence. Referring to Gandhi, Dr. Martin Luther King, Jr. said, As I read his works, I became deeply fascinated by his campaigns of nonviolent resistanceAs I delved deeper into the philosophy of Gandhi, my skepticism concerning the power of love gradually diminished, and I came to see for the first time that the Christian doctrine of love, operating through the Gandhian method of nonviolence, was one of the most potent weapons available to oppressed people in their struggle for freedom (King, 1963, p. 72). Churchills assumption that, when a nonviolent group becomes a viable threat to an oppressive government, this grou p would be destroyed or become self-eliminating, does
Reply to Ward Churchill 153 not match the evidence, since both Dr. Kings movement in the United States and Gandhis movement in India survived their successes. In many of the cases under discussion, violent resistance simply does not make good practical sense, and would result in unaccepta ble losses, while contributing relatively little to the overall cause. One reason for the in appropriateness of violent action in these circumstances is stressed repeatedly by Sh arp and others. Implicit in almost all the situations under discussion is the assumption that the group doing the oppressing has more weapons, soldiers and all the other necessar y ingredients for violent action than the group being oppressed. In such cases, if the subjugated gro up insisted on using violent means as their primary mode of operation, their moveme nts would effectively amount to suicide, and the actual benefit to their cause would probably be negligible. It may be objected at this point that some groups and individuals protes ting in this way, and willingly giving their lives, could inspire others through their martyr dom. Their sacrifice could possibly elicit the sympathy of other groups that may be willing to help their cause. In answer to this, one only has to consider the response that people are likely to elicit using this method in a nonviolent, as opposed to a violent, way. The Buddhist monks who immolated themselves in protest during the Vietnam War, and the followers of Gandhi who were beaten and killed, represent this method done nonviolent ly. They sacrificed their lives while making sure to harm no one else. In contrast, consider the suicide bomber who kills herself in the middle of a crowded marketplace, taking as many people as possible along with her. She is representative of martyrdom conducted violently. Both are types of martyrdom; but to the former, we assign virtue, while, to the latter, condemnation. The nonviolent variation is far more likely to elicit the support of other groups and even nations. It is practically superior. There is also something to be said about the difference in results that are obtained when a dictatorship is overthrown through vi olent means, as opposed to nonviolent means. Gene Sharp notes that, essential to the removal of a dictatorship and the establishment of democracy, is a fundamental redistribution of the governmental power structure. Violence may be less conducive towards this goal. According to Sharp, A military coup d etat against a dictatorship might appear to be relatively one of the easiest and quickest ways to remove a particularly repugnant regime. However, there are very serious problems with that technique. Most importantly, it leaves in place the existing maldistribution of power between the population and the elite in control of the government and its military forces. The removal of par ticular persons and cliques from the government positions most likely will merely make it possible for another group to take their place. (Sharp, 2002, p. 5) Sharp feels that, unless the dictatorial power structure is changed to a more democratically oriented power structure, the stage is set for another tyrannical group to simply take the place of the deposed one. At this point, in order to avoid the same reliance on absolutes that I find inappropriate in Churchills argument, it is important to recognize the crucial role that the uniqueness of every situation has in determining the proper methods to be employed on behalf of an oppressed or subjugated group. There are kernels of truth in Churchills contentions that
A. Feldheim 154 have more or less import in accordance with the specific situation. There are cases, both historical and theoretical, for which violent action seems the only logical alternative. The extermination of the European Jews during Wo rld War II seems like such an instance. One important difference between this example and the oppression of Indians by the English, or African-Americans by the United States, is th at, in the case of the Nazis, it was not an instance of the same type of repression. They did not wish to subjugate or exploit the Jews; they simply wished to kill them. Fortunately, however, the Nazi exampl e is the exception rather than the rule. Most cases of oppression stem from a wish to subjugate a population in order to profit unfairly from their labors, or to usurp their property. To give Mr. Churchill his due, even in cases such as these, there may be factors, specific to particular situations, which call for violent resistance or a mixture of violent and nonviol ent resistance. Each situation must be evaluated on its own merits. My contention is not that there is no truth in Churchills position. Rather, it is his use of absolutes his insistence that violence or the threat of violence is always necessary, that demands a refutation. Churchill presents his contention, that violence or the threat of violence is a necessary constituent of successful resistan ce to tyranny, in a way that makes it unfalsifiable. This, however, does not add to its merit. To potential counterexamples, Churchill simply relies on the presence of groups which may be potentially violent. The very nature of tyranny, however, naturally encourages feelings of resentment and hostility on the part of the oppressed. If one looked hard enough, he could always find some indication of potential violence, even if not overt. Churchills argum ent will, in this sense, always be true, but gives us no more actual information than a tautology. Also, since Churchill supposes a causal relationship between violent resistance a nd the defeat of dictatorships, and this construct is placed within an historical c ontext, we can never know what would have happened if there had been no violence or the threat of violence, but only nonviolent resistance. While it may not be possible to prove Churchills argument unsound, its very nature makes it of limited utility. VI. References Churchill, W. (1998). Pacifism as Pathology: Notes on an American Psuedopraxis [sic] Pacifism as Pathology Winnipeg, Manitoba: Arbeiter Ring. 29-69. Deats, R. (n.d.). The Global Spread of Active Nonviolence. From the Authors website. http://deatspeace.tripod.com/global1.html King, M. L. (1963). Pilgrimage to Nonviolence. Christian Century Foundation, 1960. Rpt. In Instead of Violence: Writings by the Great Advocates of Peace and Nonviolence Throughout History Ed Arthur and Lila Weinberg. New York: Grossman. 69-75. Ruddick, S. (1989). Notes Toward a Feminist Peace Politics. Maternal Thinking New York: Ballantine. Sharp, G. (2002). From Dictatorship to Democracy: A Conceptual Framework For Liberation Boston: Albert Einstein Institution. Schock, K. (2005). Unarmed Insurrections: People Power Movements in Nondemocracies. Minneapolis, MN: University of Minnesota Press.
BARBARA KRUGER, YOUR BODY IS A BATTLEGROUND Katherine Calak Womens Studies Program Barbara Kruger explores feminist theory through artistic expression. Her continued use of black and white imag ery combined with red blocks of text derive from her background in art and design and her previous careers designing and editing magazines such as Mademoiselle and House and Garden Kruger voices her concerns over feminist issues through bold images and text and in consequence, she is able to gain the viewers attention in a manner that differs from that of many other artists. This paper discusses patriarchal values, discourses of the gaze, and the crises in consumerism in relation to Krugers work. The problematic social norms that arise from patriarchy are exposed through her designs. In much of Krugers work, she reveals con cepts with such an impact that the viewer is forced to further cons ider her or his own opinions and perceptions in relation to these issues Kruger also works with the subject of the gaze and its relation to male power. Through the gaze, men are able to gain control over the bodies of women, creating a tension between the two sexes. Kruger ties this to a critique of consumerism, in that everything in Euro-American culture can be bought, sold, and owned. This ideology extends to relationships amongst individuals further causing struggles over control and power. Art is not truly art unless it stands for something, gives a point of view or relays a message in someway. There is no possible way to create a visual piece that does not involve communication. A piece of artwork sends some sort of message for the viewer to process, even if only for a split second. When thinking of political or social views, one can often bring to mind an artist or a work of art that attempts to convey the message as well. Mixed media artist and graphic designer, Barbara Kruger sends powerful messages concerning feminism and womens rights through her artw ork (Kruger, 1990). In much of her work, she uses bold, sometimes controversial black and white imagery along with text that is laid over blocks of vivid red color to catch the view ers eye to evoke a concern over a particular topic. In her montage, Untitled (Your Body is a Battleground) from 1989, Kruger voices her opinion to protect womens rights through an image that also raises issues of power, patriarchy, stereotyping, and consumption. Krugers untitled work known as Your Body is a Battleground shown in her book Love for Sale depicts a bold black and white phot ograph with its meaning emphasized through red blocks filled with white text. The image is of a womens face split symmetrically along the vertical axis. Ther e is a play of positive and negative space between the two halves of the image, highligh ting ideas of positive versus negative, white
K. Calak 156 versus black, good versus bad (Kruger, 1990, p. 87). The figures characteristics such as her hair and makeup display that of a 1950s st yle. Her gaze is directed straight ahead, making eye contact with the viewer. The design was executed in support of the 1989 march on Washington to support the rights of women with an emphasis on abortion (the right to choose) and birth control rights. Kruger stresses her own commitment to these issues by stamping the words Your Body is a Battleground down the center of the page. In this piece, the words Your Body is a Battleground relate to an array of political and social stances. Ideas of power and structure in society are often referenced in Krugers work. In the book Love for Sale Kate Linker explains, Pow er cannot be centralized; rather, it is diffused, decentralized, and in consequence, anonymous: it exists less as a body than as a network of relations unifying social apparatuses and institutions (Kruger, 1990, p. 27). Since power is something that cuts through all aspects of society, women are forced to defend themselves and their livelihoo ds in society. The words Your Body is a Battleground, reference this constant fight in which women take part. The fight over a womans right to choose what happens with her own body is one that intensely revolves around power. In her essay Biologically Correct, feminist writer Natalie Angier writes that there is a struggle between men and wo men over the same valuable piece of real estatethe female body (Angier, 2003, p. 10). There is a constant push and pull between the sexes: women fight to have control over their physical bodies as well as their places in society, while men fight to maintain their dominance over women in society. Thoughts of patriarchy are spoken through Krugers artwork. According to Jane Pilcher and Imelda Whelehan, authors of Fifty Key Concepts in Gender Studies Literally, patriarchy means rule by the male head of a so cial unit (a family or tribe for example). The patriarch, typically a social elder, has leg itimate power over others in the social unit, including other (especially younger) men, all women and children (Pilcher, 2008, p. 93). As reviewed in psychologist and writer, Ca rol Gilligans essay Sisterhood is Pleasurable: A Quiet Revolution in Psychology, the traditiona l ways of society construct a barrier that forces women to be inferior to men. Patriarchy is formed when men take the dominant role in the family. If a man is the head of the family, then his ideas diffuse down through the inferior members of the family, causing these members to take his ideas and opinions as their own. In this way, the mans views dominate not only in his immediate family, but also in society because they become not just the dominant views, but also the only views (Gilligan, 2003, p. 98-100). Linker states, Kr ugers mission is to erode the impassivity engendered by the imposition of social norms: hence the gist of a work from 1982, in which the words We have received orders not to move are superimposed on an image of an immobile womans body, pinned against a wall (Kruger, 1990, p. 28). In this image, Kruger portrays the controlling means of patria rchy by depicting a silhouette of a woman with sewing pins literally fastening her to th e background (Kruger, 1990, p. 28). The pins reference womens work and he lp to show how women are kept in the home, or in their place, and away from prestigious, male dominated careers. Kruger bases much her design work on stereo typing, referring to its domain as that of figures without bodies (Kruger, 1990, p. 28). She attempts to seize and manipulate the stereotypes that Euro-American culture reli es upon so greatly. Kruger has found inspiration for many a work in the words of British writer John Berger, who states in Ways of Seeing from 1972, Men act and women appear Men look at women. Women watch themselves
Barbara Kruger, your Body is a Battleground 157 being looked at (Berger, 2003, p. 38). The ma le gaze turns women into objects that are not permitted to think for themselves. Their thoug hts, opinions, and behaviors stem from the constant judgments of men. In the work Untitled, (Your Body is a Battleground), Kruger challenges this issue by depicting the female figure in confrontation with the viewer. The subjects eyes glare directly at the viewer in defense. Kruger takes the opposite approach to this very subject in her piece, Untitled (Your gaze hits the side of my face) In this piece, she shows a porcelain-like female head facing parallel to the viewer with text stacked down the left edge of the page reading, Your gaze hits the side of my face. Linker suggests, She may be referring to the power of the gaze to arrestliterally petrifyits object (Kruger, 1990, p. 62). This implies that the ma le gaze prevents a true liberation of women. Women are still tied to the implications of patriarchy and the dominant male figure. In this piece, Kruger does not show what she wishes would happen when women are confronted as she does in Untitled (Your Body is a Battleground), but she confronts the viewer with what she feels are the despairi ng realities amongst which we live.1 As a slight break from most of her work, Kruger created a piece named Untitled (You construct intricate rituals which allo w you to touch the skin of other men) which is featured in her book Love for Sale Kruger portrays male figures as opposed to her typical female figures and confronts an issue from the opposite direction. In this piece Kruger pokes fun at the male persona by depicting a group of men who seem to be jokingly wrestling with text running across the right si de of the page stating, You construct intricate rituals which allow you to touch the sk in of other men (Kr uger, 1990. p. 52). This piece takes the assumption that affection between men is generally unacceptable because by showing affection, one is taking on femi nine personality traits. This leads to the stereotypes that women are frail and need a strong, sturdy masculine figure in order to perform in society. Kruger relates her work to the consumer driv en society in which we live. It is evident in her use of red enameled frames to comm odify her images, announcing their market status and pointing to the market as the irrefutable condition that no objectleast of art can evade (Kruger, 1990, p. 76). Commodity is built into every aspect of our culture, even the purest objects or ideaseven the purest pieces of art are eventually given a value or a price tag. By having her work itself reflect consumerism, Kruger indirectly portrays women as being for sale as well. In this way, she shows how women are generally portrayed in societyas belonging to someone else. This idea of ownership is a direct result of consumer society. Ideas of consumerism take more direct forms in work such as Krugers Untitled (I shop therefore I am). This piece shows a generic hand grasping a red block of color which contains the words, I shop therefore I am. In Krugers book, Love for Sale there is a photograph of a woman carrying a handbag or sh opping bag with this image printed onto it. In reference to this piece, Linker states, th e consumer world, as Kruger remarks of Peewees Playhouse, is a place where things reign supreme (Kruger, 1990, p. 78). Society 1 Over time, theories of the gaze have developed, becoming more intricate. Feminist, Bell Hooks has addressed issues of the gaze in reference to r ace and sex (Hooks 94) an d artist, Mary Kelly has analyzed notions of the gaze through psyc hoanalytic theory (Kelly 72).
K. Calak 158 does not take into account who we are, but in stead what we have. This, in a way, causes people to be dormant things rather than actual beings, leaving us with a completely plastic society. In a video named Consumption, artists Michael Ray Charles, Matthew Barney, Andrea Zittel, and Mel Chin collaborate to show and explain work of their own which references a consumer driven society enco mpassed with mass production. Kruger and tennis star and sports commentator, John McEnroe, created the introduction to this video. McEnroe is shown briefly explaining what the viewer is about to see, while being periodically interrupted by flashes of Krugers red and white blocks of text displaying messages such as Love art, Buy art, and Sell art and Feed me, Love me, Buy me, Sell me ( Consumption, 2002). Krugers text addresses the viewer in much the same way advertisers sway a consumer to buy a produc t (Consumption and Contemporary Art). The text also interrupts McEnroes monologue similar to how our lives are constantly interrupted by intrusive advertisements. Kruger uses photomontage as well as other forms of media to question the viewer with ideas of feminism and the ways in which society treats and often mistreats women. Generally, Krugers work is united in that most of it stands for the same set of morals and values. In particular, her piece, Untitled (Your body is a battleground), portrays notions of power, patriarchy, stereotyping, and consumpti on. This design was originally created in support of a womens rights march on Washington. In the piece, the face of a woman directly confronts the viewer. The text plays off of ideas that the female body causes disputes over control between men and women. The red framing of the image as well and the bold text give feelings of advertising and commodity. Concepts such as these are dispersed throughout Krugers work presenting her political and social views to society. References Angier, N. (2003). Biologically Correct. Sisterhood is Forever: The Womens Anthology for a New Millennium Robin Morgan. New York: Washington Square Press, Berger, J. (2003). "Ways of Seeing." The Femini sm and Visual Culture Reader. Ed. Amelia Jones. New York: Routledge. Consumption and Contemporary Art. art:21. 2005. Art21, Inc. 18 March. 2007 Consumption Wesley Miller. Perf. John McEnroe, Michael Ray Charles, Matthew Barney, Andrea Zittel, Mel Chin. FLAT, 2002. Gilligan, C. (2003). Sisterhood Is Pleasurable: A Quiet Revolution in Psychology. Sisterhood is Forever: The Womens Anthology for a New Millennium Robin Morgan. New York: Washington Square Press. Kruger, B. (1990). Love for Sale New York: Harry N. Abrams, Inc. Pilcher, J., and Whelehan, I. (2008). Fifty Key Concepts in Gender Studies. London: Sage Publications.
AN ETHIC OF CARE CRITIQUE Thea Hassan Womens Studies Program The foundation upon which ethics should be based is debatable in the field of philosophy. Nel Noddings proposes An Ethic of Caring which offers a feminist approach to ethics based on caring. Noddings ethic of care is not beneficial to feminism because it encourages caring as the sole basis of ethics, hinders a womans ability to become autonomous, and reinforces traditional gender roles. Critiques offered by Victoria Davion, Jean Keller and Virginia Held offer insightful additions and modifications of Noddings ethic of care. Noddings ethic of care, while beneficial to general ethical guidelines, is not ap propriate for feminism because it encourages traditional gender roles fo r women, ignores virtues besides care, and inhibits a person from becoming autonomous. The ethic of care could be improved by the addition of autonomy and justice into the theory. Philosophers have long debated a moral foundati on on which ethics should be based. In the light of feminism, a code of ethics which encourages womens liberation is sought as well. While Lawrence Kohlberg (1984) proposed a m odel for moral development with the basis of justice, many feminists reject this idea for women. Philosopher Nel Noddings (1995) rejects the idea of universal justice because it is based on an idea of sameness, and she believes that most situations are neither si milar nor equal; therefore justice is not applicable. Nel Noddings proposes an ethic of caring which offers a feminist approach to ethics based on caring. Noddings ethic of care is not beneficial to feminism because it encourages caring as the sole basis of ethi cs, hinders a womans ability to become autonomous, and reinforces traditiona l gender roles (Noddings, 1995). Noddings believes that ethics are motivated by a sense of duty. The sense of duty that Noddings suggests is the duty to care, and she splits care into two categories, natural caring and ethical caring. Noddings suggests that natural care is an innate characteristic, citing that even animals take care of their offspring, yet we do not call them moral (Noddings, 1995, p. 9). Her conclusion that ethi cal care is dependent on natural care is an interesting statement, because it is true that it is sometimes difficult to decipher whether the motivation behind certain actions is due to an innate compulsion to act or a sense of obligation to act. However, suggesting that care is innate is to imply that it is a womans nature to be compassionate and caring all the time. The ethic of care ignores the other virtues of a woman and replaces them simply with the virtue of care. In this way, Noddings ethic of care is naming the woman as the eternal nursemaid. Victoria Davion offers an insightful critique of Noddings ethic of care, suggesting that moral principles are based on more than the virtue of caring (Davion, 1993, p. 169). She
T. Hassan 160 indicates a variety of reasons why other virtues aside from care are necessary for an outline of ethics. One suggestion is that total e ngrossment in another individual could be dangerous, as well as a crutch to ones own morals. She gives the example of a woman supporting her Ku Klux Klan husband, thus displacing her own values by supporting his and becoming evil herself. This engrossment is obviously not beneficial to the development of a womens ethics or to thinking for herself. Jean Keller points out that heterosexual love often involves the womans adopting her man s ethics as her own, thereby not keeping her own beliefs (Keller, 1995, p. 153). The ethi c of care promotes total engrossment and displacement of ones own values in another individual, which is a risky act. Kohlberg defines his highest stage of morality as follo wing self chosen ethical principles but if a woman is following another individuals ethical principles, then accord ing to Kohlberg, she will never become completely morally developed (Kohlberg, 1984, p. 177). Davion also suggests that justice is necessar y in an ethical guideline (Davion, 1993, p. 171). Davion discusses Noddings example of the woman who is torn between standing by her racist family or her black friend who is fighting against her family. She does not want to break the ties with the fam ily, so eventually sides with them (Davion, 1993, p. 171). Ultimately, she is making the choice of acti ng immorally by displacing her own values for her family. The incorporation of other virtues into her decision-making in the light of certain dilemmas should be included, such as in the case an idea of justice in that all humans are equal. Therefore, Noddings ethic of care is not very useful in areas such as racism or homophobia (Davion, 1993, p. 163). Another example is if a womans husband is a homophobe and asks her to vote against same-sex marriage, she is expected under the ethic of care to do as he says in order to not break the caring relationship. The problem is, discrimination against homosexuals is wr ong and unjust; therefore it is questionable whether she is really acting ethically by acting caringly. Davion also offers an insightful sugges tion that the one-caring relationship model proposed by Noddings is not suitable for adult relationships. Adult re lationships should be based on reciprocity, not one-way caring (Davion, 1993, p. 167). This idea of one-caring entraps a woman into the role of permanent caretaker, with her ethics based on her ability to care. Furthermore, according to Noddings, if a woman is in a relationship that is not reciprocal and she wants to end this relations hip, this goal is not ethical because she is terminating a caring relationship. It is not a fair accusation to call someone immoral for ending a relationship in which there is not reci procity of care. A relationship should also be allowed to be ended when it interferes with ones morals. Davion states, I believe that what is missing from Noddings account is an account of the individuals within caring relations as important in themselves (Davion, 1993, p. 175). In fact, if Noddings had included a higher priority on the position of the individuals, her theory may have been more suitable for feminism, allowing women to cl aim a self-identity and therefore become autonomous. Noddings does state, perhaps in realizing her lack of reciprocity in the onecaring relationship, that the care ethic does not separate self and other in caring, although, of course, it identifies the special contribution of the one-caring and the cared-for in caring. (Noddings, 1995, p. 26). She is saying that if all relationships are one-caring, including the relationship with oneself, then selfinterest will be kept in mind. This is not necessarily
An Ethic of Care Critique 161 true, because if one is in a caring relationship that is harmful to health or spirit, according to the ethic of care, it is wrong to end the relationship. The only person benefiting from the relationship is the cared-for, while the one-caring remains as a doormat. It is also ironic that Noddings mentions reciprocity in regard to an imals; she does believe we should not have a one-caring relationship with an animal be cause there is no potential for it to show reciprocity (Noddings, 1995, p. 10). This view is slightly hypocritical, because surely there are people with whom we may engage in a one-caring relationship and who also show no potential for reciprocity, and yet this relationshi p is still justified by the ethic of care. Jean Kellers suggesting that care ethics is undermining to womens autonomy is indeed supportive of the claim that Noddings ethic of care is not suitable for feminism (Keller, 1995, p. 153). Care interrupts autonomy by interrupting a womans development of being able to think on her own. Under the obligation to care, the ability of a woman to choose her relationships is diminished (Keller, 1995. p. 157). Keller also points out that it is unclear whether womens caring is due to socia lization or to innate tendencies, as Noddings suggests. Although it is true that certain hormones in females after birth encourage nurturing behavior, it seems unrealistic to suggest that a female of any other species aside from our own would continue to have respons ibility to care for the offspring when it is capable of caring for itself (Flemming et al. 1997, p. 145). Furthermore, if caring in women is merely a development of the socializati on process that women go through, it would be difficult to abandon their socialization to act in accordance with what our authentic self wants, and thus become autonomous, without simultaneously becoming uncaring (Keller, 1995, p. 145). Noddings suggests that the development of the ideal self should be developed in congruence with ones best remembrance of caring and being cared-for (Noddings, 1995, p. 22). Therefore, she is rejecting the idea of autonomy. Care ethics also reinforces the idea of traditional roles of women as the homemakers, the caretakers, and the self righteous (Keller, 1995). In an ethic of care, a woman is expected to be the one-caring in all situations thus forcing her to remain in the position of sole caregiver. By reinforcing these gender rol es, the woman is caught in the role of a subservient person, caring for others but not for herself. It also reinforces an obligation to care while forgetting ones own needs. Noddings does state that if a woman is one-caring, she will care for her own needs, yet the ethic of care implies a certain neglect of the needs of the one-caring person. The one-caring is e xpected to give unconditional caring with the prospect of potential future reciprocity, no matter what her personal desires may be. According to Carol Gilligan, a woman who sacr ifices her needs for the needs of others would be at level two of her moral developm ent model for women. Gilligan explains her level two as defining the self and proclaiming its worth on the basis of ability to care for and protect others (Gilligan, 1977, p. 496). Ther efore, according to Gilligan, this woman would not yet be fully morally developed. Noddings ethic of care could be greatly enha nced by the addition of other virtues aside from care, such as justice or room for autonomous growth. This e xpansion would help boost her ethic of care to be an influential philosophy for feminism as well as well-rounded ethical guide for all persons. Her introduction of care into ethics is beneficial, and certainly much of ethics should be based on care. Howe ver, the problem with her one-caring model
T. Hassan 162 is that she neglects other aspects of morality. Virginia Held offers a meshing of care and justice in order to improve social relations an d public policy, stating that the two are both compatible and a useful combination (Held, 1995, p. 128). Noddings, however, cites specifically that justice should not be considered in moral decisions because moral judgments are not absolute, and moral judgments should be driven by obligation, not justice (Noddings, 1995, p. 22). However, a certa in amount of justice is necessary, because not every person will feel obligated to care a nd therefore should rely on a sense of justice. Without justice, issues such as racism would still persist. Furthermore, Noddings tries to sneak some self-worth into her ethic of care, but her theory is mostly encouraging nonautonomous behavior. If women are to be liber ated, they must be able to think for themselves and make autonomous decisions. Therefore, the ethic of care needs an element of self-development and autonomy incorporated into it. In conclusion, Nel Noddings ethic of care does make a positive contribution to ethical guidelines, by incorporating care into moral behavior. However, her ethic of care is not appropriate for feminism because it encourag es traditional gender roles for women, ignores virtues besides care, and inhibits a person from becoming autonomous. An appropriate aim for feminists ethics should focus on the mora ls of an autonomous woman and equality of men and women in ethics, giving neither the handicap. References Davion, V. (1993). Autonomy, Integrity, and Care. Social Theory and Practice : 161-182. Flemming, A., Ruble, D. Krieger, H. and Wong, P. Y. (1997). Hormonal and Experimental Correlates of Maternal Responsiveness during Pregnancy and the Puerpium in Human Mothers. Hormones and Behavior : 145-158. Gilligan, C. (1977). In a Different Voice: Womens Conceptions of Self and Mortality. Harvard Educational Review: 481-517. Held, V. (1995). The Meshing of Care and Justice. Hypatia 46: 128-133. Keller, J. (1995). Autonomy, Relationality and Feminist Ethics. Hypatia: 128-133. Kohlberg, L. (1984). The Psychology of Moral Development. New York: Harper. Noddings, N. (1995). Caring: A Feminine Approach to Ethics and Moral Education. Rpt. in Justice and Care, Ed. Virginia Held. Boulder, CO: Westview: 7-30.
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