UNDERGRADUATE RESEARCH 10Th ANNIVERSARY 1999 - 2009

THE JOURNAL of UNDERGRADUATE RESEARCH 10th ANNIVERSARY 1999 - 2009

The Journal of Undergraduate Research, 10th Anniversary Issue, is generously supported by the following groups at the University of Florida:

The William and Grace Dial Endowment The Dial Center for Written and Oral Communication The University Writing Program The Honors Program

Cover design by Jeff Stevens, College of Liberal Arts and Sciences Outreach and Communications

Photo Credits (from left to right): Hyacinthe Rigaud, Philip V; jp.negre, Sapeur de la légion étrangère, Alexandre Duret-Lutz, Passage Jouffroy – Paris, France; Javier Sanchez, Blue Crab, Miami; Kevin Law, Rooster – Colchester Zoo; Sittered / Matt P., Human Eye; Diogo Torres, Fluorescent immunocytochemical analysis of actin and tubulin in HTR-8 cells treated with Benzo[a]pyrene; James Preston, Seals on Galapagos Island

THE JOURNAL of UNDERGRADUATE RESEARCH 10th ANNIVERSARY 1999 – 2009

University of Florida’s Journal of Undergraduate Research publishes outstanding scholarship of undergraduates at the University of Florida and showcases the work of the University Scholars. JUR is published quarterly on-line at http://www.clas.ufl.edu/jur

Editors and Staff

Editor

Creed Greer, Associate Program Director Dial Center for Written and Oral Communication University Writing Program

Copy Editor

J. Kelly Byram

Editorial Board

John Denny, Interim Honors Program Director Angela Lindner, Professor of Engineering Will Harrison, Professor of Chemistry Jessica Harland-Jacobs, Professor of History Ken Sassaman, Professor of Anthropology David Denslow, Professor of Business/Social Sciences Richard Lutz, Professor of Business Peggy Borum, Professor of Agriculture Nina Hofer, Professor of Design, Construction, and Planning Maria Rogal, Professor of Fine Arts Mickey Schafer, Senior Lecturer in the Center for Written and Oral Communication Alison Reynolds, Lecturer in the University Writing Program J. Kelly Byram, Lecturer in the University Writing Program

Webmaster

Jeff Stevens

Benefactors and Supporters

The Journal of Undergraduate Research is supported by the University of Florida Honors Program, The College of Liberal Arts and Sciences, and the University Writing Program.

Submissions

For information about submitting papers for publication in the Journal of Undergraduate Research, go on-line to http://www.clas.ufl.edu/jur/submissions.html. JUR issues a call for papers each November with a deadline of May 1 for publication during the following academic year.

ii Table of Contents

Representing the French King of Spain: Philip V and Questions of Gender, 1 National, and Cultural Identity Thuvia Martin 2006-2007 University Scholar College of Fine Arts Mentor: Melissa Hyde

13 Testament to Torture: The Gangrene Affair Christopher Church 2005-2006 University Scholar College of Liberal Arts and Sciences Mentor: Sheryl Kroen

The Vertical Arcade: Searching for Benjamin’s Flâneur in the Contemporary 21 Urban City Silan Yip 2004-2005 University Scholar College of Design, Construction and Planning Mentor: Nancy Sanders

A Zooarchaeological Analysis of the Domestic Chicken Burial Excavated at 31 Kingsley Plantation Kelly M. Christensen 2006-2007 University Scholar College of Liberal Arts and Sciences Mentor: Susan deFrance

Publicly Traded Companies and Political Donations: Do Corporate Campaign 42 Contributions Enhance Shareholder Wealth? Marvin McTaw 2004-2005 University Scholar Warrington College of Business Mentor: Joel Houston

Native Florida Crustacean Predators’ Preferences Regarding the Non- 56 Indigenous Green Museel, Perna viridis (Linnaeus 1758) Emily Mitchem 2005-2006 University Scholar College of Arts and Sciences Mentor: Shirley Baker

iii 63 Ophthalmic Drug Delivery Through Contact Lenses Michael Abrahamson 2006-2007 University Scholar College of Engineering Mentor: Anuj Chauhan

Investigating Thematic Tourism as a Tool for Community-Based Ecotourism in 72 the Galápagos Islands Jenny Basantes 2006-2007 University Scholar College of Agricultural and Life Sciences Mentor: Taylor Stein

Characterization of Apoptosis Pathways and Cytoskeleton Structures in HTR-8 85 Immortalized Human Placental Cells Exposed to Porphyromonas gingivalis and Benzo[a]pyrene Diogo Torres 2006-2007 University Scholar College of Medicine Mentor: Kathleen Shiverick

95 The Effect of Dietary Arginine on Lean Body Mass Amy Klash 2001-2002 University Scholar College Agricultural and Life Sciences Mentor: Bobbi Langkamp-Henken

iv Editor’s Column:

Immersive Learning and Being in the World

Over the past decade, the University of Florida’s Journal of Undergraduate Research has grown into one of the nation’s premier undergraduate publications. This anniversary gives us the opportunity to reflect on the enterprise of publishing the scholarly work of undergraduate students and what makes for an exceptional undergraduate experience. The breadth and quality of the work published in this issue, a sample of ten years of research, is solid proof of the benefit of immersive learning.

Why is undergraduate research important to the University and its students? The current economic state of affairs makes the answer painfully clear: a shrinking job market forces undergraduates to distinguish themselves from their peers. To set themselves apart, some students seek a graduate education. But selective graduate programs require applicants to bring with them skills that enhance the ongoing research of graduate faculty, and increased reliance on grants by academic programs makes the productivity of the applicants essential. Hands-on experience in a laboratory or in the field can give students the competitive edge.

As important as these practical benefits are, other concerns lead university teachers to take up the banner of undergraduate research. To prepare students to be successful people and responsible citizens in a dynamic and global environment, we have to help them build transferable, analytical skills, to think critically in a wide variety of contexts, and to communicate what they know to diverse audiences. We all learn these skills best by working to solve real problems—gathering information, analyzing data, and collaborating with research scholars in our disciplines to answer the hard questions.

Of course the difficulty of finding the answers and the necessity of communicating them challenge every discipline. But in the end, it is by putting our ideas into words that our research becomes tangible and useful to the academic community and to the larger society. How do we design a building that accommodates a new way of living in an urban environment? How do we enjoy the natural world without destroying it? How can we deliver medicine more effectively and efficiently? What does a nation’s art tell us about the social and political mindset of its people? These questions, posed by some of the research in this issue, can only be answered by deliberately engaging in the activity of research, and the answers matter only if we put them into words others can act on.

Today, we learn about the world by being in it. The lecturer at the podium and the “objective” test are no longer sufficient preparation, because shifting social and economic circumstances require that we have the ability to adapt. Yes, students need to know things. But just as important, perhaps more, students must be able to use knowledge in situations never imagined when they were in school. Immersion in research helps to build these skills. If scholarly work makes up a “pool of knowledge,” today we have to learn about the world by diving in.

Creed Greer

v A Note on Format

The Journal of Undergraduate Research publishes the work of scholars in every field of study and encourages authors to learn and use the publication conventions of their specific disciplines. We have made adaptations to graphics, headings, and the layout of text for visual consistency, but have retained the various documentation forms appropriate to the authors’ fields.

Representing the French King of Spain: Philip V and Questions of Gender, National, and Cultural Identity

Thuvia Martin

Abstract

hrough a study of representations of King Philip V, 1701–1723, this paper explores how politics and social anxieties contributed to a T crisis of Spanish masculinity in the early 18th century. Accustomed to the French courtly fashions and artistic styles of Versailles, Philip V broke with the austere traditions of previous Spanish kings and instead favored forms of dress and art that were criticized as effeminate by Spaniards. In their eyes, Phillip V was unduly influenced by his grandfather, Louis XIV, and, together with his preferences for French art, his reign signaled the de-

feat of Spain’s traditionally sober, aesthetically masculine, cultural identity.

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“Be a good Spaniard, that is now your first perceived emasculation.7 In a time when mili- duty, but remember that you were born a tary and political might were directly associated Frenchman.”1 These were the words that Louis with the king, and father of the nation, every XIV of France spoke to his grandson Philip, the action of the monarch carried serious implica- Duke of Anjou, when he presented him to the tions for the image of the country. Their new court of Versailles, shortly after it was decided French king aggravated concerns of feminiza- that he would become the next king of Spain.2 tion not only in his political maneuvering, but On November 1st, 1700, the last Habsburg king also through the cultural changes he brought of Spain, Charles II, died without a natural heir. with him. Having lost influence in the political Louis XIV moved quickly to secure Philip’s sphere, many Spanish traditionalists within the place on the Spanish throne, arguing that, as court of Madrid struggled to prevent the under- Philip possessed one quarter Spanish blood mining of Spanish traditions as well.8 They through his grandmother, Maria Teresa, the were determined to ensure the survival of a daughter of Philip IV of Spain, he was next in purely Spanish national identity, which was line for the succession. Left with few alterna- seen as emphatically masculine, by resisting the tives and acknowledging Philip’s lineage, the new foreign styles of art and fashion that Spanish court accepted their new sovereign. flooded in and by criticizing the new system of Thus, at the age of seventeen, Philip the Duke of royal representations. Anjou, who despite his Spanish descent was This paper analyzes the impact that visual undeniably a Frenchman, became King Philip representations of Philip V had on the national V of Spain.3 The Spanish kingdom, which had identity of Spain in the early 18th century, and maintained secure cultural and political how the identity crisis that already began before borders for centuries, was now forced to ac his succession affected the reception of artistic cept a foreign Bourbon prince as its new sov- styles that inundated Spain upon his arrival. I ereign.4 will argue that by importing styles that were By the time that Philip became king, the closely related to the court of Louis XIV and Spanish empire was already plagued by political Versailles, Philip marginalized well established and social problems. Once the virile empire that artistic and courtly Spanish traditions of monar- had ousted the Moors from Western Europe, chical representation. By considering two por- conquered the Americas, and defended the traits created during his reign, one can trace the Catholic Church, Spain was now in the throes of gradual disintegration of the traditional Spanish military, economic, and political crises. Con- culture of appearances in favor of one more sumed by war for decades when Philip took the closely associated with the court of Louis XIV. throne, Spain had over the past century lost con- This marginalization of and infiltration by for- trol over a number of its territorial possessions eign styles of art, fashion, and manners exacer- including the Low Countries and Portugal. Due bated the existing concerns about the weakening to its waning grip on the empire, Spain began to and emasculation of the Spanish kingdom be- be seen as emasculated by foreign enemies and cause of the implications that foreign domina- internal political critics.5 The Spanish court had tion evoked by such changes. By opting in favor lost control over its own destiny, and political of foreign styles, particularly French styles, decisions about the future where now being which were believed by the Spanish to be fri- made outside of its borders. With the appoint- volous, excessive, and deceitful, Philip alienated ment of a Bourbon to the throne, Spain, the his primary audience. He rejected the customary proud nation of conquistadors, became itself a Spanish style that was perceived by traditional- “conquered” nation.6 ists as honest, straightforward, and masculine. While Spain’s image as a defeated and femi- The style of Philip V and his court soon became nized nation circulated throughout Europe, Spa- the embodiment of Spain’s worst fears about niards were themselves fearful about their national, cultural, and gender identity.

2 REPRESENTING THE FRENCH KING OF SPAIN

Philip’s Problematic Franco- In the Rigaud portrait, Philip appears to satisfy Spanish conventions by posing in the black Spanish Identity suit typically associated with the Spanish nobility and Spanish kings. One can see examples of Once in Spain, Philip V was met by an at- this tradition in portraits of the two previous mosphere that left much to be desired by the Spanish kings, Philip IV and Charles II, most new king. This was as true of the arts as it was notably a painting of Philip IV by Diego Veláz- of court culture and politics in general.9 Philip quez completed in 1624 and one of Charles II took on the challenge of restructuring the out- by Juan Carreño de Miranda in 1680. The black dated system of pictorial representation estab- suit (golilla) held significant cultural import for lished under the Spanish Habsburgs and Spanish traditionalists, and the custom of wear- instituting a new rhetoric of ideals more in line ing black had a long history with its roots in the with his “modern” French sensibilities.10 Raised Reconquista of Spain. The Spanish began to in the grandeur of Versailles, Philip sought to wear black to differentiate themselves from the emulate the successful representational cam- Moors, who were known for adorning them- paign of his grandfather Louis XIV, with the selves in colorful and extravagant clothes and expectation of its similar success in fashioning jewels. Over time this criticism of the [Muslim] an image of himself as the king of Spain. To the other evolved into a rejection of any cultural Spanish elite, however, this maneuver usurped “other.” For previous Spanish kings the wearing Spanish culture by dismantling established artis- of black, the golilla in particular, represented tic and fashion traditions and openly replacing their condemnation of external extravagance them with distinctly foreign ones, both French and instead a cultivation of personal restraint; and Italian.11 thus “by utilizing black as the ‘noncolor’ a nar- The tension in Philip’s own identity is re- cissistic obsession with the body was displaced flected in portraits as he attempted to negotiate onto others.”14 The moderation and restraint of his French identity with his newly acquired the black suit reinforced the ideal of the mascu- Spanish one. Given that traditional Spanish line Spanish figurehead, which Rebecca Haidt court portraiture already had a preconceived notes was “defined in relation to its opposite, formula for representing the political body of immoderation, conceptualized as essentially the king, a portrait of Philip V in traditional feminine.”15 Spanish attire was commissioned. However, the In Spain excesses in fashion and courtly ma- first mistake in this enterprise was made when a terials were suspect and mistrusted because of French artist, and not a Spanish one, was com- their implications of feminine-like vanity. They missioned to undertake the portrait. The French were specifically associated with the “exhibi- artist, Hyacinthe Rigaud, a court painter at Ver- tionist masculinity of the French [which] be- sailles who was responsible for several state came a frequent object of Spanish ridicule.”16 portraits of Louis XIV, was called upon to por- The Spanish court interpreted such excesses as tray Philip V as a Spanish king. Equally impor- tools to conceal the dwindling power of the mo- tant is the fact that it was Louis XIV who narchy, and a form of compensatory power.17 commissioned the portrait.12 Now there was a Frenchman in the role of king Several versions of the portrait were com- and French excesses abounded in court. Because pleted. The original portrait completed in 1701 there were already anxieties about the loss of and entitled Philip V, King of Spain was in- their traditional austere identity, Spanish tradi- tended for the court of Madrid, but actually nev- tionalists exhibited hostility toward the wave of er arrived there and remained instead at material and visual luxuries cultivated by Phi- Versailles.13 Though the specific reason for this lip’s reign.18 change is unknown, it may have been decided Even though Philip appears in a Spanish cos- that it looked too French for the new Spanish tume, it is clear that the traditional imagery of king, despite both the artist’s and subject’s ef- Spanish style has been overwhelmed by French fort to convincingly portray a Spanish demea- aesthetic preferences, as a comparison between nor. the portrait of Charles II by Juan Carreño de

3 T. MARTIN

Source: http://en.wikipedia.org/wiki/Image:Felipe_V%3B_Rey_de_Espa%C3%B1a.jpg

Figure 1. Philip V, King of Spain, by Hyacinthe Rigaud, 1701. (Oil on canvas, National Museum of Versailles and the Trianon, Versailles)

4 REPRESENTING THE FRENCH KING OF SPAIN

Source: http://commons.wikimedia.org/wiki/Image:Philip_IV_by_Velazquez.jpg

Figure 2. Philip IV, by Diego Velázquez, 1624. (Oil on canvas, Prado Museum, Madrid)

5 T. MARTIN

Source: http://en.wikipedia.org/wiki/Image:Karel-ii-miranda.jpg

Figure 3. Carlos II, by Juan Carreño de Miranda, 1680. (Oil on canvas, Prado Museum, Madrid)

6 REPRESENTING THE FRENCH KING OF SPAIN

Miranda and the Rigaud portrait makes clear. own physical, mental, and spiritual strength suf- The atmosphere of the Rigaud portrait empha- fice to convey his true power. In contrast, por- sizes the importance of luxury to the Bourbons. traits such as the Rigaud of Louis XIV and now Philip is presented in full figure pose sur- Philip V, with their abundance of worldly mate- rounded by sumptuous textiles decorated with rials, come across as compensatory; making up gold embroidery, furniture, and elaborate detail, for something lacking in the character of the all meant to convey his preeminent position. king. To the critical Spanish observer, the The colors of the Rigaud portrait are comprised strength of the subject—Philip in this case— of deep, rich hues of red, yellows, and ambers, appears to need augmentation by objects that which work quite well at establishing a contrast display wealth and power. While such tactics of between subject and background.19 Just as in the excessive outward display were successful in famous portrait of Louis XIV, done by Rigaud the court of Versailles that Louis XIV had con- in 1701, every inch of the picture plane contains structed, they were viewed with suspicion by elements of luxury and wealth. Philip’s overall the court of Madrid. Consequently, Philip ap- demeanor is also reminiscent of Louis XIV’s. pears as a Frenchman attempting to masquerade He stands upright and confident, with a slight as a Spaniard, but whose French identity is be- grin on his face, suggesting a knowing certainty trayed by his surroundings.23 about his position.20 The very "Frenchness" of The version of the portrait by Rigaud that fi- Philip V’s portrait is enhanced if it is thought of nally arrived in Spain is one that made clear as a pendant to the Rigaud portrait of Louis concessions to Spanish imagery and conforms XIV. Not only is the portrait commissioned by much more to the Spanish model of kingly por- Louis and executed by a French court artist, the traits. Rather than the rich colors of the previous overall appearances of Philip and his surround- portrait, the background of the second version, ings echo his French grandfather. completed in the same year and titled Philip V, In contrast to this portrait, the image of is similar to the dark and dull palette seen in Charles II follows much more closely the stan- many Spanish portraits of the 17th century. dards of traditional Spanish Habsburg represen- There are no longer any visual distractions in tation. Charles maintains a restrained and the portrait; it is crafted instead as an expression somber expression on his face, which almost of Philip’s self-reliant power. However, he still borders on melancholy. The entire palette of retains a distinctly French manner of expression Charles’s portrait is dark and muted, including in his face, and the style of execution in the the background, unlike Philip’s portrait. The painting with its soft lines and powdery colors most illuminated feature in the portrait is the remains noticeably French.24 Despite its more actual face of Charles. Thus, the viewer’s eye is deliberate attempt to evoke "Spanishness," the drawn directly to the subject and is not dis- fusion of Spanish tradition and French style in tracted by the background or any secondary ob- this painting still failed to produce the desired jects.21 result. Rather than hailing a new era of united Unlike the somber and unembellished Span- culture and exchange, the image signaled to ish royal portraits, Philip’s first state portrait by many the end of traditional Spanish iconogra- Rigaud is full of artistic devices that would have phy. Spanish observers criticized the final ver- been interpreted as distractions to the Spanish sion, noting that Philip V still did not look like a eye. It is these lavish details that become the Spaniard, but rather a Frenchman masked as a problem. Following Sidney Donnell’s discus- Spaniard. Spaniards saw it as a "constructed sion about Spanish fashion, I would argue that image" with deceptive underpinnings.25 the intention of Spanish royal portraiture was to The concessions to Spanish tradition implied present an aura of restraint.22 The background in the Rigaud portrait were quickly confirmed to seems always to be secondary to the subject of be an empty gesture. Philip abhorred the re- Spanish royal portraits. It is secondary not only strained attire of Spanish court dress and banned to the viewer’s focus, but secondary to the king, the use of the golilla except by certain govern- who does not allow himself to be distracted by mental officials soon after his arrival in Spain.26 the frivolous luxuries of the undisciplined. His Having enjoyed the luxuries and grandiose

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Source: http://en.wikipedia.org/wiki/Image:Louis_XIV_of_France.jpg

FIGURE 4. Louis XIV, by Hyacinthe Rigaud, 1701. (Oil on canvas, Palacio Real, Madrid)

8 REPRESENTING THE FRENCH KING OF SPAIN splendor of Versailles and courtly French fa- were to be avoided or at least the use of such to shion, Philip could not abide the idea of Spanish be moderated, lest one be tainted by feminine clothing, which he saw as plain and outdated. influence.30 Philip, in contrast to this ideal, was Philip all but ordered the court to adopt the fa- not a man who demonstrated moderation in his shions of his home country instead. He went so life. By indulging in the same luxuries he en- far as to penalize those members of court who joyed at Versailles, evident in his preference for held fast to the time-honored Spanish costuming dress and styles of portraiture he continued to and resisted his mandate.27 Spanish traditional- commission throughout his reign, styles that the ists had stemmed the tide of change for decades, traditional Spaniard characterized as extrava- but now with a new foreign monarch on the gant, Philip was unknowingly promoting an im- throne, resistance waned and was, in some in- age of his own questionable masculinity. stances, punished. Therefore anxieties about the gendered position This blatant attack on tradition angered many of the country were amplified not only because members of the nobility who were already sus- Philip was foreign, but because he himself picious of Philip V’s true national allegiance. In lacked essential Spanish masculine traits of re- a letter to Philip V, Louis XIV warned against straint and modesty.31 such behavior early in his reign. Louis advised Spanish hostility toward the importation of his grandson, “It is my opinion that the king of French and Italian visual styles was a manifesta- Spain should not change the use (that of the tion of the socio-political anxieties surrounding Spanish suit) upon his arrival, but that he should Philip’s monarchy.32 At the beginning of his first comply with the modes of the country. reign, many in the court considered Philip to be When he has satisfied the nation with this com- nothing more than a pawn of Louis XIV.33 placency, he will be owner to introduce other Throughout the first decade of Philip’s reign, fashions. But he should do it without giving an French agents and advisors of Louis XIV were order; his example will suffice to accustom his stationed around the country and, more impor- subjects to be dressed as he.”28 Louis XIV’s tantly, with court.34 The Rigaud portraits counsel was prudent. Issues of costuming were seemed to be a confirmation of that with Phi- far from superficial; rather, they carried serious lip’s kingly image mirroring that of Louis implications about identity and Philip’s actions XIV’s. Spain feared that it was being controlled were seen as a direct threat to Spanish tradition by France, which the Spanish criticized as a na- and culture. By rejecting the black suit asso- tion of effeminate men. Thus, Spain became ciated with the somber Spanish ideal of mascu- further feminized vis-à-vis France. Despite the linity and strength in favor of the extravagant fact that Philip attempted to indulge Spanish French fashions of his native country, Philip sensibilities towards fashion and artistic modes was spreading a message of conceited vanity of representation momentarily in the beginning that many Spaniards feared as detrimental to of his monarchy, it was not long before the gra- their society. The continued advancement of dual and complete shift towards foreign styles fashions and styles of representation that were prevailed. Philip’s court was quickly over- seen as frivolous aggravated the anxieties of a whelmed by French influences in art, architec- country that was already grappling with issues ture, and fashion.35 of national and gender identity. In her study of Spanish masculinity in the 18th century, Haidt notes that “masculinity was Triumph of a New Culture of defined as the control of passions, desires, and pleasures that played themselves out on a body Appearances representing such control through its exhibited avoidance of ‘feminine’ bodily aspect.”29 This Philip created a crisis of gendered cultural meant that physical and material pleasures such identity by aggravating insecurities already as perfumes and fleshly adornment were seen as present in Spain. The Bourbon monarch’s rule appropriate to the feminine domain only. To seemed to confirm the emasculation of the ensure one’s masculine identity, such pleasures Spanish nation. Unfortunately for Spain, it had

9 T. MARTIN

come to be ruled by a foreigner who would fall art. Though there were a select few Spanish art- short on his duties as absolute monarch on vari- ists at Philip’s court, none of them were as high- ous occasions. Unfortunately for Philip, the ly placed or highly paid as the foreign artists.41 decades of tension that had built up in Spain Even though French armies no longer occupied under the surface of the Habsburg Empire Spanish territory, French artists still inhabited would manifest themselves during his reign.36 positions in court and French fashions became In the midst of a politically tumultuous pe- increasingly prevalent. Philip soon abandoned riod, comprised of dynastic change, challenges any attempts to appease the Spanish sensibility to the succession, and internal revolts, Philip’s of aesthetic guidelines. Instead, the further choice of representation, while understandable, along that Philip progressed in his reign the was also wholly inappropriate. The representa- closer his representations appear to be based on tional campaign of Philip V was problematic pictorial conventions established by Louis XIV. because it disenfranchised its intended audience, On the day that Philip was proclaimed king an audience already struggling with issues of at Versailles, the Spanish ambassador, the Mar- identity. To the Spanish traditionalist, the artis- quis of Castel dos Ruis, turned to Louis XIV tic style in the court of Philip V represented the and said, “‘There are no longer any Pyrenees. decaying of Spanish sobriety and restraint, and They have sunk into the ground and we now this decay in turn represented the emasculation form a single nation.’”42 As Philip never really of the Spanish court. By allowing French influ- became Spanish, speaking only French through- ences to overwhelm the court and by imitating out his reign, his court gradually gave way to the standard of his grandfather, Philip was per- the preferences of their king.43 Though Philip V ceived as dismantling the Spanish culture of continued to face opposition in the political appearances, further disassociating himself from sphere, the foreign styles of art and fashion that his people and making him “the other” within he had brought with him and which had met his own kingdom.37 with so much resistance in the beginning ulti- While Louis relied heavily on mythological mately defeated the Spanish traditionalists. The associations in his representations, such as aristocracy slowly began to embrace French Apollo or Hercules,38 Philip relied heavily on courtly dress, the military was soon outfitted in what could be seen as visual associations with French-inspired uniforms, and French artistic Louis XIV and the court of Versailles. In con- style emerged triumphant.44 The influence of trast to Louis XIV, Philip V’s representations French and other foreign factors in art and fa- conveyed a sense of different-ness or of the for- shion were long-lasting. Throughout the early eign. He sought to represent himself as a great Bourbon monarchy the Spanish aristocracy con- king not because he had divine power, but be- tinued to negotiate between the conflicting de- cause of his illustrious French, and more specif- sire to change and embrace foreign modernity ically Bourbon, lineage. This tactic, but also remain faithful to its traditionally mas- unfortunately, backfired for Philip, as the Span- culine customs. Yet, in the end, the marquis’s ish people, fearful of complete foreign domina- words rang true as the boundaries that had clear- tion, reacted negatively to this new style of art ly separated the kingly representational styles of and representation. This “different-ness” ex- Spain from France steadily faded away. posed him and his image to ridicule. He was not a semblance of any of the great Spanish kings of Endnotes old, but rather a foreigner who rejected and os- tracized tradition.39 1 Bergamini, John D. The Spanish Bourbons: The Philip V continued to promote essentially History of a Tenacious Dynasty. (New York: G. French styles of fashion and art during his life. P. Putnam’s Sons, 1974). p. 30. Indeed, Philip was only truly satisfied when French artists such as Jean Ranc and Michel van 2 Ibid. Loo arrived in Madrid as new court portrait- 3 Kamen, Henry. Philip V of Spain: The King who ists.40 This trend meant the continued marginali- Reigned Twice. (New Haven: Yale University zation of Spanish artists and Spanish styles of Press, 2001). p. 2.

10 REPRESENTING THE FRENCH KING OF SPAIN

4 Donnell, Sidney. Feminizing the enemy: Imperial 24 Ubeda de los Cobos, “Felipe y el Retrato de Spain, Transvestite Drama, and the Crisis of Corte”, p. 95. Masculinity. (Lewisburg: Bucknell University 25 Ibid. p. 94. Press, 2003). p. 151 26 De Marly, Diana. Louis XIV and Versailles. 5 Ibid. p. 152 (New York: Holmes & Meier, 1987). p. 105. 6 Elliot , J. H. Imperial Spain: 1469-1716. (London: 27 Ibid. Edward Arnold Publishers, Ltd., 1963). p. 368 28 Ubeda de los Cobos, “Felipe y el Retrato de 7 Donnell, Feminizing the enemy: Imperial Spain, Corte”, p. 108. Transvestite Drama, and the Crisis of Masculini- ty. p. 152 29 Ibid. p. 117. 8 Straddling, R.A. Europe and the Decline of Spain: 30 Ibid. p. 116. A Study of the Spanish System. (London: George Allen & Unwin, 1981). p. 201. 31 Lynch, John. Bourbon Spain: 1700-1808. (Ox- ford: Basil Blackwell Ltd., 1989). p. 51. 9 Tomlinson, Janis A. From El Greco to Goya: painting in Spain, 1561-1828. (New York: Harry N. 32 Straddling, Europe and the Decline of Spain: A Abrams, 1997). p. 119. Study of the Spanish System. p. 205. 10 Ubeda de los Cobos, Andres. “Felipe y el Retrato 33 Lynch, Bourbon Spain: 1700-1808. p. 68. de Corte” in El Arte en la Corte de Felipe V, Mi- 34 Ibid. p. 46. guel Moran Turina, editor, (Madrid: Museo Na- cional del Prado, 2002). p. 134-35. 35 Tomlinson, From El Greco to Goya: painting in Spain, 1561-1828, p. 122. 11 Burke, Peter. The Fabrication of Louis XIV. (New Haven: Yale University Press, 1992). p. 36 Straddling, Europe and the Decline of Spain: A 170. Study of the Spanish System. p. 202. 12 Ubeda de los Cobos, “Felipe y el Retrato de 37 Ibid. p. 205. Corte”, p. 93. 38 Burke, Peter. “The Demise of Royal Mytholo- 13 Ibid. p. 94. gies” in Iconography, Propaganda, and Legitima- tion, Allan Ellenius, editor. (Oxford: Oxford 14 Donnell, Feminizing the enemy. p. 154. University Press, 1998). p. 254. 15 Haidt, Rebecca. Embodying Enlightenment : 39 Ibid. p. 254. Knowing the body in eighteenth-century Spanish literature and culture. (New York: St. Martin's 40 Tomlinson, From El Greco to Goya: painting in Press, 1998). p. 116. Spain, 1561-1828, p. 122. 16 Donnell, Feminizing the enemy. p. 155. 41 Whistler, Catherine. “On the Margins in Madrid: Some Questions of Identity at the Real Academia 17 Ibid. de Bellas Artes de San Fernando, 1744-1792” in 18 Bottineau, Yves. El Arte Cortesano en La Espana Art and Culture in the Eighteenth Century, Elisa de Felipe V (1700-1746). (Madrid: Fundacion Goodman, editor. (Newark: University of Dela- Universitaria Espanola, 1986). p. 320. ware Press: 2001). p. 76. 19 Tomlinson, From El Greco to Goya: painting in 42 Bergamini, The Spanish Bourbons: The History Spain, 1561-1828, p. 123. of a Tenacious Dynasty. p. 30. 20 Ubeda de los Cobos, “Felipe y el Retrato de 43 Kamen, Philip V of Spain: The King who Corte”, p. 94. Reigned Twice. p. 9. 21 Ibid. p. 436. 44 Ibid. p. 220 22 Donnell, Feminizing the enemy. p. 155. 23 Ubeda de los Cobos, “Felipe y el Retrato de Corte”, p. 94

11 T. MARTIN

Works Cited ture and culture. (New York: St. Martin's Press, 1998).

Bergamini, John D. The Spanish Bourbons: The His- Kamen, Henry. Philip V of Spain: The King who tory of a Tenacious Dynasty. (New York: G. P. Reigned Twice. (New Haven: Yale University Putnam’s Sons, 1974). Press, 2001). Bottineau, Yves. El Arte Cortesano en La Espana de Lynch, John. Bourbon Spain: 1700-1808. (Oxford: Felipe V (1700-1746). (Madrid: Fundacion Un- Basil Blackwell Ltd., 1989). iversitaria Espanola, 1986). Sancho Gaspar, José Louis. La Monarquía Española Burke, Peter. “The Demise of Royal Mythologies” in en la Pintura: Los Borbones. (Barcelona: Carrog- Iconography, Propaganda, and Legitimation, Al- gio, S.A. de Ediciones, 2004). lan Ellenius, editor. (Oxford: Oxford University Straddling, R.A. Europe and the Decline of Spain: A Press, 1998). Pp. 245-254. Study of the Spanish System. (London: George Burke, Peter. The Fabrication of Louis XIV. (New Allen & Unwin, 1981). Haven: Yale University Press, 1992). Tomlinson, Janis A. From El Greco to Goya: paint- De Marly, Diana. Louis XIV and Versailles. (New ing in Spain, 1561-1828. (New York: Harry N. York: Holmes & Meier, 1987). Abrams, 1997). Donnell, Sidney. Feminizing the enemy: Imperial Ubeda de los Cobos, Andres. “Felipe y el Retrato de Spain, Transvestite Drama, and the Crisis of Corte” in El Arte en la Corte de Felipe V, Miguel Masculinity. (Lewisburg: Bucknell University Moran Turina, editor, (Madrid: Museo Nacional Press, 2003). del Prado, 2002). Pp. 89-140. Elliot , J. H. Imperial Spain: 1469-1716. (London: Whistler, Catherine. “On the Margins in Madrid: Edward Arnold Publishers, Ltd., 1963). Some Questions of Identity at the Real Academia de Bellas Artes de San Fernando, 1744-1792” in Haidt, Rebecca. Embodying Enlightenment : Know- Art and Culture in the Eighteenth Century, Elisa ing the body in eighteenth-century Spanish litera- Goodman, editor. (Newark: University of Dela- ware Press: 2001).

Testament to Torture: The Gangrene Affair

Christopher Church

ABSTRACT

midst the Algerian War, a story of torture shook the French nation, provoking a public outrage and inducing a heated debate in A the press. Seven Algerians, five students and two businessmen, were taken by the police from their Parisian homes as possible members of the Algerian insurgency. These seven innocents were then tortured at Fresnes Prison in Paris before being released; no charges were pressed. The tortures took place only eight months after Charles de Gaulle reformed France into the Fifth Republic, and they occurred less than three hundred yards from President de Gaulle’s official home at the Elysée Palace (Stuart 10). The acts were so horrific that two of the five students had to be hospi- talized. Mustering up the courage to confront the French government, the five students compiled their testimonies into a work entitled La Gangrène. As soon as the book hit the presses, a scandal was born. Thirty-thousand copies of La Gangrène sold out in only two days. After the French police smashed the printing plates in a vain attempt to silence the testimonies (10), La Gangrène resurfaced in Jean-Paul Sartre’s periodical Les Temps Modernes and in newspapers such as Temoignages et Documents and Te- moignage Chretien. The torture of these students struck a strident chord with the French, whose frustration was exacerbated by a botched cover-up by the Gaullist government.

13 C. CHURCH

Little has been written about “La Gangrène” “A Deadly Interrogation”). The U.S. govern- since that initial outrage, and of the paltry num- ment now considers possible terrorists “unlaw- ber of works that even reference the episode, the ful combatants,” thus placing them outside of most notable is La gangrène et l'oubli : la standard prisoner-of-war clauses (Mayer, “The mémoire de la guerre d'Algérie by Benjamin Experiment”). Is it merely a matter of time be- Stora. Unfortunately, the book does not directly fore the U.S. seeks to “interrogate” domestical- examine the specifics of La Gangrène, and- ly? Will the new victims of these though Stora uses the same metaphor to de- “interrogations” be Arab students studying in scribe the French psyche as that used to describe New York? the torture affair, he gives little mention to the To best understand the outrage surrounding Gangrene Affair itself. While he does examine La Gangrène, one must comprehend the preca- the role of torture in the Algerian War, he sup- riousness of French and Algerian identities dur- plants the 1959 Gangrene episode with the Mau- ing the war. France colonized Algeria in 1830, rice Audin Affair from two years prior, in which and over the course of a century the two peoples an Algerian mathematician was suspected of intermingled. Then, swamped with immigrants being a terrorist, captured by French parachut- from the mainland after the Second World War, ists outside of Algiers, and then tortured to Algeria was deemed a French department. Os- death at the command of French officials (Stora tensibly, torturing an Algerian becameas outra- 30). Additionally, Stora’s work is only available geous as torturing a Frenchman. To the in its original French, and by virtue of the lan- contrary, however, the relationship between Al- guage barrier it is largely unavailable to an gerians and Frenchmen was marked by vi- American audience, that is, if one can actually olence. The illustration (Figure 1) from La obtain a copy of this work: La gangrène et Résilience du Peuple, captioned “Entre nous et l’oubli is currently out of print. A translated eux, rien que des barbelés,” bespeaks the simul- edition of La Gangrène is available thanks to taneous immixture/separation of Franco-Arab Robert Silvers and the small private press of identities. The caption translates “Between us Lyle Stuart, but the edition dates to1960, only and them, nothing but barbed wire,” and in the ten months after the episode itself. image such barbed-wire separates the spectator Therefore, it appears that forgetfulness from destitute yet innocent Algerian children. (l’oubli) has prevented historiographic reflec- On the one hand, as symbolized by the barbed tion about the Gangrene Affair. Yet, one need wire, the brutality of the Algerian conflict only glance at the photographs from the Abu alienated the French from the Algerians, and the Ghraib prison in Iraq to realize the relevance of article itself, entitled “French Justice Put to the the Gangrene Affair to current events. Torture Algerian Test,” questions both the validity of has become endemic to U.S. actions in Iraq and French unity with Algeria and the credibility of Afganistan, and it also has come to characterize French justice. On the other hand, inasmuch as the "War on Terror." Since 9/11, the U.S. has the newspaper article distinguishes between “us held prisoners from over forty different foreign and them,” it conjoins the two parties by en- countries at Gitmo prison in Guantánamo Bay, tangling both of them in the violence of the con- many for more than three years, and all virtually flict. The barbed wire thus serves incommunicado and without legal charges simultaneously as a point of separation and a brought against them (Mayer, “The Experi- point of conjunction; violence becomes the con- ment”). At Gitmo, something as simple as toilet nection between French and Algerian identities, paper is considered a luxury item, and at Abu one that makes possible the tortures at Fresnes Ghraib human life is considered expendable. prison. For instance, a prisoner under the “care” of the As with the modern-day tortures at Abu U.S. government in Abu Ghraib died in an “in- Ghraib and Guantánamo Bay, the wartime vi- terrogation” turned execution. Interrogators olence disrupted the mentality of the populace covered Manadel al-Jamadi’s head with a plas- and shook the people’s faith in the French gov- tic bag and then bound him in a crucifixion-like ernment. The confusion of French and Algerian pose, leaving him to die of asphyxiation (Mayer, identities led Gilles Martinet to ask a year later,

14 TESTAMENT TO TORTURE: THE GANGRENE AFFAIR

Figure 1. An image from the newspaper La Résilience du Peuple that demonstrates the violence of the Algerian War

“Qui sont les traitres?” (“Who are the traitors?”) vels. The disease crawls. An arm then, now a Was the French police doing its duty to control leg” (Stuart 13). terrorists, or had it overstepped its bounds and In the years leading up to 1959, the French become as treacherous as those it had intended held to the myth of la resistance by disavowing to stop? the gangrenous colonialism in Algeria. Insofar Entrenched in what would become an eight- as the press brought to light the vindictive vi- year long conflict with Algeria, France was olence that characterized the Algerian War, it brought face-to-face with corruption within the displaced that violence to the margins. Before very polity of France itself. Though French La Gangrène’s publication, the French believed fascists were fighting an unsanctioned war in that the mainland still stood for liberty: no clear Algeria against insurgent groups such as the connection could be drawn between the right- Front Liberation Nationale (FLN), few in wing extremists in Algeria and the “morally” France believed the Gaullist government to be upright Gaullist government in France that capable of committing the very atrocities it championed resistance to all forms of oppres- claimed to be trying to prevent. Charles de sion. The distinction between the overseas Alge- Gaulle positioned himself as a mediator, as an rian department and mainland France was arbiter vying to keep France whole. Despite the convenient, because it permitted the French po- pretense of fairness, however, de Gaulle’s gov- pulace to remain disconnected from the atroci- ernment stopped at nothing to maintain French ties that occurred overseas. In 1959, however, order in Algeria. Torture became an everyday that distinction crumbled, because terrorism had fact for those battling for control of the North been found in Paris itself. The vindictive meas- African country. Although this overseas torture ures meant to halt terrorism were misdirected was far removed from the nation’s capital, as toward innocent students living within France. the American publisher of La Gangrène noted Overall, the French began to question the mo- in 1960, “The disease spreads. When it is con- tives of their government. If the Gaullist gov- doned by a nation in one part of its body, it tra- ernment claimed that Algeria was an integral

15 C. CHURCH

part of France and that Algerians were citizens tortures were an anathema. Not only were they just like any mainlander, there could be no con- antithetical to the post-war conceptualization of fusion to the French reader of La Gangrène the French nation, they threatened to shred the about the citizenship of Algerian students study- image of La Belle France to which the post-war ing and living in France’s capital. In short, La populace so fearfully clung. Gangrène elucidated the extremism inherent in In the end, Debré’s denial failed to silence France’s so-called “peacekeeping” policy in the Algerian victims. In fact, two of the stu- Algeria. dents, Bechir Boumaza and Khider Seghir, were The official backlash of La Gangrène’s pub- present at Debré’s press hearing and prepared to lication was staggering. On 19 June 1959, just show the marks on their wrists where they had one day after the book hit the shelves, the been “firmly tied” (“Who’s Lying”). In a 24 French Minister of the Interior M. Debré seized June 1959 issue of France’s satirical periodical the publication of La Gangrène, calling it a “to- Le Canard Enchainé, editors voiced their fru- tal fabrication which could not in anything stration with the official censors, claiming that represent [the least] shade of truth” (“fabrication they could not tell their readers anything about totale qui ne saurait en quoi que ce soit the book’s contents. Yet, they could “at least représenter l’ombre de la vérité”; “La Gangrene say this—whoever reads this book will not be Gagne”). Despite considering the work to be able to sleep any more. So we won’t speak of grossly far-fetched at points and downright lu- gangrene—we’re in good health. Such good dicrous at others, he placed it under the jurisdic- health that we’re probably going to die of it” tion of the government and deemed it to be a (qtd. in Stuart 10). Voicing a similar sentiment, threat to national security. According to a 27 an article appearing in France Observateur on June 1959 issue of The Guardian, French Prem- 29 June 1959 proclaimed “the Gangrene gains” ier M. Michel Debré went so far as to condemn (“La Gangrène Gagne”). the eye-witness testimony as a communist for- Nevertheless, an argument about La gery. Denying that “the disease” had spread to Gangrène’s tenability was waged within the the French mainland, Debré looked for an express. In an article entitled “Le Dossier de ‘La ternal cause to explain to the French populace Gangrène’,” France Observateur reproduced an how these crimes against humanity could occur infamous communiqué from the Public Prosecu- in a democracy as grand as that of the French tor of the Republic that denounced La nation. Gangrène. France Observateur then juxtaposed Debré’s condemnation forced the testifiers in this communiqué with a response from Jerome La Gangrène to substantiate their claims. Doubt Lindon of Editions de Minuit, the publisher re- shrouded their testimonies, and the French po- sponsible for releasing La Gangrène. In his edi- pulace simply did not want to believe them- torial, Lindon advocates the book written by the selves capable of the Nazi-like atrocities from allegedly insurgent students, and like Emile Zo- which they had escaped only fourteen years ear- la eighty-years before him, he dares the French lier. Taking stock in de Gaulle’s political plat- people to stay complacent. In the follow-up is- form after World War II, which proclaimed all sue to “Le Dossier de ‘La Gangrène’,” Lindon Frenchmen to be in a constant state of resis- exclaims,“Do not count on us [the production tance, the French believed themselves unable to company] to return the silence” (“Ne comptez accept injustice without a fight. Intentionally pas sur nous pour retourner au silence”; “La ignorant of its own Nazi inclinations during the Gangrene Gange”). Agreeing with Lindon’s Gaullist period, France fought to maintain a maxim, France Observateur guides readers to sense of integrity. To a consciousness that sympathize with the Algerian students and to fought desperately to posit itself as being in disagree with the actions taken by de Gaulle’s perpetual resistance, to a nation that ignored the still nascent government. France Observateur fact that less than two percent of able-bodied makes its stance quite clear: “As Lindon under- Frenchmen were actually part of the French Re- lines, this text is nothing but a recital, in good sistance, to a post-war culture that denied its French, as students must be able to write, Alge- unmistakable involvement with the Nazis, these rians certainly, but all the same students of po-

16 TESTAMENT TO TORTURE: THE GANGRENE AFFAIR

litical science” (“Comme Lindon le souligne, ce Armée Secrète (OAS), a terrorist group of self- texte n'est qu'un recit, en bon francais, comme proclaimed French patriots ruthlessly devoted to doivent etre capables de l'ecrire des etudiants, the preservation of a markedly “French” Algeria algerienes, certes, mais toute de meme etudiants (Le Sueur xli). By the end of the war, the OAS en sciences politiques”). stopped at nothing to prevent an easy transfer of As Lindon claims, the book was not pub- power. Employing violence to disrupt the peace lished until it had been checked and cross- process and aiming to discourage the French checked, a process that took months (“Dossier government from withdrawing from the coun- de ‘La Gangrene’”). Not only was the validity try, OAS’s commando squads terrorized both of La Gangrène nearly incontestable, Lindon the Muslim and Franco-Algerian populaces. asserts that news of this sort was not new, that As demonstrated by Figure 2, a drawing by “tens of testimonies appeared these past few contemporary political cartoonist Jacques years, reporting facts of this kind, located for Kamb, the French political left viewed the OAS the majority in Algeria, without causing the as the product of France’s Vichy past. In this least official reaction of indignation” (“Des di- cartoon, which appeared in the communist zaines de temoignages sont parus ces dernières newspaper l’Humanité, Kamb poignantly con- annees, relatant des faits de ce genre, situes pour demns the OAS as a racist, anti-democratic, and la plupart en Algérie, sans susciter la moindre terrorist movement. Hanging behind the masked reaction officielle d'indignation”; “La Gangrene and arm-banded “revolutionary” lay both the Gagne”). A year prior to publishing La Nazi Swastika and a large stack of military Gangrène, Lindon published Henri Alleg’s La weaponry. Kamb’s contemporary, Siné, also Question, which examined the use of officially composed numerous political cartoons likening sanctioned torture in Algiers. The French popu- the OAS to the French government for actions lace had heard it all before: La Question sold like those described in La Gangrène. He dis- nearly six-hundred thousand copies before La played the ironic contradiction between the Gangrène ever hit the presses (Stuart 11). French government’s belief in liberty and its Rather than being outraged at the possible firm support of colonialism and complete disre- occurrence of such crimes, de Gaulle’s staff gard for Algerian life. Similarly, a political car- lampooned Lindon. Though excerpts of these toon from a 14 December 1961 issue of L’Ex- testimonies had appeared in newspapers long press displays the irreconcilability of the OAS before they were collected into manuscript and the Gaullist myth of a France resistant to all form, the government focused on Editions de forms of fascism (Figure 3). Though the carica- Minuit, in part due to the publisher’s anti- tures of de Gaulle’s government and the OAS authoritarian history. Already a thorn in the antagonize one another, they are nearly identical government’s side, Lindon was seen as an up- in appearance: the sole difference is that one start who needed to be silenced. However, his holds a briefcase and the other a bat. Above the anti-authoritarianism exhibited the very spirit head of the French governmental official are that de Gaulle claimed as his own, for his pub- plastered the words “Vive de Gaulle,” a slogan lishing house was part of the French Resistance that recalls the trademark of the French resis- movement during the Nazi occupation. It fought tance. Battered by the existence of the OAS, de tooth and nail to publicize that which the Vichy Gaulle’s idealized France crumbled. In short, government fought to keep secret and worked the French government’s actions most closely vigilantly to loosen Hitler’s hold on France corresponded with the violent radicalism of the (Stuart 10). OAS ultras, who were taking, as Siné sarcasti- The French press continued to publish stories cally states in a 1962 letter, the “real risks.” about colonial oppression. With the rise of the The roots of the racism that characterized the right-wing zeal that would later culminate in a OAS can be unearthed in the Gangrene interro- well-greased terrorist organization, the French gations, which the Direction de Surveillances populace became increasingly aware of extrem- Territoire (DST) carried out in a manner better ist activity in Algeria. By 1960 French fascist suited to the Gestapo. Bigoted DST officials elements coagulated into the Organisation hurled insults at their captives: they called

17 C. CHURCH

Figure 2. A political cartoon by Jacques Kamb in the newspaper l’Humanité. The caption reads, “And like that, you believe that they are going to take us for sans-culottes?”

Figure 3. A political cartoon from L’Express that shows the disintegration of the Gaullist myth at the hands of the OAS

18 TESTAMENT TO TORTURE: THE GANGRENE AFFAIR twenty-seven-year-old Benaissa Souami a “shit- thodically other nations, to suppress political ty intellectual” (Souami 34) and then forced him systems unlike our own. Just as La Gangrène to insert a wine bottle into his rectum (44). Nev- forced the French to abandon the Gaullist myth ertheless, a clear-cut distinction must be made and to acknowledge their own fascist inclina- between the OAS (a terrorist faction of discon- tions, the photographs from Abu Ghraib have tented Frenchmen) and the DST (the French proven false our hitherto unshakeable belief in equivalent to the U.S. FBI). While the former unbridled democracy. Gitmo and Abu Ghraib functioned outside of the jurisdiction of the blot our innocence and betray our imperialist government, the latter worked under the gov- leanings. After all, Guantánamo Bay is itself a ernment’s blessing. Affairs such as the M. Au- colonial holding forcibly leased from the Cuban din and Gangrene episodes became government over a century ago, and Abu Ghraib commonplace by 1962, destroying the govern- the result of a war in search of phantom weapo- ment’s “resistancialist” image and paving the nry. As in Algeria, the United States’ “peace- way for the 1969 release of the landmark film keeping” mission in Iraq has been met with a Le chagrin et la pitié, which made French colla- guerrilla insurgency that resists the dominance boration all too clear. of a self-proclaimed benevolent power. Whether In a preface to a published excerpt from La “spreading democracy” or “maintaining order,” Gangrène, Temoignage Chretien labels the col- a guise is a guise, and a ruse a ruse. Rather than lection of testimonies as a milestone to the ame- projecting an antiquated image of ourselves, we lioration of French relations with Algeria. must face up to the facts and bear witness to the Presented with such an inexpiable act, the undeniable testaments to torture. newspaper argues, the French government cannot help but be more compromising. While France Observateur contends in “La Gangrène REFERENCES Gagne” that the French government’s overreac- tion lends credence to the testimonies, Temoig- “Le Dossier de ‘La Gangrene’.” France Obesrva- nage Chretien proposes the irrelevance of La teur. June 25, 1959. Gangrène’s truthfulness. Given the state of affairs in Algeria, posits the newspaper, La “Un extrait de ‘La Gangrene’.” Temoignange Chre- tien. June 26, 1959. Gangrène is true enough: “It is thus necessary that the facts be known to be condemned as “La Gangrene Gagne.” France Observateur. June much as necessary, in the interest of France and 29, 1959. Franco-Algerian friendship. And if La “La Justice Francaise à l’Epreuve Algérienne.” La Gangrène is not all true, that the book helps Résilience du Peuple. December 21, 1957. [this friendship] has to make all the truth” (“Il Kamb, Jacques. L’Humanite. “L’O.A.S.? Un gang faut donc que les faits soient connus pour être fasciste.” January 11, 1962. condamnés autant qu'il sera nécessaire, et cela dans l'intérêt de la France et de l'amitié franco- Le Sueur, James D. “Introduction.” Journal 1955- algérienne. Et si La Gangrène n'est pas toute la 1962: Reflections on the French-Algerian War. vérité, qu'au moins le livre aide a faire toute la Ed. James D. Le Sueur. Trans. Marry Ellen Wolf and Claude Fouillade. Lincoln: University of Ne- vérité”; “Un extrait”). braska, 2000. Likewise, Americans can learn from the mis- takes of the French government and in doing so Martinet, Gille. “Qui sont les traitres?” France Ob- heal our relations with the Arab world. As tes- servateur. April 28, 1960. timonies amass, we must relinquish the image Mayer, Jane. “The Experiment.” The New Yorker. so rooted in our minds: America is no longer the July 4, 2005. <>. democracy who vanquished Nazi fascism. In Mayer, Jane. “A Deadly Interrogation.” The New light of the Korean War, Vietnam, and now two Yorker. November 14, 2005. Gulf Wars, we must fess up to our compulsion <>.

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“L’Oaèsse, qu’est-ce que c’est?” L’Express. Decem- Stuart, Lyle. “Introduction.” The Gangrene. Trans. ber 14, 1961. Robert Silvers. New York: Lyle Stuart, 1960. Siné. Le déshonneur est sauf!: Dessins de la guerre “Who is Lying about ‘La Gangrene’?: Denials—and d'Algérie. Paris: Découverte, 1992. counter-denials—of torture story.” The Guar- dian. June 27, 1959. Souami, Benaissa. “We’ll treat you decently.” The Gangrene. Trans. Robert Silvers. New York: Lyle Stuart, 1960. Stora, Benjamin. La gangrène et l'oubli : la mémoire de la guerre d'Algérie. Paris: Editions La Decou- verte, 1992.

The Vertical Arcade: Searching for Benjamin’s Flâneur in the Contemporary Urban City

Silan Yip

ABSTRACT

he typology of the arcade, as critiqued by philosopher Walter Ben- jamin, first emerged in nineteenth century Paris, as an architectural Tresponse to the development of capitalism, industry, and ultimately modernism. The arcade, the forerunner of the present day shopping mall, is a glass corridor that covers the narrow passages between the two sides of commercial storefronts. This research tracks the offspring of the arcade that exists within the contemporary context of Hong Kong and proposes that the podium buildings proliferating in the New Territories of Hong Kong and the Central district’s escalator are architectural typologies that have emerged as descendants of the arcade. The architectural qualities of the arcade that exist in the podia and the escalator are critiqued and then transplanted in the contemporary context of Hong Kong in the form of a design proposal for a vertical arcade. In a place as dense as Hong Kong, the pedestrian experience of the arcades described by Benjamin, one that primarily relies on occupying the ground plane horizontally is not sufficient. The proposal for a vertical arcade thus explores the possibilities of sectional dwelling through the trans- formation of the arcade. Spatial programming and architectural form are reconsidered as means to explore emergent urban experiences in a hyper dense, culturally hybrid place like Hong Kong.

21 S. YIP

Figure 1 (left). Passage des Panoramas in nineteenth century Paris (Geist, Arcades: The History of a Building Type, pl. 381). Figure 2 (right). Passage des Panoramas January 4, 2005. Photo by author.

BACKGROUND thoroughfares as well as commercial centers throughout the city. The arcades were significant because they held frozen the scale of the The modern pedestrian experience emerged pre-Haussmann urban fabric of Paris, a scale in nineteenth century Paris out of the develop- designed specifically for the pedestrian. ment of capitalism and the implementation of a The Paris arcade is the forerunner to the new city plan by Baron Haussman. The pede- modern shopping mall, being the first architec- strian was transformed into a character who oc- tural structure that housed the selling of mass- cupied the street as a social event, rather than as produced commodity goods. The arcade pro- a means to a destination. The arcades emerged vided an enclosed public space that housed in- during this period to house the new commodi- dividual commercial shops. The success of the ties that were a by-product of capitalism and arcades and the subsequent success of the shop- industry. Just as the arcades were being erected, ping mall relied on the revolutionary develop- they were replaced by the first shopping malls, ment of a glass-covered ceiling over a narrow such as the Bon Marche, or being cleared for the store lined street (Figure 3). The addition of a implementation of Baron Haussmann’s Grand glass roof provided protection from rain and Boulevards. The Grand Boulevards were large- cold while also allowing light to penetrate the scale streets that cut through Paris, creating interior. The arcade is also significant as one of large vistas of the city. What remained follow- the early users of gas lighting, allowing it to be ing Haussmanization was a small collection of one of the first urban public spaces occupied at arcades or passages that served as pedestrian night. The arcade became a model for privatized

22 THE VERTICAL ARCADE

Figure 3. Glass ceiling of the Passage des Panoramas

space that was open for public occupation, a the narrow pedestrian streets of commercial concept that would emerge in the shopping mall passages housing the new dream world of capi- and re-emerge in the podium building. The pub- talism and the commodity good. In Walter Ben- lic now accessed the arcades for entertainment jamin’s Arcades Projects capitalism is described and as a place of social gathering instead of us- as “a natural phenomenon with which a new ing the covered street only to get to a destina- dream sleep fell over Europe and with it a reaction. Louis Aragon’s peasant from his novel tivation of mythic forces.” (Benjamin 391). The Paris Peasant thus spent his time in the arcade, dream sleep is a construction of a surreal urban dining in its cafes, monitoring the changing experience, where “freedom comes from the women’s fashions that were displayed, and ob- imagination” and should not be limited to “ra- serving the crowds, rather than using the ar- tional, waking logic” (Breton 433). The dream cades as a mode of circulation. sleep awoke a desire among the working classes The arcades were fueled by capitalism, be- and the new bourgeois class for commodity cause they were an architecture that emerged as goods. With the development of capitalism, the

23 S. YIP

dream worlds of modernity appear in the arcades (Buck-Morrs 271). The arcades housed the dream world by providing an architectural, public space to fetish the commodity good. Al- though the masses were not necessarily able to afford to buy the new commodities, such as the peasant from Louis Aragon’s surrealist novel Paris Peasant, they were able to access them in the arcades and consume them in the dreams of their desires. Thus, the arcades thus created the surreal urban experience, one where rationalism gives way to psychic automatism.

ARCADES REAPPEARANCE IN HONG KONG

The arcade is a container that isolates its inhabitants, putting them in a world of spectacle, and removing them from the reality of the city that exists outside of its boundaries. Within the context of Hong Kong, the container for inhabiting the dream world has emerged in the form of the podium building (Figure 4). The podium is a Figure 4. Podium buildings in the New Territories of large-scale building, housing a shopping mall of Hong Kong Special Administrative Region. up to seven stories that encompasses commerce as well as public amenities. The so called po- attempted to remedy by artificially inoculating dium is named because the shopping mall com- what they believe to be socially stimulating pro- ponent serves as a podium for the high rise grams, such as shopping malls and fitness gyms residential towers that sit on a transfer slab inside its skin. The addition of these programs above the shopping mall (Figure 5). The spatial within the podium part of the building serves to diagram of the podium is in many ways similar further segregate its inhabitants with the city to an overgrown arcade. The bottom levels of an outside. arcade also house commercial shops with resi- The need to develop the podium building has dential apartments on the upper levels. The arisen from the extreme densities of the urban main objective of the podium building typology, core and the consequent high cost of living. as described by Hong Kong Council of Social Hong Kong has an overall density of 16,102 Service, was to “encourage the formation of a people per square mile (6,095.9 people per vigorous and ‘balanced’ community in which square kilometer), which accounts for the 40 people of all ages and income, and of diverse percent of undeveloped land. When considering interests and values can live and develop social- just the population density of Hong Kong’s ur- ly, while having facilities conveniently provided ban core, the density jumps to 96,758 people per to meet their basic needs, i.e., their employment, square mile (37,358.66 people per square me- shelter, health, education, safety and ter). The Kowloon district reaches a density of recreation.” The podia were an attempt to relo- 117,778 people per square mile. Manhattan’s cate people from the urban core of Hong Kong Upper East by comparison has a density of into the New Territories, but resulted in creating 109,000 people per square mile. The extreme a disjuncture in their lifestyle. New Town po- densities have resulted in a high cost of living. dium buildings initially left people displaced The average price of a small two-bedroom from the urban core, which developers have apartment in Hong Kong is 3.5 million Hong

24 THE VERTICAL ARCADE

of commercialism and the commodity good have affected the role of architecture and the architectural typology of the place. The podium building is a reaction to Hong Kong’s fixation on commercialism and is a descendant of the arcade in its role of housing the commodity and forcing its inhabitants to fetish the commodity good, if only subconsciously. The podium building is the creation of a habitable container for consumption with a constant supply of con- sumers. For the inhabitants of the podium building, there is no escape from the dream state produced by capitalism; they must indulge just to get to their apartment. The podium, much like the arcade, created a self-contained world, a microcosm of the city. Separating the pedestrian from the city and placing him within the dream world of the podium causes, according to the Hong Kong Council of Social Service, a loss “of identity and feeling of insecurity.” The complete existence of someone who inhabits the podium is one of isolation from the city. Where he works, goes to school, and sees the doctor is all part of the same shop- Figure 5. Transfer slab of a podium building at Tung ping mall that is his dwelling. The street pene- Chung Station, Hong Kong SAR trated the original arcade, seeming to flow from the exterior of the street into the interior and Kong dollars or 450,000 US dollars. The aver- connecting it to streets on the other side. The age rental price for the same apartment is about podium, however, touches the ground abruptly, 18,000 Hong Kong dollars per month or 2,400 destroying the human scale, so an occupant is US dollars. Buildings must maximize the great- discourage from traversing its outside bounda- est usage of land for the most people, causing ries. Most inhabitants leave the podium either architecture to develop vertically, resulting in by car or more commonly from the train system the creation of the podium tower. The podium is located beneath the building. The street pede- a formula for efficiency in square footage. strian rarely occupies the immediate exterior of Architects pack the shopping mall component as the building. Just as the podium traps its inhabi- well as public services and living in the building tants within the podium of a shopping mall, the so that the single building can have a small arcade (contrary to its fluid appearance) stopped footprint and still have a large quantity of sell- the movement of the pedestrian by trapping him able square footage. within the depths of the shopping streets. Capitalism and commodities dominate the In Paris Peasant, Aragon discovers that social and much of the architectural aspirations people become trapped inside the arcade be- of Hong Kong. “The purpose of Hong Kong is cause they are fetishing the wish-image and the to make money. Hong Kong has no other pub- spectacle. The arcade like the podium is a cof- lic, moral, intellectual, artistic, cultural, or ethi- fin, a container for spectacle. As Susan Buck- cal purpose” (Ng, M.K., and Mills). Its financial Morss, author of Dialectics of Seeing, explains, aspirations are realized in its role as a world- “All of the errors of the bourgeois conscious- trading partner. In 2003 Hong Kong ranked ele- ness could be found there (commodity, fetish- venth for in exports and imports and is currently ism, reification, the world as ‘inwardness’), as the world’s largest port container. Within the well as (in fashion, prostitution, gambling) all of context of Hong Kong the social ramifications its utopian dreams” (39). The effect of the being

25 S. YIP submerged in the spectacle heightens the visual stimuli. The pedestrian is constantly forced to consume the commodity visually, and conse- quentially in a dream state. The commodities are shoved together to create a surreal effect because they are a haphazard juxtaposition of the found objects inside the arcades (Buck- Morss). The omnipresent display of commodity goods creates simultaneous experiences of desire and loss. The arcades were “the precise material replica of the internal consciousness, or rather, the unconscious of the dreaming collective” (Buck-Morss 39). Not all that was offered to the bourgeoisie in the arcades could be attained, so he was automatically put into a dream trance where the haunts of his desire could be consumed. The podium exaggerates these effects of desire and consumption, because people live inside this dream house. Where as the social ramifications of the arcade are most prevalent in the podium build- Figure 7. Plan of the Passage des Panoramas (Geist, ings, the spatial diagram of the arcade is most Arcades: The History of the Building Type, pl. 373) closely associated with the Central district’s escalator (Figure 6). The escalator, the longest in the world, is 800 meters long with 20 ele- The spatial diagram of the arcade is analog- vated walkways and 3 moving walkways. Much ous to a sky lit tunnel. The narrow passages like the arcade, the escalator carves through the create a unidirectional itinerary. The Passage city in plan, but also works in section along the des Panoramas, for example, was a promenade edge of the city’s slope. The escalator is public of approximately 400 meters long and only infrastructure that was created to enhance the about three meters wide (Figure 7). The arcades pedestrian experience. Until ten o’clock in the carve a sliver of space that emphasizes the expe- morning the escalator moves down the hill to rience of the one point perspective, which help people get to work and then switches direc- frames one event at a time. The pedestrian is tion to help people move up the hill to their forced to view the arcades in one point perspec- homes after work. tive, a contrived, rational mode of operation (Figure 8). The perspective, however, becomes distorted from the application of reflective materials. The glass from the roof above and in the storefront displays, and mirrors in the arcades create a series of reflections from all directions (Figure 9). These reflective surfaces also mirror the materiality of the arcades, which replicated the unconscious dream state of the collective (Buck-Morss 39). The reflections produce a phantasmagoric spectacle, where the reality of the narrow space “opens up to him (the flâneur) as a landscape, even as it closes around him as a room” (Benjamin 417). The urban experience in the arcades created a “complex shifting image beyond that of their material existence” (Vidler, Figure 6. Central district escalator Warped 74).

26 THE VERTICAL ARCADE

Figure 9. Reflections from a storefront inside the Passage Jouffroy, January 4, 2005. Photo by author.

island. The changes in the perspective are phe- nomenally more perceivable because the pedestrian can just look when he is on the escalator Figure 8. Unidirectional experience inside the Pas- without worrying about physically moving him- sage Jouffroy, January 4, 2005. Photo by author. self. The perception of shifting perspectives creates a cinematic experience of the city, re- vealing shifting vantage points, broken horizon lines, and fractured memories. The escalator The visual experience in the escalator fluc- produces the phenomena of inhabiting the city tuates from moments of strict one point perspec- through framed views without removing the tive and moments of parallax, a shift in how occupant from the city. surfaces that define space are arranged caused by a change in position of the viewer (Holl, Ste- ven 26). For all the social and experiential Intervention: Vertical Arcade shortcomings of the podium as a descendant of the arcade, the escalator attempts to correct A vertical arcade (Figure10) was proposed as these faults. The edges of the escalator, unlike an architectural typology that would address the the podium, are more transparent and porous. shortcomings of the podia and utilize the quali- No part of the escalator is actually bound from ties of the arcade prevalent in the escalator to the exterior. Although the edges of the escalator create an appropriate architecture for the Hong are bound by storefronts one can penetrate these Kong context. The notion of verticality is used edges through the many side streets. The dream as a tool to test the possibilities of occupying world of the commodity wish image exists in dense environments such as Hong Kong. the stores along the escalator, but the escalator Programmatically, the vertical arcade shares does not directly touch the edges of these stores. types of spaces with the podium. Because of the Also, the escalator is in constant motion, never density and the high property values, the vertic- allowing spectators to visually indulge in them al arcade is a tall tower that leaves a small foot- for too long. print on the ground. Within the vertical arcade, The escalator forces the one-point perspec- commercial spaces and public amenities are tive as much as it produced a three-point when woven within residential units to provide varia- looking up or down and two point when looking tions inside the tower. Unlike, the podia, the out as the escalator moves along the side of the uses are not stratified to different floors, but are

27 S. YIP

Figure 11. Outdoor park space folding out of the vertical arcade tower to create a continuous ground condition that moves from the interior to the exterior of the building.

outside life of the street, the street and the city fold into the building via the circulation core. Public and private spaces are dispersed throughout the building, just as they are in Hong Kong. Pedestrians are given a more varied itinerary within the building, so that they do not feel as if they are merely living within a shopping center but are, rather, part of a community. Figure 10. Model of the vertical arcade design pro- Entry into the vertical arcade consists of a posal street that folds out of a pedestrian street and becomes the circulation core. The vertical ar- mixed throughout the section of the building. cade must touch the ground in order to break the The central core of the tower is designed as a isolation from reality that was problematic in circulation core reminiscent of the qualities of the arcades and the podium. Also, the base of the escalator. A series of circulation types move the tower is directly connected to the train sys- throughout the core including escalators, stairs, tem and streets for cars. (Figure 12) ramps, and elevators. Much like the Paris ar- The vertical arcade provides an interior pe- cades, the vertical arcade serves as pedestrian destrian path that folds into itself and back out. infrastructure that lends itself to occupation as The path of the arcade is articulated through route of circulation. Spread throughout the vertical movement as well as through spatial building the circulation core expands and be- knots (Figure 13). The spatial knots, intended to comes moments of larger scale occupation, such provide larger scaled public zones within a giv- as outdoor park space (Figure 11). en section of the arcade, also serve to suspend The vertical arcade is an attempt to address the pedestrian within the realm of the tower the problem of the pedestrian’s disconnection building. from the street and the city by eliminating the Because the arcades were experienced in podium understory so that the building can plan, through a straight tunnel, they were per- function like a city by operating, on a smaller ceived as framed views in one point perspective. scale, as the city at large. Residents of the po- The vertical arcade, because of its sectional dium never have to leave their building. To ad- quality, is perceived in a simultaneous flux of dress the separation of the inhabitant from the varying perspectives. Inhabiting the spatial

28 THE VERTICAL ARCADE

The impact of the Paris arcades on architecture and the social climate they created are still relevant today. The arcades typology plays a critical role in creating a relevant architecture in a dense, modern, metropolis. Linking the escalator and podium as a new, unified architectural idea, this research attempts to describe the qualities of the arcades in order to develop a building typology adaptable to the dense and emerging capitalist climate of Hong Kong, without causing the social disjunction created by the original form.

Figure 12. Base of the vertical arcade where the REFERENCES street folds into the building Aragon, Louis. Paris Peasant. Trans. Simon Taylor. knots and traveling on the escalator exaggerate Ed. Boston: Exact Exchange, 1994. Trans. of Le the changing perspectives. The circulation cuts Paysan de Paris. 1926. through the building in section with differently Benjamin, Walter. The Arcades Projects. Trans. scaled moves, allowing for shifting perspec- Howard Eileen and Kevin McLaughlin. Ed. Rolf tives. The shifting perspectives creates the phe- Tiedeman. Cambridge: Belknap Press of Harvard nomena of spectacle within the building that University Press, 1999. heightens the spatial experience of occupying Breton, Anton. “First Manifesto of Surrealism.” Art the building rather than creating a spectacle in Theory 1900-1990: an Anthology of Changing produced by consumption. Ideas. Ed. Charles Harrison and Paul Wood. Ox- ford: Blackwell Publishers Ltd., 1992. 432-439. Buck-Morss, Susan. Dialectics of Seeing. Cam- bridge: MIT Press, 1999. Chen, Nancy D. and Constance D. Clark, ed. China Urban: Ethnographies of Contemporary Culture. London: Duke University Press, 2001. Coullinane, Sharon and Kevin. 2003. “City Profile Hong Kong.” In Cities, vol. 20, No. 4 2003. 279- 288. Great Britain: Pergamon. Geist, Johann. Arcades: The History of a Building Type. Trans. Jane Newman and John Smith. Cambridge: MIT Press, 1983. Trans of Passagen – Ein Bautyp des 19. Jahrhunderts. 1979. Gilloch, Graemme. Myth and Metropolis, Walter Benjamin and the City, Cambridge: Polity Press, 1996. Gutierrez, Laurent and Valerie Portefaix. Mapping Hong Kong. Hong Kong: map book, 2000. Holl, Steven. Parallax. New York: Princeton Archi- tectural Press, 2000. Hui, Eddie C.M. and Manfred C.M. Lam. “A Study Figure 13. Spatial knots spread throughout the sec- of Commuting Patterns of New Town Residents tion of the vertical arcade. in Hong Kong.” Population mobility, land supply

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and tenure choice in Hong Kong. Hong Kong: Ng. M.K. and Mills. Hong Kong: World city or great Hong Kong Polytechnic University, 2004. 38-54. city of the world? Centre of Urban Planning and Environmental Management, The University of Koolhaas, Rem. Harvard Design School Project on Hong Kong Press, 2000. the City: Great Leap Forward. Koln: Taschen, 1994. “Report on C.D. service in new towns.” Working Group on Resource Building. 1982. Hong Kong Lai, Lawrence Wai-Chung. Town Planning in Hong Council of Social Service. Community Develop- Kong: A Critical Review. The Hong Kong Eco- ment Division. nomic Policy Study Series. City University of Hong Kong Press. 1997 Tse, F.Y. Market and Street Trading: A Conceptual Framework. The Chinese University of Hong Macleod, Robert. “Other Urbanisms and New Public Kong Social Research Center. March 1974. Space: Emerging Notions of Place and the Public Realm in Greater Hong Kong.” Vidler, Anthony. Warped Space. Cambridge: MIT Press, 2001. Manfren C.M. Lam. “A Study of Commuting Pat- terns of New Town Residents in Hong Kong.” World Trade Organization Press Page. www.info.gov.hk/constatd/eng

A Zooarchaeological Analysis of the Domestic Chicken Burial Excavated at Kingsley Plantation

Kelly M. Christensen

ABSTRACT

n the summer of 2006, an archaeological field school directed by Dr. James M. Davidson was held at Kingsley Plantation, a historic sea island I plantation site located on Fort George Island along the northeast coast of Florida. During the course of excavations, we discovered a nearly complete, articulated, and well-preserved domestic chicken (Gallus gallus) skeleton buried under the floor of Cabin W-15. The objective of this report is to supply a descriptive osteological analysis of the chicken interment, with the intent of complementing ongoing research into the significance of this unique feature in the context of the slave culture of Kingsley Plantation. The lack of human modifications, the pristine condition of the specimen when it was unearthed, and the inclusion of a chicken egg and ferrous object buried underneath the skeleton suggest that the chicken interred was not used as a subsistence animal. Instead, it was probably buried whole as part of a ritual that had its roots in the African cultural traditions of the slaves who inhabited the cabin site in the early 19th century.

31 K. M. CHRISTENSEN

INTRODUCTION slave cabins (Fairbanks 1974). His report chief- ly provided a basic survey of the artifacts and Site History features in and around Cabin W-1, which were Kingsley Plantation is a historic plantation occupied around 1814-1900 (Fairbanks 1974). site located on Fort George Island along the Though his report was mainly meant to be northeast coast of Florida, part of the modern descriptive in nature, Fairbanks also hoped to Timucuan Ecological and Historic Preserve Na- recover evidence of “Africanisms,” or evidence tional Park in Duval County. While the property of the transmission of African cultural tradi- passed through many hands during the 19th cen- tions, within the artifact assemblage, as tury, it is named for Zephaniah Kingsley, who Kingsley was known to be a permissive slave initially leased the land from John Houston owner (Fairbanks 1974:90, Fairbanks 1984:2). McIntosh in 1814 (Stowell 2000:4) and then However, he identified no such evidence at bought and resided on the property from ap- Kingsley Plantation. Fairbanks’s initial work at proximately 1817 to 1839 (Stowell 2000:40-42). Kingsley Plantation was groundbreaking in a The plantation’s main crops were Sea Island time when most plantation archaeology focused cotton and other provisions, all tended to by on white occupation at plantation sites, and pro- slave laborers who resided in a semi-circle of 32 vided a baseline for more substantive work that tabby cabins constructed just south of the main would be done at the site in the 1980s. house on the property (Figure 1). These slaves Karen Jo Walker revisited Kingsley Planta- were organized using the “task management” tion in 1988 as the subject of her master's thesis system that assigned slaves a number of tasks for the Department of Anthropology at the Uni- each day, after which they were allowed to plan versity of Florida. She based her research on the their own time, some of which might have been fieldwork performed by John Bostwick in 1981 spent in food subsistence activities; Kingsley on Cabins W-3 and W-6, as well as Fairbanks’s notes in one of his writings in 1829 “after al- previous work. Walker sought to reconstruct the lowance, their time was usually employed in environmental and socio-historical context of hoeing their corn, and getting a supply of fish Kingsley Plantation so as to critically evaluate for the week.” (Stowell 2000:69) whether the high quality of life that historical Such a labor arrangement was not uncom- sources reported of the slave labor population mon among southeastern cotton plantations. was historically accurate (Walker 1988:2-5). In What makes the plantation of special interest addition to her thesis, which covered the multi- compared to similar sites in the Southeast is variate aspects of Kingsley Plantation, she also Kingsley’s many unconventional thoughts on published a report in the Essays in Memory of slavery. Kingsley was pro-slavery and a one- Charles H. Fairbanks, specifically dealing with time slave trader, yet he also believed in the comparing the subsistence patterns of slaves on humane treatment of slave laborers. He main- Southeastern coastal plantations with that of tained a “hands-off” approach to managing his Kingsley Plantation (Walker 1985). slaves by not interfering in personal and family Walker concluded that while early histories matters, and encouraging leisure activities, of life on Kingsley Plantation should be consi- which might have involved some continuance of dered with caution, slaves appeared to have African traditions (Davidson 2006: 10-11; Sto- lived in a private, family setting in which they well 2000:69; Walker 1988:50-51). were allowed to own their property and hunt Excavation History and farm small plots in their free time (Walker 1988). Zephaniah Kingsley’s unique attitude Dr. Charles Fairbanks, of the University of towards his slaves certainly influenced their Florida, was the first archaeologist to examine quality of life; yet underlying economic and the slave history of Kingsley Plantation. In the environmental factors at Kingsley Plantation summer of 1968, he excavated the ruins of Ca- must also have played their part in shaping the bins W-1 and E-1, situated nearest Palmetto conditions under which slaves labored (Walker Avenue, which bisects the center of the arc of 1988: 164).

32 DOMESTIC CHICKEN BURIAL EXCAVATED AT KINGSLEY PLANTATION

Figure 1. Excerpt from U.S. Coastal Survey map of Fort George Island, highlighting the Kingsley Plantation complex circa 1853, with cabins and main house labeled (US Coast Survey 1853 “Entrance to St. Johns River” Map; Anonymous 2004:31)

Research Goals and Objectives important part of this new investigation (David- son 2006:7). This report utilizes material from the most The main focus of this report is the single excavations to take place at Kingsley Plantation test unit that was excavated in Cabin W-15 thus far. In 2006, Dr. James M. Davidson con- (Figure 2). Cabins W-12 and W-13 were torn ducted an archaeological field school that ex- down some time after their abandonment in the amined multiple locations on the Timucuan 1840s and subsequently buried over time (Da- National Park property, most importantly Ca- vidson 2006: 42). In order to understand the bins W-12, W-13, and W-15 along the western subsurface architecture of the tabby cabin build- arc of the slave cabins. The goal of this ongoing ings, we excavated a 1 x 1 m test unit into the research is to further explore the social dynam- floor of Cabin W-15, which still has extant ruins ics between slave and master on the plantation (Davidson 2006: 26). Not only did Unit 34 pro- through analysis of material goods, subsistence vide insight into the nature of the floor of the evidence, and historical records. “Africanisms,” slave cabins, but it also yielded Feature 4. This as Fairbanks sought, were not expected to be an feature was composed of an articulated, intact

33 K. M. CHRISTENSEN domestic chicken (Gallus gallus) skeleton, with MATERIALS AND METHODS a broken egg and ferrous object directly below it, interred underneath the historic floor surface of the cabin. Materials The objective of this report is to use zoo- The focus of the faunal analysis was limited archaeological methods of faunal analysis to to the intact domestic chicken (Gallus gallus) give insight into the nature of this unique arc- skeleton and associated egg, designated Feature haeological feature. A descriptive analysis of 4, buried within Unit 34. As stated above, Unit the Gallus gallus specimen will be presented 34 was a 1 x 1 m test unit excavated in Cabin that includes observations on preservation, W-15. Feature 4 was located in the southern half completeness, sex and age, and taphonomic of Unit 34 at approximately 24-36 cm below markers of the specimen. These data are then surface, with one element, the right carpometa- utilized as a complement to the preliminary cul- carpus of the chicken, being found 10-20 cm tural research Dr. James M Davidson has done below the surface. on African religiosity (Davidson 2006) to de- In situ, the body of the chicken (Figure 3) termine whether the Gallus gallus interred un- was constricted and roughly aligned with the derneath Cabin W-15 was a subsistence animal eastern wall of the cabin, approximately on a raised and eaten by the slaves at Kingsley Plan- north/south axis, and does not appear to have tation or whether it was purposefully buried as been disturbed by the tabby footing of the cabin part of an African sacrifice ritual. (Davidson 2006: 29-30). The neck vertebrae were still fully articulated from synsacrum to cranium, extending north from the body then curling back south in a loop; all major elements, including femora, humeri, and radii/ulnae were also in proper articulation and alignment (Da- vidson 2006: 30). The chicken egg uncovered with the skeleton was located directly underneath the rib cage of the bird, sitting almost flush with the top of the keel of the sternum, partially inside the chest cavity (see Figure 5). The preservation of the bone throughout the site was excellent. The chicken skeleton was situated within a layer of sterile sand that was well drained and leeched of most of its organic matter (Davidson 2006: 29). The lime and crushed oyster shell in the soil, a byproduct of the cabin’s tabby construction, aided in the preservation process as well (Davidson 2006: 30). Associated material artifacts with the faunal specimen include the irregularly shaped ferrous object that was buried underneath the Gallus gallus skeleton and the egg. Its exact nature is unknown, but it may be the byproduct of the blacksmithing process, known to have taken place at the plantation (Davidson 2006: 30). There was also an amber-colored glass bead, which may or may not be associated with the Figure 2. Overview of 2006 West Cabin burial (Davidson 2006: 29). These artifacts are Excavations (Davidson 2006: 15) with Unit 34 considered in conjunction with the faunal spe- highlighted cimen.

34 DOMESTIC CHICKEN BURIAL EXCAVATED AT KINGSLEY PLANTATION

Analysis Methods After removal from the site, the skeleton was prepped for analysis by dry-brushing all the elements to remove excess dirt clinging to them. Those elements such as the cranium and the egg that were still embedded in a soil matrix were carefully removed from it using small picks and paintbrushes. The identity of the Gallus gallus specimen and its constituent parts were verified utilizing modern skeletal specimens from the comparative teaching collection available from the Florida Museum of Natural History, Gaines- ville. As required, supplementary references for Figure 3. Feature 4 in situ (Davidson 2006: 28) identification of specific elements of the chicken anatomy were gleaned from Anatomy of the Chicken and Domestic Birds by Tankred Koch Only elements related to this individual spe- (1973). cimen were present at the 24-36 cm level; no In addition to the basic identifications, the other faunal remains are directly associated with Gallus gallus was examined for indicators of it. While other faunal material was present in sex, age, and taphonomic markers that might the levels above Feature 4 within the unit, they indicate whether the specimen was used as a are not analyzed here. The other specimens subsistence item or as part of a cultural ritual. from Unit 34 are typical of the rest of the faunal Osteometric measurements were also taken for assemblage from the excavated cabins on site, all the major elements of the specimen using and are most likely not associated with this fea- electronic calipers. These measurements were ture. derived from A Guide to the Measurement of Animal Bones From Archaeological Sites writ- Excavation Methods ten by von den Driesch (1976:103-129). Com- parative Osteology of the Chicken and The faunal material analyzed from Feature 4 American Grouse by Hargrave (1972) was also was excavated using trowels, paintbrushes, and consulted for a measurement standard for the other delicate tools to minimize damage to the furcula, which was not defined by the von den faunal material as it was removed. All fill from Driesch publication. the unit was screened using ¼” mesh. Unit 34 was excavated in a mix of arbitrary and cultural levels. It was first excavated from 1-20 cm below surface using arbitrary 10 cm levels, with RESULTS AND ANALYSIS Level 1 consisting of the entire 1 x 1 m unit from 0-10 cm and Level 2 being bisected into North and South halves, each measuring 1 m x The Skeleton 50 cm, from 10-20 cm below surface. Once Fea- Figure 4 shows the overall completeness of ture 4 was first uncovered around 24 cm below the skeleton while Table 1 summarizes the surface, the southern half of the unit was exca- weight, portion, and the taphonomic signatures vated as a single cultural level to 36 cm below of all the elements. All of the major elements of surface to remove the entirety of the chicken the chicken were recovered during the excava- skeleton and associated artifacts. Soil samples tion. The only elements missing were some of were taken from each level of the unit, including the digits of the wings and the feet, as well as around and inside Feature 4. They will be ana- fragments of ribs and other delicate bones that lyzed at a later date, and may yield more ele- may have been disintegrated or been crushed in ments from the chicken burial. the ground over time. No bones associated with

35 K. M. CHRISTENSEN

Table 1. Summary of Gallus gallus element data Total Weight Element Portion (g) Taphonomy Cranium ½ - ¾ 5.3 Root etching; most processes splintered off during clean- ing Quadrate (Left) Whole 0.1 N/A Quadrate (Right) Whole 0.1 Root etching Lacrimal (Left) Whole 0.1 N/A Lacrimal (Right) ¾ - Whole 0.1 Root etching; broken into 2 pieces Premaxilla ½ - ¾ 0.2 Nasal process only; root etching Dentary ¾ - Whole 0.5 Root etching; broken into three pieces Atlas (C-1) Whole 0.1 Root etching Axis (C-2) Whole 0.2 Root etching Cervical Vertebrae ½ - Whole 4.4 Root etching (3 – 15) Thoracic Vertebrae ¾ - Whole 2.3 Root etching; modern breaks (Fused and Unfused) Caudal Vertebrae (2) Whole 0.2 Root etching Synsacrum ¼ - ½ 7.5 Root etching; broken into 14 pieces during recovery Vertebral Ribs (9) Whole 1.8 Root etching Sternal Ribs (5) Whole 0.5 Root etching Furcula Whole 0.8 Root etching; broken into three pieces Coracoid (Left) Whole 1.2 Root etching Coracoid (Right) Whole 1.3 Root etching Scapula (Left) ½ 0.5 Root etching Scapula (Right) ½ 0.5 Root etching Sternum ¼ - ½ 4.1 Root etching; broken into two pieces Humerus (Left) Whole 4.8 Root etching Humerus (Right) Whole 3.0 Root etching; modern scratches Radius (Left) Whole 0.5 N/A Radius (Right) Whole 0.5 Root etching Ulna (Left) Whole 1.2 Root etching Ulna (Right) Whole 1.1 Root etching Carpometacarpus (Left) ¼ 0.3 Root etching; modern break(?) Carpometacarpus (Right) ¾ - Whole 0.5 Root etching; modern break(?) and scratches; broken into three pieces Femur (Left) Whole 4.2 Root etching Femur (Right) Whole 3.5 Root etching; oxidation stain Patella (Right) Whole 0.1 N/A Fibula (Left) ½ 0.1 Root etching Fibula (Right) ½ 0.2 Root etching; broken into two pieces Tibiotarsus (Left) Whole 5.0 Root etching; broken into two pieces during recovery Tibiotarsus (Right) Whole 4.3 Root etching; modern scratches Tarsometatarsus (Left) Whole 2.0 Root etching; modern scratches Tarsometatarsus (Right) Whole 2.1 Root etching; modern scratches Tarsus Phalanges (11) Whole 1.3 Root etching; oxdation stain, modern scratches Msc Bone Fragments N/A 2.5 Root etching; modern breaks

Totals (minus fragments) Total NISP 75

Total MNI 1

Total Weight 69 g

36 DOMESTIC CHICKEN BURIAL EXCAVATED AT KINGSLEY PLANTATION

common meat cuts of the chicken, such as the breast, buffalo wing, or drumstick, were missing. All long bones, except the left tibiotarsus which was broken during recovery, were whole. This is the same for many of the vertebrae and phalanges. None of the elements of the specimen displayed any pathology. The synsacrum, skull, and egg were held together in situ by the soils around then, so when cleaned in the lab they fragmented into several pieces. They probably fell apart because of a combination the weight of the soil overburden pushing down while it was buried (Lyman 1994: 425) and drying of the bone in open air once it was removed.

Sex and Age The specimen was determined to be a female based on two sex-specific traits that female avians are known to possess. One of these was the absence of a spur on either tarsometatarsus of the leg, which most male chickens possess. The other was the presence of medullary bone in the shaft of the left tibiotarsus (broken during Figure 4. Diagram of Gallus gallus elements present recovery on site.) The presence of medullary bone not only indicates that the specimen was female, but was also ovulating at its time of Almost all of the elements recovered displayed death; medullary is stored in the long bones of a a light degree of root etching and discoloration hen’s body for the creation of eggs during ovu- caused by the roots growing in the soils around lation, and disappears when the hen is no longer them (see Table 1). This is a natural process and producing eggs. is consistent with the condition of the rest of the All of the elements in the skeleton were fully faunal material recovered at the site. fused, indicating that the specimen was mature None, however, display any evidence of when it died. Birds are difficult to age with butchery by humans such as cuts, hacks, burn- more accuracy than this because of the early ing, or gnawing, and are otherwise very clean in ossification of their bones and indeterminate appearance. Some elements possess accidental growth thereafter. For reference, the average breaks, scratches, and cuts that occurred while age at which the bones of a modern Gallus gal- Feature 4 was being excavated (such as the syn- lus are completely ossified is around 5-8 months sacrum which, while intact in situ, broke apart of age (Reitz and Wing 1999:75). They can lay into several pieces when removed from its sup- eggs for approximately two years after they are portive matrix). These marks are clearly of sexually mature. modern origin, were noted as such during analysis, and have no bearing on the conclusions Taphonomic Signatures drawn from the feature. The exceptions to this According to Bickart (1984) bird carcasses are the right and left carpometacarpuses of the not protected or rapidly buried fall quick prey to chicken. While they appear to have fresh breaks, disturbance by scavengers. The preserved, fully they were already broken when recovered. articulated state of the skeleton suggests that the How and when these breaks occurred is specimen was buried not long after it was killed. indeterminable.

37 K. M. CHRISTENSEN

Osteometric Measurements was buried. It was also not possible to determine for certain whether the egg was inside the Gal- The osteometric data recorded from the ele- lus gallus at the time of burial or not. While the ments of the specimen are available in egg unearthed under the chicken skeleton in Appendix 1. The goal of recording these mea- Feature 4 appeared almost flush with the ster- surements was to determine how the size of the num in situ (Figure 5), this does not necessarily specimen compared to others of its sex and age, indicate that the egg was within the chicken with the possibility of ascertaining the breed of when it was buried. The chicken was female and the specimen based on ratios unique to certain laying down at its time of death. However, it is domestic breeds common to North America. also a distinct possibility that the egg was origi- Unfortunately, no such database of know- nally buried outside and below the hen, and over ledge appears to exist. While the A Guide to the time depositional forces on the site such as wa- Measurement of Animal Bones from Archaeo- ter or burrowing animals pushed the egg up into logical Sites by von den Driesch supplies a the chest cavity of the chicken. Over half of the standard by which to measure the various ele- chicken’s sternal keel is missing, leaving plenty ments of avians, it does not provide any data to of room for the egg to move up and in without evaluate the measurements derived. The closest being severely damaged. Thus it is impossible to a list of comparative measurements to be to be definite about the original placement of found was a brief tabulation of figures (not of the egg. the same definition as von den Driesch’s) that Hargrave (1972: 25) supplies in his book Com- parative Osteology of the Chicken and Ameri- DISCUSSION can Grouse. These are sparse and unhelpful, as the male and female measurements taken are The relatively pristine condition of the from two different breeds, and from only one chicken skeleton makes it difficult to draw any individual each. Research was also done on complex conclusions from the remains. That chicken fancier’s associations and clubs such as being said, the data acquired from the faunal the American Poultry Association. These organ- analysis of Feature 4 points to a non-subsistence izations set breed standards for raising competi- explanation for the interment of the specimen. tion chickens, ducks, and other fowl. However, First, if the chicken had been used as a food this was also unfruitful, as the breed standards item, some taphonomic signatures from the are very vague and unsuitable to a zoo- butchery processes would be present in addition archaeological analysis. to those caused by the roots and soil in the It is unclear whether breed, or even sex, can ground. Also, if it had been eaten and then dis- be determined through the measurement of the carded (even whole), there is no reason for it to elements of the chicken or any other domestic be buried in sterile sand below the occupation fowl. Despite this, the measurements derived level when other vertebrate faunal material is from the specimen in Feature 4 are included present in the 0-20 cm range below surface, within the report for the sake of thoroughness above and within the historic level of the cabin and the hope that in the future they can be com- floor. Lastly, the presence of the chicken egg, pared to other chicken specimens and provide ferrous object, and amber-colored glass bead in more information about this aspect of the fea- such specific association with the specimen ture. make it very improbable that they were accidental as opposed to intentional inclusions within The Egg Feature 4. The total weight of the eggshell fragments In his preliminary report of the 2006 excava- from Feature 4 was 3.9 g. No fetal chicken tions, Dr. James M. Davidson discusses some of bones were found when the egg was cleaned in the cultural explanations for the presence of the the lab, thus it is impossible to determine feature, focusing on traditional African sacrifice whether the egg was fertilized or not when it ceremonies that may have been recreated by the

38 DOMESTIC CHICKEN BURIAL EXCAVATED AT KINGSLEY PLANTATION slaves on the plantation (Davidson 2006: 32- REFERENCES 34). The sacrifice of chickens and other fowl on important occasions marking births, deaths, and Bickart, K.L. 1984 A Field Experiment in Avian household dedications was performed as part of Taphonomy. Journal of Vertebrate Palentology African and creolized religious ceremonies (Da- 4: 525-535. vidson 2006: 33). Records left by Zephaniah Davidson, James M. 2006 Preliminary Report of Kingsley concerning slaves he lost after his Investigations of the 2006 University of Florida Laurel Grove Plantation was raided in 1812 re- Archaeological Field School at Kingsley Planta- veal that most of his slaves were African in ori- tion Timucuan Ecological and Historic Preserve gin, and even name specific tribal groups such National Park, Duval County, Florida. Report submitted to the United States Department of the as the Ibo, Calabari, Rio Pongo, and others. Interior, National Park Service, Southeast Arc- These records are an excellent direction for fur- haeological Center. ther research. Driesch, Angela von den 1981 A Guide to the Mea- surement of Animal Bones from Archaeological Sites: as developed by the Institut für Palaeoana- tomie, Domestikationsforschung und Geschichte der Tiermedizin of the University of Mu- nich. Peabody Museum of Archaeology and Eth- nology, Harvard University, Cambridge, Mass. Fairbanks, Charles 1974 The Kingsley Slave Cabins in Duval County, Florida, 1968. Conference on Historic Sites Archaeology Papers 7: 62-93. Fairbanks, Charles 1984 The Plantation Archaeology of the Southeast Coast. Historical Archaeology 18(1): 1-14.

Hargrave, Lyndon L. 1972 Comparative Osteology of the Chicken and American Grouse. Prescott College Press, Prescott. Figure 5. The egg and the sternum of the chicken, being processed in the lab. Koch, Tankred 1973 Anatomy of the Chicken and Domestic Birds, trans. By Bernard H. Skold and Louis DeVries. Iowa State University Press, CONCLUSION Ames. Lyman, R. Lee 1994 Vertebrate Taphonomy. Cam- bridge University Press, Cambridge, UK. There is no zooarchaeological evidence that suggests that the domestic chicken interred un- Reitz, Elizabeth J., and Elizabeth S. Wing. 1999 derneath the floor of Cabin W-15 was a subsis- Zooarchaeology. Cambridge University Press, tence animal. Its condition in situ was pristine, Cambridge, UK. with all major elements still in articulation. It Stowell, Daniel W. (editor) 2000 Balancing Evils lacks butchery marks that would indicate partial Judiciously: The Proslavery Writings of Zepha- dismemberment and consumption of any part of niah Kingsley. University Press of Florida, Gai- the specimen. The sex and presence of medul- nesville. lary bone in the specimen leave open the possi- US Coast Survey 1853 “Entrance to St. Johns Riv- bility that the chicken egg interred beneath it er.” Map. Collections of the Library of Congress, was inside the bird at death, but this cannot be Geography and Map Collection, Washington, confirmed from the data obtained. Further re- DC. search along the lines of that done by Davidson Walker, Karen Jo 1985 Kingsley Plantation and Sub- needs to be done to ascertain a definitive cultur- sistence patterns of the Southeastern Coastal al explanation for its burial. Slave. In Indians, Colonists, and Slaves: Essays in Memory of Charles H. Fairbanks, edited by

39 K. M. CHRISTENSEN

Kenneth W. Johnson, Jonathan M. Leader, and M.A. Thesis. Anthropology, University of Flori- Robert C. Wilson, Publication No. 4, Gainesville. da, Gainesville. Walker, Karen Jo 1988 Kingsley and His Slaves: Anthropological Interpretation and Evaluation. Appendix 1. Osteometric Measurements of the Chicken Measure- ments

(as defined by von den Driesch 1981)

Measurement (mm) (mm) Cranium GB Greatest Breadth 29.9 29.9 GH Greatest Height 22.2 22.2 GBP Greatest Breadth across 29.9 29.9 Process postfrontales LP Length from Protuberantia 42.5 42.5 occiptalis externa to most arboreal point of Process profrontales SBO Smallest Breadth between 13.3 13.3 Orbits Measurement (mm) (mm) Mandible GL Greatest Length 58.0 58.0 LaF Length from most arboreal 52.0 52.0 point of articular surface on one side to the Apex LS Length of Symphysis 9.1 9.1 Measurement (mm) Right Left Coracoid Bb Greatest basal breadth 14.1 13.9 Bf Breadth of basal articular 9.7 9.7 surface GL Greatest Length 56.6 56.8 Lm Medial Length 54.3 54.2 Measurement (mm) Right Left Scapula Dic Greatest cranial diagonal 12.4 12.1 Measurement (mm) Right Left Humerus Bd Greatest breadth of distal 15.4 15.7 end Bp Greatest breadth of prox- 19.7 19.6 imal end GL Greatest Length 71.7 71.8 SC Smallest breadth of cor- 7.5 7.3 pus Measurement (mm) Right Left Radius Bd Greatest breadth of distal 7.1 7.2 end GL Greatest Length 66.0 65.7 SC Smallest breadth of cor- 3.1 3.1 pus Measurement (mm) Right Left

40 DOMESTIC CHICKEN BURIAL EXCAVATED AT KINGSLEY PLANTATION

Measurement (mm) (mm) Ulna Bp Greatest breadth of prox- 9.7 9.7 imal end Did Greatest diagonal of distal 9.8 9.9 end Dip Greatest diagonal of prox- 13.3 13.6 imal end GL Greatest Length 71.8 71.6 SC Smallest breadth of cor- 4.7 4.5 pus Measurement (mm) Right Left Carpometacarpus Bp Breadth of proximal end 12.0 12.2 Did Greatest Diagonal of Dis- 7.6 N/A tal End Measurement (mm) DiA Diameter of one acetabu- 7.8 Synsacrum (Pelvis) lum (Left) Measurement (mm) Right Left Femur Bd Breadth of distal end 15.6 15.6 Bp Breadth of proximal end 16.0 15.9 Dd Greatest depth of distal 12.9 12.9 end Dp Greatest depth of proximal 10.9 11.0 end GL Greatest Length N/A 84.3 Lm Medial length 78.3 78.3 SC Smallest breadth of cor- 7.4 7.4 pus Measurement (mm) Right Left Tibiotarsus Bd Breadth of distal end 11.9 12.0 Dd Greatest depth of distal 12.1 11.9 end Dip Greatest diagonal of prox- 21.3 21.2 imal end GL Greatest Length 119.3 N/A La Axial length 113.9 113.4 SC Smallest breadth of cor- 7.2 7.1 pus Measurement (mm) Right Left Tarsometatarsus Bd Breadth of distal end 13.9 13.9 Bp Breadth of proximal end 13.5 13.5 GL Greatest length 81.4 81.1 SC Smallest breadth of cor- 7.1 7.0 pus (as defined by Hargrave 1972) Measurement (mm) Furcula Maximum length 61.2 Maximum width 29.9

Publicly Traded Companies and Political Donations: Do Corporate Campaign Contributions Enhance Shareholder Wealth?

Marvin McTaw

ABSTRACT

his paper analyzes the relationship between donations given to political parties and candidates (i.e., Republicans and Democrats), and T the stock returns of corporations who make the donations, in an attempt to determine the value created for shareholders through political donations. Using daily stock returns, S&P 500 returns, and Iowa Electronic Markets data (a futures market whose contract prices are determined by political outcomes), multiple regression analysis and correlation studies were performed. All studies come to the same conclusion: there is no statistical evidence that suggests shareholders receive any returns from political support. Implications, including the possibility that political donations are simply the reflection of management are discussed. Analysis is also performed on who gives, why firms give, determinants of the levels of giving, and the costs and benefits of giving.

42 PUBLICLY TRADED COMPANIES AND POLITICAL DONATIONS

INTRODUCTION (e.g., another politician, primary- or general- election candidate, etc.). With this in mind, it becomes apparent that The purpose of this paper is to test the hypo- shareholders should be aware of the “political thesis that benefits, in the form of increased premium” (the financial benefits gained from market value of shares, are created for share- political donations) their equity could earn in holders from the financial support of political the event of a successful election for the party parties and candidates. This hypothesis comes their firm supports. To determine whether a from the application of a concept introduced by premium exists and how much this premium is Hertzel, Martin and Meschke (HMM) in their worth to shareholders, a study was performed paper Corporate Soft Money Donations and using various data resources, including daily Firm Performance. They state, “Managers of stock and S&P 500 returns from the Center for publicly traded corporations are to invest in Research on Security Prices (CRSP), and the tangible and intangible assets to increase the Iowa Electronic Markets (IEM) (a futures mar- wealth of their shareholders (1),” and that one ket where contract prices are determined by po- such intangible is political influence. If this is litical outcomes). Analysis of this data supports true, one would expect firms to create additional the conclusion that corporate campaign contri- value for shareholders from political donations. butions have little, if any, impact on the return Since markets are expected to be reasonably to shareholders. efficient, they generally reflect all publicly The study will be accomplished as such: available information. If this is the case, and a Section II will give background on the issue of company supports one party, which is expected corporate campaign contributions and will ex- to win (or lose) an election (e.g., Congressional, pand on issues such as who gives, why they Presidential, etc.), it is reasonable to believe that give, costs and benefits, and whether personal the firm’s equity value should accrue some ad- preferences of managers affect giving behavior. ditional benefits from supporting the victorious Section III will describe the data used in the party. In other words, the market should recog- study, Section IV will discuss the methodolo- nize the firm’s ‘investment’ in political influ- gies employed and the results, Section V dis- ence and discount back (i.e., find the present cusses implications, and Section VI will value of) any additional benefits that could re- summarize the information, conclude the study, sult from the firm’s support. and provide guidance for future studies. Such excess returns are important to understand because of the implications. Perhaps the most important implication is that if this belief is true, then managers clearly have a fiduciary BACKGROUND duty to shareholders to invest as much as possible in political relationships as long as there is a Corporations make political donations in a sufficient return. This means firms should not variety of ways. These include political action ‘waste’ their donations on non-profitable ven- committee (PAC) funds, “soft-money” (legal tures (i.e., candidates and parties) with which until 2002), “hard-money ” (2), and bundled they believe they can accomplish nothing. This funds (3) that are given to candidates raising also means that one would expect companies to funds. The fund-raising process occurs year invest more and greater amounts in profitable round and is not just during ‘election season’: ventures. The effects on politicians are clear. If for example, US Congressmen usually begin a firm views your relationship as beneficial to raising funds for their re-election as soon as them, they will continue to support you and in they obtain office. Politicians generally appre- ever-greater amounts. If the relationship is not ciate corporate donations because they help beneficial, then the company will end the ven- them either gain office or maintain their current ture and salvage as much as they can from it position. Additionally, in the case of incum- before moving on to a more profitable venture bents, these campaign funds pose formidable

43 M. MCTAW

barriers against competition. Such resources act ecutives are accounted for (9). The number may as a hurdle because they can provide for a wide increase when you take into account that some range of products and services. These include firms make their political donations through marketing materials (e.g., television ads, direct industry groups that represent firms in a particu- mail, targeted phone calls), polling, and get-out- lar industry (10). These firms are in every indus- the vote efforts. Such products and services are try and have a broad range in size (e.g., crucial in determining election outcomes and employees, revenues, etc.). Even though donors give incumbents a considerable advantage over come from a broad range of industries, as shown their opposition. in Table 1 the largest givers tend to be in highly Although politicians undoubtedly appre- regulated industries (11). For example, financial ciated such donations, critics question the ethics services firms (e.g., commercial and investment and reasoning behind the giving. Many continue banks, insurance companies, etc.) are highly to view the vast amounts of money going into regulated. The rules that govern their industry political coffers by large corporations as pay- have a direct and sizeable impact on market op- ment for services rendered and/or future favors. portunities available to the firms, costs the firms An often-cited example comes from the now have to pay, revenue opportunities, and the defunct Enron. Enron donated over $6.5 million overall profitability of the firms. Additionally, between 1989 and 2004 and in the 2000 election policies the government pursues have a substan- cycle the vast majority of its donations went to tial impact on the economic environment firms Republicans (4). Several critics viewed the ap- in the industry might encounter. For example, if pointment of several current and former Enron the government decides to run massive deficits employees to important positions within the causing interest rates to rise, this would clearly energy industry, the deregulation of certain have an impact on the financial services indus- markets, and counsel in legislative formation, as try. As a result, 14 of the top 100 political do- clear evidence that political influence was being nors are financial services firms. If one were to bought (5). Such behavior, coupled with the cost consider only corporations in the top 100, these of the 2000 election (over a billion dollars [6]), firms make up 37.8% of the firms. led to a call for change. With the passage of the 2002 Bipartisan

Campaign Reform Act, “soft-money” (unlimited Table 1. Top Ten Industries (in Millions) campaign contributions to political parties) was banned and several other laws (e.g., new contri- Rank Industry Total bution limits, advertising regulations, etc.) were put into place with the goal of significantly re- 1 Lawyers / Law Firms $73.7 ducing the amount of “corporate” money and 2 Retired $68.8 influence in elections (7). It is clear from the 3 Securities / Investment $57.8 enactment of these laws that many believed the structure of campaign finance unfairly favored 4 Real Estate $49.9 corporations, that politicians were beholden to 5 Insurance $30.4 ‘special interests’, and that this was unaccepta- ble (8). Although this was generally believed, it 6 Health Professionals $28.3 had not been proved. 7 TV / Movies / Music $24.9 8 Computers / Internet $23.9 Who Gives? 9 Oil & Gas $22.8 10 Business Services $20.8

327 of the 500 firms that make up the S&P These are the top ten industries by total amounts given. 500 gave donations to politicians directly The largest corporate givers tend to be in highly regulated through their PAC in the last election cycle, and industries. * Center for Responsive Politics probably even more gave when individual ex-

44 PUBLICLY TRADED COMPANIES AND POLITICAL DONATIONS

Other highly regulated industries that tend to Agenda setting is another important way in give include the tobacco, energy, pharmaceuti- which corporations wish to have influence. cal, defense, entertainment, communications, Agenda setting is the ability to have issues im- and transportation industries. portant to the firms become a focus of public debate. For example, some argue that the current Bush Administration’s emphasis on an Why Give? Energy bill and the President making it one of his priorities, is simply a reflection of his ties Corporations tend to give for several reasons and duties to the energy industry (18). Agenda but the biggest reason is quite clear: a desire to setting is also important because there are issues influence matters that are important to the firm that many corporations would prefer not to be or to the firm’s managers (12). For example, part of the public debate; actions that they when deregulation took place in certain sub sec- would rather accomplish under the radar. By tors of the energy industry, firms believing de- having an impact on topics that are and are not regulation to be in their best interest discussed in public, firms are better able to ad- significantly increased the amounts donated to dress their needs. If they believe public senti- politicians. Additionally, they also increased ment is on their side, they try to get things out in their lobbying spending to provide additional public debate. If public sentiment is against pressure on politicians to do the things that they them, they try to have things done quietly. proposed (13). Political influence can take sev- Some studies suggest that political donations eral forms. Two of the most common ways are don’t change politicians, but are simply a reflec- through policy formation, including favorable tion of a politician’s already stated interests writing of laws, and agenda setting (14). (19). For example, if a politician’s stance on When writing policy there are several things trade was protectionism (e.g., high tariffs, quo- that must be considered including the overall tas, and other non-tariff barriers), and if a firm goal of the law, the effect the law will have on saw this viewpoint as being in their best interest, both direct and indirect parties, and the winners they typically would support the candidate. and losers created as a result of the policies. Regardless of the type of influence exerted, When laws are written, corporations want to be firms give because they wish to have some con- on the winning side and they can accomplish trol over situations that could be either benefi- this by influencing the language and details cial or detrimental to the firm’s success. They within legislation. This is accomplished mainly have influence because even though politicians through the relationships that are established by, are supposed to represent the interests of the and reinforced through, campaign contributions their constituents, they are much more likely to (15). When sizeable donations are made, many listen to the concerns of their large donors, the candidates/politicians are known to take one-on- ones who help them attain and maintain their one meetings with large donors to listen to their position. concerns (16) . During this time, one can expect corporate representatives (e.g., CEO’s, lobbyist, What Determines the Amount etc.) to voice their concerns and preferences on specific items of interest. In fact many have Given? been known to even offer suggestions or guidelines for how the laws should be written or ap- There is no one particular formula that de- plied (17). The theory of ‘investing’ in the termines how much money corporations will political process leads one to believe that if poli- donate to politicians, however, several general ticians do an acceptable job in forming policies guidelines can be established. The first thing and/or legislation favorable to firms, then the that should be considered is the size of the firm. politicians can expect future support. If they are This is important because company PAC funds unsuccessful, support may be diminished or are raised from employees of the firm. As a re- passed on to an opponent in a future election. sult, larger firms typically have more funds to

45 M. MCTAW

donate through their PAC. Additionally, larger Costs vs. Benefits firms tend to have more people who can make larger personal donations. For example, a firm Firms are banned from directly contributing with 100,000 people typically will have a larger to political campaigns. Instead, they usually ex- number of employees who can max out personal ert their influence through Company PAC’s, as donations to candidates than a firm with 100 well as individual donations. Company PAC’s employees. When coupled with the greater must submit statements to the Federal Election availability of PAC funds, larger firms generally Committee noting every donation they make. contribute more. When this amount is added to individual contri- Another important consideration is the firm’s butions and lobbying costs, an estimate is de- industry. As previously stated, highly regulated rived for the cost to companies for political industries tend to have higher levels of political involvement. However, it must be made very donations. Firms in these industries tend to give clear that other than lobbying, there are no di- more because, by obtaining influence, they hope rect costs to the firm: individuals contribute to consistently improve the regulatory environ- their own money to candidates and the PAC ment in which they operate. Additionally, the and, therefore, it is not a direct company ex- impact on these firms tends to be much more pense. Secondly, even if PAC donations were a noticeable than in other areas, such as consumer direct expense of the firm, they would be no- goods. minal when compared to other expenses. For Perceptions of what is at stake also tend to example, in the 2002 election cycle, the Altria drive the amounts given. Generally speaking, if Group donated over $4 million from its PAC, a firm believes more is at stake, they typically management, and employees (24). While this will donate more funds. For example, if a firm is might seem large in absolute terms, for a com- in the pharmaceutical industry and believes sub- pany that at the time had over $80 billion in stantial changes in patent law will take place in revenues, and $11 billion in profit (25), this the next legislative session, it is more likely to represents a paltry sum. donate to the candidate who will support a posi- When these costs are compared to the poten- tion most favorable to the firm. tial benefits, it is clear that political donations The length of a relationship is also important can provide for substantial returns and, there- when determining how much to give. It can be fore, it is probably in the best interest of firms to expected that the longer there has been an estab- make political donations. By making donations, lished relationship, the greater the likelihood of firms at the very least have an open ear and a larger sum being donated. sometimes one-on-one time to make their case. Another important factor is the importance If they don’t make donations they lose this abili- of the politician. Politicians in leadership posi- ty to have a direct line and, in a sense, leave tions, like the President, Majority Leader, or completely to chance changes in policy that Chairman, tend to receive more and larger dona- could significantly affect the firm. tions. Additionally, politicians who have more power over the issue areas of importance to the firm tend to receive larger amounts and more donations in general: chairmen of relevant Personal Interests vs. Corporate committees tend to receive more campaign contributions than non-chairmen. If a firm is donat- Interests ing to these politicians, they would tend to give larger amounts and the donations would tend to Most companies have given overwhelmingly be more frequent. to Republicans (see Table 2). This is because There are several other factors that affect the the GOP is generally viewed as the pro-business amount given. These include the party of the party. Even though this is the case, the question politician (20), the politician’s constituency arises as to whether or not political donations (21), prior personal relations (22), and legal lim- are a reflection of the personal preferences of its to donations (23). managers and, if so, are they in the best interest

Table 2. Donors, Symbols, Total Amount Given, Percent to Democrats and Republicans

Organization Name Ticker Total DEM REP

Altria Group MO $20,935,067 37 62

FedEx FDX $20,874,988 34 65

Goldman Sachs GS $20,015,792 56 42

AT & T T $19,672,908 47 52

United Parcel Service UPS $17,645,995 29 70

Citigroup Inc C $17,605,641 52 47

Time Warner TWX $14,120,917 75 24

SBC Communications SBC $13,625,895 33 66

Microsoft Corp MSFT $13,319,470 59 39

Verizon Communications VZ $12,978,611 39 59

JP Morgan Chase & Co JPM $12,852,861 51 48

BellSouth Corp BLS $12,849,142 42 57

Lockheed Martin LMT $11,981,114 39 60

Morgan Stanley MWD $11,734,562 39 60

Bank of America BAC $10,937,570 46 53

General Electric GE $10,909,580 43 56

Union Pacific Corp UNP $10,626,845 20 78

Merrill Lynch MER $10,396,350 27 71

AFLAC Inc AFL $10,225,820 37 62

MBNA Corp KRB $9,963,331 26 72

Boeing Co BA $9,111,478 45 54

Pfizer Inc PFE $9,075,591 34 65

Chevron Texaco CVX $8,794,424 17 82

Freddie Mac FRE $8,537,619 73 26

UST Inc UST $8,504,152 18 81

Walt Disney Co DIS $8,389,245 69 30

General Motors GM $8,345,759 36 63

Anheuser-Busch BUD $8,170.034 44 55

Exxon Mobil XOM $7,828,733 11 87

Archer Daniels Midland ADM $7,711,339 39 60

American International Group AIG $7,688,152 54 45

General Dynamics GD $7,675,091 42 57

Southern Co SO $7,389,392 20 79

Metropolitan Life MET $6,897,253 52 47

CSX Corp CSX $6,891,830 26 72

Eli Lilly & Co LLY $6,721,141 29 70

Bristol-Myers Squibb BMY $6,458,777 27 71

This table shows the top 37 companies by total amount given. As seen here, most firms have given the majority of their funds to Republicans however in all cases a portion is still given to Democrats.

47 M. MCTAW

of shareholders. This question arises because the nors to campaigns must list their job title and firm’s management determines the recipients of corporate affiliations, however, they rarely do PAC donations, as well as how much will be so, usually only listing their general occupation donated. (30). Additionally, polling information is not HMM note in their paper that there are three typically released on a daily basis and normally groups that potentially benefit from political only tracks one candidate against another, not donations: politicians, managers, and sharehold- the relative strength of one party over the other. ers. Much study has been done on the effects of To address these shortcomings, we have used donations for politicians (26). There is only a several proxies in an attempt to answer whether small literature that explores the impact of polit- corporate campaign contributions enhance ical donations on managers and shareholders. shareholder wealth. One study by Gupta and Swenson, which stu- Donations to political parties are often diffi- died the effects of a major tax law change in cult to track, however, they can normally be 1984, found that a firm’s PAC contributions, found via tracking through the Federal Election and individual manager’s campaign contribu- Commission (FEC). The data provided from the tions, were both positively correlated with the FEC is very difficult to decipher, but several tax benefits at stake for the firm (27). In other interest groups have simplified the data into words, PAC and personal donations by man- much more user-friendly versions. Perhaps the agement seem to support the assertion that man- most well know is the Center for Responsive agers’ actions are aligned with shareholder Politics (CRP). The CRP maintains extensive interests. databases on political donations, including pro- There are still critics who point to examples files and background information on donors, the of managers supporting a candidate for social recipients of funds, the type of funds donated issues that are irrelevant to the overall success (e.g., PAC funds, “soft-money,” “hard-money,” of the firm. However such occurrences seem to bundled funds, etc.), and aggregate totals. The be the exception not the norm, and on the ag- CRP also maintains a listing of the top 100 do- gregate it seems firms typically do make dona- nors since its inception in 1989. Thirty-seven of tions to address their interests or to support the top 100 donors are members of the S&P those whom have a vested interest in the indus- 500. These firms will make up our sample try (e.g., former executives). In fact, when Re- group: Table 2 lists the 37 firms, their ticker publicans took control of the house in 1994, and symbol, the total amount donated, and the per- later on the Senate, donations shifted heavily to centage given to each party. the GOP (28). This supports the assertion that The S&P 500 is a market-capitalization large corporations are pragmatic donors and (number of shares outstanding times the share give when and where necessary (29). price) weighted index that tracks the performance of the 500 largest US firms. This index provides a broad overview of US market conditions because it encompasses several broad sec- DATA AND VARIABLE tors. Since our sample contains firms from DEFINITIONS many different sectors (e.g., agriculture, consumer products, energy, financial services, etc.) the S&P will provide a good proxy for the mar- Data ket. Returns for the S&P 500 were retrieved In a perfect world, it would be ideal to obtain using the Center For Research In Security Prices a corporate PAC’s list of donations, manage- (CRSP). Stock data including, raw return, beta- ment’s donations, their political affiliations, and excess return and holding period return for the all employee donations, and then analyze this 37 companies was retrieved using the same ser- data in relation to polling data of the relative vice. strength of the two major political parties. In Since it is extremely difficult to find daily reality, this is not practical because such infor- polling data from the major pollsters (e.g., Zog- mation is not easily found. For example, all do- by, Gallup, CNN, etc.) the Iowa Electronic

48 PUBLICLY TRADED COMPANIES AND POLITICAL DONATIONS

Markets (IEM) have been used instead. The the presence of several large unions. Although IEM are a “…small-scale, real-money futures Democrats hold a slight lead in funds from the markets where contract payoffs depend [on] top 100 donors, this began to change when Re- political events such as elections. (31)” Using publicans won control of the house in 1994 and the IEM, participants can trade "shares" of polit- later on gained control of the Senate (33). Large ical candidates or parties with the final return corporations, such as the ones tracked in our dependent upon the outcome of the election. sample, have shown a sort of pragmatism in Markets include a “winner-takes-all” and “vote- their giving and have shifted much of their do- share” market. The main difference between nations to Republicans (34). The trend has also these two markets is the winner takes all market seen large increases in the absolute amount cor- tries to predict the ultimate winner in an election porations donate. As a result (see Table 2), 28 of while a “vote share” market predicts the percen- the 37 companies in the sample have given over tage of votes each candidate will receive. The half of their donations to Republicans. IEM is extremely effective at predicting out- Many factors affect the price of a stock. In comes, especially in the case of the vote share order to determine the effects of political affilia- market in which there is an average error of on- tion with respect to returns, we calculate return ly 1.3% (32). to be: Historical daily closing prices from the 2000 presidential, winner-takes-all market will be R = α + Β1(S&P500) + Β2(IEM) + η used for the analysis. This provides 137 observations per contract. These contracts reflect the Where α = intercept of the returns, Β1 = beta IEM market sentiment as to which candidate of the stock to the S&P 500 index, Β2 = beta of will win the Presidential election. The Presiden- the stock in relation to the Iowa Electronic Mar- tial election was used because this branch of ket data, and η = error adjustment. By determin- government has the most influence in agenda ing b2, we are able to see the effects of the setting and policy formation, arguably two of firm’s affiliation to either political party. In de- the most important areas for corporations. termining the effects on company stock we have accounted for the effects of the market in order to isolate the effects from outside factors. One Variable Definitions would expect companies who donate a majority of funds to Republicans to have a positive Β2 when regressed against Republican IEM con- R = ( Pt - Pt-1 )/ Pt-1 tracts. This would lead to better returns when For this analysis, we define the following va- there are increases in contract prices for Repub- riables: return, R, is calculated as today’s price licans and decreases in contract prices for Dem- (P ) minus the prior day’s price (P ), divided by ocrats. However, since this formula is related to t t-1 the capital asset pricing model (CAPM), it suf- the prior day’s price (Pt-1). This is the calculated return for all companies, the S&P 500, and the fers from some of the same limitations as the IEM data. The returns for all firms and the S&P original formula. 500 do not assume the reinvestment of divi- The sample for this experiment consists of dends. the 37 publicly traded companies that are named in the CRP 100 top all-time donors list. After finding the daily company returns for the same METHODOLOGY AND RESULTS 137 periods covered by the Iowa election markets, they were regressed using the formula According to the CRP, the top 100 donors above. Tables 3 and 4 show Β2 when this have given over $1 billion in federal election process is undertaken for each contract. The campaigns from 1989 to October 2004. The 37 data is not consistent with the hypothesis that a companies we track have given over $417 mil- firm should have a positive Β2 when regressed lion. The top 100 donors give slightly more against the contract for the party which it do- money to Democrats than to Republicans due to nates more money to (35).

Table 3. Democrat Percentage, Iowa Electronic Market Beta, and T-Stat

Organization Name Ticker REP 2 T STAT

Time Warner TWX 75% 0.022 0.801

Freddie Mac FRE 73% -0.014 -0.379

Walt Disney Co DIS 69% -0.019 -0.554

Microsoft Corp MSFT 59% -0.004 -0.192

Goldman Sachs GS 56% -0.018 -0.806

American International Group AIG 54% 0.008 0.205

Citigroup Inc C 52% 0.013 0.471

Metropolitan Life MET 52% -0.003 -0.110

JP Morgan Chase & Co JPM 51% -0.006 -0.308

AT & T T 47% 0.033 1.153

Bank of America BAC 46% 0.018 0.796

Boeing Co BA 45% 0.019 0.404

Anheuser-Busch BUD 44% -0.014 -0.455

General Electric GE 43% 0.018 0.747

BellSouth Group BLS 42% 0.018 0.682

General Dynamics GD 42% 0.008 0.223

Verizon Communications VZ 39% -0.019 -0.562

Lockheed Martin LMT 39% -0.025 -0.690

Morgan Stanley MWD 39% -0.005 -0.174

Archer Daniels Midland ADM 39% -0.008 -0.343

Altria Group MO 37% -0.009 -0.311

AFLAC Inc AFL 37% 0.008 0.265

General Motors GM 36% 0.020 0.573

FedEx Corp FDX 34% -0.002 -0.063

Pfizer Inc PFE 34% 0.045 1.411

SBC Communications SBC 33% 0.048 1.612

United Parcel Service UPS 29% 0.009 0.289

Eli Lilly & Co LLY 29% 0.060 1.695

Merrill Lynch MER 27% 0.024 0.664

Bristol-Myers Squibb BMY 27% -0.011 -0.492

MBNA Corp KRB 26% -0.004 -0.127

CSX Corp CSX 26% 0.026 0.816

Union Pacific Corp UNP 20% 0.041 1.292

Southern Co SO 20% -0.006 -0.230

UST Inc UST 18% 0.003 0.065

ChevronTexaco CVX 17% 0.009 0.269

Exxon Mobil XOM 11% 0.031 1.007

This table shows the beta that corresponds to the IEM data and the corresponding t-stat. There are no statistically significant outcomes. Additionally there appears to be no trend in the Beta.

Table 4. Republican Percentage, Iowa Electronic Market Beta, and T-Stat

Organization Name Ticker REP 2 T STAT

Time Warner TWX 24% -0.003 -0.014

Freddie Mac FRE 26% -0.042 -0.994

Walt Disney Co DIS 30% -0.037 -0.893

Microsoft Corp MSFT 39% 0.011 0.340

Goldman Sachs GS 42% -0.012 -0.389

American International Group AIG 45% -0.047 -1.063

Citigroup Inc C 47% -0.050 -1.151

Metropolitan Life MET 47% -0.042 -1.127

JP Morgan Chase & Co JPM 48% 0.027 0.932

AT & T T 52% 0.038 0.893

Bank of America BAC 53% -0.013 -0.346

Boeing Co BA 54% 0.009 0.218

Anheuser-Busch BUD 55% -0.004 -0.091

General Electric GE 56% 0.030 0.631

BellSouth Group BLS 57% 0.010 0.265

General Dynamics GD 57% 0.027 0.478

Verizon Communications VZ 59% -0.012 -0.359

Lockheed Martin LMT 60% 0.005 0.133

Morgan Stanley MWD 60% 0.019 0.459

Archer Daniels Midland ADM 60% 0.006 0.162

Altria Group MO 62% 0.039 1.028

AFLAC Inc AFL 62% -0.005 -0.186

General Motors GM 63% -0.053 -1.850

FedEx Corp FDX 65% 0.048 1.328

Pfizer Inc PFE 65% 0.011 0.353

SBC Communications SBC 66% -0.031 -1.019

United Parcel Service UPS 70% -0.009 -0.369

Eli Lilly & Co LLY 70% -0.015 -0.364

Merrill Lynch MER 71% -0.001 -0.035

Bristol-Myers Squibb BMY 71% 0.030 0.887

MBNA Corp KRB 72% -0.070 -2.003

CSX Corp CSX 72% -0.040 -1.253

Union Pacific Corp UNP 78% -0.018 -0.508

Southern Co SO 79% -0.013 -0.351

UST Inc UST 81% -0.009 -0.326

ChevronTexaco CVX 82% -0.020 -0.601

Exxon Mobil XOM 87% -0.031 -0.940

This table shows the beta that corresponds to the IEM data and the corresponding t-stat. There are no statistically significant outcomes. Additionally there appears to be no trend in the Beta.

51 M. MCTAW

Table 5. Portfolio IEM Contract Betas and T Stats

DEM REP Portfolio 2 T STAT 2 T STAT Strong Democrats 0.020 0.368 -0.033 -0.499 Weak Democrats -0.005 -0.053 0.012 0.112 Weak Republicans 0.263 2.199 -0.276 -1.929 Strong Republicans 0.088 0.489 0.015 0.072

This table shows the betas and t stats for equal weight portfolios created from the top 37 corporate donors. The only statistically significant result is from the Weak Republicans portfolio. This portfolio appears to have a positive relationship with the Democratic IEM contract and a slightly negative relationship with the Republican IEM contract.

Following these regressions, portfolios were the party in question? One hypothesis is that formed dependent upon companies percentages corporate donations reflect the political prefe- donated to the political parties. Four portfolios rences of management. were formed: Strong Democrats (SD), Strong The third analysis involves correlating port- Republicans (SR), Weak Democrats (WD) and folio returns to IEM contact returns. This would Weak Republicans (WR). “Strong” portfolios determine the direction and strength of relation- are companies that have given over 60% of their ship, if any, between the returns of the members overall donations to either Democrats or Repub- of the portfolio and the returns on the IEM con- licans, while “Weak” portfolio members give tract. One would expect there to be a strong pos- 50-60% of their donations to a party. Assuming itive correlation between the returns for firms all stocks were weighted equally, a portfolio strongly supporting one party and the returns on return was derived and then regressed against the IEM contract (36). This however is not the the S&P 500, and IEM contract prices for both case. Table 6 summarizes the correlation data parties. Table 5 summarizes the Β2 for these and shows that all portfolios have a negative portfolios. This analysis produced only one sta- correlation to the Republican winner-takes-all tistically significant and interesting result: Weak contract in the IEM. This too would support the Republicans react negatively to improvements hypothesis that donations from corporations of Republicans in the IEM. If this were the case, reflect the political preferences of managers and why then would managers continue to support are not necessarily “investments” for the firm.

Table 6. Correlations

Portfolio DEM REP Strong Democrats 0.014 -0.044 Weak Democrats -0.017 -0.003 Strong Republicans 0.028 -0.013 Weak Republicans 0.124 -0.132

This table shows the correlation coefficients between the portfolios and the IEM contracts. All portfolios are negatively correlated with

52 PUBLICLY TRADED COMPANIES AND POLITICAL DONATIONS

ANALYSIS OF RESULTS AND CONCLUSION IMPLICATIONS In this study we investigated the question whether corporate campaign contributions en- The results of this study seem to suggest that hance shareholder wealth, under the assumption shareholders receive no additional monetary provided by HMM that these donations are like benefits from a firm’s support of one political investments and that managers expect a positive party or the other. This is of great significance payoff in the future. In order to accomplish this, because if shareholders receive no additional we performed multiple regressions and correla- benefit, then companies should refrain from tion studies of the top 37 corporate donors over making political donations. There are several the past 15 years with data from CRSP and from possible reasons why there appears to be no ad- the Iowa Elections Market, a futures market that ditional financial benefit that shareholders gain allows traders to buy shares in political out- from political support. The most likely reason is comes. that it is difficult to estimate the economic bene- While the conclusion is not completely clear, fits that firms will receive from their support of the evidence seems to indicate that corporate political parties. As a result, investors and trad- campaign contributions are not necessarily con- ers find it difficult to discount these benefits sidered investments for the firm by the market. and, therefore, political outcomes have no ma- The statistically insignificant outcomes, general terial impact on the price per share. trends, and correlation studies all seem to say Of particular interest is the correlation data. the same thing: corporate campaign contribu- This data reveals that all firms have a slight tions do not serve to enhance the shareholder negative correlation to Republican contracts. In wealth and could potentially reflect the personal other words this data suggests that when mar- preferences of the management of the firm. kets believe republicans will win the election, With this knowledge, the analyses performed all security prices, regardless of which party the in this study are of high importance to investors company supports, goes down. This is interest- as they should be interested in whether these ing because the majority of corporate campaign donations are actually useful investments for the contributions go to Republicans. Given this, one firm. Further analysis could be performed using would expect there to be at least a slight positive industry specific indexes. Additionally, the correlation between the Republican IEM con- study could be expanded to include all members tracts and the SR and WR portfolios, but this of the S&P 500 to determine whether the state- clearly is not the case. In other words, even ment holds true for all publicly traded firms though there is a converse relationship with re- who make political donations. turns to shareholders and the general belief that Republicans will win the election, managers continue to ‘invest’ in Republicans to the detri- ment of shareholders. This study would support the hypothesis that political donations are a ref- REFERENCES lection of the personal preferences of management, and are not necessarily in the best interest 1. Hertzel, M; Martin, J and Meschke J. of shareholders. (2002). Corporate Soft Money Donations Another implication of this study is that the and Firm Performance. Arizona State Uni- market might not properly adjust for political versity (Google Scholar) 1-24 risk. In other words, the markets might not be 2. These are funds donated directly to candi- efficient when it comes to addressing the impact dates from individuals. This contribution political environments can have on businesses. limit was raised to $2000 in 2002.

53 M. MCTAW

3. Bundled funds are donations where fun- 16. Not ducking , Economist, 00130613, draisers will gather the donations of mul- 3/27/2004, Vol. 370, Issue 8368 tiple donors and send them in to candidates 17. Ibid. and parties at one time. Bundled funds are known to be as high as $100,000 or more 18. Ibid. (CRP). 19. Magee, C. (2000). Do Political Action 4. Center For Responsive Politics, Top All Committee’s Give Money To Candidates Time Donor Profiles, For Electoral or Influence Motives? Public http://www.opensecrets.org/orgs/list.asp Choice 11:372-399 ?order=A 20. Republicans are generally viewed as more 5. Weisskopf, Michael. “Enron’s Democrat business friendly and as a result generally Pals” Time; 8/26/2002, Vol. 160 Issue 9, receives more and larger donations from p20, 1/2p, 1c corporations. 6. Center For Responsive Politics, 21. The state that the politician represents can http://www.open secrets.org/bigpicture have a huge impact on the sources and le- /index.asp vels of political donations. For example, politicians from Texas generally have back- 7. Dionne Jr., E. J., MONEY & ELECTIONS, ing from energy and energy services firms Commonweal, 4/9/2004, Vol. 131 Issue 7, native to the state. p8, 1p 22. A great example of this comes from former 8. Hertzel, M; Martin, J and Meschke J. Goldman Sachs Chairman and current New (2002). Jersey Senator, John Corzine. When run- 9. Center For Responsive Politics, Political ning for the US Senate, the firm raised mil- Action Committees, http://www.open se- lions of dollars internally to support his crets.org/pacs/ index.asp candidacy and continues to support his campaigns financially. Generally speaking, 10. For example, some industry groups such as if politicians have corporate ties (e.g., a the American Bankers Association (ABA) former executive of a firm, one could ex- count as members financial services firms. pect a larger amount of donations. The ABA receives its funding from these institutions and makes donations as a indus- 23. Multi-candidate PAC’s can give $5000 to try representative. When such groups are individual candidates, $15,000 to national considered, the number of donating firms parties, and $5000 to any other PACS or probably increases considerably. state parties (Center For Responsive Poli- tics. “Federal Campaign Finance Law: Con- 11. Center For Responsive Politics, Top Indus- tribution Limits” tries Through The Years, http://www. open- http://www.opensecrets.org/basics/law/inde secrets.org/pubs/whospay00/industrychange x.asp .asp 24. Center For Responsive Politics, Altria 12. Hertzel, M; Martin, J and Meschke J. Group Donor Profile http://www.open se- (2002). crets.org/orgs/summary.asp?ID=D0000000 13. Weisskopf, Michael. “Enron’s Democrat 67&Name=Altria+Group Pals” Time; 8/26/2002, Vol. 160 Issue 9, 25. Annual Report. Income Statement, http:// p20, 1/2p, 1c finance.yahoo.com/q/is?s=MO&annual 14. Hertzel, M; Martin, J and Meschke J. 26. Hertzel, M; Martin, J and Meschke J. (2002). (2002). 15. Center For Responsive Politics, “Cashing 27. Ibid. In: A Guide to Money, Votes, and Public Policy in the 104thCongress”, 28. The Center For Responsive Politics http://www.opensecrets.org/ www.opensecrets.org pubs/cashingin_104th/04intro.html 29. Ibid.

54 PUBLICLY TRADED COMPANIES AND POLITICAL DONATIONS

30. Hertzel, M; Martin, J and Meschke J. 35. If Company A donates 65% to Republicans, (2002). when regressed against the Republican contract in the IEM, one would expect it to 31. “What Is the IEM?” http://www.biz. ui- have a positive Β2. owa.edu/iem/media/summary.html 36. For example, one would expect returns on 32. Ibid. the Strong Democrats portfolio to have a 33. The Center For Responsive Politics, strong positive correlation with the returns www.opensecrets.org on the IEM winner-takes-all Democrat contract. 34. Ibid.

Native Florida Crustacean Predators’ Preferences Regarding the Non-Indigenous Green Mussel, Perna viridis (Linnaeus 1758)

Emily Mitchem

ABSTRACT

he invasive green mussel, Perna viridis, was first reported in Tampa Bay, on the west coast of Florida, in 1999 (Benson et al. 2001; In- Tgrao et al. 2001). To qualitatively assess whether native predators, the blue crab Callinectes sapidus and the Caribbean spiny lobster Panulirus argus, could be a source of significant green mussel mortality, we addressed the following questions using multiple-choice experiments: (1) Will native crustacean predators prey on P. viridis? and, (2) Will these predators prefer native bivalves over P. viridis? Predators were simultaneously offered equal numbers of three bivalve prey: P. viridis, eastern oysters, Crassostrea virginica, and hard clams, Mercenaria mercenaria. Consumption was recorded for 13 days. P. argus did not consume any P. viridis during the experiment, although green mussel shells showed evidence of chipping along the posterior margin. C. sapidus specimens consumed fifteen P. viridis by the final day of the experiment. Although the crabs consumed more than twice as many green mussels as hard clams or oysters, prey species had no statistically significant effect on number consumed (p = 0.2067). We found that (i) only blue crabs consumed non-indigenous P. viridis; spiny lobsters did not eat any, (ii) the number of green mussels consumed by blue crabs increased with exposure time, and (iii) blue crabs and spiny lobsters differed in their modes of prey handling.

56 NATIVE FLORIDA CRUSTACEAN PREDATORS’ PREFERENCES

INTRODUCTION green mussel mortality, we addressed the following questions using multiple-choice experiments: (1) Will native crustacean predators prey The introduction of non-indigenous species on P. viridis? and, (2) Will these predators pre- through natural, intentional, or accidental transfer native bivalves over P. viridis? port by humans threatens the integrity of natural communities (Carlton & Geller 1993) and may cause severe economic impacts (Ingrao et al. 2001). The state of Florida receives many exot- MATERIALS AND METHODS ic species introductions and invasions owing to the state’s temperate to subtropical climate and heavy commercial and recreational use (Carlton Predator and prey specimens & Ruckelshaus 1997). One such new invader is Specimens of Perna viridis were collected the green mussel, Perna viridis (Linnaeus by SCUBA from the 312 Bridge in St. Augus- 1758), a native of the coastal marine waters of tine, Florida on July 14, 2005. Caribbean spiny the Indo-Pacific (Benson et al. 2001). Green lobster, Panulirus argus, were collected by mussels were first reported in Tampa Bay, on SCUBA from the Long Key Viaduct Bridge, the west coast of Florida, in 1999 (Benson et al. Long Key, Florida on June 24, 2005. Speci- 2001; Ingrao et al. 2001). Dense assemblages mens of northern quahog (= hard clam), Merce- of these bivalves now clog seawater intakes, naria mercenaria were purchased from a weigh down navigational buoys, and foul the commercial supplier in Cedar Key, Florida hulls and engines of boats. Green mussels have (west coast) on July 12, 2005. Eastern oysters, also been associated with oyster mortalities on Crassostrea virginica, and blue crabs, Calli- reefs throughout Tampa Bay (Baker et al. 2003). nectes sapidus, were purchased from a retail Since its first appearance in Tampa Bay, P. market in Ormond Beach, Florida (east coast) viridis has spread to Florida’s coastal waters. on July 12, 2005 and August 4, 2005, respec- Green mussels are now distributed on the west tively. All specimens were transported to the coast from Anclote Key south to Marco Island. Department of Fisheries and Aquatic Sciences In October 2002, green mussels were discovered (FAS), University of Florida (UF), in Gaines- on the east coast of Florida in the Ponce de ville. Crustacean predators and bivalve prey Leon Inlet (Baker et al. 2003) and they are now were placed in separate recirculating holding found from the Mosquito Lagoon north to the tanks (624 L) until use in experiments. Seawater Georgia-South Carolina border (P. Baker & (33.4 ppt ± 1.4 sd) was obtained from the UF these authors, in prep.). Based on physiological Whitney Laboratory in Marineland, Florida. tolerances, this invasive species is expected to Filtration systems included a protein skimmer, continue spreading throughout much of Florida fluidized bed filter, wet-dry filter, and ultravio- (Baker et al. 2004). let sterilization. Temperature was held at Predators, parasites, diseases, and viruses 24.2°C (± 0.5 sd) by use of room air condition- have been proposed as biological control agents ers. P. argus were fed every other day with fro- for plant and animal invaders (Thresher & Kuris zen squid prior to the start of the experiment. 2004). Several predators of shellfish already Shell lengths (SL) of bivalve specimens used in inhabit the waters of Florida in the current and the experiments were as follows: green mussels potential range of P. viridis. These native pre- ranged from approximately 8.5 to 11.5 cm; hard dators include the blue crab, Callinectes sapi- clams (littleneck size) ranged from approx- dus, and the Caribbean spiny lobster, Panulirus imately 5.0 to 6.5 cm; oysters ranged from ap- argus, both of which are commercially impor- proximately 8.5 to 10.5 cm. Sizes of crustacean tant crustaceans (Perera et al. 2005, Muller et al. prey used in the experiments were as follows: 1997). It is not known if these native predators spiny lobsters (sub-legal) ranged from approx- will readily consume the non-indigenous green imately 3.5 to 6.5 cm in carapace length; blue mussel. To qualitatively assess whether these crabs ranged from approximately 12.5 to 15.5 native predators could be a source of significant cm in carapace width.

57 E. MITCHEM

Feeding preferences mussel shells showed evidence of chipping Experiments were conducted in recirculating along the posterior margin (Figure 2A). On the tanks (624 L) with filtration systems, as de- morning of the first day, the lobsters in one tank scribed above. P. argus and C. sapidus feeding had consumed one C. virginica; no more oysters preferences were tested separately, with mul- were consumed in any of the tanks during the tiple prey species presented together. In the experiment. Spiny lobster specimens consumed spiny lobster experiment, begun on July 19, seventeen M. mercenaria by the final day of the 2005, each of six tanks held seven lobsters each, experiment, apparently opening them by chip- for a total of forty-two lobster specimens. Sev- ping large fragments off the posterior margin en P. viridis, seven M. mercenaria, and seven C. (Figure 2B). The cumulative number of hard virginica were placed in each lobster tank. Ex- clams consumed in individual tanks (replicates) periments were conducted under a 13:11 h ranged from zero to eight. light:dark regime. Tanks were monitored every Prey species had a significant effect on num- twelve hours, at 8 am and 8 pm, for 13 days. At ber of prey consumed (p = 0.0219) by P. argus. each tank check, water quality parameters (tem- Multiple comparisons indicated that P. viridis perature, salinity, pH, and dissolved oxygen) were consumed in significantly lower numbers were measured, and any bivalve eaten was rec- than M. mercenaria (p = 0.0331) and there was orded and replaced with the same species. The no significant difference in consumption be- blue crab experiment, which began on August 5, tween green mussels and C. virginica (p = 2005, was conducted in the same manner as 0.985). above, for 14 days. However, fewer crabs were available; five tanks held five crabs each, for a total of twenty-five crab specimens. Bivalves were placed in tanks in the same ratio as in the lobster experiment; five of each species in each tank. During both experiments, bivalve shells were qualitatively examined for evidence of attempted predation.

Statistical analyses For each predator species, a one-way analysis of variance was performed, with tanks as replicates, to test the null hypothesis that there was no effect of prey species on cumulative number of prey consumed by the final day of the experiment. If a null hypothesis was rejected, a Tukey test was performed to identify differences in consumption between specific prey species. Statistical analyses were performed using Microsoft Excel and StatsDirect version 2.4.3 statistical software (2005).

RESULTS

Figure 1. Cumulative consumption of bivalves by Panulirus argus crustacean predators. A. Panulirus argus, forty-two P. argus did not consume any P. viridis dur- specimens. B. Callinectes sapidus, thirty-five speci- ing the experiment (Figure 1A), although green mens.

58 NATIVE FLORIDA CRUSTACEAN PREDATORS’ PREFERENCES

Figure 2. Photo of shells removed from Panulirus argus tanks. A. Perna viridis shells with evidence of chipping on posterior margin. Green mussels were not opened or consumed by spiny lobsters. B. Mercenaria mercenaria shells with broken margins. Hard clams were consumed by spiny lobsters.

Callinectes sapidus Non-chelate predators, such as P. argus, typically use the mandibles to chip or bite the edges C. sapidus specimens consumed fifteen P. of bivalve shells and gain access to the soft parts viridis by the final day of the experiment (Fig- through the resulting gap (Lau 1987). Although ure 1B). The cumulative number of green mus- the P. argus in our study attempted to open sels consumed in individual tanks ranged from green mussels, attempts were unsuccessful and one to six. Typically, zero to two green mussels were apparently aborted. Optimal Foraging were consumed per day. However, on the final Theory predicts that predators should select day, six green mussels were consumed in five prey items that maximize net energy intake tanks. Blue crabs consumed seven M. mercena- (Pyke 1984). Crustacean predators may eva- ria and seven C. virginica over the course of the luate prey value by assessing prey volume and experiment. Bivalves consumed by blue crabs shape (Mascaró & Seed 2001). In this case, P. had no evidence of shell damage; all empty viridis may have been perceived to be of lesser shells were intact and still hinged at the umbo. value than M. mercenaria, simply because of Although the crabs consumed more than twice the thinner posterior margin. as many green mussels as hard clams or oysters, Previous exposure to P. viridis may have had prey species had no statistically significant ef- an impact on apparent food preference by the fect on number consumed (p = 0.2067). crustacean predators. C. sapidus, collected on the east coast of Florida from the Halifax River (Hull’s Seafood Market pers. comm.), had most DISCUSSION likely been previously exposed to green mussels (Baker et al. 2003). P. argus specimens, col- In our study of the feeding preferences of lected from the Florida Keys, would have been two native crustacean predators, C. sapidus and naïve (never exposed to green mussels) but had P. argus, we found that (i) only blue crabs con- almost certainly been exposed to other mussel sumed non-indigenous P. viridis; spiny lobsters species including Modiolus modiolus, M. ameri- did not eat any green mussels, (ii) the number of canus (squamosus according to Leal 2005) and green mussels consumed by blue crabs in- Brachidontes exustus (Morris 1975). In addi- creased with exposure time, and (iii) blue crabs tion, lobsters in the genus Panulirus are known and spiny lobsters differed in their modes of to prey on P. perna (Berry 1971) and P. viridis prey handling. (Radhakrishnan & Vivekanandan 2004).

59 E. MITCHEM

Previous exposure to mussels, combined with dis along with native bivalves. This suggests the ability of crustaceans to transfer learned that foraging by blue crabs may provide a natu- handling skills to novel prey items (Hughes & ral control mechanism for green mussels. How- O’Brien 2001), suggests that the lack of green ever, green mussels have high fecundity, grow mussel consumption by spiny lobsters was the rapidly—about 9 mm per month—and may at- result of chemical or mechanical (i.e., size, tain sexual maturity within one year (Nair & shape) inhibition, rather than novelty or insuffi- Appukuttan 2003; Barber et al. 2005). There- cient mussel-handling skills. fore, unless blue crab numbers increase greatly, Blue crabs, which are chelate predators, con- it is unlikely that they could significantly impact sumed all three species of bivalves, including P. green mussel populations, which can attain den- viridis, without causing any damage to the sities of 4000 per square meter (Baker & Ben- shells. This suggests that the blue crabs in our son 2002). experiment levered the valves apart. Prying P. viridis is expected to continue spreading behavior, using the dactyli of the first pereio- south along the Gulf Coast of Florida, possibly pods, has previously been described for blue into the Florida Keys (Benson et al. 2001), crabs preying on eastern oysters (Menzel & where P. argus is an important fishery species Nichy, 1958). Other chelate decapods that have (Muller et al. 1997). While spiny lobsters inha- been observed employing this technique include bit reefs, they are also frequently found around the crabs Liocardinus puber and Cancer pagu- bridge pilings and other man-made structures. rus, preying on the mussel Mytilus edulis; and Green mussels also prefer such habitats, entirely the crab, Ovalipes punctatus, opening Donax covering man-made structures and oyster reefs spp. (Cunningham & Hughes, 1984; Du Preez, (these authors, unpublished data). In this study 1984; ap Rheinallt & Hughes, 1985; Lau, we found that spiny lobsters were unable or un- 1987). Prying is thought to be difficult, often willing to consume green mussels. Therefore, resulting in broken shells and therefore requir- spiny lobsters may be excluded from some habi- ing time-consuming removal of shell fragments tats if green mussels out-compete acceptable (Du Preez, 1984). In this study, blue crabs ap- prey items. This could have negative impacts parently used the prying technique exclusively, on the spiny lobster fishery. and with no incidents of shell fragmentation. During the early days of the experiment, C. sapidus consumed the three bivalve species in ACKNOWLEDGEMENTS approximately equal numbers, with the two native bivalves making up approximately 2/3 of Funding for this project was provided to their diet. On the final day of the experiment, ELM by the University Scholars Program, Uni- however, blue crabs consumed more P. viridis versity of Florida. We would like to thank the in one day (6) than both native species together following volunteers who helped with animal in any previous day (maximum total of 2 oysters collection, data collection, and tank mainten- and/or clams in a single day). Since blue crabs ance: Elise Hoover, Kenneth Black, Michelle have the ability to modify foraging behavior Tishler, Shannon Osborn, Jennifer Helseth, Kel- depending on experience (Micheli 1995, 1997), ley Visentin, Lauren Murphy, Robert Mitchem, our data suggest that blue crabs may increase Rebecca Mitchem, and Mary Mitchem. their predation rates on green mussels with longer exposure duration. Crustacean predators can have a significant impact on molluscan populations (Virnstein 1977; Sànchez-Salazar et al. 1987; Richards et REFERENCES al. 1999) and augmentation of native predators has been suggested as an option for control of ap Rheinallt, T. & R. N. Hughes. 1985. Handling introduced marine pests, such as invasive bi- methods used by the velvet swimming crab Li- valves (Thresher & Kuris 2004). In this study, ocardinus puber when feeding on molluscs and we found that C. sapidus, will consume P. viri- shore crabs. Mar. Ecol. Prog. Ser. 25:63-70.

60 NATIVE FLORIDA CRUSTACEAN PREDATORS’ PREFERENCES

Baker, P. & A. Benson. 2002. Habitat and ecology Hull's Seafood Market. Personal communication. of green mussels, Perna viridis, in Florida. J. Ormond Beach, FL. 25 Jan 2006. Shellfish Res. 21(1):424. Ingrao, D., P. M. Mikkelsen, D. W. Hicks. 2001. Baker, P., J. S. Fajans & D. Bergquist. 2003. Inva- Another introduced marine mollusk in the Gulf of sive green mussels, Perna viridis, on mangroves Mexico: the Indo-Pacific green mussel, Perna vi- and oyster reefs in Florida. Program and ab- ridis, in Tampa Bay, Florida. J. Shellfish Res. stracts of the Third International Conference on 20(1): 13-19. Marine Bioinvasions. P. 10. Lau, C. J. 1987. Feeding behavior of the Hawaiian Baker, S. M., J. S. Fajans & P. K. Baker. 2004. De- slipper lobster, Scyllarides squammosus, with a mographic release in the nonindigenous green review of decapod crustacean feeding tactics on mussel, Perna viridis; physiological evidence. molluscan prey. Bull. Mar. Sci. 41: 378-391. Program and abstracts of the 2004 Society for In- Leal, J. H. 2005. Malacological Collection Database, tegrative and Comparative Biology Annual Meet- Bailey-Matthews Shell Museum, Sanibal, Flori- ing. P. 300. da. 2005. Gametogenesis in the non-native green Mascaró, M. and R. Seed. 2001. Choice of prey size mussel, Perna viridis, and the native scorched and species in Carcinus maenas (L.) feeding on mussel, Brachidontes exustus, in Tampa Bay, four bivalves of contrasting shell morphology. Florida. J. Shellfish Res. 24: 1087-1095. Hydrobiologia 449: 159-170. Benson, A. J., D. C. Marelli, M. E. Frischer, J. M. Menzel, R. W. and F. E. Nichy. 1958. Studies of the Danforth, & J. D. Williams. 2001. Establishment distribution and feeding habits of some oyster of the green mussel, Perna viridis (Lissaeus predators in Alligator Harbor, Florida. Bull. Mar. 1758) (Mollusca: Mytilidae) on the West Coast Sci. Gulf Caribb. 8: 125-145. of Florida. J. Shellfish Res. 20:21-29. Micheli, F. 1995. Behavioural placticity in prey-size Berry, P. F. 1971. The biology of the spiny lobster selectivity of the blue crab Callinectes sapidus Panulirus homarus (Linnaeus) off the east coast feeding on bivalve prey. J. Anim. Ecol. 64: 63- of Southern Africa. Investl. Rep. Oceanogr. Res. 74. Inst., Durban No. 28. Pp 1-75. Micheli, F. 1997. Effects of experience on crab fo- Carlton, J. T., J. B. Geller. 1993. Ecological roulette: raging in a mobile and a sedentary species. Anim. the global transport of nonindigenous marine or- Behav. 53: 1149-1159. ganisms. Science. 261:78-82. Morris, P. A. 1975. A Field Guide to Shells; Atlantic Carlton, J. T. & M. H. Ruckleshaus. 1997. Nonindi- and Gulf Coasts and the West Indies. Houghton genous marine invertebrates and algae. In: D. Mifflin Company, Boston. 330 pp. Simberloff, D.C. Schmitz & T.C. Brown, editors. Strangers in Paradise: Impact and Management Muller, R. G., J. H. Hunt, T. R. Matthews & W. C. of Non-indigenous Species in Florida. Washing- Sharp. 1997. Evaluation of effort reduction in the ton DC: Island Press. Pp. 187- 201. Florida Keys spiny lobster, Panulirus argus, fishery using an age-structured population analy- Cunningham, P. N. & R. N. Hughes. 1984. Learning sis. Mar. Freshwater Res. 48: 1045-1058. of predatory skills of shore crabs Carcinus maenas feeding on mussels and dogwhelks. Mar. Nair, M., K. K. Appukuttan. 2003. Effect of tempera- Ecol. Prog. Ser. 16: 21-26. ture on the development, growth, survival and settlement of green mussel Perna viridis (Lin- Du Preez, H. H. 1984. Molluscan predation by Ova- naeus, 1758). Aquaculture Research. 34 (12): lipes punctatus (De Haan) (Crustacea: Brachyura: 1037-1045. Portunidae). J. Exp. Mar. Biol. Ecol. 84: 55-71. Perera, E., I. Fraga, O. Carrillo, E. Diaz-Iglesias, R. Fajans, J. S. & P. Baker. 2003. Tracking the spread Cruz, M. Baez, G. S. Galich. 2005. Evaluation of of an invasive mussel (Mytilidae: Perna viridis) practical diets for the Caribbean spiny lobster in Florida. J. Shellfish Res. 22: 329. Panulirus argus (Latreille, 1804): effects of pro- Hughes, R. N. & N. O. O'Brien. 2001. Shore crabs tein sources on substrate metabolism and diges- are able to transfer learned handling skills to tive proteases. Aquaculture. 244: 251-262. novel prey. Anim. Behav. 61: 711-714.

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Pyke, G.H. 1984. Optimal foraging theory: A critical Sànchez-Salazar, M. E., C. L. Griffiths, R. Seed. review. Ann. Rev. Ecol. Syst. 15: 523-575. 1987. The effect of size and temperature on the predation of cockles Cerastoderma edule L. by Radhakrishnan, E.V. & E. Vivekanandan. 2004. Prey the shore crab Carcinus maenas L. J. Exp. Mar. preference and feeding strategies of the spiny Biol. Ecol. 111 (2): 181-194 lobster Panulirus homarus (Linnaeus) predating on the green mussel Perna viridis (Linnaeus). StatsDirect Ltd. StatsDirect statistical software. Program and abstracts of the 7th International http://www.statsdirect.com/. England: StatsDirect Conference and Workshop on Lobster Biology Ltd. 2005. and Management. p. 40. Thresher, R. E. & A. M. Kuris. 2004. Options for Ricahrds, M. G., M. Huxham, and A. Bryant. 1999. managing invasive marine species. Biological In- Predation: A causal mechanism for variability in vasions 6: 295-300. intertidal bivalve populations. J. Exp. Mar. Biol. Virnstein, R. W. 1977. The importance of predation Ecol. 241: 159-177. by crabs and fishes on benthic in fauna in Chesa- peake Bay. Ecology. 58 (6): 1199-1217.

Ophthalmic Drug Delivery Through Contact Lenses

Michael Abrahamason

ABSTRACT

urrent ophthalmic drug delivery systems are insufficient, specifically eye drops, which allow approximately 95% of the drug contained C in the drops to be lost due to absorption through the conjunctiva or through the tear drainage. The use of poly-2-hydroxyethyl methacrylate hydrogels with drug-laden microemulsions has been proposed as a method to deliver drugs to the eye. The contact lenses restrict the drug from being lost to tear drainage by releasing the drug into two tear layers on either side of the contact lens, where it ultimately diffuses into the eye. Microemul- sions require a unique composition of oil, surfactant, and solution to reach a stable state. This paper focuses on creating stable microemulsions capable of high drug loading, dispersing these particles throughout a polymer gel, and measuring the release of the drug.

63 M. ABRAHAMSON

INTRODUCTION these tear layers with the outside tear fluid, thus greatly reducing the undesirable dosage into the bloodstream5,6. A few clinical studies have Currently, approximately 90% of all shown the soaked lens to give desired therapeu- ophthalmic drugs are delivered using eye drops. tic results7-11. Researchers have also used mi- Although convenient and easy to use, eye drops croemulsions in ophthalmic drug delivery, are very inefficient, losing about 95% of the although the primary purpose of these studies applied drug to absorption by the conjunctiva was to increase the dosage of hydrophobic drugs and through tear drainage. This significant drug by entrapping them in the oil phase. These dosage is released into the blood stream, where proved to be ultimately ineffective in decreasing it can have detrimental side effects elsewhere in 1-3 the transfer of drug into the bloodstream since the body . For example, timolol is a nonselec- the microemulsions are washed away by tears. tive beta blocker that is capable of treating glau- By entrapping the microemulsions in the lens it coma by preventing the production of aqueous will prevent them from enter tear circulation. humor, thus lowering the pressure inside of the eye. Although useful for this purpose, timolol has several severe side-effects throughout the body, such as cardiac arrhythmias, bronchios- MATERIALS AND DESIGN pasms, depression, and heart failure. To target the dosage to the eye, it has been proposed to Materials use particle-laden contact lenses for ophthalmic drug delivery. Ophthalmic drug formulations Hydroxyethyl methacrylate monomer and such as timolol can be encapsulated within mi- ethylene glycol dimethacrylate (EGDMA) were croemulsion nanoparticles, then entrapped with purchased from Aldrich Chemicals (St Louis, a soft poly-2-hydroxyethyl methacrylate (p- MO); ethylbutyrate and benzoyl peroxide (BP) HEMA) hydrogel contact lens. Mircoemulsions (97%) were purchased from Aldrich Chemicals are clear, thermodynamically stable liquid mix- (Milwaukee, WI); Timolol Maleate, Pluronic tures of oil, water, and surfactant. An oil-in- F127, Dulbecco’s phosphate buffered saline water microemulsion uses the surfactant to de- (PBS), sodium caprylate, and sodium hydroxide crease the interfacial tension between droplets pellets (99.998%) were purchased from Sigma of oil and the continuous water phase. These Chemicals (St Louis, MO); Darocur TPO was kindly provided by Ciba (Tarrytown, NY). microemulsions allow highly concentrated drug to diffuse out of the lens allowing for long-term ophthalmic drug delivery. The drug diffuses Methodology and Procedures from the lens into the tear layers surrounding Decrease Ethyl Butyrate Solubility. To the lens, ultimately passing into the eye. This create a stable microemulsion and minimize the paper focuses on defining the stable composi- amount of drug outside of the microemulsions, tions of microemulsions used in loading hydro- the solubility of the ethyl butyrate in solution gels and several methods of trapping must be very low preventing the oil from solubi- microemulsions laden with timolol within p- 4 lizing. Sodium chloride and NaOH were used HEMA gels . to increase the ion concentration and pH of the water phase, which will decrease the solubility LITERATURE REVIEW of the ethyl butyrate. The solubility limit was Due to the numerous harmful side-effects of determined by small incremental additions of timolol, researchers have previously tried soak- ethyl butyrate until the solution became opa- ing contact lens in drug solution to target deli- que. Once the solubility of ethyl butyrate in very to the eye. When the lens is placed on the 60% wt HEMA and 40% wt water was below eye, the drug diffuses into the pre-lens and post- 1%, the solution could then be used to create lens tear layers and eventually into the eye. The stable microemulsions. benefits of the lens is the long residence time Loading timolol into the oil phase. To en- within the eye and in the limited interaction of trap the timolol within the oil phase, the timolol

64 OPHTHALMIC DRUG DELIVERY THROUGH CONTACT LENSES

maleate was fist converted to timolol base. Ap- ful microemulsion using an “O” for a success, proximately 80 mg of timolol maleate was and an “X” for a failure. Visible trends could mixed in a test tube with 6 ml of water and 3 g then be used to create phase boundaries. of NaOH. At this low pH, the timolol maleate An example of one stable composition con- will convert to a very hydrophobic timolol base tains the 25 g HEMA/water solution along with and phase separate in the bottom of the tube. 3.6 g of Pluronic F127, 0.61 g of TM/EB. Fifty- Five milliliters of the aqueous solution was then eight other compositions where tested in order carefully removed by pipette ensuring not to to accurately model the phase diagram. remove any of the timolol base, and 400 μl of Entrapment of microemulsions in HEMA hyl butyrate was added to extract the timolol gels. The microemulsion particles were en- base. The resulting upper phase of ethyl buty- trapped within p-HEMA gels using UV- rate and timolol base (referred to as TM/EB) polymerization with Darocur TPO initiator. was used in creating the microemulsions. One milliliter of the microemulsion solution Synthesis of microemulsions. Every micro- was added to 1.35 mL of HEMA, 5 ml of ethy- emulsion was made using the same aqueous lene glycol dimethacrylate (EGDMA). Dis- solution as described above, containing 25 g of solved oxygen must be removed from solution 60% wt HEMA and 40% wt water, 0.25 g NaCl, before using free radical polymerization, since and 3 g of 2N NaOH along with the addition of oxygen is capable of acting as an inhibitor. To 0.0425 g of sodium caprylate. This mixture was remove the dissolved oxygen in the solution, the kept constant throughout the experiments and sample was degassed by bubbling nitrogen for well be referred to as the single “pseudo- 15 minutes. Three milligrams of Darocur TPO component” HEMA/water solution. was added o the mixture and allowed to stir for Since microemulsions will only form in so- 10 minutes outside of direct light exposure. lutions containing specific ratios of Next, the solution was then poured into a mold HEMA/water solution : Pluronic Surfacant : made of two 3.5” x 3.5” glass plates clapped TM/EB, a ternary phase diagram was con- over a 200 μm plastic spacer. The mold was set structed to determine the feasible range of com- on top of a UVB-light illuminator for 35 mi- positions. At each test point chosen on the nutes. diagram, the corresponding amount of Pluronic Polymerization of EGDMA microemul- F127 surfactant and TM/EB was added to give sion. It is possible that the microemulsions the desired composition. The solution was tho- could have destabilized during the polymeriza- roughly mixed and allowed to stabilize over- tion process, and it is very difficult to prove night. Those systems that remained opaque were they are intact within the gel. To ensure this marked as non-microemulsion. The systems does not happen, the microemulsions them- that became clear were tested further using pola- selves were first polymerized in solution. Ap- rized sheets. Due to the shape of microemul- proximately, 1 ml of EGDMA was degassed for sions, they rotate light very poorly. Each 15 minutes by bubbling nitrogen. The EGDMA sample was place between perpendicular pola- was then loaded with timolol by substituting it rized sheets. If the sample rotated the light, al- for ethyl butyrate in the same process. The ti- lowing it to pass through the sheets, it was ruled molol-loaded EGDMA will be referred to as also to be a non-microemulsion system. The TM/EGDMA. Eight hundred mL of the samples were then further tested by vigorously TM/EGDMA was combined with 0.0124 g of mixing the system using a vortex mixer. Any Darocur TPO and stirred for ten minutes. A trace amount of the TM/EB which may have separate 10 g solution of water, NaCl, and 2N phase separated and was not visible through the NaOH was prepared in the ratio 100 : 1.8 : 10, first eye examination was forced back into the respectively. Next, 1.310 g of Pluronic F127 solution. This caused unstable or minimally was mixed into the solution until fully dis- phase-separated samples to become opaque. solved. A 0.0239 mL aliquot of TM/EGDMA Any samples which remained clear were ruled with initiator was added to this solution and al- to be microemulsions. Each point on the dia- lowed to stabilize overnight covered from any gram was labeled to indicate if it was a success- light exposure. The solution was then placed in

65 M. ABRAHAMASON

a Petri dish on a UVB-light illuminator for 35 Table 2. The effect of NaOH on the solubility of minutes. The solution formed some large ag- ethyl butyrate in HEMA solution gregates; and these large particles were not used in further experiments. Milliliters of 2N NaOH in Weight % of Soluble The ethyl butyrate microemulsion solution 60/40 HEMA/Water Ethyl Butyrate in was replaced by 1 mL of the polymerized Solution (25g Basis) Solution @ 25°C EGDMA microemulsion solution and entrapped 0 10.1 within a HEMA gel using the same technique 0.5 8.8 above. Measuring timolol release from polyme- 1.0 8.0 rized EGDMA microparticle laden hydro- 2.5 6.5 gels. After polymerization, the gels were removed from the glass mold and cut in to 1.5 3.25 2.8 cm x 1.5 cm squares. The gels were dried over- 4 1.4 night to allow any water remaining in the gels to evaporate. The next day, the exact gel dimen- Table 2 shows a similar effect on ethyl buty- sions and gel weight were recorded. Each gel rate solubility by adding 2N NaOH to the was then placed in vial with 3 mL phosphate HEMA/water solution. The solubility can be buffer solution, which better mimics a tear envi- decreased to 1.4 percent by adding 4 mL of ronment than DI water. Periodically, a 1.5 mL NaOH to 25 g of HEMA/water. To more easily aliquot of the solution was temporarily removed achieve the desired 1.0% ethyl butyrate solubili- and analyzed using UV-visible spectroscopy. ty, the effects of both ion concentration and pH Timolol present in solution will yield an absor- were combined by adding 0.25g of NaCl and bance peak at 295 nm proportional to the frac- 3ml of 2N NaOH to meet the desired specifica- tion of drug released from the gel. These tion. This ratio was then used throughout the periodic measurements were repeated until rest of the experiments. changes in timolol concentration became insignificant. Microemulsion pseudo phase diagram Determination of feasible microemulsion compositions. A total of 59 compositions rang- RESULTS AND DISCUSSION ing from 82-97% HEMA/water solution were used to determine the feasible range of micro- Solubility of Ethyl Butyrate emulsion compositions. Figure 1 shows a reasonable estimation of the microemulsion phase Table 1 displays the effect of increasing boundary at a room temperature of 22.8°C. NaCl concentration on the solubility of ethyl Temperature dependence of microemul- butyrate in the HEMA/water solution. Increas- sion stability. To increase the drug loading ca- ing the NaCl concentration to one percent pacity of the contact lens and minimize the weight decreased the solubility from over ten amount of surfactant required, the microemul- percent to 3.3% wt. sions must have a large oil fraction. As the temperature of the solution is lowered, it be- Table 1. The effect of NaCl on solubility of ethyl comes possible to stabilize microemulsions with butyrate in HEMA solution a larger oil fraction than before (Figures 1-4). Weight % of NaCl in Weight % of Soluble Ethyl By decreasing the temperature of the micro- 60/40 HEMA/Water Butyrate in Solution @ emulsion solution to 5 degrees Celsius, it be- Solution 25°C comes possible to stabilize microemulsions with 0 10.1 an oil fraction of 8.4% wt and an oil-to- 0.5 6.0 surfactant ratio near 1:1. This greatly increases 1.0 3.3 the drug capacity of the contact lenses.

66 OPHTHALMIC DRUG DELIVERY THROUGH CONTACT LENSES

Figure 1. Pseudo three-component plot of microemulsion system at 22.8°C

Figure 2. Pseudo three-component plot of microemulsion system at 20.0°C

67 M. ABRAHAMASON

Figure 3. Pseudo three-component plot of microemulsion system at 15.0°C

Figure 4. Pseudo three-component plot of microemulsion system at 5.0°C

68 OPHTHALMIC DRUG DELIVERY THROUGH CONTACT LENSES

Polymerization of EGDMA microemulsions Following polymerization of the EGDMA, a sample of the microemulsion was prepared and analyzed using a SEM microscope (Images 1- 3). The resulting images show the microemulsions were successfully polymerized and resulted a uniform dispersion of microparticles approximately 2 µm in diameter. Microemul- sions are typically much smaller in size, therefore these particles are likely aggregates of several microemulsions.

Drug Release from gels

Drug release from Ethyl Butyrate micro- Image 1. SEM image of polymerized EGDMA microemulsion gels. These experiments were per- emulsion. formed by Chi Chung-Li to determine the equilibrium release time for the microemulsion- laden gel. These equilibrium experiments were done with a gel composition of 25 g HEMA/water solution: 3 g Pluronic F127 : 0.5 g TM/EB. These gels lost 17.5% of the entrapped drug during a 5 hour initial soak in 200 mL of DI water to remove excess HEMA monomer. The results of drug release experiments (Figure 5) show that about 8% of the entrapped drug diffuses out in a period of about 10 days. The release profiles are encouraging because the gels continue to release the drug for a period of about 25 days with water replacement at rates comparable to the conditions in the eye, and the equilibrium time is 10 days, which implies that Image 2. SEM image of polymerized EGDMA micro- the gels will release drug for 10 days even under emulsion. perfect sink conditions. However, it must be noted that these release experiments were performed in DI water, which may not be a good mimic of the tear environment, particularly for ionizable drugs such as timolol. Drug release from polymerized EGDMA microparticle laden gels. These experiments were performed to determine the release rate of timolol from the polymerized EGDMA microparticles when entrapped within a HEMA gel. The resulting data (Figure 6) indicated that the microparticles released a significant amount of timolol for only the first hour making it unsuitable for contact lens applications. Although this system did not provide prolonged release of timolol, this method when used with other types of cross-linking within the microemulsions may Image 3. SEM image of polymerized EGDMA micro- provide sufficient resistance to be useful. emulsion.

69 M. ABRAHAMSON

Figure 5. Timolol released in DI water from ethyl butyrate microemulsion laden pHEMA gels (n = 4)

Figure 6. Timolol released in PBS from polymerized EGDMA microparticle laden pHEMA gels (n = 2)

70 OPHTHALMIC DRUG DELIVERY THROUGH CONTACT LENSES

SUMMARY REFERENCES

The feasible region of compositions for 1. Lang, J. C. "Ocular drug-delivery conven- which the HEMA/water solution : Pluronic tional ocular formulations." Advanced Drug F127 : TM/EB system will form stable micro- Delivery Reviews 1995. 16(1): 39-43. emulsion was defined for a series of tempera- 2. Bourlais, C.; Acar, L.; Zia, H.; Sado P.A.; tures. The capability of increasing the oil Needham, T.; Leverge, R. “Ophthalmic fraction by lowering temperature allows a very drug delivery systems. “Progress in retinal large amount of timolol to be dissolved within and eye research, 1998. 17 (1), 33-58 the oil phase. The stable microemulsions were 3. Segal, M. P. "Pumps and timed release." added to HEMA and polymerized into transpa- FDA Consumer magazine. 1991. rent hydrogels. Although this system released 4. Li, Chi-Chung; Abrahamson, Michael; Ka- for 25 days, it was performed in DI water which poor, Y.; Chauhan, A. “Timolol transport may not be a good mimic of the eyes’ environ- from microemulsions trapped in HEMA ment. gels.” J. of Colloid and Interface Science, EGDMA microemulsions were successfully 2007, in press. polymerized as evident through the SEM. The resulting particles were slightly larger than ex- 5. Creech, J. L.; Chauhan, A.; Radke, C. J. Dispersive mixing in the posterior tear film pected and are likely to be aggregates of the under a soft contact lens. Ind Eng Chem original microemulsions. The timolol release Res, 2001. 40 (14), 3015-3026 from this system into PBS was rapid and too short for contact lens application, but this me- 6. Mc Namara, N. A.; Polse, K.A.; Brand, thod may be useful in slightly different condi- R.D.; Graham, A.D.; Chan, J.S.; Mc Ken- ney, C.D. “Tear mixing under a soft contact tions. By loading these microemulsions with lens: Effects of lens diameter.” Am. J. of larger drugs or using a more closely packing Ophth, 1999. 127 (6), 659-665. cross linker, these particles may provide sufficient resistance resulting in long term drug re- 7. Hillman, J. S. "Management of acute glau- lease. coma with Pilocarpine-soaked hydrophilic lens,." Brit. J. Ophthal. 1974. 58: 674-679. 8. Ramer, R.; Gasset, A. "Ocular penetration ACKNOWLEDGEMENTS of pilocarpine." Annals of Ophthalmology. 1974.6: 1325-1327. I would like to thank Dr. Anuj Chauhan for 9. Montague, R.; Watkins, R. "Pilocarpine giving me this research opportunity and for the dispensation for the soft hydrophilic contact lens." Brit. J. Ophthal. 1975. 59: 455-458. time he has devoted to helping me. I would also like to thank Chi-Chung Li for teaching me the 10. Hillman, J.; Masters, J.; Broad, A. "Pilocar- laboratory techniques used to study them. Chi pine delivery by hydrophilic lens in the Chung-Li also performed the drug release expe- management of acute glaucoma." Transac- riments from the ethyl butyrate microemulsion tions of the ophthalmological societies of the United Kingdom. 1975: 79-84. gels. 11. Giambattista, B.; Virno, M.; Pecori-Giraldi, Pellegrino, N.; Motolese, E. "Possibility of isoproterenol therapy with soft contact lenses: Ocular hypotension without system- ic effects." Ann. Ophthalmol. 1976. 8: 819- 829.

Investigating Thematic Tourism as a Tool for Community-Based Ecotourism in the Galápagos Islands

Jenny Basantes

ABSTRACT

cuador is a country with great tourist potential due to its strategic situation and great biodiversity. Galápagos is one of the world’s E best examples of this biodiversity, and the archipelago an international attraction for ecotourism. Currently, tourism is concentrated on one island (Santa Cruz), which is home to most Galápagos residents and is the most commonly visited island.

This project was designed to better understand and provide reliable support in the development of community-based tourism. Using ideas from the community, new tourist services are identified. By doing this, local residents can be integrated to an entrepreneurial process that begins with the vision of harmonic development and culminates with clear and precise objectives: a well defined and feasible tourist model that benefits the local business owners and conserves the environment. A survey of visitors was also conducted to identify the demand for potential services and products delivered through community-based tourism.

Results show that community members are interested in community-based tourism and have a variety of ways to provide new tourism products in the Galápagos. The visitor survey shows that the typical Galápagos tourist travels to the islands to see wildlife and experience nature. Although participating in many new community services were not priorities for existing services, this research shows that there are potential products that

72 COMMUNITY-BASED ECOTOURISM IN THE GALÁPAGOS ISLANDS

could be developed that might appeal to existing benefits the big national or foreign companies and new visitors to the Galápagos. that have a large tourist infrastructure. The purpose of this project is to examine the possibility of increasing the ability for community-based nature-based tourism in the Galápa- INTRODUCTION gos. The idea is to be applied to create new services or tourist products based on the themat- The Galápagos archipelago is formed by 13 ic itineraries, using the developed areas (i.e., major islands (Santa Cruz, Floreana, San areas not within the Galápagos National Park), Cristóbal, Isabela, Santa Fe, Santiago, Darwin, and extending tourism visits, The new products Roca Redonda, Marchena, Pinta, Espanola, Ge- should also be managed by the community and novesa, and Fernandina) and a large number of residents of many disciplines (e.g., anthropolo- smaller islands and islets. The total of its surface 2 gists, doctors, historians, artists, agriculturalists, is 7,850 km (Acosta, 1979). Its population was experts in local food preparation, and fishing) 18,640 in 2001. The population's projection for rather than by tourist operators exclusively. 2006 is approximately 22,000 inhabitants distributed in the following way: Santa Cruz with 13,446 people, San Cristóbal with 6,651, Flo- reana with 104, and Isabela with 1,912 habi- METHODOLOGY tants. Ninety seven percent of the Galápagos The present investigation was conducted us- Islands are protected as a national park. Only ing a tourism supply and demand analysis. First, three percent of the archipelago is populated. the gathering of tourism supply information The Galápagos National Park (GNP) has from San Cristóbal and Isabela was done worked collaboratively with the Charles Darwin through focus group interviews with various Scientific Station, an international research non- members of the communities ready to partici- profit organization, for approximately 40 years pate in new tourist activities. Focus groups were in the management of the park. This partnership not held on Santa Cruz Island since a previous represents national and international scientific analysis of community-based tourism was con- support, dedicated to carry out studies regarding ducted in October, 2005. the conservation of the Galápagos Sanctuary Focus groups were organized proportionally and its spectacular flora and fauna. to each island’s population; therefore, six The Galápagos’ economy is monosectorial, groups were interviewed in San Cristóbal (with based almost exclusively on the tourist activity. approx. 7000 habitants) and one in Isabela (with According to Ecuador’s National Institute of around 1900 habitants). The focus groups were Statistics and Censuses (INEC) data in the year classified according to the participants’ ages, 2001, around 26% of the economically active interests, professions, and genders. To provide a population participates in activities that offer useful structure to the meeting, the participants tourist services. In addition, other activities like were asked to complete a strengths, weaknesses, trade, transportation, basic services supply, and opportunities, and threats (SWOT) table. This construction are carried out for nearly 40% of is a common tool in developing strategic plans the population who benefit from tourism in an for new initiatives (Patterson, 2002). indirect way (INEC Census, 2001). Galápagos tourist demand was gathered Currently, Galápagos tourism exclusively through 150 surveys directed to foreign tourists focuses on the National Park as an attraction who visit Galápagos. The survey was designed and the sea for transportation. There is little to to identify tourists’ willingness to participate in no contact with the local community. By sepa- new proposals of community based activities (as rating the tourists from the communities, local identified by local residents), their participation residents are missing many of the benefits na- in activities, current motivations to visit the isl- ture-based tourism can potentially offer. Instead, ands, and their socio-demographic characteris- Galápagos’ current tourism industry mainly tics.

73 J. BASANTES

RESULTS San Cristóbal and Isabela are concentrating activities in the production of art and crafts of different types. The community believes that Tourism Supply Analysis academic tourism, health tourism and artisan Tables 1 and 2 show the strengths, weak- tourism and will let other community sectors nesses, opportunities and threats of San integrate with them. Cristóbal and Isabela community, based on the According to the information gathered in a focus groups held on June and July of 2006. It meeting held on October of 2005 in Santa Cruz, could be inferred that a great percentage of the there is a desire to complement the present tour- population with varied resources is interested in ism of adventure with cultural and artistic ac- becoming part of the tourism sector. They see tivities. This will allow visitors stay in the rural Galápagos as a cluster that can benefit the resi- area of Santa Cruz in typical and representative dents without harming interest of enterprises houses of the galapagueño of the colonization already established. time.

Table 1. SWOT analysis for San Cristóbal Island

Characteristic Details

Strengths Human Resources: • Residents know about conservation issues • Entrepreneurial desire • Health Service

Tourism Services and Infrastructure: • Airport on the islands, roads and ports • The only islands that have sources of drinking water. • San Cristóbal has telecommunication services • Easy access to most tourist places • Potential recreational places that haven’t been utilized yet • Increasing tourism infrastructure

Opportunities • Natural resources not yet fully exploited(fruits marmalades and conserves) • Cultural and historical tourism • Health tourism (mental and physical relaxation) • Academia tourism (research, practices) through programs that benefits the local community and the foreign student and university • Rehabilitation and health recovery tourism • Opportunity of cultural interchange • Artistic and artisanal tourism: painting expositions with Galápagos themes • Tourism of relaxation • Agritourism

74 COMMUNITY-BASED ECOTOURISM IN THE GALÁPAGOS ISLANDS

Weaknesses Human Resources: • Lack of English knowledge • Low living standards • Lack of information about tourism activities and processes • Lack of information about the tourism management and businesses

Tourism services and infrastructures: • Lack of correct elimination of wastewaters • Lack of promotion about San Cristóbal tourism • Incorrect propaganda about tours and access to the island • Lack of investment capital • Ecotourism hasn’t been ruled completely • Lack of quality hotel infrastructure • Airport without maintenance • Wrong distribution of the tourist operations • Limited number of operative patents for the residents • There is no inversion capacity

Threats • Possible image of Galápagos as unreliable place for public health • Tourism monopoly • Excessive migration that could cause an environmental impact • High migration rates • Migration policies incorrectly applied • Lack of norms that support the ecotourism

75 J. BASANTES

Table 2. SWOT analysis for Isabela Island

Characteristic Details

Strengths • Isabela Tourism Association (ATI) • Small population

Opportunities • Artisanal tourism • Cultural tourism • Agritourism • Possibility of green seal on food products

Weaknesses • Difficulty of the fishermen to adapt to the change from artisanal fishing to commercial and tourist fishing and tourist activities • Lack of basic services (drinking water, gray waters, and sewage)

Threats • Loss of Isabela’s identity as a place to rest and relax

Tourist Demand Analysis with nature, and feeling satisfied supporting The second stage of the investigation fo- conservation. It shows a clear desire of interna- cused on the study of the behavior and prefe- tional tourists to conserve the Galápagos and rences of the tourist demand. Surveys were consequently they are arranged to unite efforts developed for two types of tourists: those who with locals to do it, knowing that this would visit Galápagos through travel agencies, which give them intangible benefits of personal ac- implies that their time in the islands does not complishment. exceed eight days; and those who visit Galápa- Although they were low in tourists’ priori- gos without travel agencies such as students, ties, learning the Galápagos culture, meeting volunteers, among others, that generally remain new people, keeping fit, developing skills and in Galápagos for periods longer than eight days. abilities (learning Spanish, cooking typical A total of 150 tourists were surveyed: 144 food), and being with people who share the tourists during the two first weeks of August of same interests, were classified from important to 2006 in San Cristóbal Airport and six foreign very important for travel agency tourists. As students residing temporarily in San Cristóbal shown in Table 4, longer staying tourists tended on the same dates. Therefore, these results can- to rate these alternative tourism services and not be generalized, but they are valid because products higher. They were likely not a high they correspond to a group of typical tourists priority for many of the respondents since they visiting Galápagos in the two more common do not focus on the primary reason the Galápa- ways. gos Islands are famous—wildlife and ecology. As shown in Table 3 the tourists who visit They have more to do with the tourists’ desire to Galápagos through travel agencies, consider as benefit physically, psychologically, and emo- the most important benefits facts like learning tionally, which explains why tourists consider about the Galápagos ecosystem, enjoying a dif- them important even if they are not benefits ferent and unique environment, being in contact commonly attributed to the Galápagos.

76 COMMUNITY-BASED ECOTOURISM IN THE GALÁPAGOS ISLANDS

Table 3. List of benefits identified and prioritized by tourists who visit Galápagos through travel agencies Sample Benefit Mean* size

Enjoy a different and unique environment 4.35 144

Learn more about Galápagos’ ecosystem 4.12 144

Be in contact and harmony with nature 3.94 144

Help local attempts to conserve the Galápagos’ Island (i.e. working on scientific re- 3.68 144

search)

Learning about Galápagos culture 3.54 144

Be with people who share your same interests 3.54 144

Develop skills and abilities (learn Spanish, cook typical food, etc.) 3.33 144

Help local development and others to develop their skills 3.19 144

Keep fit 3.13 144

Meet new people 3.05 144

Rest physically 2.87 144

Reduce tensions and stress 2.99 144

Improve your creativity and artistic abilities (sketch paint, take photographs, play music, 2.68 144

etc.)

Use Galápagos as inspiration for artistic works 2.47 144

* 1 = not at all important, 2 = not very important, 3 = important, 4 = very important, 5 = most important

77 J. BASANTES

Table 4. List of benefits identified and prioritized by tourists who visit Galápagos without travel agencies Sample Benefits Mean* Size Help local development and others to develop their skills 4.17 6

Keep fit 4 6

Enjoy a different and unique environment 4 6

Develop skills and abilities (learn Spanish, cook typical food, etc.) 4 6

Rest physically 3.83 6

Reduce tensions and stress 3.83 6

Learn more about Galápagos’ ecosystem 3.83 6

Be in contact and harmony with nature 3.83 6 Help local attempts to conserve the Galápagos’ Island (i.e. working on scientific research) 3.83 6

Meet new people 3.67 6

Learning about Galápagos culture 3.5 6

Be with people who share your same interests 3.5 6

Improve your creativity and artistic abilities (sketch paint, take photographs, play music, etc.) 3.33 6

Use Galápagos as inspiration for artistic works 2.67 6

* 1 = not at all important, 2 = not very important, 3 = important, 4 = very important, 5 = most important

78 COMMUNITY-BASED ECOTOURISM IN THE GALÁPAGOS ISLANDS

Table 5 shows that travel agency tourists ing or participating in them. Table 6 illustrates have little interest towards the activities related that the students or people who visit Galápagos to participating agriculture and fishing. Seeing with an extended stay are more interested in and learning about commercial fishing and agri- these types of activities. culture are slightly more important than practic-

Table 5. Interest level of tourists who visit Galápagos with travel agencies about commercial fishing and agricultural practices

Sample Benefit Mean* size

Learning about agricultural practices 2.68 144

Seeing agricultural practices 2.67 144

Learning about local commercial fishing practices 2.61 144

Seeing local commercial fishing practices 2.55 144

Participating in agricultural practices 2.37 144

Participating in local commercial fishing practices 2.24 144

* 1 = not at all important, 2 = not very important, 3 = important, 4 = very important, 5 = most important

Table 6. Level of interest of tourists who visit Galápagos without travel agencies about commercial fishing and agricultural practices

Sample Activities Mean* size

Learning about agricultural practices 4.17 6 Seeing agricultural practices 4.17 6 Participating in agricultural practices 4.67 6 Learning about local commercial fishing practices 4.67 6 Seeing local commercial fishing practices 4.67 6 Participating in local commercial fishing practices 4.67 6

* 1 = not at all important, 2 = not very important, 3 = important, 4 = very important, 5 = most important

79 J. BASANTES

Table 7 illustrates that the preferred activities and receiving Spanish classes, and they would of the travel agency tourists are diving and hik- like to stay longer than two months doing those ing. Table 8 shows the relationship between the activities. tourists’ proposed activities and the total time in According to Table 11, the people 30 years Galápagos developing those activities. As the old and younger prefer activities related to keep- table illustrates, almost 40 % of the participants ing fit and learning about the environment. Ap- think that 2 to 3 weeks will be enough time to proximately 40% would prefer to dedicate a achieve their benefits. Approximately 47% of long time to diving. Around 11% wish to learn them think that they can do it in a period of less about environmental sciences like geology, than one week. And 15% approximately wish ecology, biology, among others. Twenty-one they can stay longer than a month doing those percent of the people from 31 to 54 years old activities. prefer physical activities, want to see more isl- To understand how age is related to activity ands, and know more Galápagos animals. Once preference, respondents were divided into three they exceed the 55 years the tourists divide in a age classes: 1) 30 years old and younger, 2) 31 more balanced way their preferences by activi- years old to 54 years old, and 3) older than 55 ties, like diving, visiting more islands, knowing years old. Tables 9 and 10 point out that the more animals, and learning environmental young people surveyed, who stay in Galápagos sciences. All age groups, nevertheless, show for a relatively long time, prefer activities that greater preference towards physical activities support the local community, like volunteering like diving and sailing.

Table 7. Proposed activities to be developed by Table 8. Time of stay that tourists who visit Galápagos tourist who visit Galápagos through travel agencies through travel agencies, want to spend doing previous activities # of tourists Number of who want to Percentage Time people (n = Activity (%) participate in 150) the activity More than 2 6 4 Diving 23 months Learn environmental studies 14 2 months 2 1.33 Hiking 14 1 month 14 9.33 Learn local culture (fishing and agri- 10 2-3 weeks 58 38.67 culture)

Visit more islands 7 1 week 50 33.33

Research 5 Less than 1 week 20 13.33 See more of the Galápagos species 5 Teach English 4

Photography classes 4 Table 9. Proposed activities to be developed by Spanish classes 4 students

Volunteering 4 Activities # of votes Painting 2 Volunteering 3 Boat trips 2 Spanish classes 2 Resting 1 Cooking classes 1 Sailing 1 Learn local culture (agriculture and 1 Learn how to dive 1 fishing)

80 COMMUNITY-BASED ECOTOURISM IN THE GALÁPAGOS ISLANDS

Table 10. Time of stay that students want to spend doing previous activities

# of people (n = Percentage Activities 6) (%)

More than 2 4 66.7

months

1 month 2 33.3

Table 11. Proposed activities according to age groups

People younger than 30 People from 31 to 54 People older than 55 Activities years old (%)* years old (%) ** years old (%) ***

Diving, sailing 37.04 30.3 20 Learn environmental studies 11.11 12.12 10 Learn local culture (fishing and agri- 7.41 6.06 13.33 culture) Participate in the Galápagos conser- 7.41 6.06 6.67 vation Spanish classes 3.7 3.03 3.33 Visit historical sites 3.7 6.06 0 Boat trips 3.7 0 6.67 Resting 3.7 0 3.33 Sailing 3.7 0 0 Visit more islands 3.7 12.12 13.33 See more Galápagos species 3.7 9.09 13.33 Teach English 3.7 6.06 0 Photography classes 3.7 0 3.33 Live with local families 3.7 0 0 Research 0 9.09 0 Painting 0 0 6.67

* n = 47, ** n = 53, *** n = 50

81 J. BASANTES

CONCLUSIONS AND It is difficult to fully experience the Galápa- gos Islands during the normal four to seven day RECOMMENDATIONS period. However, this is the average time most tourists spend in the archipelago. Also, oppor- Results show that Galápagos residents want tunities to achieve benefits like resting, tranquil- to be involved in tourism, and have unique and ity, peace, harmony with nature, and freedom creative ways of integrating their culture into sensations can only be attained if they are inte- the tourism experience. In other words, many grated into longer tourism experiences. At opportunities exist for diversifying and integrat- present, the traditional tourist who uses travel ing Galápagos culture into tourists’ experience agencies to plan and design their trips, do not to the islands. However, surveys of the typical have opportunities to achieve these diverse ben- Galápagos tourist who arrive through travel efits, nor do they provide for the multitude of agencies show there is not great demand for community benefits, which could potentially be these new products. This is not surprising since provided. existing tourists came to the Galápagos to pur- sue activities associated with wildlife and ecol- New Tourist Product Proposals ogy–not culture and community. However, this The community focus group results provided group did show some interest in and rated many a diversity of specific opportunities that could of these community-based tourism products as be provided in the Galápagos to extend the tra- important. Also, tourists would be willing to ditional tourist’s stay or to provide alternative extend their visits (potentially up to three opportunities for a new tourist to the region. weeks) to take part in community-based tour- Although the tourism surveys did not show high ism. priority for these community-based activities, The following proposals integrate the neces- the results show that alternative activities could sities and expectations of the tourists and the be integrated into their Galápagos visits. The local community. following section describes new products that Providing a New Way to Experience the are potentially feasible in the Galápagos. In oth- Galápagos Islands er words, each of the tourism products below is Close interaction between tourists and com- framed within the commercial viability range, munity members can provide a variety of im- integrating the necessities and expectations of pacts (both positive and negative) to local the tourists and the local community. residents (Wearing, 2001). This project was de- Product # 1: Galápagos Food veloped to allow local residents to plan their own strategy for developing opportunities that In order to satisfy visitors’ benefits of learn- would help ensure the provision of positive ing about Galápagos culture, developing skills community impacts (i.e., benefits) through in- and abilities (i.e., cook typical food), learning creased interaction with tourists (Stein, Ander- more about Galapagos’ ecosystem, and learning son, and Thompson, 1999). about agricultural and fishing practices, tourist At present, more students and volunteers are should have the option to participate in the coming to the Galápagos and achieving the di- preparation and collection of typical Galápagos verse experiences listed above and providing a food. They will learn the entire food process - variety of benefits to the Galápagos environ- from the gathering and capturing of food mate- ment and local residents. These results show rials to its cooking and preparation. At the same that existing visitors would likely want to ex- time tourists would learn about which of the tend their trips (up to three weeks), and new Galapagos animal species can be harvested, the visitors might be attracted to the islands if more harvest seasons, and the different management opportunities were present that provided them techniques taken to protect and maintain their with these benefit opportunities as part of longer natural habitat. stays. Services and activities offered include:

82 COMMUNITY-BASED ECOTOURISM IN THE GALÁPAGOS ISLANDS

• seeding, collection, harvest and • visiting cultural historical and rural preparation of own vegetables and sectors of the island and fruits, • learning about the history of the hu- • capturing own marine food with the man colonization, such as settlers’ assistance of local fishermen, survival activities, materials used for • learning about the handling and the construction of their houses, and strategies of the artisan fishing and the type of food they consumed (es- agriculture, whose products soon pecially fruits and vegetables proper will be consumed by the tourists and of the region). the community, and • learning about typical Galápagos Product # 4: Local support food preparation. The idea of local support is to offer the tour- Product # 2: Typical ists the benefit of feeling good or satisfied by Galápagos Residence helping the local community and ecosystem. This could be achieved by participating in In order to satisfy the tourists’ desires to Galápagos species conservation, being part of learn about the Galapagos culture, which was the recycling process, learning languages, de- rated as important, tourists should have the op- veloping social and scientific activities, sharing tion to live in local families’ houses, participate cultural information, and supporting technical in the family’s daily activities, and receive di- projects. rect attention from the residents who will teach Services and activities offered include: them the best aspects of local culture. • technical and scientific support to Characteristics of the typical Galápagos resi- the community and local institutions dence: to help to conserve sites or species • housing in urban and/or rural zones and to solve problems such as: of the island with families. The Preparation of preserves and families must have good information o jams about Galápagos attractions and Techniques for recycling community tourist services and o Treatment of drinking water • visitors will receive direct attention o o Conservation of species in by local families. Local families will danger of extinction provide courteous and customized o Eradication of introduced treatment for the visitor, balanced species and healthy eating, and the integra- o Volunteerism in diverse tion of the tourist in daily family ac- areas, tivities. • foreign language classes, and Product # 3: Early Settlement • educational opportunities about of the Galápagos Galápagos culture, history, ecosys- Providing tourism services about Galápagos tem and conservation. early settlers and lifestyles was previously proposed and studied for Santa Cruz Island. The Product # 5: Galápagos Arts and Crafts Santa Cruz community has the resources and is The purpose of offering arts and crafts op- willing to offer a different type of visitor lodg- portunities to tourists is to provide unique op- ing, which will be representative of the Galápa- portunities for them to become strongly gos colonization time. This product can also connected with local Galápagos culture as well complement visitors’ benefit of learning more as to interact with the natural environment. For about Galapagos community, customs, and early example, photographing or painting gives visi- settlers’ lifestyles. tors an alternative way to integrate themselves Services and activities offered include: into the Galápagos environment.

83 J. BASANTES

Services and activities offered include: keting strategies that the communities could • visits to artisan factories and/or the successfully manage and tourists would partici- artistic expositions in order to see, pate. Specifically, research would need to ex- learn the souvenirs’ elaboration tend outside the Galápagos to identify new process, acquire the products, or tourism markets, who are not currently visiting make them, the islands. Research would examine areas that • attend painting, photograph, Latin offer tourism products identified in this study to dances, and music classes, and determine their visitors’: socio-demographic • prepare preserves with local fruits. characteristics, motivations, travel patterns, and willingness to travel to other locations in the Product # 6: Galápagos Health world (e.g., the Galápagos Islands). Also, research could examine the people who provide Local residents proposed a variety of ways these alternative tourism products to identify the they can work with tourists that would directly opportunities and challenges they find in sup- improve their health and well-being. Exercise plying the products. Overall, research would and recreation, healthy eating, tranquility, par- quantify the probability and practicality of at- ticipation in transcendental activities like yoga, taining visitor and community benefits by pro- Tai Chi, macrobiotic diet, among others will viding these alternative products. enable people to maintain and improve their health. Modern living habits like high stress jobs, unhealthy eating, and sedentary lifestyle, directly relate to pathologies like overweight, cancer, diabetes, cardiopathies, arterial hyper- REFERENCES tension, mental disorder, and many others. (Dr David Basantes. Galápagos Province Health Acosta, Misael. (1979). Galápagos and its Nature, Director. Pto. Brown Baquerizo, San Cristóbal- Geography, Ecology and Conservation. Quito, Galápagos. June, 2006) Ecuador. Ecuador’s National Institute of Statis- Services and activities offered include: tics and Censuses (INEC). (2006). Galápagos • taking part in Population Projection by provinces for the o yoga, meditation, aerobics year 2006. Quito, Ecuador. Government Printing o massages Office. o physical, occupational and Patterson, C. (2002). Chapter 2: The planning recreational therapies process. The Business of Ecotourism. Rhinelan- • Learning about der, WI: Explorer’s Guide Publishing. (pp. 15- o alternative medicines, 29). o macrobiotic diet, and Stein, T.V.; Anderson, D.H.; and Thompson, D. o well-balanced eating. (1999). Identifying and managing for community benefits in Minnesota State Parks. Journal of Future research Park and Recreation Administration, 17(4): 1- The newly identified tourist products in this 19. study will become the first step to grow a new Wearing, S. (2001). Exploring socio-cultural impacts model of community-based tourism. It will be on local communities. In: Weaver, D.B. (Ed.) necessary to form a detailed configuration of Encyclopedia of Ecotourism. Wallingford: such products, a cost/benefit analysis, and mar- CABI Publishing. (pp. 395-410).

Characterization of Apoptosis Pathways and Cytoskeleton Structures in HTR-8 Immortalized Human Placental Cells Exposed to Porphyromonas gingivalis and Benzo[a]pyrene

Diogo Torres

ABSTRACT

roper trophoblast differentiation is critical in normal placental development. Physical or chemical agents that interfere with the P key trophoblast cell signaling pathways may induce miscarriag- es21, preeclampsia4, pre-term birth, and fetal growth restrictions8,9,12,25. Por- phyromonas gingivalis, an anaerobic periodontal pathogen, may have an underlying role in these key pathways. Recent human studies have detected the presence of P. gingivalis sensitized T-cells in the peripheral blood of patients with oral infections15,20In addition, animal studies provide evidence that P. gingivalis impairs placental functioning by inducing local immune responses and altering placental anti-inflammatory pathways18. My study used fluorescent microscopy to demonstrate P. gingivalis infection in HTR-8 immortalized human placenta extravillous trophoblast cells. Cells exposed to P. gingivalis for 24 hours showed a decrease in phospho-p53 expression, while Bcl-2 and total p53 levels remained unchanged relative to control.

85 D. TORRES

In a second protocol, HTR-8 cells were also (BaP), a carcinogenic polyaromatic hydrocarbon treated with benzo[a]pyrene, a carcinogen found found in cigarette smoke, also alters placental in cigarette smoke. Placental cells exposed to protein levels. Exposure to BaP is associated benzo[a]pyrene are prone to irregularities that with a reduction in epidermal growth factor re- can cause spontaneous abortions and fetal ceptors (EGF-R) in human placental choriocar- growth retardation. RL95-2 human uterine en- cinoma cells, resulting in uncoordinated dometrial cells exposed to benzo[a]pyrene expression of the genes responsible for normal showed actin disaggregation, impaired cellular trophoblast proliferation, differentiation, and attachment and invasion5. In my study, immu- invasiveness. Thus, BaP is a cigarette smoke nocytochemistry analysis was used to examine toxicant that likely interferes with normal pla- the effects of the carcinogen on HTR-8 cell at- cental development, resulting in spontaneous tachment. Control cells had continuous mem- abortions and fetal growth retardation5. brane actin filaments, whereas 10µM and 20µM Benzo[a]pyrene also has adverse effects on benzo[a]pyrene treated cells had actin aggre- some of the genes directly responsible for a gates. normal pregnancy. Human uterine endometrial cells exposed to BaP exhibited significant decreases in plasma membrane EGF-Rs, decreas- INTRODUCTION ing cell attachment. Fluorescent experiments also showed actin degradation in human uterine endometrial cells. Since actin filaments form the Porphyromonas gingivalis cellular cytoskeleton, they are crucial for cellu- Periodontal disease is a chronic oral infec- lar morphology and cell-cell interactions5. tion caused by oral pathogens. Maternal periodontal disease occurs in 5-40% of pregnant Trophoblast differentiation women9 and is associated with second-trimester 21 8 Following fertilization, human placental pre- miscarriage , preeclampsia , pre-term birth, and cursor cells appear on the outer layer of the fetal growth restriction, possibly triggered by blastocyst. These trophoblast cells are critical placental inflammatory responses following ute- 8,9,12,18,25 for proper placental development. Regulated ro-placental exposure to oral pathogens . secretion of the hormone human chorionic go- Among oral pathogens, Porphyromonas gin- nadotropin (hCG) assures proper implantation givalis is a gram-negative, anaerobic bacterium 31 conditions. Once endometrium conditions are prominent in subgingival plaque . P. gingivalis suitable, the trophoblast will attach to the ute- is a major contributor to chronic inflammation rine lining13. Subsequently, placental differen- of the gingivia26 and may be an underlying fac- 25 tiation commences along either the villous or tor in pre-term births . Recent human studies the extravillous trophoblast pathway. Extravill- have detected the presence of P. gingivalis sen- ous trophoblasts are responsible for securing sitized T-cells in the peripheral blood of patients 3 15,20 attachment of the chronic villi in the uterus . with oral infections . On the other hand, villous trophoblast coat these Recent animal studies provide evidence that villi and assists in nutriment transport. Once P. gingivalis impairs placental functioning by differentiated, the placenta serves as a highly inducing local immune responses and altering vascular, cellular barrier between the mother placental anti-inflammatory pathways. Success- and fetus. The placenta mediates pregnancy ful pregnancies consist of an important Th1/Th2 hormone production, immune protection of the cytokine placental balance. P. gingivalis infec- fetus, and filtration of harmful substances. It is tion in pregnant mice has been associated with 18 also directly involved in the transfer of nutrients placental Th1/Th2 imbalances . and gases to the fetus from the mother. Due to its importance, proper placental development is Benzo[a]pyrene critical. Altering trophoblast differentiation can P. gingivalis is not the only mutagen altering be detrimental to the fetus, neglecting it of placental protein expression. Benzo[a]pyrene proper nourishment13.

86 APOPTOSIS PATHWAYS AND CYTOSKELETON STRUCTURES IN HTR-8 IMMORTALIZED HUMAN PLACENTAL CELLS

Preliminary experiments in Dr Shiverick’s Carlsbad, CA] contained 5% heat-inactivated laboratory were conducted using an in vitro fetal bovine serum [Hyclone, Logan, UT]. 100 HTR-8 immortalized human placenta extravill- mm cell plates were used for preparation cell ous trophoblast cells. My experiments show P. lysates and membranes for Western blot analy- gingivalis invasion in this established human sis. For microscopic analysis, cultured cells placental cell line, which is a model for early were grown on either plastic or glass micro- placental development. In addition, my experi- scope chamber slides. It was assumed that cell ments have shown HTR-8 cell susceptibility to count doubled daily. benzo[a]pyrene. Bacterial strains and P. gingivalis treatment Cell cycle regulatory pathways P. gingivalis strain ATCC 33277 was cul- Normal placental development is balanced tured anaerobically for 24 h at 37°C in trypti- by cell proliferation and cell death. p53, the "ul- case soy. Bacteria were harvested after timate suppressor gene," codes for key regulato- 27 centrifugation at 6000 g and 4°C for 10 min. ry proteins involved in cellular growth . Failure They were prepared in HTR-8 cell medium at to induce p53 proteins after DNA damage may random OD600 values. lead to cancerous growth. Once induced, p53 10,28 Cell plates were cultured to confluence (80- proteins control cell arrest and apoptosis . 90%) for 48 hours and then infected with P. Suppressed growth permits DNA repair; if the gingivalis. Fresh media was added to the plates cell is unable to correct the damage it enters and every HTR-8 cell was infected with 100 P. apoptosis. p53 expression is also regulated gingivalis bacteria. The cells were then returned through phosphorylation. Once phosphorylated, 28 to a 5% CO2 incubator at 37°C. Treatment dura- the p53 pathway is activated . tion varied for each sample. Cells were cultured p53 also mediates cell growth through other for 2 hours in the absence or presence of P. gin- regulatory proteins. Apoptosis triggers release givalis, then collected immediately for lysates of cyctochrome C from the inner mitochondrion and membranes; or were washed with PBS and membrane. Induction or inhibition of cyctoch- cultured an additional 22 hours in medium rome C is regulated by Bcl-2. p53 activation has without P. gingivalis and then collected. All been linked to the transcriptional repression of samples were collected using Brandel cell the antipoptic gene Bcl-2; thus, high levels of harvester. Bcl-2 protein suppresses apoptosis24. CIP1 Plastic and glass chamber slides were first p53 also regulates expression of p21 , also treated with 0.5ml/chamber of Poly L-Lysine known as cyclin-dependent kinase inhibitor 1A for 5 minutes to enhance cell attachment. Poly or CDKN1A, which codes for a cyclin- L-Lysine was then removed, and the slides were dependent kinase inhibitor linked to gap 1 (G1) air-dried under the hood. Cells were then cul- of the cell cycle. When expressed, p21CIP1 inhi- 28 tured to confluence (80-90%) for 48 hours. New bits Cdk production . media was added and cells were exposed to P. gingivalis for 30 minutes.

METHODS AND OBSERVATIONS Benzo[a]pyrene treatment 60-80% confluent HTR-8 cells were treated Cell cultures with varying stock solutions of benzo[a]pyrene prepared in DMSO (100 mm cell plates or HTR-8/SVneo cells were derived from cul- chamber slides). Negative controls were treated tures of human first-trimester placental trophob- with DMSO vehicle only. last cells with SV40 large T antigen. This cell line was provided by Dr C. Graham in Canada. Cell lysate preparation Cells were plated and grown to confluence for HTR-8 media was discarded from each cell 48 hours in a 5% CO2 atmosphere at 37°C. Cul- plate. PBS washes minimized media proteins ture medium (RPMI-1640 [Invitrogen, which may interfere in the examination of the

87 D. TORRES

protein of interest. A solution consisting of lysis and three test tubes were prepared for each buffer and protease stocks was prepared and sample (10 µl, 20 µl, 30 µl of cell lysate). Lysis vortexed. Proteases are essential in protein pro- buffer was added to each tube to bring all vo- tection during cellular explosion; lysis buffer lumes to 50 µl. Once each tube had equal vo- contains protein denaturing detergents. Thus, lumes, 1 ml of a 1:50 diluted solution of protein 1mL of the solution was applied to each cell assay reagent A and protein reagent B was add- sample prior to collection using sterile Brandel ed to each tube. Samples were then covered cell harvesters. Microfuge tubes (1.5 mL) were with saran wrap and incubated in a 37°C water prepared and labeled according to treatments. bath for 30 minutes. Samples were then trans- Once scrapped thoroughly, cell samples were ferred to plastic cuvettes and inserted into a pipetted into appropriate microfuge tube (since spectrophotometer. Absorbance of each sample absorption readings were usually on the low was measured at 562λ. Results were then en- side, cell samples were combined; ex. Three 24- tered into Microsoft Excel and a regression line hour cell plates were scraped and pipetted into was computed. A regression formula provided the same microfuge tube). A 3 ml syringe was by Excel was used to find protein concentrations used to disrupt any inappropriate lysate chunks. of each sample. By multiplying these concentra- Once in solution, the cell lysate samples were tions by dilution factors, concentrations in placed on ice for 30 minutes. The samples were µg/ml of the original samples were derived. then removed from ice, vortexed, and centrifuged at 4°C. Supernatants were then trans- BCA protein assay for membrane preparation ferred to new microfuge tubes and stored at -80°C. Total membrane protein concentration was also measured using a BCA protein assay. PBS Cell membrane preparation was used instead of lysis buffer.

Membrane samples were prepared similarly Loading lysate and membrane samples to cell lysates with the exception of protease In order to provide an optimum environment stocks. One milliliter of PBS was pipetted onto for the proteins, a buffer solution was prepared. each cell plate prior to collection. Cell samples Solution buffer (900 µl) was added to 100 µl of were inserted in 1.5 ml microfuge tubes and 2-Mecaptoethanol. The solution buffer was used placed on ice. A freezing solution of ethyl alco- to trace protein progress during electrophoresis. hol and dry ice was prepared under the hood. It also contained glycerol, responsible for After the vapors cleared, samples were frozen weighing down light proteins while in solution. for 1 minute. Sequentially, the samples were 2-Mercaptoethanol, characterized by its strong thawed in room temperature water. The samples sulfur smell, reduced sulfide bridges allowing were then centrifuged in a 4°C room for 5 mi- the proteins to uncoil. nutes. The supernatants were poured out, leav- Microfuge tubes were then prepared and la- ing the membranes as pellets. Five-hundred beled according to sample type. Equal amounts microliters of PBS was added to each tube. The of cell lysate and loading buffer were pipetted samples were then vortexed and centrifuged for into each tube (70 µl and 70 µl loading buffer). 5 minutes at 4°C. PBS (300 µl) was added to Membrane samples were dispersed using a 3 ml each tube, and the samples were stored at -80°C. syringe. All samples were vortexed and placed in boiling water for three minutes. Calculations BCA protein assay for lysate preparation were then conducted to determine how much of Total lysate protein concentration was mea- each sample should be used to yield equal pro- suring using a Bovine Serum Albumen (BSA) tein concentrations. standard curve. Six different glass tubes were Using a thin pipette, 10 ml of Sigma molecu- prepared with different BSA concentrations: 10 lar-weight marker was inserted into the first µl, 20 µl, 30 µl, 40 µl, and 50 µl. Cell lysate well. Samples were loaded individually into samples were removed from the -80°C freezer, their respective wells.

88 APOPTOSIS PATHWAYS AND CYTOSKELETON STRUCTURES IN HTR-8 IMMORTALIZED HUMAN PLACENTAL CELLS

Gel preparation Immunostaining

Dividers and glass sheets were disinfected A 5% nonfat milk solution was prepared by with ethanol. Sandwich-like devices were made mixing 50 ml of TBS and Tween (TTBS) with by placing a small sheet on top of a big sheet, 2.5 g of nonfat milk. In order to block protein using a divider on each side for separation. Us- colonies which might attack the primary antibo- ing a regular ml pipette, each sandwich was dy, each membrane was incubated in 10 mL of filled with running gel (acrylamide, 20% SDS, 5% nonfat milk solution for one hour on a rock- DH2O, running buffer, 0.28% APS) and solidi- er. The milk was then washed off and the mem- fied for 20 minutes. Once the running gel poly- branes were rinsed with TBS. The membranes merized, stacking gel (acrylamide, 20% SDS, were then incubated in their respective diluted DH2O, stacking buffer, 0.28% APS) was pipet- antibody for one hour (1:1000). Control mem- ted until 1 cm from the top of the sandwich. branes were incubated in their respective mo- White combs were inserted for well formation noclonal IgG serum. Membranes were then and the stacking gel was given 20 minutes to rinsed with TBS+Tween (contains detergents) polymerized. Gel thickness depended on the and incubated in secondary antibodies (1:2000) molecular weight of the proteins to be analyzed. for one hour. The nonfat milk was then discarded, and each membrane was thoroughly Electrophoresis rinsed (2x) with TTBS on the shaker. Mem- branes were then rocked in TBS overnight at Once the stacking gel polymerized, the white 4°C. combs were removed, and chamber buffer was used to prevent the gels from drying out. Sam- ples were loaded into the wells using a pipette Immunocytochemistry: fluorescent and electrophoresed at 50 V for 1 hour. The 50 staining V electric current successfully forced the proteins across the gel and separated the molecules Fluorescent staining washes followed the based on molecular size. same restrictions as above: two brief washes followed by 1 thru 5 minute wash on the shaker. Transferring proteins from gels to mem- Culture medium was removed from each cham- branes ber slide. Cells were washed 2x with HTR-8 cell medium and then 3x with PBS. They were then A membrane for each gel was prepared using fixed with fresh 4% Paraformaldehyde + PBS membrane paper (4.5 cm x 7 cm). Six filters solution for 6 minutes under the hood with their were also prepared from filter paper for each gel slide-covers off (Note: a stock solution of 8% (6 cm x 9 cm). Each gel was inserted into a PFA was diluted using 2X PBS). The cells were sandwich holder, supported by a sponge and washed 3x in PBS; the first 2 washes were brief three filters on each side. The sandwiches were and the 3rd was for 5 minutes on the shaker. then placed into electrode holders with the black 0.1% Triton-X-100 in PBS or acetone was used side of the sandwich facing the black side of the to permeablize the cells. Acetone was only used electrode holder. The samples were electropho- on glass slides. When used, it was prepared at resed at 4°C overnight at 30 V. -25°C; cells were incubated for 3 minutes at Membranes were removed from electrode -20°C. Following permeablization, the cells holders and rinsed with distilled water. They were washed 3x in PBS; the first 2 washes were were then briefly stained with Ponceau Red to brief and the 3rd was for 5 minutes on the shak- assure uniform protein loading and transfer. er. Nonspecific binding sites were blocked by Once confirmed, Ponceau Red was returned to incubating with PBS + 1% Bovine Serum Al- its original container and the membranes were bumen (BSA) for 1 hour at 24°C. Respective rinsed with distilled water. Membranes were primary antibody incubation lasted 1 hour at then washed with tris buffered saline (TBS). 24°C. The antibodies were diluted in PBS + 1%

89 D. TORRES

BSA. Negative controls were incubated in PBS A, B). Bcl-2 protein (Figure 4 A, B) concentra- + 1% BSA alone. Fresh PBS + 0.1% Tween-20 tion showed no signs of change. was prepared for cell washes (3x). Respective secondary antibody incubation lasted 1 hour at 24°C. Tubulin and P. gingivalis antibodies were prepared in solution with PBS + 1% BSA. Phal- loidin (5 µL/slide) was heated in a disposable culture tube for 5 minutes at 75°C (evaporates the methanol). A solution was then prepared using PBS + 1% BSA. Chamber slides were treated with phalloidin 30 minutes after second- Figure 1. Western immunoblots of HTR-8/SVneo whole ary antibody incubation began (Note: due to cell lysates probed with p21 antibody (Santa Cruz, secondary antibody photosensitivity, slides were mouse anti-human monoclonal). Cells in 100mm dishes were cultures for 2 hours in the absence (C) or pres- covered in aluminum foil during the entire incu- ence (Pg) of P. gingivalis (100 MOI), then collected bation). The cells were then washed 3x in PBS immediately for lysates (2 h); or washed with PBS and + 0.1% Tween-20; the first 2 washes were brief cultured an additional 22 hours in medium without P. and the 3rd was for 5 minutes on the shaker. gingivalis and collected (24 h). p21 was detected at Chambers were removed, and cover-slips were the expected weight of approximate 20 kDA. mounted using ProLong gold anti-fade reagent (100µl/chamber). Slides were left in the incubator (5% CO2, 37°C) overnight. Cover-slip edges were covered with nail polish and stored in aluminum foil at -20°C.

RESULTS Figure 2. Western immunoblots of HTR-8/SVneo whole Cell cycle regulatory proteins: Western cell lysates probed with phosphorylated-p53 (ser15, immunoblot blot PhosphoDetect rabbit anti-human polyclonal). Cells in 100 mm dishes were cultures for 2 hours in the ab- Western blot results of HTR-8 cells exposed to P. gingivalis bacteria sence (C) or presence (Pg) of P. gingivalis (100 MOI), then collected immediately for lysates (2 h); or washed • Lysate/Membrane samples 1: col- with PBS and cultured an additional 22 hours in me- lected 2/9/06 and 2/10/06 dium without P. gingivalis and collected (24 h). phosp- • Lysate/Membrane samples 2: col- p53 was detected at the expected weight of approximate 37 kDA. lected 4/13/06 and 4/14/06 • Lysate/Membrane samples 3: collected 6/5/06 and 6/6/06 P. gingivalis treatment had no effects on p21 protein expression. As shown in Figure 1, there was no change in protein expression for the 2- hour samples. Samples cultured for an extra 24 hours showed an increase in p21 expression (Figure 1A). However,protein expression decreased in the 24 hour samples (Figure 1B); Figure 3. Western immunoblots of HTR-8/SVneo whole cell lysates probed with p53 antibody (Ab-6, mouse thus, no conclusions were drawn. anti-human monoclonal). Cells in 100 mm dishes were Western immunoblot analysis (Figure 2 A- cultures for 2 hours in the absence (C) or presence (Pg) C) of the p53 pathway showed a decrease in of P. gingivalis (100 MOI), then collected immediately phospo-p53 expression following P. gingivalis for lysates (2 h); or washed with PBS and cultured an treatment. Protein expression was up-regulated additional 22 hours in medium without P. gingivalis in samples cultured for an extra 24 hours. Total and collected (24 h). p53 was detected at the expected p53 concentration remained the same (Figure 3 weight of approximate 52 kDA.

90 APOPTOSIS PATHWAYS AND CYTOSKELETON STRUCTURES IN HTR-8 IMMORTALIZED HUMAN PLACENTAL CELLS

P. gingivalis invasion Fluorescent microscopy confirmed P. gingivalis uptake in HTR-8 cells. Bacteria were found inside the cell and in extracellular spaces (Figure 6).

Figure 4. Western immunoblots of HTR-8/SVneo whole cell lysates probed with Bcl-2 antibody (Santa Cruz mouse anti-human monoclonal). Cells in 100mm dishes were cultures for 2 hours in the absence (C) or presence (Pg) of P. gingivalis (100 MOI), then collected immediately for lysates (2 h); or washed with PBS and cultured an additional 22 hours in medium without P. gingivalis and collected (24 h). Bcl-2 was detected at the expected weight of approximate 27 kDA.

P. gingivalis cell attachment

Figure 5 shows no change in Toll Like Re- ceptor 4 expression in cell lysates. Although Figure 6. Fluorescent immunocytochemical analysis of TLR-4 showed a clear immunoreactive band at P.gingivalis invading HTR-8/SVneo cells. Cells were its expected weight of 95 kDA, there was also plated on poly-L lysine coated glass chamber slides non-specific cross-reactivity with the antibody with four-wells and treated for 30 minutes with (not shown). There was no detection of TLR-4 P.gingivalis. Cells were fixed in freshly prepared 4% in membrane preparations (Figure 5). Paraformaldehyde and incubated in primary and secondary antibodies: 33277 rabbit polyclonal anti-P. gin-

givalis (1:500), mouse monoclonal anti-tubulin (1:400), anti-mouse rhodamine TRITC secondary anti-mouse (1:300), and fluorescein FITC secondary anti-rabbit (1:500). Green fluorescein specs represent clustered P. gingivalis incapable of cellular invasion. Rhodamine tubulin spread the entire cell.

Cell cycle regulatory proteins and actin & tubulin: fluorescent immunocytochemistry

Figure 5. Western immunoblots of HTR-8/SVneo whole cell lysate and cell membrane preparations probed Using fluorescein labeled phalloidin and with TLR-4 (Santa Cruz, rabbit polyclonal) antibody. rhodamine labeled tubulin, cytoskeletal struc- Cells in 100 mm dishes were cultured for 2 hours in the absence (C) or presence (Pg) of P. gingivalis (100 MOI), tures of HTR-8 cells were examined. Control then collected immediately for lysates (2 h); or washed cells showed abundant continuous subcortical with PBS and cultured an additional 22 hours in me- actin filaments. Conversely, 10 µM ben- dium without P. gingivalis and collected (24 h). TLR-4 zo[a]pyrene treated cells, showed clear signs of was detected at the expected weight of approximate actin degradation along the cellular membrane. 95 kDA. Note: there was plenty of P. gingivalis cross- Subcortical actin aggregates were also present reactivity with anti-TLR-4 at 65kDA (not shown). in the cells treated with 20 µM benzo[a]pyrene.

91 D. TORRES

DISCUSSION

Studies have shown that over 23% of women aged 30 to 54 suffer from periodontitis, the direct destruction of periodontal tissue.29 Caused by oral pathogens such as P. gingivalis, periodontitis has been positively correlated with pregnancy complications in 6 out 13 studies involving pregnant mothers suffering from periodontal disease6,9,11,22,25,30. Studies also indicate a link between periodontal infection and placental-fetal exposure. Oral pathogens may trigger fetal inflammatory responses ultimately leading to preterm birth. The bacteria gain access to the placenta via the circulatory system8,9,21. The p53 pathway is critical for proper placental development. Although total p53 concentration was unaffected upon P. gingivalis treatment, phosphorylated p53 levels were reduced. Once phosphorylated, the p53 pathway is activated and cellular proliferation is suppressed. Reduced phospo-p53 expression may prevent HTR-8 cells infected with P. gingivalis from entering cellular arrest or apoptosis. As a result, unrepaired cellular DNA damage may accumulate. In contrast, HTR-8 cells cultured for an extra 24 hours in fresh media (no P. gingivalis) showed normal phosp-p53 levels; thus, it may be possible that placental cells recover normal protein expression with time. Treatment with P. gingivalis had no effect on p53 and Bcl-2 expression levels. This observa- tion is consistent with the association of p53 induction and the transcriptional repression of the antipoptic gene Bcl-2. Since Bcl-2 protein levels were constant, P. gingivalis may not be an apoptotic inducer. In contrast, p21 immunoblots were inconsis- tent. Lack of consistency in protein expression Figure 7. Fluorescent immunocytochemical analysis may be attributed to the anti-body used or vary- of P.gingivalis invading HTR-8/SVneo cells. Cells ing effects of P. gingivalis treatment. were plated on poly-L lysine coated plastic chamber Fluorescent immunocytochemistry con- slides with four-wells and treated for 48 hours with firmed P. gingivalis invasion of HTR-8 cells (A) DMSO, (B) 10µM BaP, or (C) 20µM BaP. Cells (Fig. 6). The bacteria were stained with a fluo- were fixed in freshly prepared 4% Paraformaldehyde rescein dye and examined under a confocal mi- and incubated in primary and secondary antibodies croscope. Microscopy techniques assured that respectively: mouse monoclonal anti-tubulin invasion was intracellular. Higher cellular con- (1:400), rhodamine TRITC secondary (1:300), and fluence would yield better results. HTR-8 cells FITC fluorescein phalloidin. Fluorescent microscopy showed extreme sensitivity to PBS washes and shows fluorescein actin localization and rhodamine PFA fixation. 70-80% confluence is optimal for microtubules.

92 APOPTOSIS PATHWAYS AND CYTOSKELETON STRUCTURES IN HTR-8 IMMORTALIZED HUMAN PLACENTAL CELLS infection and eliminates any suspicion that a cell Canakci V., Canakci C. F., Canakci H., et al. (2004). retains attachment based on physical differenc- Periodontal disease as a risk factor for pre- es. The slide shown in Figure 6 lost nearly all eclampsia: a case-control study. Aust N Z J Ob- cells. Irregular globular morphologies can be stet Gynaecol, 44, 568–673. avoided by giving the cells more time to be Daep, C. A., Demuth, D. R., James, D. M., & La- grown on the chamber slides. Figure 7 shows mont, R. J. (2006). Structural characterization of healthy cells with the expected "stretched out" peptide-mediated inhibition of Porphyromonas morphology. It may also be possible that a P. gingivalis biofilm formation. Infect and Immu, gingivalis MOI was too harsh for the cells. 74, 5756-5762. Finally, fluorescent immunostaining of actin Dasanayake, A. P., Boyd, D., Madianos, P. N., Of- in HTR-8 cells treated with 10 µM ben- fenbacher, S., & Hills, E. (2001). Porphyromonas zo[a]pyrene clearly showed changes in actin gingivialis-specific maternal serum IgG and low localization (Figure 7). Cellular attachment birth weight. J Periodontal, 72, 1491-1497. seems abnormal and may be attributed to ben- Goepfert A. R., Jeffcoat M. K., Andrews W. W., et zo[a]pyrene’s toxicity. Cell morphology was al. (2004). Periodontal disease and upper genital also irregular. 20 µM benzo[a]pyrene treated tract inflammation in early spontaneous preterm cells did not show greater actin degradation. birth. Obstet Gynecol, 104, 777–783. Janus F., Albrechtsen N., Dornreiter I., Wiesmuller L., Grosse F., & Deppert W. (1999). CelL MoL REFERENCES Life Sci, 55, 12-27. Jarjoura K., Devine P. C., Perez-Delboy A., Herrera- Ablordeppey, J. M., Drukteinis, Kitzman, J. M., Me- Abreu M., D’Alton M., & Papapanou P. N. drano, T., & Shiverick, K. T. (2005). Ben- (2005). Markers of periodontal infection and pre- zo[a]pyrene, but not 2,3,7,8-TCDD, Induces term birth. Am J Obstet Gynecol, 192, 513–519. G2/M cell cycle arrest, p21CIP1 and p53 phosphorylation in Human choriocarcinoma JEG-3 Jeffcoat, M. K., Gerus, N. C., Reddy, M. S., Cliver, cells: A distinct signaling pathway. Placen, 26, S. P., & Goldenberg, R. L., & Hauth, J. C. S87-S95. (2001). Periodontal infection and preterm birth: results of a prospective study. J Am Dent Assoc, Benbassat, C. A., Lazarus, D. D., Cichy, S. B, Evans, 132, 875-880. T. M., Moldawaer, L. L, & Lowry, S. F. (1999). Interleukin-1 alpha and tumor necrosis factor al- Kliman, H. J. (1998). From Trophoblast to Human pha (TNF alpha) regulate insulin-like growth fac- Placenta. Encylo of Repro, Retrieved January 29, tor binding protein-1 (IGFBP-1) levels and 2006 from mRNA abundance in vivo and in vitro. Horm. http://www.med.yale.edu/obgyn/kliman/placenta/ Metab. Res., 31, 209-215. articles/EOR_Placenta/Trophtoplacenta.html Blain, P., Evain-Brion, D., Kuen, R. L., Tarrade, A., Krishman, L. (1996). Pregnancy impairs resistance Tricottet, V., & Vidaud, M. (2001). Characteriza- of C57BL/6 mice to Leishmania major infection tion of human villous and extravillous trophob- and causes decrease antigen-specific IFN-y re- lasts isolated from first trimester placenta. Lab sponse and increase production of T helper 2 cy- Invest, 81, 1199–121I tokines. J Immuno, 156, 644-652. Booggess, K. A., Leiff, S., Murtha A. P., Moss, K., Gemmell, E. (1999). The proportion of interleukin-4, Beck, J., & Offenbacher S. (2003). Maternal pe- interferon-gamma and interleukin-10-positive riodontal disease is associated with an increased cells in Porphyromonas gingivalis-specific T-cell rish for precelampsia. Obstet Gynecol, 101, 227- lines established from P. gingivalis-positive sub- 231. jects. Oral Microbiol Immuno, 14, 267-274. Bubb, M. R., Campbell-Thompson, M., Charles, D. Goepfert, A. R., Jeffcoat, M. K, Andrews, W. W., G., Grant, M. B., Medrano, T., & Shiverick, K. T. Faye-Petersen, O., Cliver, S. P., & Goldenberg, (2002). Benzo(a)pyrene, but not 2,3,7,8- R. L. (2004). Periodontal disease and upper ge- tetrachlorodibenzo-p-dioxin, alters cell adhesion nital tract inflammation in early spontaneous pre- proteins in human uterine RL95-2 cells. Bioche. term birth. Obstet Gynecol, 104, 777-783. and Biophy. Research Commu, 294, 101-107.

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The Effect of Dietary Arginine on Lean Body Mass

Amy Klash

ABSTRACT

rginine, a conditionally essential amino acid, has been shown to enhance nitrogen retention. This study sought to determine the A effects of dietary arginine on preservation of body protein stores in mice post influenza challenge. Mice were fed an AIN93G diet (6.6g/kg arginine, n=4), the AIN93G diet with 2% arginine (20g/kg, n=5), or a diet made isonitrogenous to the arginine supplemented diet with the addition of 28g/kg alanine to AIN93G (n=5). After 33 days on the respective diets, mice were challenged with influenza and daily weights were obtained. Mice were sacrificed and the lungs, liver, heart, spleen, thymus, kidneys, intestine, and leg were harvested on day 16 post-challenge. Diet significantly contributed to the difference in mean weights post-challenge, with AIN93G fed mice losing less of their baseline weight. There was no difference among any of the diet groups in protein content of leg muscle or liver or in mean organ weights. The isonitrogenous (alanine) diet showed detrimental effects in that one of the five mice receiving the diet died and two had to be euthanized before the end of the experiment. These data suggest that arginine does not contribute to organ weights or protein content in the leg or liver and that alanine may not be a suitable isonitrogenous diet for comparison studies.

95 A. KLASH

INTRODUCTION Table 1. Composition of diets [12] Arginine is a non-essential amino acid be- AIN- AIN-93G AIN-93G + cause it can by synthesized by the human body. Ingredient (g/kg) However during times of growth, injury, sepsis, 93G + alanine arginine or other stressors, the synthesis of this amino Casein* 200 200 200 acid cannot keep pace with the body's increased L-Cystine 3 3 3 demands and a relative deficiency may occur [1]. Adding dietary arginine has beneficial ef- L-Alanine 0 28 0 fects on various metabolic responses during L-Arginine HCI 0 0 16 such deficiencies. Studies by Seifter and others Cornstarch 397.5 370 381 have demonstrated that supplemental arginine enhances wound healing and immune function Maltodextrin 132 132 132 in injured rats [2, 3]. Arginine has also been Sucrose 100 100 100 shown to enhance nitrogen retention in stressed Soybean Oil 70 70 70 animals versus an isonitrogenous glycine and/or ornithine diet [4, 5]. Although it tends to accele- Cellulose 50 50 50 rate the reversal of negative nitrogen balance, AIN-93 Mineral Mix 35 35 35 supplemental arginine has not been proven to AIN-93 Vitamin Mix 10 10 10 significantly contribute to a positive nitrogen balance [4-8]. Sitren and Fisher found no differ- Choline Bitartate 2.5 2.5 2.5 Tert- ences in weights of the liver, spleen, or adrenals 0.014 0.014 0.014 in those animals receiving additional arginine Butylhydroquinone even though these animals retained significant *Casein contains 3.3g/100g amounts of nitrogen [9]. It has been suggested that this excess nitrogen may lie in muscle mass, which is addressed by this study. were caged individually in a 22°C light con- Surgery or illness typically results in weight trolled room (12 h light:dark cycle) and allowed loss, negative nitrogen balance, and some de- to acclimate for 7 days prior to the experiments. gree of immune dysfunction. During a non- Mice were randomly assigned to either an lethal influenza infection, a mouse may lose up AIN93G diet (6.6 g/kg arginine), the AIN93G to approximately 30% of its body weight [10]. diet with 2% arginine (20g/kg), or a diet made This stressed state changes normal nutrient me- isonitrogenous to the arginine diet with the addi- tabolism so that the body metabolizes protein tion of 28g/kg alanine to AIN93G (Table 1). from lean body stores. Because protein is not as The animals had access to diets and tap water ad calorically dense as fat, more protein mass must libitum. Mice were subsequently moved to the be broken down in order to provide adequate University of Florida's infectious disease isola- energy [11]. We propose that mice on an argi- tion unit for influenza challenge with three days nine supplemented diet will preserve more lean for acclimation prior to infection. The Universi- body mass and have more concentrated protein ty of Florida's Animal Care and Use Committee stores following influenza challenge than mice approved all methods for this experiment. fed control diets. Influenza Infection On day 33 of the experiment, mice were in- MATERIALS AND METHODS fected with 2*105 TCID50 Influenza A/Port Chalmers/1/73 (H3N2). The mice were first anesthetized with intraperitoneal injection of Animals and Diets 3:20 xylazine/ketamine diluted 1:4 in sterile Fourteen female 3-4 week old BALB/c mice phosphate buffered saline (PBS). Each mouse from Harlan Laboratories (Indianapolis, IN) received 10 microliters of virus per nostril.

96 THE EFFECT OF DIETARY ARGININE ON LEAN BODY MASS

Baseline weight was taken the day of influenza Protein Assay Kit (Richmond, CA) following challenge. the instructions provided by the manufacturer.

Statistical Analysis Tissue Preparation and Protein Assay The animals were sacrificed and the lungs, Baseline weights, organ weights, and protein liver, heart, spleen, thymus, kidneys, intestine, content were analyzed using a one-way analysis and leg were harvested from the animals after of variance (ANOVA) with Duncan's a posteri- approximately 50% had reached their baseline ori comparisons. Post viral challenge mouse weight and maintained this weight for 3 days weights were compared using a univariate re- (16 days post-infection). The mice were anes- peated measures ANOVA. Data are expressed thetized and killed via cardiac puncture and ex- as means +/- standard error of the mean, and a P sanguinations. The organs of each mouse were value of < 0.05 denotes significance. frozen in liquid nitrogen, and stored at -86°C until needed. RESULTS All organs were weighed. The leg muscles (between the patella and ankle) and the liver On the first day of infection (33 days on the were homogenized separately in 20% diets), mean body weights were not significantly weight/volume PBS with 1 mM ethylene di- different among diet groups. However, after 17 amine tetraacetic acid and protease inhibitor days of infection, mean weights for each diet cocktail (100 mM AEBSF, 0.08 mM Aprotonin, group differed significantly (P £ 0.05). The 2.2 mM Leupeptin, 4.0 mM Bestatin, 1.5 mM group receiving the AIN93G diet (n=4) lost less Pepstatin A, and 1.4 mM E-64) obtained from average weight post-challenge than the mice Sigma (St. Louis MO). Protein content of the receiving the arginine supplemented diet (n=5) leg muscles and liver was determined using or the isonitrogenous control (n=5). Weight BioRad Laboratories' Detergent Compatible change for individual mice is shown in Figure 1.

Figure 1. Weights as a percent of baseline

97 A. KLASH

Three of the mice on the isonitrogenous control body [13, 14]. Growth hormone increases lean (alanine) diet lost a striking amount of weight body mass as well as promotes lipolysis and and had severe, non-improving symptoms of nitrogen retention [15]. Intravenous infusion of influenza. One died of natural causes and the arginine has been shown to increase plasma in- other two were euthanized since recovery sulin levels in protein-depleted rats [6]. Protein seemed remote. There was no difference among synthesis can be stimulated by insulin in vitro any of the diet groups in protein content in the and in the body, however the amount of insulin liver or leg (Figure 2) nor was there a significant needed to stimulate synthesis in vivo was twice difference in mean organ weight among diet as much as the concentration normally found in groups (Figure 3). the blood of fed animals [16]. It may not be appropriate to make comparisons to those studies that infuse arginine directly DISCUSSION into the bloodstream. Oral arginine may not go into the bloodstream at levels consistent with This study sought to determine the effects of the supplementation. Since there was no differ- arginine supplementation on mice that had lost a ence in the muscle and protein stores of the significant amount of weight due to infection mice, it is difficult to determine at which point with influenza virus. It was proposed that mice arginine failed to evoke a response. An amino on the arginine-supplemented diet would have acid profile would have been helpful in this greater protein content and organ weights and study to determine how much of the supple- lose less overall body weight than those receiv- mented amino acid actually reaches the blood- ing the isonitrogenous control or AIN93G diets. stream. The arginine-supplemented mice did not show Alanine has been shown to be non- any significant benefits from the diet in this contributory to the variability of tissue weights study. Average organ weights and average pro- or tissue protein content and is not detrimental tein content in the leg or liver did not differ to animals after stress [17]. The deaths of the among any of the groups and arginine- three mice in the isonitrogenous group may supplemented mice lost more body weight on have skewed the results by the data collected average than the group receiving AIN93G. not being representative of this group as a Several mechanisms have been proposed to whole. Supplementation with alanine in the ab- account for the beneficial effect of arginine seen sence of added arginine, a conditionally essen- in previous studies. Its action as a secretagogue tial urea cycle intermediate, may be harmful to of growth hormone and insulin is thought to be young, stressed animals because of the added a major contributor to its varied actions in the metabolic stress of excreting excess nitrogen.

Figure 2. Protein content in whole organs

98 THE EFFECT OF DIETARY ARGININE ON LEAN BODY MASS

Figure 3. Average organ weight

This study did not show that arginine pro- Barbul, A., et al., High arginine levels in intravenous vides any beneficial effects toward recovery of hyperalimentation abrogate post- traumatic im- body or organ weight or of tissue protein con- mune suppression. J Surg Res, 1984. 36(6): p. tent post-influenza challenge. Furthermore, be- 620-4. cause mice on the isonitrogenous control diet Daly, J.M., et al., Effect of dietary protein and amino suffered such severe illness, alanine may not be acids on immune function. Crit Care Med, 1990. appropriate for supplementation in this experi- 18(2 Suppl): p. S86-93. mental model. Leon, P., et al., Harry M. Vars Research Award. Ar- ginine supplementation improves histone and acute-phase protein synthesis during gram- REFERENCES negative sepsis in the rat. JPEN, 1991. 15(5): p. 503-8. Rose, W.C., The Nutritive Siginificance of the Ami- Sitren, H.S. and H. Fisher, Nitrogen retention in rats no Acids and Certain Related Compounds. fed on diets enriched with arginine and glycine. Science, 1937. 86(2231): p. 298-300. 2. Effect of diethyl ether anaesthesia on N retention. Br J Nutr, 1977. 37(2): p. 209-14. Seifter, E., et al., Arginine: an essential amino acid for injured rats. Surgery, 1978. 84(2): p. 224-30. Kostense, S., et al., Interleukin 12 administration enhances Th1 activity but delays recovery from Daly, J.M., et al., Immune and metabolic effects of influenza A virus infection in mice. Antiviral arginine in the surgical patient. Ann Surg, 1988. Res, 1998. 38(2): p. 117-30. 208(4): p. 512-23. Demling, R.H. and P. Seigne, Metabolic manage- Minuskin, M.L., et al., Nitrogen retention, muscle ment of patients with severe burns. World J Surg, creatine and orotic acid excretion in traumatized 2000. 24(6): p. 673-80. rats fed arginine and glycine enriched diets. J Nutr, 1981. 111(7): p. 1265-74. Reeves, P.G., F.H. Nielsen, and G.C. Fahey, Jr., AIN-93 purified diets for laboratory rodents: fi- Nirgiotis, J.G., P.J. Hennessey, and R.J. Andrassy, nal report of the American Institute of Nutrition The effects of an arginine-free enteral diet on ad hoc writing committee on the reformulation of wound healing and immune function in the post- the AIN-76A rodent diet. J Nutr, 1993. 123(11): surgical rat. J Pediatr Surg, 1991. 26(8): p. 936- p. 1939-51. 41.

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Merimee, T.J., et al., Plasma growth hormone after arginine infusion. Clinical experiences. N Engl J Med, 1967. 276(8): p. 434-9. Kirk, S.J. and A. Barbul, Role of arginine in trauma, sepsis, and immunity. JPEN, 1990. 14(5 Suppl): p. 226S-229S. Marsden, D., et al., Anabolic effect of human growth hormone: management of inherited disorders of catabolic pathways. Biochem Med Metab Biol, 1994. 52(2): p. 145-54. Garlick, P.J., et al., Hormonal regulation of protein metabolism in relation to nutrition and disease. J Nutr, 1998. 128(2 Suppl): p. 356S-359S. Chambon-Savanovitch, C., et al., Comparative study of glycine, alanine or casein as inert nitrogen sources in endotoxemic rats. J Nutr, 1999. 129(10): p. 1866-70.

100 The I-Ching, or Book of Changes, is one of the oldest Chinese texts. The book’s symbols are used to identify order in random events. The 26th Hexagram of the I-Ching is named dà chù, or “Great Accumulating.” In the modern interpretation of the I-Ching, this is interpreted as Accumulating Knowledge.

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