Front Cover
 Title Page
 Table of Contents
 Editor's column
 Representing the French King of...
 Testament to torture: the Gangrene...
 The vertical arcade: searching...
 A zooarchaeological analysis of...
 Publicly traded companies and political...
 Native Florida crustacean predators'...
 Ophthalmic drug delivery through...
 Investigating thematic tourism...
 Characterization of apoptosis pathways...
 The effect of dietary arginine...
 Back Cover

Title: Journal of Undergraduate Research
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Table of Contents
    Front Cover
        Front Cover
    Title Page
        Page i
        Page ii
    Table of Contents
        Page iii
        Page iv
    Editor's column
        Page v
        Page vi
    Representing the French King of Spain: Philip V and questions of gender, national, and cultural identity
        Page 1
        Page 2
        Page 3
        Page 4
        Page 5
        Page 6
        Page 7
        Page 8
        Page 9
        Page 10
        Page 11
        Page 12
    Testament to torture: the Gangrene affair
        Page 13
        Page 14
        Page 15
        Page 16
        Page 17
        Page 18
        Page 19
        Page 20
    The vertical arcade: searching for Benjamin's flaneur in the contemporary urban city
        Page 21
        Page 22
        Page 23
        Page 24
        Page 25
        Page 26
        Page 27
        Page 28
        Page 29
        Page 30
    A zooarchaeological analysis of the domestic chicken burial excavated at Kingsley Plantation
        Page 31
        Page 32
        Page 33
        Page 34
        Page 35
        Page 36
        Page 37
        Page 38
        Page 39
        Page 40
        Page 41
    Publicly traded companies and political donations: do corporate campaign contributions enhance shareholder wealth?
        Page 42
        Page 43
        Page 44
        Page 45
        Page 46
        Page 47
        Page 48
        Page 49
        Page 50
        Page 51
        Page 52
        Page 53
        Page 54
        Page 55
    Native Florida crustacean predators' preferences regarding the non-indigenous green mussel, Perna viridis (Linnaeus 1758)
        Page 56
        Page 57
        Page 58
        Page 59
        Page 60
        Page 61
        Page 62
    Ophthalmic drug delivery through contact lenses
        Page 63
        Page 64
        Page 65
        Page 66
        Page 67
        Page 68
        Page 69
        Page 70
        Page 71
    Investigating thematic tourism as a tool for community-based ecotourism in the Galapagos Islands
        Page 72
        Page 73
        Page 74
        Page 75
        Page 76
        Page 77
        Page 78
        Page 79
        Page 80
        Page 81
        Page 82
        Page 83
        Page 84
    Characterization of apoptosis pathways and cytoskeleton structures in HTR-8 immortalized human placental cells exposed to Porphyromonas gingivalis and Benzo[a]pyrene
        Page 85
        Page 86
        Page 87
        Page 88
        Page 89
        Page 90
        Page 91
        Page 92
        Page 93
        Page 94
    The effect of dietary arginine on lean body mass
        Page 95
        Page 96
        Page 97
        Page 98
        Page 99
        Page 100
    Back Cover
        Back Cover
Full Text


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 legion etrangere,
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

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


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


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.


For information about submitting papers for publication in the Journal of Undergraduate Research, go on-line
to Ilp % %\ %\ .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.

O 2009 by the Journal of Undergraduate Research

Table of Contents

Representing the French King of Spain: Philip V and Questions of Gender,
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 FlAneur in the Contemporary
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
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
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-
Indigenous Green Museel, Perna viridis (Linnaeus 1758)
Emily Mitchem
2005-2006 University Scholar
College of Arts and Sciences
Mentor: Shirley Baker

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
the Galdpagos 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
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

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 often 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

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.

ere-e( Greer

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


T through a study of representations of King Philip V, 1701-1723, this

paper explores how politics and social anxieties contributed to a
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.


"Be a good Spaniard, that is now your first
duty, but remember that you were born a
Frenchman."' These were the words that Louis
XIV of France spoke to his grandson Philip, the
Duke of Anjou, when he presented him to the
court of Versailles, shortly after it was decided
that he would become the next king of Spain.2
On November 1st, 1700, the last Habsburg king
of Spain, Charles II, died without a natural heir.
Louis XIV moved quickly to secure Philip's
place on the Spanish throne, arguing that, as
Philip possessed one quarter Spanish blood
through his grandmother, Maria Teresa, the
daughter of Philip IV of Spain, he was next in
line for the succession. Left with few alterna-
tives and acknowledging Philip's lineage, the
Spanish court accepted their new sovereign.
Thus, at the age of seventeen, Philip the Duke of
Anjou, who despite his Spanish descent was
undeniably a Frenchman, became King Philip
V of Spain.3 The Spanish kingdom, which had
maintained secure cultural and political
borders for centuries, was now forced to ac
cept a foreign Bourbon prince as its new sov-
By the time that Philip became king, the
Spanish empire was already plagued by political
and social problems. Once the virile empire that
had ousted the Moors from Western Europe,
conquered the Americas, and defended the
Catholic Church, Spain was now in the throes of
military, economic, and political crises. Con-
sumed by war for decades when Philip took the
throne, Spain had over the past century lost con-
trol over a number of its territorial possessions
including the Low Countries and Portugal. Due
to its waning grip on the empire, Spain began to
be seen as emasculated by foreign enemies and
internal political critics.5 The Spanish court had
lost control over its own destiny, and political
decisions about the future where now being
made outside of its borders. With the appoint-
ment of a Bourbon to the throne, Spain, the
proud nation of conquistadors, became itself a
conquered" nation.6
While Spain's image as a defeated and femi-
nized nation circulated throughout Europe, Spa-
niards were themselves fearful about their

perceived emasculation.7 In a time when mili-
tary and political might were directly associated
with the king, and father of the nation, every
action of the monarch carried serious implica-
tions for the image of the country. Their new
French king aggravated concerns of feminiza-
tion not only in his political maneuvering, but
also through the cultural changes he brought
with him. Having lost influence in the political
sphere, many Spanish traditionalists within the
court of Madrid struggled to prevent the under-
mining of Spanish traditions as well.8 They
were determined to ensure the survival of a
purely Spanish national identity, which was
seen as emphatically masculine, by resisting the
new foreign styles of art and fashion that
flooded in and by criticizing the new system of
royal representations.
This paper analyzes the impact that visual
representations of Philip V had on the national
identity of Spain in the early 18th century, and
how the identity crisis that already began before
his succession affected the reception of artistic
styles that inundated Spain upon his arrival. I
will argue that by importing styles that were
closely related to the court of Louis XIV and
Versailles, Philip marginalized well established
artistic and courtly Spanish traditions of monar-
chical representation. By considering two por-
traits created during his reign, one can trace the
gradual disintegration of the traditional Spanish
culture of appearances in favor of one more
closely associated with the court of Louis XIV.
This marginalization of and infiltration by for-
eign styles of art, fashion, and manners exacer-
bated the existing concerns about the weakening
and emasculation of the Spanish kingdom be-
cause of the implications that foreign domina-
tion evoked by such changes. By opting in favor
of foreign styles, particularly French styles,
which were believed by the Spanish to be fri-
volous, excessive, and deceitful, Philip alienated
his primary audience. He rejected the customary
Spanish style that was perceived by traditional-
ists as honest, straightforward, and masculine.
The style of Philip V and his court soon became
the embodiment of Spain's worst fears about
national, cultural, and gender identity.


Philip's Problematic Franco-
Spanish Identity

Once in Spain, Philip V was met by an at-
mosphere that left much to be desired by the
new king. This was as true of the arts as it was
of court culture and politics in general.9 Philip
took on the challenge of restructuring the out-
dated system of pictorial representation estab-
lished under the Spanish Habsburgs and
instituting a new rhetoric of ideals more in line
with his "modern" French sensibilities.10 Raised
in the grandeur of Versailles, Philip sought to
emulate the successful representational cam-
paign of his grandfather Louis XIV, with the
expectation of its similar success in fashioning
an image of himself as the king of Spain. To the
Spanish elite, however, this maneuver usurped
Spanish culture by dismantling established artis-
tic and fashion traditions and openly replacing
them with distinctly foreign ones, both French
and Italian."1
The tension in Philip's own identity is re-
flected in portraits as he attempted to negotiate
his French identity with his newly acquired
Spanish one. Given that traditional Spanish
court portraiture already had a preconceived
formula for representing the political body of
the king, a portrait of Philip V in traditional
Spanish attire was commissioned. However, the
first mistake in this enterprise was made when a
French artist, and not a Spanish one, was com-
missioned to undertake the portrait. The French
artist, Hyacinthe Rigaud, a court painter at Ver-
sailles who was responsible for several state
portraits of Louis XIV, was called upon to por-
tray Philip V as a Spanish king. Equally impor-
tant is the fact that it was Louis XIV who
commissioned the portrait.12
Several versions of the portrait were com-
pleted. The original portrait completed in 1701
and entitled Philip V, King of Spain was in-
tended for the court of Madrid, but actually nev-
er arrived there and remained instead at
Versailles.13 Though the specific reason for this
change is unknown, it may have been decided
that it looked too French for the new Spanish
king, despite both the artist's and subject's ef-
fort to convincingly portray a Spanish demea-

In the Rigaud portrait, Philip appears to sa-
tisfy Spanish conventions by posing in the black
suit typically associated with the Spanish nobili-
ty and Spanish kings. One can see examples of
this tradition in portraits of the two previous
Spanish kings, Philip IV and Charles II, most
notably a painting of Philip IV by Diego Velaz-
quez completed in 1624 and one of Charles II
by Juan Carrefio de Miranda in 1680. The black
suit (golilla) held significant cultural import for
Spanish traditionalists, and the custom of wear-
ing black had a long history with its roots in the
Reconquista of Spain. The Spanish began to
wear black to differentiate themselves from the
Moors, who were known for adorning them-
selves in colorful and extravagant clothes and
jewels. Over time this criticism of the [Muslim]
other evolved into a rejection of any cultural
"other." For previous Spanish kings the wearing
of black, the golilla in particular, represented
their condemnation of external extravagance
and instead a cultivation of personal restraint;
thus "by utilizing black as the 'noncolor' a nar-
cissistic obsession with the body was displaced
onto others."14 The moderation and restraint of
the black suit reinforced the ideal of the mascu-
line Spanish figurehead, which Rebecca Haidt
notes was "defined in relation to its opposite,
immoderation, conceptualized as essentially
In Spain excesses in fashion and courtly ma-
terials were suspect and mistrusted because of
their implications of feminine-like vanity. They
were specifically associated with the "exhibi-
tionist masculinity of the French [which] be-
came a frequent object of Spanish ridicule."16
The Spanish court interpreted such excesses as
tools to conceal the dwindling power of the mo-
narchy, and a form of compensatory power.17
Now there was a Frenchman in the role of king
and French excesses abounded in court. Because
there were already anxieties about the loss of
their traditional austere identity, Spanish tradi-
tionalists exhibited hostility toward the wave of
material and visual luxuries cultivated by Phi-
lip's reign.'
Even though Philip appears in a Spanish cos-
tume, it is clear that the traditional imagery of
Spanish style has been overwhelmed by French
aesthetic preferences, as a comparison between
the portrait of Charles II by Juan Carrefio de


oauuIre; riILtp://er.wiKipeul.od.uig/wIKI I/Idge.:teipe_v7o 3D__ey_ue_ -pd oL 7oDid. pg

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


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


JUU I U I. ILL p.// e .wiM/pe WIUd.uig WIM/ I IIdge.r dler II r-n-i u di d.jpg

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


Miranda and the Rigaud portrait makes clear.
The atmosphere of the Rigaud portrait empha-
sizes the importance of luxury to the Bourbons.
Philip is presented in full figure pose sur-
rounded by sumptuous textiles decorated with
gold embroidery, furniture, and elaborate detail,
all meant to convey his preeminent position.
The colors of the Rigaud portrait are comprised
of deep, rich hues of red, yellows, and ambers,
which work quite well at establishing a contrast
between subject and background.19 Just as in the
famous portrait of Louis XIV, done by Rigaud
in 1701, every inch of the picture plane contains
elements of luxury and wealth. Philip's overall
demeanor is also reminiscent of Louis XIV's.
He stands upright and confident, with a slight
grin on his face, suggesting a knowing certainty
about his position.20 The very "Frenchness" of
Philip V's portrait is enhanced if it is thought of
as a pendant to the Rigaud portrait of Louis
XIV. Not only is the portrait commissioned by
Louis and executed by a French court artist, the
overall appearances of Philip and his surround-
ings echo his French grandfather.
In contrast to this portrait, the image of
Charles II follows much more closely the stan-
dards of traditional Spanish Habsburg represen-
tation. Charles maintains a restrained and
somber expression on his face, which almost
borders on melancholy. The entire palette of
Charles's portrait is dark and muted, including
the background, unlike Philip's portrait. The
most illuminated feature in the portrait is the
actual face of Charles. Thus, the viewer's eye is
drawn directly to the subject and is not dis-
tracted by the background or any secondary ob-
Unlike the somber and unembellished Span-
ish royal portraits, Philip's first state portrait by
Rigaud is full of artistic devices that would have
been interpreted as distractions to the Spanish
eye. It is these lavish details that become the
problem. Following Sidney Donnell's discus-
sion about Spanish fashion, I would argue that
the intention of Spanish royal portraiture was to
present an aura of restraint.22 The background
seems always to be secondary to the subject of
Spanish royal portraits. It is secondary not only
to the viewer's focus, but secondary to the king,
who does not allow himself to be distracted by
the frivolous luxuries of the undisciplined. His

own physical, mental, and spiritual strength suf-
fice to convey his true power. In contrast, por-
traits such as the Rigaud of Louis XIV and now
Philip V, with their abundance of worldly mate-
rials, come across as compensatory; making up
for something lacking in the character of the
king. To the critical Spanish observer, the
strength of the subject-Philip in this case-
appears to need augmentation by objects that
display wealth and power. While such tactics of
excessive outward display were successful in
the court of Versailles that Louis XIV had con-
structed, they were viewed with suspicion by
the court of Madrid. Consequently, Philip ap-
pears as a Frenchman attempting to masquerade
as a Spaniard, but whose French identity is be-
trayed by his surroundings.23
The version of the portrait by Rigaud that fi-
nally arrived in Spain is one that made clear
concessions to Spanish imagery and conforms
much more to the Spanish model of kingly por-
traits. Rather than the rich colors of the previous
portrait, the background of the second version,
completed in the same year and titled Philip V,
is similar to the dark and dull palette seen in
many Spanish portraits of the 17th century.
There are no longer any visual distractions in
the portrait; it is crafted instead as an expression
of Philip's self-reliant power. However, he still
retains a distinctly French manner of expression
in his face, and the style of execution in the
painting with its soft lines and powdery colors
remains noticeably French.24 Despite its more
deliberate attempt to evoke "Spanishness," the
fusion of Spanish tradition and French style in
this painting still failed to produce the desired
result. Rather than hailing a new era of united
culture and exchange, the image signaled to
many the end of traditional Spanish iconogra-
phy. Spanish observers criticized the final ver-
sion, noting that Philip V still did not look like a
Spaniard, but rather a Frenchman masked as a
Spaniard. Spaniards saw it as a "constructed
image" with deceptive underpinnings.25
The concessions to Spanish tradition implied
in the Rigaud portrait were quickly confirmed to
be an empty gesture. Philip abhorred the re-
strained attire of Spanish court dress and banned
the use of the golilla except by certain govern-
mental officials soon after his arrival in Spain.26
Having enjoyed the luxuries and grandiose



( '

t . *,,*

JUI FI. II o XI, by Hacine Rigaud, 11.WI/ (l on cIde.LUUanva, Palao Ral, Mdrid)pg

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



splendor of Versailles and courtly French fa-
shion, Philip could not abide the idea of Spanish
clothing, which he saw as plain and outdated.
Philip all but ordered the court to adopt the fa-
shions of his home country instead. He went so
far as to penalize those members of court who
held fast to the time-honored Spanish costuming
and resisted his mandate.27 Spanish traditional-
ists had stemmed the tide of change for decades,
but now with a new foreign monarch on the
throne, resistance waned and was, in some in-
stances, punished.
This blatant attack on tradition angered many
members of the nobility who were already sus-
picious of Philip V's true national allegiance. In
a letter to Philip V, Louis XIV warned against
such behavior early in his reign. Louis advised
his grandson, "It is my opinion that the king of
Spain should not change the use (that of the
Spanish suit) upon his arrival, but that he should
first comply with the modes of the country.
When he has satisfied the nation with this com-
placency, he will be owner to introduce other
fashions. But he should do it without giving an
order; his example will suffice to accustom his
subjects to be dressed as he."28 Louis XIV's
counsel was prudent. Issues of costuming were
far from superficial; rather, they carried serious
implications about identity and Philip's actions
were seen as a direct threat to Spanish tradition
and culture. By rejecting the black suit asso-
ciated with the somber Spanish ideal of mascu-
linity and strength in favor of the extravagant
French fashions of his native country, Philip
was spreading a message of conceited vanity
that many Spaniards feared as detrimental to
their society. The continued advancement of
fashions and styles of representation that were
seen as frivolous aggravated the anxieties of a
country that was already grappling with issues
of national and gender identity.
In her study of Spanish masculinity in the
18th century, Haidt notes that "masculinity was
defined as the control of passions, desires, and
pleasures that played themselves out on a body
representing such control through its exhibited
avoidance of 'feminine' bodily aspect."29 This
meant that physical and material pleasures such
as perfumes and fleshly adornment were seen as
appropriate to the feminine domain only. To
ensure one's masculine identity, such pleasures

were to be avoided or at least the use of such to
be moderated, lest one be tainted by feminine
influence.30 Philip, in contrast to this ideal, was
not a man who demonstrated moderation in his
life. By indulging in the same luxuries he en-
joyed at Versailles, evident in his preference for
dress and styles of portraiture he continued to
commission throughout his reign, styles that the
traditional Spaniard characterized as extrava-
gant, Philip was unknowingly promoting an im-
age of his own questionable masculinity.
Therefore anxieties about the gendered position
of the country were amplified not only because
Philip was foreign, but because he himself
lacked essential Spanish masculine traits of re-
straint and modesty.31
Spanish hostility toward the importation of
French and Italian visual styles was a manifesta-
tion of the socio-political anxieties surrounding
Philip's monarchy.32 At the beginning of his
reign, many in the court considered Philip to be
nothing more than a pawn of Louis XIV.33
Throughout the first decade of Philip's reign,
French agents and advisors of Louis XIV were
stationed around the country and, more impor-
tantly, with court.34 The Rigaud portraits
seemed to be a confirmation of that with Phi-
lip's kingly image mirroring that of Louis
XIV's. Spain feared that it was being controlled
by France, which the Spanish criticized as a na-
tion of effeminate men. Thus, Spain became
further feminized vis-a-vis France. Despite the
fact that Philip attempted to indulge Spanish
sensibilities towards fashion and artistic modes
of representation momentarily in the beginning
of his monarchy, it was not long before the gra-
dual and complete shift towards foreign styles
prevailed. Philip's court was quickly over-
whelmed by French influences in art, architec-
ture, and fashion.35

Triumph of a New Culture of

Philip created a crisis of gendered cultural
identity by aggravating insecurities already
present in Spain. The Bourbon monarch's rule
seemed to confirm the emasculation of the
Spanish nation. Unfortunately for Spain, it had


come to be ruled by a foreigner who would fall
short on his duties as absolute monarch on vari-
ous occasions. Unfortunately for Philip, the
decades of tension that had built up in Spain
under the surface of the Habsburg Empire
would manifest themselves during his reign.36
In the midst of a politically tumultuous pe-
riod, comprised of dynastic change, challenges
to the succession, and internal revolts, Philip's
choice of representation, while understandable,
was also wholly inappropriate. The representa-
tional campaign of Philip V was problematic
because it disenfranchised its intended audience,
an audience already struggling with issues of
identity. To the Spanish traditionalist, the artis-
tic style in the court of Philip V represented the
decaying of Spanish sobriety and restraint, and
this decay in turn represented the emasculation
of the Spanish court. By allowing French influ-
ences to overwhelm the court and by imitating
the standard of his grandfather, Philip was per-
ceived as dismantling the Spanish culture of
appearances, further disassociating himself from
his people and making him "the other" within
his own kingdom.3
While Louis relied heavily on mythological
associations in his representations, such as
Apollo or Hercules,38 Philip relied heavily on
what could be seen as visual associations with
Louis XIV and the court of Versailles. In con-
trast to Louis XIV, Philip V's representations
conveyed a sense of different-ness or of the for-
eign. He sought to represent himself as a great
king not because he had divine power, but be-
cause of his illustrious French, and more specif-
ically Bourbon, lineage. This tactic,
unfortunately, backfired for Philip, as the Span-
ish people, fearful of complete foreign domina-
tion, reacted negatively to this new style of art
and representation. This "different-ness" ex-
posed him and his image to ridicule. He was not
a semblance of any of the great Spanish kings of
old, but rather a foreigner who rejected and os-
tracized tradition.39
Philip V continued to promote essentially
French styles of fashion and art during his life.
Indeed, Philip was only truly satisfied when
French artists such as Jean Ranc and Michel van
Loo arrived in Madrid as new court portrait-
ists.40 This trend meant the continued marginali-
zation of Spanish artists and Spanish styles of

art. Though there were a select few Spanish art-
ists at Philip's court, none of them were as high-
ly placed or highly paid as the foreign artists.41
Even though French armies no longer occupied
Spanish territory, French artists still inhabited
positions in court and French fashions became
increasingly prevalent. Philip soon abandoned
any attempts to appease the Spanish sensibility
of aesthetic guidelines. Instead, the further
along that Philip progressed in his reign the
closer his representations appear to be based on
pictorial conventions established by Louis XIV.
On the day that Philip was proclaimed king
at Versailles, the Spanish ambassador, the Mar-
quis of Castel dos Ruis, turned to Louis XIV
and said, "'There are no longer any Pyrenees.
They have sunk into the ground and we now
form a single nation."'42 As Philip never really
became Spanish, speaking only French through-
out his reign, his court gradually gave way to
the preferences of their king.43 Though Philip V
continued to face opposition in the political
sphere, the foreign styles of art and fashion that
he had brought with him and which had met
with so much resistance in the beginning ulti-
mately defeated the Spanish traditionalists. The
aristocracy slowly began to embrace French
courtly dress, the military was soon outfitted in
French-inspired uniforms, and French artistic
style emerged triumphant.44 The influence of
French and other foreign factors in art and fa-
shion were long-lasting. Throughout the early
Bourbon monarchy the Spanish aristocracy con-
tinued to negotiate between the conflicting de-
sire to change and embrace foreign modernity
but also remain faithful to its traditionally mas-
culine customs. Yet, in the end, the marquis's
words rang true as the boundaries that had clear-
ly separated the kingly representational styles of
Spain from France steadily faded away.


1 Bergamini, John D. The Spanish Bourbons: The
History of a Tenacious Dynasty. (New York: G.
P. Putnam's Sons, 1974). p. 30.
2 Ibid.
3 Kamen, Henry. Philip V of Spain: The King who
Reigned Twice. (New Haven: Yale University
Press, 2001). p. 2.


4 Donnell, Sidney. Feminizing the enemy: Imperial
Spain, Transvestite Drama, and the Crisis of
Masculinity. (Lewisburg: Bucknell University
Press, 2003). p. 151
5 Ibid. p. 152
6 Elliot, J. H. Imperial Spain: 1469-1716. (London:
Edward Arnold Publishers, Ltd., 1963). p. 368
7 Donnell, Feminizing the enemy: Imperial Spain,
Transvestite Drama, and the Crisis of Masculini-
ty. p. 152
8 Straddling, R.A. Europe and the Decline of Spain:
A Study of the Spanish System. (London: George
Allen & Unwin, 1981). p. 201.
9 Tomlinson, Janis A. From El Greco to Goya: paint-
ing in Spain, 1561-1828. (New York: Harry N.
Abrams, 1997). p. 119.
10 Ubeda de los Cobos, Andres. "Felipe y el Retrato
de Corte" in El Arte en la Corte de Felipe V, Mi-
guel Moran Turina, editor, (Madrid: Museo Na-
cional del Prado, 2002). p. 134-35.
11 Burke, Peter. The Fabrication of Louis XIV.
(New Haven: Yale University Press, 1992). p.
12 Ubeda de los Cobos, "Felipe y el Retrato de
Corte", p. 93.
13 Ibid. p. 94.
14 Donnell, Feminizing the enemy. p. 154.
15 Haidt, Rebecca. Embodying Enlightenment
Knowing the body in eighteenth-century Spanish
literature and culture. (New York: St. Martin's
Press, 1998). p. 116.
16 Donnell, Feminizing the enemy. p. 155.
17 Ibid.
18 Bottineau, Yves. El Arte Cortesano en La Espana
de Felipe V (1700-1746). (Madrid: Fundacion
Universitaria Espanola, 1986). p. 320.
19 Tomlinson, From El Greco to Goya: painting in
Spain, 1561-1828, p. 123.
20 Ubeda de los Cobos, "Felipe y el Retrato de
Corte", p. 94.
21 Ibid. p. 436.
22 Donnell, Feminizing the enemy. p. 155.
23 Ubeda de los Cobos, "Felipe y el Retrato de
Corte", p. 94

24 Ubeda de los Cobos, "Felipe y el Retrato de
Corte", p. 95.
25 Ibid. p. 94.
26 De Marly, Diana. Louis XIV and Versailles.
(New York: Holmes & Meier, 1987). p. 105.
27 Ibid.
28 Ubeda de los Cobos, "Felipe y el Retrato de
Corte", p. 108.
29 Ibid. p. 117.
30 Ibid. p. 116.
31 Lynch, John. Bourbon Spain: 1700-1808. (Ox-
ford: Basil Blackwell Ltd., 1989). p. 51.
32 Straddling, Europe and the Decline of Spain: A
Study of the Spanish System. p. 205.
33 Lynch, Bourbon Spain: 1700-1808. p. 68.
34 Ibid. p. 46.
35 Tomlinson, From El Greco to Goya: painting in
Spain, 1561-1828, p. 122.
36 Straddling, Europe and the Decline of Spain: A
Study of the Spanish System. p. 202.
37 Ibid. p. 205.
38 Burke, Peter. "The Demise of Royal Mytholo-
gies" in Iconography, Propaganda, and Legitima-
tion, Allan Ellenius, editor. (Oxford: Oxford
University Press, 1998). p. 254.
39 Ibid. p. 254.
40 Tomlinson, From El Greco to Goya: painting in
Spain, 1561-1828, p. 122.
41 Whistler, Catherine. "On the Margins in Madrid:
Some Questions of Identity at the Real Academia
de Bellas Artes de San Fernando, 1744-1792" in
Art and Culture in the Eighteenth Century, Elisa
Goodman, editor. (Newark: University of Dela-
ware Press: 2001). p. 76.
42 Bergamini, The Spanish Bourbons: The History
of a Tenacious Dynasty. p. 30.
43 Kamen, Philip V of Spain: The King who
Reigned Twice. p. 9.
44 Ibid. p. 220


Works Cited

Bergamini, John D. The Spanish Bourbons: The His-
tory of a Tenacious Dynasty. (New York: G. P.
Putnam's Sons, 1974).
Bottineau, Yves. El Arte Cortesano en La Espana de
Felipe V (1700-1746). (Madrid: Fundacion Un-
iversitaria Espanola, 1986).
Burke, Peter. "The Demise of Royal Mythologies" in
Iconography, Propaganda, and Legitimation, Al-
lan Ellenius, editor. (Oxford: Oxford University
Press, 1998). Pp. 245-254.
Burke, Peter. The Fabrication of Louis XIV. (New
Haven: Yale University Press, 1992).
De Marly, Diana. Louis XIV and Versailles. (New
York: Holmes & Meier, 1987).
Donnell, Sidney. Feminizing the enemy: Imperial
Spain, Transvestite Drama, and the Crisis of
Masculinity. (Lewisburg: Bucknell University
Press, 2003).
Elliot J. H. Imperial Spain: 1469-1716. (London:
Edward Arnold Publishers, Ltd., 1963).
Haidt, Rebecca. Embodying Enlightenment : Know-
ing the body in eighteenth-century Spanish litera-

ture and culture. (New York: St. Martin's Press,
Kamen, Henry. Philip V of Spain: The King who
Reigned Twice. (New Haven: Yale University
Press, 2001).
Lynch, John. Bourbon Spain: 1700-1808. (Oxford:
Basil Blackwell Ltd., 1989).
Sancho Gaspar, Jos6 Louis. La Monarquia Espafiola
en la Pintura: Los Borbones. (Barcelona: Carrog-
gio, S.A. de Ediciones, 2004).
Straddling, R.A. Europe and the Decline of Spain: A
Study of the Spanish System. (London: George
Allen & Unwin, 1981).
Tomlinson, Janis A. From El Greco to Goya: paint-
ing in Spain, 1561-1828. (New York: Harry N.
Abrams, 1997).
Ubeda de los Cobos, Andres. "Felipe y el Retrato de
Corte" in El Arte en la Corte de Felipe V, Miguel
Moran Turina, editor, (Madrid: Museo Nacional
del Prado, 2002). Pp. 89-140.
Whistler, Catherine. "On the Margins in Madrid:
Some Questions of Identity at the Real Academia
de Bellas Artes de San Fernando, 1744-1792" in
Art and Culture in the Eighteenth Century, Elisa
Goodman, editor. (Newark: University of Dela-
ware Press: 2001).

Testament to Torture: The Gangrene Affair

Christopher Church


Amidst the Algerian War, a story of torture shook the French na-
tion, provoking a public outrage and inducing a heated debate in
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 Elysee 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 Gangrene.
As soon as the book hit the presses, a scandal was born. Thirty-thousand
copies of La Gangrene sold out in only two days. After the French police
smashed the printing plates in a vain attempt to silence the testimonies
(10), La Gangrene 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.


Little has been written about "La Gangrene"
since that initial outrage, and of the paltry num-
ber of works that even reference the episode, the
most notable is La gangrene et l'oubli : la
memoire de la guerre d'Algerie by Benjamin
Stora. Unfortunately, the book does not directly
examine the specifics of La Gangrene, and-
though Stora uses the same metaphor to de-
scribe the French psyche as that used to describe
the torture affair, he gives little mention to the
Gangrene Affair itself. While he does examine
the role of torture in the Algerian War, he sup-
plants the 1959 Gangrene episode with the Mau-
rice Audin Affair from two years prior, in which
an Algerian mathematician was suspected of
being a terrorist, captured by French parachut-
ists outside of Algiers, and then tortured to
death at the command of French officials (Stora
30). Additionally, Stora's work is only available
in its original French, and by virtue of the lan-
guage barrier it is largely unavailable to an
American audience, that is, if one can actually
obtain a copy of this work: La gangrene et
l'oubli is currently out of print. A translated
edition of La Gangrene is available thanks to
Robert Silvers and the small private press of
Lyle Stuart, but the edition dates to1960, only
ten months after the episode itself.
Therefore, it appears that forgetfulness
(l'oubli) has prevented historiographic reflec-
tion about the Gangrene Affair. Yet, one need
only glance at the photographs from the Abu
Ghraib prison in Iraq to realize the relevance of
the Gangrene Affair to current events. Torture
has become endemic to U.S. actions in Iraq and
Afganistan, and it also has come to characterize
the "War on Terror." Since 9/11, the U.S. has
held prisoners from over forty different foreign
countries at Gitmo prison in Guantanamo Bay,
many for more than three years, and all virtually
incommunicado and without legal charges
brought against them (Mayer, "The Experi-
ment"). At Gitmo, something as simple as toilet
paper is considered a luxury item, and at Abu
Ghraib human life is considered expendable.
For instance, a prisoner under the "care" of the
U.S. government in Abu Ghraib died in an "in-
terrogation" turned execution. Interrogators
covered Manadel al-Jamadi's head with a plas-
tic bag and then bound him in a crucifixion-like
pose, leaving him to die of asphyxiation (Mayer,

"A Deadly Interrogation"). The U.S. govern-
ment now considers possible terrorists "unlaw-
ful combatants," thus placing them outside of
standard prisoner-of-war clauses (Mayer, "The
Experiment"). Is it merely a matter of time be-
fore the U.S. seeks to "interrogate" domestical-
ly? Will the new victims of these
"interrogations" be Arab students studying in
New York?
To best understand the outrage surrounding
La Gangrene, one must comprehend the preca-
riousness of French and Algerian identities dur-
ing the war. France colonized Algeria in 1830,
and over the course of a century the two peoples
intermingled. Then, swamped with immigrants
from the mainland after the Second World War,
Algeria was deemed a French department. Os-
tensibly, torturing an Algerian becameas outra-
geous as torturing a Frenchman. To the
contrary, however, the relationship between Al-
gerians and Frenchmen was marked by vi-
olence. The illustration (Figure 1) from La
Resilience du Peuple, captioned "Entre nous et
eux, rien que des barbells," bespeaks the simul-
taneous immixture/separation of Franco-Arab
identities. The caption translates "Between us
and them, nothing but barbed wire," and in the
image such barbed-wire separates the spectator
from destitute yet innocent Algerian children.
On the one hand, as symbolized by the barbed
wire, the brutality of the Algerian conflict
alienated the French from the Algerians, and the
article itself, entitled "French Justice Put to the
Algerian Test," questions both the validity of
French unity with Algeria and the credibility of
French justice. On the other hand, inasmuch as
the newspaper article distinguishes between "us
and them," it conjoins the two parties by en-
tangling both of them in the violence of the con-
flict. The barbed wire thus serves
simultaneously as a point of separation and a
point of conjunction; violence becomes the con-
nection between French and Algerian identities,
one that makes possible the tortures at Fresnes
As with the modem-day tortures at Abu
Ghraib and Guantanamo Bay, the wartime vi-
olence disrupted the mentality of the populace
and shook the people's faith in the French gov-
ernment. The confusion of French and Algerian
identities led Gilles Martinet to ask a year later,


Figure 1. An image from the newspaper La Resilience

"Qui sont les traitres?" ("Who are the traitors?")
Was the French police doing its duty to control
terrorists, or had it overstepped its bounds and
become as treacherous as those it had intended
to stop?
Entrenched in what would become an eight-
year long conflict with Algeria, France was
brought face-to-face with corruption within the
very polity of France itself. Though French
fascists were fighting an unsanctioned war in
Algeria against insurgent groups such as the
Front Liberation Nationale (FLN), few in
France believed the Gaullist government to be
capable of committing the very atrocities it
claimed to be trying to prevent. Charles de
Gaulle positioned himself as a mediator, as an
arbiter vying to keep France whole. Despite the
pretense of fairness, however, de Gaulle's gov-
ernment stopped at nothing to maintain French
order in Algeria. Torture became an everyday
fact for those battling for control of the North
African country. Although this overseas torture
was far removed from the nation's capital, as
the American publisher of La Gangrene noted
in 1960, "The disease spreads. When it is con-
doned by a nation in one part of its body, it tra-

du Peuple that demonstrates the violence of the Algerian

vels. The disease crawls. An arm then, now a
leg" (Stuart 13).
In the years leading up to 1959, the French
held to the myth of la resistance by disavowing
the gangrenous colonialism in Algeria. Insofar
as the press brought to light the vindictive vi-
olence that characterized the Algerian War, it
displaced that violence to the margins. Before
La Gangrene's publication, the French believed
that the mainland still stood for liberty: no clear
connection could be drawn between the right-
wing extremists in Algeria and the "morally"
upright Gaullist government in France that
championed resistance to all forms of oppres-
sion. The distinction between the overseas Alge-
rian department and mainland France was
convenient, because it permitted the French po-
pulace to remain disconnected from the atroci-
ties that occurred overseas. In 1959, however,
that distinction crumbled, because terrorism had
been found in Paris itself. The vindictive meas-
ures meant to halt terrorism were misdirected
toward innocent students living within France.
Overall, the French began to question the mo-
tives of their government. If the Gaullist gov-
ernment claimed that Algeria was an integral

:` ~I' '~iC~
~ ..


part of France and that Algerians were citizens
just like any mainlander, there could be no con-
fusion to the French reader of La Gangrene
about the citizenship of Algerian students study-
ing and living in France's capital. In short, La
Gangrene elucidated the extremism inherent in
France's so-called "peacekeeping" policy in
The official backlash of La Gangrene's pub-
lication was staggering. On 19 June 1959, just
one day after the book hit the shelves, the
French Minister of the Interior M. Debr6 seized
the publication of La Gangrene, calling it a "to-
tal fabrication which could not in anything
represent [the least] shade of truth" ("fabrication
total qui ne saurait en quoi que ce soit
repr6senter l'ombre de la v6rit6"; "La Gangrene
Gagne"). Despite considering the work to be
grossly far-fetched at points and downright lu-
dicrous at others, he placed it under the jurisdic-
tion of the government and deemed it to be a
threat to national security. According to a 27
June 1959 issue of The Guardian, French Prem-
ier M. Michel Debr6 went so far as to condemn
the eye-witness testimony as a communist for-
gery. Denying that "the disease" had spread to
the French mainland, Debr6 looked for an ex-
ternal cause to explain to the French populace
how these crimes against humanity could occur
in a democracy as grand as that of the French
Debre's condemnation forced the testifiers in
La Gangrene to substantiate their claims. Doubt
shrouded their testimonies, and the French po-
pulace simply did not want to believe them-
selves capable of the Nazi-like atrocities from
which they had escaped only fourteen years ear-
lier. Taking stock in de Gaulle's political plat-
form after World War II, which proclaimed all
Frenchmen to be in a constant state of resis-
tance, the French believed themselves unable to
accept injustice without a fight. Intentionally
ignorant of its own Nazi inclinations during the
Gaullist period, France fought to maintain a
sense of integrity. To a consciousness that
fought desperately to posit itself as being in
perpetual resistance, to a nation that ignored the
fact that less than two percent of able-bodied
Frenchmen were actually part of the French Re-
sistance, to a post-war culture that denied its
unmistakable involvement with the Nazis, these

tortures were an anathema. Not only were they
antithetical to the post-war conceptualization of
the French nation, they threatened to shred the
image of La Belle France to which the post-war
populace so fearfully clung.
In the end, Debre's denial failed to silence
the Algerian victims. In fact, two of the stu-
dents, Bechir Boumaza and Khider Seghir, were
present at Debre's press hearing and prepared to
show the marks on their wrists where they had
been "firmly tied" ("Who's Lying"). In a 24
June 1959 issue of France's satirical periodical
Le Canard Enchaind, editors voiced their fru-
stration with the official censors, claiming that
they could not tell their readers anything about
the book's contents. Yet, they could "at least
say this-whoever reads this book will not be
able to sleep any more. So we won't speak of
gangrene-we're in good health. Such good
health that we're probably going to die of it"
(qtd. in Stuart 10). Voicing a similar sentiment,
an article appearing in France Observateur on
29 June 1959 proclaimed "the Gangrene gains"
("La Gangrene Gagne").
Nevertheless, an argument about La
Gangrene's tenability was waged within the
press. In an article entitled "Le Dossier de 'La
Gangrene'," France Observateur reproduced an
infamous communique from the Public Prosecu-
tor of the Republic that denounced La
Gangrene. France Observateur then juxtaposed
this communique with a response from Jerome
Lindon of Editions de Minuit, the publisher re-
sponsible for releasing La Gangrene. In his edi-
torial, Lindon advocates the book written by the
allegedly insurgent students, and like Emile Zo-
la eighty-years before him, he dares the French
people to stay complacent. In the follow-up is-
sue to "Le Dossier de 'La Gangrene'," Lindon
exclaims,"Do not count on us [the production
company] to return the silence" ("Ne comptez
pas sur nous pour retourner au silence"; "La
Gangrene Gange"). Agreeing with Lindon's
maxim, France Observateur guides readers to
sympathize with the Algerian students and to
disagree with the actions taken by de Gaulle's
still nascent government. France Observateur
makes its stance quite clear: "As Lindon under-
lines, this text is nothing but a recital, in good
French, as students must be able to write, Alge-
rians certainly, but all the same students of po-


litical science" ("Comme Lindon le souligne, ce
texte n'est qu'un recit, en bon francais, comme
doivent etre capable de l'ecrire des etudiants,
algerienes, certes, mais toute de meme etudiants
en sciences politiques").
As Lindon claims, the book was not pub-
lished until it had been checked and cross-
checked, a process that took months ("Dossier
de 'La Gangrene'"). Not only was the validity
of La Gangrene nearly incontestable, Lindon
asserts that news of this sort was not new, that
"tens of testimonies appeared these past few
years, reporting facts of this kind, located for
the majority in Algeria, without causing the
least official reaction of indignation" ("Des di-
zaines de temoignages sont parus ces demieres
annees, relatant des faits de ce genre, situes pour
la plupart en Alg6rie, sans susciter la moindre
reaction officielle d'indignation"; "La Gangrene
Gagne"). A year prior to publishing La
Gangrene, Lindon published Henri Alleg's La
Question, which examined the use of officially
sanctioned torture in Algiers. The French popu-
lace had heard it all before: La Question sold
nearly six-hundred thousand copies before La
Gangrene ever hit the presses (Stuart 11).
Rather than being outraged at the possible
occurrence of such crimes, de Gaulle's staff
lampooned Lindon. Though excerpts of these
testimonies had appeared in newspapers long
before they were collected into manuscript
form, the government focused on Editions de
Minuit, in part due to the publisher's anti-
authoritarian history. Already a thorn in the
government's side, Lindon was seen as an up-
start who needed to be silenced. However, his
anti-authoritarianism exhibited the very spirit
that de Gaulle claimed as his own, for his pub-
lishing house was part of the French Resistance
movement during the Nazi occupation. It fought
tooth and nail to publicize that which the Vichy
government fought to keep secret and worked
vigilantly to loosen Hitler's hold on France
(Stuart 10).
The French press continued to publish stories
about colonial oppression. With the rise of the
right-wing zeal that would later culminate in a
well-greased terrorist organization, the French
populace became increasingly aware of extrem-
ist activity in Algeria. By 1960 French fascist
elements coagulated into the Organisation

Arm6e Secrete (OAS), a terrorist group of self-
proclaimed French patriots ruthlessly devoted to
the preservation of a markedly "French" Algeria
(Le Sueur xli). By the end of the war, the OAS
stopped at nothing to prevent an easy transfer of
power. Employing violence to disrupt the peace
process and aiming to discourage the French
government from withdrawing from the coun-
try, OAS's commando squads terrorized both
the Muslim and Franco-Algerian populaces.
As demonstrated by Figure 2, a drawing by
contemporary political cartoonist Jacques
Kamb, the French political left viewed the OAS
as the product of France's Vichy past. In this
cartoon, which appeared in the communist
newspaper I'Humanite, Kamb poignantly con-
demns the OAS as a racist, anti-democratic, and
terrorist movement. Hanging behind the masked
and arm-banded "revolutionary" lay both the
Nazi Swastika and a large stack of military
weaponry. Kamb's contemporary, Sine, also
composed numerous political cartoons likening
the OAS to the French government for actions
like those described in La Gangrkne. He dis-
played the ironic contradiction between the
French government's belief in liberty and its
firm support of colonialism and complete disre-
gard for Algerian life. Similarly, a political car-
toon from a 14 December 1961 issue of L'Ex-
press displays the irreconcilability of the OAS
and the Gaullist myth of a France resistant to all
forms of fascism (Figure 3). Though the carica-
tures of de Gaulle's government and the OAS
antagonize one another, they are nearly identical
in appearance: the sole difference is that one
holds a briefcase and the other a bat. Above the

head of the French governmental official are
plastered the words "Vive de Gaulle," a slogan
that recalls the trademark of the French resis-
tance. Battered by the existence of the OAS, de
Gaulle's idealized France crumbled. In short,
the French government's actions most closely
corresponded with the violent radicalism of the
OAS ultras, who were taking, as Sin6 sarcasti-
cally states in a 1962 letter, the "real risks."
The roots of the racism that characterized the
OAS can be unearthed in the Gangrene interro-
gations, which the Direction de Surveillances
Territoire (DST) carried out in a manner better
suited to the Gestapo. Bigoted DST officials
hurled insults at their captives: they called


Et omMu i, wyi QUAy N -lPU vBI l iS rndir pOuU dm*
song3UlUttes ?,.

Figure 2. A political cartoon by Jacques Kamb in the newspaper I'Humanite. 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


twenty-seven-year-old Benaissa Souami a "shit-
ty intellectual" (Souami 34) and then forced him
to insert a wine bottle into his rectum (44). Nev-
ertheless, a clear-cut distinction must be made
between the OAS (a terrorist faction of discon-
tented Frenchmen) and the DST (the French
equivalent to the U.S. FBI). While the former
functioned outside of the jurisdiction of the
government, the latter worked under the gov-
ernment's blessing. Affairs such as the M. Au-
din and Gangrene episodes became
commonplace by 1962, destroying the govern-
ment's "I i,,,i,,i,,,l" image and paving the
way for the 1969 release of the landmark film
Le chagrin et la pitie, which made French colla-
boration all too clear.
In a preface to a published excerpt from La
Gangrene, Temoignage Chretien labels the col-
lection of testimonies as a milestone to the ame-
lioration of French relations with Algeria.
Presented with such an inexpiable act, the
newspaper argues, the French government can-
not help but be more compromising. While
France Observateur contends in "La Gangrene
Gagne" that the French government's overreac-
tion lends credence to the testimonies, Temoig-
nage Chretien proposes the irrelevance of La
Gangrene's truthfulness. Given the state of af-
fairs in Algeria, posits the newspaper, La
Gangrene is true enough: "It is thus necessary
that the facts be known to be condemned as
much as necessary, in the interest of France and
Franco-Algerian friendship. And if La
Gangrene is not all true, that the book helps
[this friendship] has to make all the truth" ("I1
faut done que les faits soient connus pour 6tre
condamn6s autant qu'il sera n6cessaire, et cela
dans l'int6ret de la France et de l'amiti6 franco-
alg6rienne. Et si La Gangrene n'est pas toute la
v6rit6, qu'au moins le livre aide a faire toute la
v6rit6"; "Un extrait").
Likewise, Americans can learn from the mis-
takes of the French government and in doing so
heal our relations with the Arab world. As tes-
timonies amass, we must relinquish the image
so rooted in our minds: America is no longer the
great "liberator" of Europe, the champion of
democracy who vanquished Nazi fascism. In
light of the Korean War, Vietnam, and now two
Gulf Wars, we must fess up to our compulsion
to police the world: our attempts to control me-

thodically other nations, to suppress political
systems unlike our own. Just as La Gangrene
forced the French to abandon the Gaullist myth
and to acknowledge their own fascist inclina-
tions, the photographs from Abu Ghraib have
proven false our hitherto unshakeable belief in
unbridled democracy. Gitmo and Abu Ghraib
blot our innocence and betray our imperialist
leanings. After all, Guantanamo Bay is itself a
colonial holding forcibly leased from the Cuban
government over a century ago, and Abu Ghraib
the result of a war in search of phantom weapo-
nry. As in Algeria, the United States' "peace-
keeping" mission in Iraq has been met with a
guerrilla insurgency that resists the dominance
of a self-proclaimed benevolent power. Whether
"spreading democracy" or "maintaining order,"
a guise is a guise, and a ruse a ruse. Rather than
projecting an antiquated image of ourselves, we
must face up to the facts and bear witness to the
undeniable testaments to torture.


"Le Dossier de 'La Gangrene'." France Obesrva-
teur. June 25, 1959.
"Un extrait de 'La Gangrene'." Temoignange Chre-
tien. June 26, 1959.
"La Gangrene Gagne." France Observateur. June
29, 1959.
"La Justice Francaise a l'Epreuve Alg6rienne." La
Resilience du Peuple. December 21, 1957.
Kamb, Jacques. L'Humanite. "L'O.A.S.? Un gang
fasciste." January 11, 1962.
Le Sueur, James D. "Introduction." Journal 1955-
1962: Reflections on the French-Algerian War.
Ed. James D. Le Sueur. Trans. Mary Ellen Wolf
and Claude Fouillade. Lincoln: University of Ne-
braska, 2000.
Martinet, Gille. "Qui sont les traitres?" France Ob-
servateur. April 28, 1960.
Mayer, Jane. "The Experiment." The New Yorker.
July 4, 2005. < content/articles/050711 fa fact4>>.
Mayer, Jane. "A Deadly Interrogation." The New
Yorker. November 14, 2005.
< s/051114fa fact>>.


"L'Oabsse, qu'est-ce que c'est?" L 'Express. Decem-
ber 14, 1961.
Sin. Le deshonneur est sauf!: Dessins de la guerre
d'Algerie. Paris: D6couverte, 1992.

Souami, Benaissa. "We'll treat you decently." The
Gangrene. Trans. Robert Silvers. New York:
Lyle Stuart, 1960.
Stora, Benjamin. La gangrene et l'oubli : la mimoire
de la guerre d'Algerie. Paris: Editions La Decou-
verte, 1992.

Stuart, Lyle. "Introduction." The Gangrene. Trans.
Robert Silvers. New York: Lyle Stuart, 1960.
"Who is Lying about 'La Gangrene'?: Denials-and
counter-denials-of torture story." The Guar-
dian. June 27, 1959.

The Vertical Arcade: Searching for Benjamin's Flaneur

in the Contemporary Urban City

Silan Yip


he typology of the arcade, as critiqued by philosopher Walter Ben-
jamin, first emerged in nineteenth century Paris, as an architectural
response 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 ex-
ist 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 ar-
cade 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.


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.


The modem pedestrian experience emerged
in nineteenth century Paris out of the develop-
ment of capitalism and the implementation of a
new city plan by Baron Haussman. The pede-
strian was transformed into a character who oc-
cupied the street as a social event, rather than as
a means to a destination. The arcades emerged
during this period to house the new commodi-
ties that were a by-product of capitalism and
industry. Just as the arcades were being erected,
they were replaced by the first shopping malls,
such as the Bon Marche, or being cleared for the
implementation of Baron Haussmann's Grand
Boulevards. The Grand Boulevards were large-
scale streets that cut through Paris, creating
large vistas of the city. What remained follow-
ing Haussmanization was a small collection of
arcades or passages that served as pedestrian

thoroughfares as well as commercial centers
throughout the city. The arcades were signifi-
cant because they held frozen the scale of the
pre-Haussmann urban fabric of Paris, a scale
designed specifically for the pedestrian.
The Paris arcade is the forerunner to the
modem shopping mall, being the first architec-
tural structure that housed the selling of mass-
produced commodity goods. The arcade pro-
vided an enclosed public space that housed in-
dividual commercial shops. The success of the
arcades and the subsequent success of the shop-
ping mall relied on the revolutionary develop-
ment of a glass-covered ceiling over a narrow
store lined street (Figure 3). The addition of a
glass roof provided protection from rain and
cold while also allowing light to penetrate the
interior. The arcade is also significant as one of
the early users of gas lighting, allowing it to be
one of the first urban public spaces occupied at
night. The arcade became a model for privatized


Figure 3. Glass ceiling of the Passage des Panoramas

space that was open for public occupation, a
concept that would emerge in the shopping mall
and re-emerge in the podium building. The pub-
lic now accessed the arcades for entertainment
and as a place of social gathering instead of us-
ing the covered street only to get to a destina-
tion. Louis Aragon's peasant from his novel
Paris Peasant thus spent his time in the arcade,
dining in its cafes, monitoring the changing
women's fashions that were displayed, and ob-
serving the crowds, rather than using the ar-
cades as a mode of circulation.
The arcades were fueled by capitalism, be-
cause they were an architecture that emerged as

the narrow pedestrian streets of commercial
passages housing the new dream world of capi-
talism and the commodity good. In Walter Ben-
jamin's Arcades Projects capitalism is described
as "a natural phenomenon with which a new
dream sleep fell over Europe and with it a reac-
tivation of mythic forces." (Benjamin 391). The
dream sleep is a construction of a surreal urban
experience, where "freedom comes from the
imagination" and should not be limited to "ra-
tional, waking logic" (Breton 433). The dream
sleep awoke a desire among the working classes
and the new bourgeois class for commodity
goods. With the development of capitalism, the


dream worlds of modernity appear in the ar-
cades (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.


The arcade is a container that isolates its inhabi-
tants, putting them in a world of spectacle, and
removing them from the reality of the city that
exists outside of its boundaries. Within the con-
text 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
large-scale building, housing a shopping mall of
up to seven stories that encompasses commerce
as well as public amenities. The so called po-
dium is named because the shopping mall com-
ponent serves as a podium for the high rise
residential towers that sit on a transfer slab
above the shopping mall (Figure 5). The spatial
diagram of the podium is in many ways similar
to an overgrown arcade. The bottom levels of an
arcade also house commercial shops with resi-
dential apartments on the upper levels. The
main objective of the podium building typology,
as described by Hong Kong Council of Social
Service, was to "encourage the formation of a
vigorous and 'balanced' community in which
people of all ages and income, and of diverse
interests and values can live and develop social-
ly, while having facilities conveniently provided
to meet their basic needs, i.e., their employment,
shelter, health, education, safety and
recreation." The podia were an attempt to relo-
cate people from the urban core of Hong Kong
into the New Territories, but resulted in creating
a disjuncture in their lifestyle. New Town po-
dium buildings initially left people displaced
from the urban core, which developers have

Figure 4. Podium buildings in the New Territories of
Hong Kong Special Administrative Region.

attempted to remedy by artificially inoculating
what they believe to be socially stimulating pro-
grams, such as shopping malls and fitness gyms
inside its skin. The addition of these programs
within the podium part of the building serves to
further segregate its inhabitants with the city
The need to develop the podium building has
arisen from the extreme densities of the urban
core and the consequent high cost of living.
Hong Kong has an overall density of 16,102
people per square mile (6,095.9 people per
square kilometer), which accounts for the 40
percent of undeveloped land. When considering
just the population density of Hong Kong's ur-
ban core, the density jumps to 96,758 people per
square mile (37,358.66 people per square me-
ter). The Kowloon district reaches a density of
117,778 people per square mile. Manhattan's
Upper East by comparison has a density of
109,000 people per square mile. The extreme
densities have resulted in a high cost of living.
The average price of a small two-bedroom
apartment in Hong Kong is 3.5 million Hong


Figure 5. Transfer slab of a podium building at Tung
Chung Station, Hong Kong SAR

Kong dollars or 450,000 US dollars. The aver-
age rental price for the same apartment is about
18,000 Hong Kong dollars per month or 2,400
US dollars. Buildings must maximize the great-
est usage of land for the most people, causing
architecture to develop vertically, resulting in
the creation of the podium tower. The podium is
a formula for efficiency in square footage.
Architects pack the shopping mall component as
well as public services and living in the building
so that the single building can have a small
footprint and still have a large quantity of sell-
able square footage.
Capitalism and commodities dominate the
social and much of the architectural aspirations
of Hong Kong. "The purpose of Hong Kong is
to make money. Hong Kong has no other pub-
lic, moral, intellectual, artistic, cultural, or ethi-
cal purpose" (Ng, M.K., and Mills). Its financial
aspirations are realized in its role as a world-
trading partner. In 2003 Hong Kong ranked ele-
venth for in exports and imports and is currently
the world's largest port container. Within the
context of Hong Kong the social ramifications

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 build-
ing, 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 plac-
ing 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-
ping mall that is his dwelling. The street pene-
trated the original arcade, seeming to flow from
the exterior of the street into the interior and
connecting it to streets on the other side. The
podium, however, touches the ground abruptly,
destroying the human scale, so an occupant is
discourage from traversing its outside bounda-
ries. Most inhabitants leave the podium either
by car or more commonly from the train system
located beneath the building. The street pede-
strian rarely occupies the immediate exterior of
the building. Just as the podium traps its inhabi-
tants within the podium of a shopping mall, the
arcade (contrary to its fluid appearance) stopped
the movement of the pedestrian by trapping him
within the depths of the shopping streets.
In Paris Peasant, Aragon discovers that
people become trapped inside the arcade be-
cause they are fetishing the wish-image and the
spectacle. The arcade like the podium is a cof-
fin, a container for spectacle. As Susan Buck-
Morss, author of Dialectics of Seeing, explains,
"All of the errors of the bourgeois conscious-
ness could be found there (commodity, fetish-
ism, reification, the world as 'inwardness'), as
well as (in fashion, prostitution, gambling) all of
its utopian dreams" (39). The effect of the being


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 de-
sire and loss. The arcades were "the precise ma-
terial replica of the internal consciousness, or
rather, the unconscious of the dreaming collec-
tive" (Buck-Morss 39). Not all that was offered
to the bourgeoisie in the arcades could be at-
tained, so he was automatically put into a dream
trance where the haunts of his desire could be
consumed. The podium exaggerates these ef-
fects of desire and consumption, because people
live inside this dream house.
Where as the social ramifications of the ar-
cade are most prevalent in the podium build-
ings, the spatial diagram of the arcade is most
closely associated with the Central district's
escalator (Figure 6). The escalator, the longest
in the world, is 800 meters long with 20 ele-
vated walkways and 3 moving walkways. Much
like the arcade, the escalator carves through the
city in plan, but also works in section along the
edge of the city's slope. The escalator is public
infrastructure that was created to enhance the
pedestrian experience. Until ten o'clock in the
morning the escalator moves down the hill to
help people get to work and then switches direc-
tion to help people move up the hill to their
homes after work.

Figure 6. Central district escalator


Figure 7. Plan of the Passage des Panoramas (Geist,
Arcades: The History of the Building Type, pl. 373)

The spatial diagram of the arcade is analog-
ous to a sky lit tunnel. The narrow passages
create a unidirectional itinerary. The Passage
des Panoramas, for example, was a promenade
of approximately 400 meters long and only
about three meters wide (Figure 7). The arcades
carve a sliver of space that emphasizes the expe-
rience of the one point perspective, which
frames one event at a time. The pedestrian is
forced to view the arcades in one point perspec-
tive, a contrived, rational mode of operation
(Figure 8). The perspective, however, becomes
distorted from the application of reflective ma-
terials. 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 flineur)
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,
Warped 74).


...~ \
i r


Figure 8. Unidirectional experience inside the Pas-
sage Jouffroy, January 4, 2005. Photo by author.

The visual experience in the escalator fluc-
tuates from moments of strict one point perspec-
tive and moments of parallax, a shift in how
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
shortcomings of the podium as a descendant of
the arcade, the escalator attempts to correct
these faults. The edges of the escalator, unlike
the podium, are more transparent and porous.
No part of the escalator is actually bound from
the exterior. Although the edges of the escalator
are bound by storefronts one can penetrate these
edges through the many side streets. The dream
world of the commodity wish image exists in
the stores along the escalator, but the escalator
does not directly touch the edges of these stores.
Also, the escalator is in constant motion, never
allowing spectators to visually indulge in them
for too long.
The escalator forces the one-point perspec-
tive as much as it produced a three-point when
looking up or down and two point when looking
out as the escalator moves along the side of the

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 pede-
strian can just look when he is on the escalator
without worrying about physically moving him-
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
produces the phenomena of inhabiting the city
through framed views without removing the
occupant from the city.

Intervention: Vertical Arcade

A vertical arcade (Figure 10) was proposed as
an architectural typology that would address the
shortcomings of the podia and utilize the quali-
ties of the arcade prevalent in the escalator to
create an appropriate architecture for the Hong
Kong context. The notion of verticality is used
as a tool to test the possibilities of occupying
dense environments such as Hong Kong.
Programmatically, the vertical arcade shares
types of spaces with the podium. Because of the
density and the high property values, the vertic-
al arcade is a tall tower that leaves a small foot-
print on the ground. Within the vertical arcade,
commercial spaces and public amenities are
woven within residential units to provide varia-
tions inside the tower. Unlike, the podia, the
uses are not stratified to different floors, but are


Figure 10. Model of the vertical arcade design pro-

mixed throughout the section of the building.
The central core of the tower is designed as a
circulation core reminiscent of the qualities of
the escalator. A series of circulation types move
throughout the core including escalators, stairs,
ramps, and elevators. Much like the Paris ar-
cades, the vertical arcade serves as pedestrian
infrastructure that lends itself to occupation as
route of circulation. Spread throughout the
building the circulation core expands and be-
comes moments of larger scale occupation, such
as outdoor park space (Figure 11).
The vertical arcade is an attempt to address
the problem of the pedestrian's disconnection
from the street and the city by eliminating the
podium understory so that the building can
function like a city by operating, on a smaller
scale, as the city at large. Residents of the po-
dium never have to leave their building. To ad-
dress the separation of the inhabitant from the

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 exte-
rior 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 itine-
rary 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.
Entry into the vertical arcade consists of a
street that folds out of a pedestrian street and
becomes the circulation core. The vertical ar-
cade must touch the ground in order to break the
isolation from reality that was problematic in
the arcades and the podium. Also, the base of
the tower is directly connected to the train sys-
tem and streets for cars. (Figure 12)
The vertical arcade provides an interior pe-
destrian path that folds into itself and back out.
The path of the arcade is articulated through
vertical movement as well as through spatial
knots (Figure 13). The spatial knots, intended to
provide larger scaled public zones within a giv-
en section of the arcade, also serve to suspend
the pedestrian within the realm of the tower
Because the arcades were experienced in
plan, through a straight tunnel, they were per-
ceived as framed views in one point perspective.
The vertical arcade, because of its sectional
quality, is perceived in a simultaneous flux of
varying perspectives. Inhabiting the spatial


Figure 12. Base of the vertical arcade where the
street folds into the building

knots and traveling on the escalator exaggerate
the changing perspectives. The circulation cuts
through the building in section with differently
scaled moves, allowing for shifting perspec-
tives. The shifting perspectives creates the phe-
nomena of spectacle within the building that
heightens the spatial experience of occupying
the building rather than creating a spectacle
produced by consumption.

Figure 13. Spatial knots spread throughout the sec-
tion of the vertical arcade.

The impact of the Paris arcades on architec-
ture 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, modem, metropolis. Linking the escala-
tor 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.


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Paysan de Paris. 1926.
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Tiedeman. Cambridge: Belknap Press of Harvard
University Press, 1999.
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in Theory 1900-1990: an ii,.i. ..-. of( /i,,,,,I
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.
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Ein Bautyp des 19. Jahrhunderts. 1979.
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A Zooarchaeological Analysis of the Domestic Chicken

Burial Excavated at Kingsley Plantation

Kelly M. Christensen


In the summer of 2006, an archaeological field school directed by Dr.
James M. Davidson was held at Kingsley Plantation, a historic sea island
plantation site located on Fort George Island along the northeast coast
of Florida. During the course of excavations, we discovered a nearly com-
plete, articulated, and well-preserved domestic chicken (Gallus gallus) ske-
leton 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 inha-
bited the cabin site in the early 19th century.


Site History
Kingsley Plantation is a historic plantation
site located on Fort George Island along the
northeast coast of Florida, part of the modem
Timucuan Ecological and Historic Preserve Na-
tional Park in Duval County. While the property
passed through many hands during the 19th cen-
tury, it is named for Zephaniah Kingsley, who
initially leased the land from John Houston
McIntosh in 1814 (Stowell 2000:4) and then
bought and resided on the property from ap-
proximately 1817 to 1839 (Stowell 2000:40-42).
The plantation's main crops were Sea Island
cotton and other provisions, all tended to by
slave laborers who resided in a semi-circle of 32
tabby cabins constructed just south of the main
house on the property (Figure 1). These slaves
were organized using the "task management"
system that assigned slaves a number of tasks
each day, after which they were allowed to plan
their own time, some of which might have been
spent in food subsistence activities; Kingsley
notes in one of his writings in 1829 "after al-
lowance, their time was usually employed in
hoeing their corn, and getting a supply of fish
for the week." (Stowell 2000:69)
Such a labor arrangement was not uncom-
mon among southeastern cotton plantations.
What makes the plantation of special interest
compared to similar sites in the Southeast is
Kingsley's many unconventional thoughts on
slavery. Kingsley was pro-slavery and a one-
time slave trader, yet he also believed in the
humane treatment of slave laborers. He main-
tained a "hands-off' approach to managing his
slaves by not interfering in personal and family
matters, and encouraging leisure activities,
which might have involved some continuance of
African traditions (Davidson 2006: 10-11; Sto-
well 2000:69; Walker 1988:50-51).
Excavation History
Dr. Charles Fairbanks, of the University of
Florida, was the first archaeologist to examine
the slave history of Kingsley Plantation. In the
summer of 1968, he excavated the ruins of Ca-
bins W-1 and E-l, situated nearest Palmetto
Avenue, which bisects the center of the arc of

slave cabins (Fairbanks 1974). His report chief-
ly provided a basic survey of the artifacts and
features in and around Cabin W-l, which were
occupied around 1814-1900 (Fairbanks 1974).
Though his report was mainly meant to be
descriptive in nature, Fairbanks also hoped to
recover evidence of "Africanisms," or evidence
of the transmission of African cultural tradi-
tions, within the artifact assemblage, as
Kingsley was known to be a permissive slave
owner (Fairbanks 1974:90, Fairbanks 1984:2).
However, he identified no such evidence at
Kingsley Plantation. Fairbanks's initial work at
Kingsley Plantation was groundbreaking in a
time when most plantation archaeology focused
on white occupation at plantation sites, and pro-
vided a baseline for more substantive work that
would be done at the site in the 1980s.
Karen Jo Walker revisited Kingsley Planta-
tion in 1988 as the subject of her master's thesis
for the Department of Anthropology at the Uni-
versity of Florida. She based her research on the
fieldwork performed by John Bostwick in 1981
on Cabins W-3 and W-6, as well as Fairbanks's
previous work. Walker sought to reconstruct the
environmental and socio-historical context of
Kingsley Plantation so as to critically evaluate
whether the high quality of life that historical
sources reported of the slave labor population
was historically accurate (Walker 1988:2-5). In
addition to her thesis, which covered the multi-
variate aspects of Kingsley Plantation, she also
published a report in the Essays in Memory of
C /h,,, i H. Fairbanks, specifically dealing with
comparing the subsistence patterns of slaves on
Southeastern coastal plantations with that of
Kingsley Plantation (Walker 1985).
Walker concluded that while early histories
of life on Kingsley Plantation should be consi-
dered with caution, slaves appeared to have
lived in a private, family setting in which they
were allowed to own their property and hunt
and farm small plots in their free time (Walker
1988). Zephaniah Kingsley's unique attitude
towards his slaves certainly influenced their
quality of life; yet underlying economic and
environmental factors at Kingsley Plantation
must also have played their part in shaping the
conditions under which slaves labored (Walker
1988: 164).


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complex circa 1853, with cabins and main house labeled (US Coast Survey 1853 "Entrance to St. Johns River"
Map; Anonymous 2004:31)
Map; Anonymous 2004:31)

Research Goals and Objectives
This report utilizes material from the most
excavations to take place at Kingsley Plantation
thus far. In 2006, Dr. James M. Davidson con-
ducted an archaeological field school that ex-
amined multiple locations on the Timucuan
National Park property, most importantly Ca-
bins W-12, W-13, and W-15 along the western
arc of the slave cabins. The goal of this ongoing
research is to further explore the social dynam-
ics between slave and master on the plantation
through analysis of material goods, subsistence
evidence, and historical records. "Africanisms,"
as Fairbanks sought, were not expected to be an

important part of this new investigation (David-
son 2006:7).
The main focus of this report is the single
test unit that was excavated in Cabin W-15
(Figure 2). Cabins W-12 and W-13 were torn
down some time after their abandonment in the
1840s and subsequently buried over time (Da-
vidson 2006: 42). In order to understand the
subsurface architecture of the tabby cabin build-
ings, we excavated a 1 x 1 m test unit into the
floor of Cabin W-15, which still has extant ruins
(Davidson 2006: 26). Not only did Unit 34 pro-
vide insight into the nature of the floor of the
slave cabins, but it also yielded Feature 4. This
feature was composed of an articulated, intact


domestic chicken (Gallus gallus) skeleton, with
a broken egg and ferrous object directly below
it, interred underneath the historic floor surface
of the cabin.
The objective of this report is to use zoo-
archaeological methods of faunal analysis to
give insight into the nature of this unique arc-
haeological feature. A descriptive analysis of
the Gallus gallus specimen will be presented
that includes observations on preservation,
completeness, sex and age, and taphonomic
markers of the specimen. These data are then
utilized as a complement to the preliminary cul-
tural research Dr. James M Davidson has done
on African religiosity (Davidson 2006) to de-
termine whether the Gallus gallus interred un-
derneath Cabin W-15 was a subsistence animal
raised and eaten by the slaves at Kingsley Plan-
tation or whether it was purposefully buried as
part of an African sacrifice ritual.

Figure 2. Overview of 2006 West Cabin
Excavations (Davidson 2006: 15) with Unit 34


The focus of the faunal analysis was limited
to the intact domestic chicken (Gallus gallus)
skeleton and associated egg, designated Feature
4, buried within Unit 34. As stated above, Unit
34 was a 1 x 1 m test unit excavated in Cabin
W-15. Feature 4 was located in the southern half
of Unit 34 at approximately 24-36 cm below
surface, with one element, the right carpometa-
carpus of the chicken, being found 10-20 cm
below the surface.
In situ, the body of the chicken (Figure 3)
was constricted and roughly aligned with the
eastern wall of the cabin, approximately on a
north/south axis, and does not appear to have
been disturbed by the tabby footing of the cabin
(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 under-
neath 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 pre-
servation 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
burial (Davidson 2006: 29). These artifacts are
considered in conjunction with the faunal spe-


Figure 3. Feature 4 in situ (Davidson 2006: 28)

Only elements related to this individual spe-
cimen were present at the 24-36 cm level; no
other faunal remains are directly associated with
it. While other faunal material was present in
the levels above Feature 4 within the unit, they
are not analyzed here. The other specimens
from Unit 34 are typical of the rest of the faunal
assemblage from the excavated cabins on site,
and are most likely not associated with this fea-

Excavation Methods
The faunal material analyzed from Feature 4
was excavated using trowels, paintbrushes, and
other delicate tools to minimize damage to the
faunal material as it was removed. All fill from
the unit was screened using 1/" mesh. Unit 34
was excavated in a mix of arbitrary and cultural
levels. It was first excavated from 1-20 cm be-
low surface using arbitrary 10 cm levels, with
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
50 cm, from 10-20 cm below surface. Once Fea-
ture 4 was first uncovered around 24 cm below
surface, the southern half of the unit was exca-
vated as a single cultural level to 36 cm below
surface to remove the entirety of the chicken
skeleton and associated artifacts. Soil samples
were taken from each level of the unit, including
around and inside Feature 4. They will be ana-
lyzed at a later date, and may yield more ele-
ments from the chicken burial.

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 modem skeletal specimens from the
comparative teaching collection available from
the Florida Museum of Natural History, Gaines-
ville. As required, supplementary references for
identification of specific elements of the chick-
en anatomy were gleaned from Anatomy of the
Chicken and Domestic Birds by Tankred Koch
In addition to the basic identifications, the
Gallus gallus was examined for indicators of
sex, age, and taphonomic markers that might
indicate whether the specimen was used as a
subsistence item or as part of a cultural ritual.
Osteometric measurements were also taken for
all the major elements of the specimen using
electronic calipers. These measurements were
derived from A Guide to the Measurement of
Animal Bones From Archaeological Sites writ-
ten by von den Driesch (1976:103-129). Com-
parative Osteology of the Chicken and
American Grouse by Hargrave (1972) was also
consulted for a measurement standard for the
furcula, which was not defined by the von den
Driesch publication.


The Skeleton
Figure 4 shows the overall completeness of
the skeleton while Table 1 summarizes the
weight, portion, and the taphonomic signatures
of all the elements. All of the major elements of
the chicken were recovered during the excava-
tion. The only elements missing were some of
the digits of the wings and the feet, as well as
fragments of ribs and other delicate bones that
may have been disintegrated or been crushed in
the ground over time. No bones associated with


Table 1. Summary of Gallus gallus element data
Total Weight
Element Portion (g) Taphonomy
Cranium % 5.3 Root etching; most processes splintered off during clean-

Quadrate (Left)
Quadrate (Right)
Lacrimal (Left)
Lacrimal (Right)
Atlas (C-1)
Axis (C-2)
Cervical Vertebrae
(3 15)
Thoracic Vertebrae
(Fused and Unfused)
Caudal Vertebrae (2)
Vertebral Ribs (9)
Sternal Ribs (5)
Coracoid (Left)
Coracoid (Right)
Scapula (Left)
Scapula (Right)
Humerus (Left)
Humerus (Right)
Radius (Left)
Radius (Right)
Ulna (Left)
Ulna (Right)
Carpometacarpus (Left)
Carpometacarpus (Right)

Femur (Left)
Femur (Right)
Patella (Right)
Fibula (Left)
Fibula (Right)
Tibiotarsus (Left)
Tibiotarsus (Right)
Tarsometatarsus (Left)
Tarsometatarsus (Right)
Tarsus Phalanges (11)
Msc Bone Fraqments

1/2 /4
S- Whole


4 2
W4 /2
% Whole


Root etching
Root etching; broken into 2 pieces
Nasal process only; root etching
Root etching; broken into three pieces
Root etching
Root etching
Root etching

Root etching; modern breaks

Root etching
Root etching; broken into 14 pieces during recovery
Root etching
Root etching
Root etching; broken into three pieces
Root etching
Root etching
Root etching
Root etching
Root etching; broken into two pieces
Root etching
Root etching; modern scratches
Root etching
Root etching
Root etching
Root etching; modern break(?)
Root etching; modern break(?) and scratches; broken into
three pieces
Root etching
Root etching; oxidation stain
Root etching
Root etching; broken into two pieces
Root etching; broken into two pieces during recovery
Root etching; modern scratches
Root etching; modern scratches
Root etching; modern scratches
Root etching; oxdation stain, modern scratches
Root etching; modern breaks

Totals (minus fragments)

Total NISP 75

Total MNI 1

Total Weight 69 g


common meat cuts of the chicken, such as the
breast, buffalo wing, or drumstick, were miss-
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 speci-
men 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 prob-
ably fell apart because of a combination the
weight of the soil overburden pushing down
while it was buried (Lyman 1994: 425) and dry-
ing 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
recovery on site.) The presence of medullary
bone not only indicates that the specimen was
female, but was also ovulating at its time of
death; medullary is stored in the long bones of a
hen's body for the creation of eggs during ovu-
lation, and disappears when the hen is no longer
producing eggs.
All of the elements in the skeleton were fully
fused, indicating that the specimen was mature
when it died. Birds are difficult to age with
more accuracy than this because of the early
ossification of their bones and indeterminate
growth thereafter. For reference, the average
age at which the bones of a modem Gallus gal-
lus are completely ossified is around 5-8 months
of age (Reitz and Wing 1999:75). They can lay
eggs for approximately two years after they are
sexually mature.

Taphonomic Signatures
According to Bickart (1984) bird carcasses
not protected or rapidly buried fall quick prey to
disturbance by scavengers. The preserved, fully
articulated state of the skeleton suggests that the
specimen was buried not long after it was killed.

Figure 4. Diagram of Gallus gallus elements present

Almost all of the elements recovered displayed
a light degree of root etching and discoloration
caused by the roots growing in the soils around
them (see Table 1). This is a natural process and
is consistent with the condition of the rest of the
faunal material recovered at the site.
None, however, display any evidence of
butchery by humans such as cuts, hacks, bum-
ing, or gnawing, and are otherwise very clean in
appearance. Some elements possess accidental
breaks, scratches, and cuts that occurred while
Feature 4 was being excavated (such as the syn-
sacrum which, while intact in situ, broke apart
into several pieces when removed from its sup-
portive matrix). These marks are clearly of
modem origin, were noted as such during analy-
sis, and have no bearing on the conclusions
drawn from the feature. The exceptions to this
are the right and left carpometacarpuses of the
chicken. While they appear to have fresh breaks,
they were already broken when recovered.
How and when these breaks occurred is


Osteometric Measurements
The osteometric data recorded from the ele-
ments of the specimen are available in
Appendix 1. The goal of recording these mea-
surements was to determine how the size of the
specimen compared to others of its sex and age,
with the possibility of ascertaining the breed of
the specimen based on ratios unique to certain
domestic breeds common to North America.
Unfortunately, no such database of know-
ledge appears to exist. While the A Guide to the
Measurement of Animal Bones from Archaeo-
logical Sites by von den Driesch supplies a
standard by which to measure the various ele-
ments of avians, it does not provide any data to
evaluate the measurements derived. The closest
to a list of comparative measurements to be
found was a brief tabulation of figures (not of
the same definition as von den Driesch's) that
Hargrave (1972: 25) supplies in his book Com-
parative Osteology of the Chicken and Ameri-
can Grouse. These are sparse and unhelpful, as
the male and female measurements taken are
from two different breeds, and from only one
individual each. Research was also done on
chicken fancier's associations and clubs such as
the American Poultry Association. These organ-
izations set breed standards for raising competi-
tion chickens, ducks, and other fowl. However,
this was also unfruitful, as the breed standards
are very vague and unsuitable to a zoo-
archaeological analysis.
It is unclear whether breed, or even sex, can
be determined through the measurement of the
elements of the chicken or any other domestic
fowl. Despite this, the measurements derived
from the specimen in Feature 4 are included
within the report for the sake of thoroughness
and the hope that in the future they can be com-
pared to other chicken specimens and provide
more information about this aspect of the fea-

The Egg
The total weight of the eggshell fragments
from Feature 4 was 3.9 g. No fetal chicken
bones were found when the egg was cleaned in
the lab, thus it is impossible to determine
whether the egg was fertilized or not when it

was buried. It was also not possible to determine
for certain whether the egg was inside the Gal-
lus gallus at the time of burial or not. While the
egg unearthed under the chicken skeleton in
Feature 4 appeared almost flush with the ster-
num in situ (Figure 5), this does not necessarily
indicate that the egg was within the chicken
when it was buried. The chicken was female and
laying down at its time of death. However, it is
also a distinct possibility that the egg was origi-
nally buried outside and below the hen, and over
time depositional forces on the site such as wa-
ter or burrowing animals pushed the egg up into
the chest cavity of the chicken. Over half of the
chicken's sternal keel is missing, leaving plenty
of room for the egg to move up and in without
being severely damaged. Thus it is impossible
to be definite about the original placement of
the egg.


The relatively pristine condition of the
chicken skeleton makes it difficult to draw any
complex conclusions from the remains. That
being said, the data acquired from the faunal
analysis of Feature 4 points to a non-subsistence
explanation for the interment of the specimen.
First, if the chicken had been used as a food
item, some taphonomic signatures from the
butchery processes would be present in addition
to those caused by the roots and soil in the
ground. Also, if it had been eaten and then dis-
carded (even whole), there is no reason for it to
be buried in sterile sand below the occupation
level when other vertebrate faunal material is
present in the 0-20 cm range below surface,
above and within the historic level of the cabin
floor. Lastly, the presence of the chicken egg,
ferrous object, and amber-colored glass bead in
such specific association with the specimen
make it very improbable that they were acciden-
tal as opposed to intentional inclusions within
Feature 4.
In his preliminary report of the 2006 excava-
tions, Dr. James M. Davidson discusses some of
the cultural explanations for the presence of the
feature, focusing on traditional African sacrifice
ceremonies that may have been recreated by the


slaves on the plantation (Davidson 2006: 32-
34). The sacrifice of chickens and other fowl on
important occasions marking births, deaths, and
household dedications was performed as part of
African and creolized religious ceremonies (Da-
vidson 2006: 33). Records left by Zephaniah
Kingsley concerning slaves he lost after his
Laurel Grove Plantation was raided in 1812 re-
veal that most of his slaves were African in ori-
gin, and even name specific tribal groups such
as the Ibo, Calabari, Rio Pongo, and others.
These records are an excellent direction for fur-
ther research.

Figure 5. The egg and the sternum of the chicken,
being processed in the lab.


There is no zooarchaeological evidence that
suggests that the domestic chicken interred un-
derneath the floor of Cabin W-15 was a subsis-
tence animal. Its condition in situ was pristine,
with all major elements still in articulation. It
lacks butchery marks that would indicate partial
dismemberment and consumption of any part of
the specimen. The sex and presence of medul-
lary bone in the specimen leave open the possi-
bility that the chicken egg interred beneath it
was inside the bird at death, but this cannot be
confirmed from the data obtained. Further re-
search along the lines of that done by Davidson
needs to be done to ascertain a definitive cultur-
al explanation for its burial.

Bickart, K.L. 1984 A Field Experiment in Avian
Taphonomy. Journal of Vertebrate Palentology
4: 525-535.
Davidson, James M. 2006 Preliminary Report of
Investigations of the 2006 University of Florida
Archaeological Field School at Kingsley Planta-
tion Timucuan Ecological and Historic Preserve
National Park, Duval County, Florida. Report
submitted to the United States Department of the
Interior, National Park Service, Southeast Arc-
haeological Center.
Driesch, Angela von den 1981 A Guide to the Mea-
surement of Animal Bones from Archaeological
Sites: as developed by the Institut fuir 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.
Koch, Tankred 1973 Anatomy of the Chicken and
Domestic Birds, trans. By Bernard H. Skold and
Louis DeVries. Iowa State University Press,
Lyman, R. Lee 1994 Vertebrate Taphonomy. Cam-
bridge University Press, Cambridge, UK.
Reitz, Elizabeth J., and Elizabeth S. Wing. 1999
Zooarchaeology. Cambridge University Press,
Cambridge, UK.
Stowell, Daniel W. (editor) 2000 Balancing Evils
Judiciously: The Proslavery ; ,' ,, of Zepha-
niah Kingsley. University Press of Florida, Gai-
US Coast Survey 1853 "Entrance to St. Johns Riv-
er." Map. Collections of the Library of Congress,
Geography and Map Collection, Washington,
Walker, Karen Jo 1985 Kingsley Plantation and Sub-
sistence patterns of the Southeastern Coastal
Slave. In Indians, Colonists, and Slaves: Essays
in Memory of ( I.,, i.. H. Fairbanks, edited by


Kenneth W. Johnson, Jonathan M. Leader, and
Robert C. Wilson, Publication No. 4, Gainesville.

M.A. Thesis. Anthropology, University of Flori-
da, Gainesville.

Walker, Karen Jo 1988 Kingsley and His Slaves:
Anthropological Interpretation and Evaluation.

Appendix 1. Osteometric Measurements of the Chicken Measure-


(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
SBO Smallest Breadth between 13.3 13.3
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
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
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
Measurement (mm) Right Left
Radius Bd Greatest breadth of distal 7.1 7.2
GL Greatest Length 66.0 65.7
SC Smallest breadth of cor- 3.1 3.1
Measurement (mm) Right Left


Measurement (mm) (mm)
Ulna Bp Greatest breadth of prox- 9.7 9.7
imal end
Did Greatest diagonal of distal 9.8 9.9
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
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
Dp Greatest depth of proximal 10.9 11.0
GL Greatest Length N/A 84.3
Lm Medial length 78.3 78.3
SC Smallest breadth of cor- 7.4 7.4
Measurement (mm) Right Left
Tibiotarsus Bd Breadth of distal end 11.9 12.0
Dd Greatest depth of distal 12.1 11.9
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
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
(as defined by Hargrave 1972)
Measurement (mm)


Maximum length
Maximum width


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Shareholder Wealth?

Marvin McTaw


This paper analyzes the relationship between donations given to po-
litical parties and candidates (i.e., Republicans and Democrats), and
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 statis-
tical 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 per-
formed on who gives, why firms give, determinants of the levels of giving,
and the costs and benefits of giving.



The purpose of this paper is to test the hypo-
thesis that benefits, in the form of increased
market value of shares, are created for share-
holders from the financial support of political
parties and candidates. This hypothesis comes
from the application of a concept introduced by
Hertzel, Martin and Meschke (HMM) in their
paper Corporate Soft Money Donations and
Firm Performance. They state, "Managers of
publicly traded corporations are to invest in
tangible and intangible assets to increase the
wealth of their shareholders (1)," and that one
such intangible is political influence. If this is
true, one would expect firms to create additional
value for shareholders from political donations.
Since markets are expected to be reasonably
efficient, they generally reflect all publicly
available information. If this is the case, and a
company supports one party, which is expected
to win (or lose) an election (e.g., Congressional,
Presidential, etc.), it is reasonable to believe that
the firm's equity value should accrue some ad-
ditional benefits from supporting the victorious
party. In other words, the market should recog-
nize the firm's 'investment' in political influ-
ence and discount back (i.e., find the present
value of) any additional benefits that could re-
sult from the firm's support.
Such excess returns are important to under-
stand because of the implications. Perhaps the
most important implication is that if this belief
is true, then managers clearly have a fiduciary
duty to shareholders to invest as much as possi-
ble in political relationships as long as there is a
sufficient return. This means firms should not
'waste' their donations on non-profitable ven-
tures (i.e., candidates and parties) with which
they believe they can accomplish nothing. This
also means that one would expect companies to
invest more and greater amounts in profitable
ventures. The effects on politicians are clear. If
a firm views your relationship as beneficial to
them, they will continue to support you and in
ever-greater amounts. If the relationship is not
beneficial, then the company will end the ven-
ture and salvage as much as they can from it
before moving on to a more profitable venture

(e.g., another politician, primary- or general-
election candidate, etc.).
With this in mind, it becomes apparent that
shareholders should be aware of the "political
premium" (the financial benefits gained from
political donations) their equity could earn in
the event of a successful election for the party
their firm supports. To determine whether a
premium exists and how much this premium is
worth to shareholders, a study was performed
using various data resources, including daily
stock and S&P 500 returns from the Center for
Research on Security Prices (CRSP), and the
Iowa Electronic Markets (IEM) (a futures mar-
ket where contract prices are determined by po-
litical outcomes). Analysis of this data supports
the conclusion that corporate campaign contri-
butions have little, if any, impact on the return
to shareholders.
The study will be accomplished as such:
Section II will give background on the issue of
corporate campaign contributions and will ex-
pand on issues such as who gives, why they
give, costs and benefits, and whether personal
preferences of managers affect giving behavior.
Section III will describe the data used in the
study, Section IV will discuss the methodolo-
gies employed and the results, Section V dis-
cusses implications, and Section VI will
summarize the information, conclude the study,
and provide guidance for future studies.


Corporations make political donations in a
variety of ways. These include political action
committee (PAC) funds, "soft-money" (legal
until 2002), "hard-money (2), and bundled
funds (3) that are given to candidates raising
funds. The fund-raising process occurs year
round and is not just during 'election season':

for example, US Congressmen usually begin
raising funds for their re-election as soon as
they obtain office. Politicians generally appre-
ciate corporate donations because they help
them either gain office or maintain their current
position. Additionally, in the case of incum-
bents, these campaign funds pose formidable


barriers against competition. Such resources act
as a hurdle because they can provide for a wide
range of products and services. These include
marketing materials (e.g., television ads, direct
mail, targeted phone calls), polling, and get-out-
the vote efforts. Such products and services are
crucial in determining election outcomes and
give incumbents a considerable advantage over
their opposition.
Although politicians undoubtedly appre-
ciated such donations, critics question the ethics
and reasoning behind the giving. Many continue
to view the vast amounts of money going into
political coffers by large corporations as pay-
ment for services rendered and/or future favors.
An often-cited example comes from the now
defunct Enron. Enron donated over $6.5 million
between 1989 and 2004 and in the 2000 election
cycle the vast majority of its donations went to
Republicans (4). Several critics viewed the ap-
pointment of several current and former Enron
employees to important positions within the
energy industry, the deregulation of certain
markets, and counsel in legislative formation, as
clear evidence that political influence was being
bought (5). Such behavior, coupled with the cost
of the 2000 election (over a billion dollars [6]),
led to a call for change.
With the passage of the 2002 Bipartisan
Campaign Reform Act, "soft-money" (unlimited
campaign contributions to political parties) was
banned and several other laws (e.g., new contri-
bution limits, advertising regulations, etc.) were
put into place with the goal of significantly re-
ducing the amount of "corporate" money and
influence in elections (7). It is clear from the
enactment of these laws that many believed the
structure of campaign finance unfairly favored
corporations, that politicians were beholden to
'special interests', and that this was unaccepta-
ble (8). Although this was generally believed, it
had not been proved.

Who Gives?

327 of the 500 firms that make up the S&P
500 gave donations to politicians directly
through their PAC in the last election cycle, and
probably even more gave when individual ex-

ecutives are accounted for (9). The number may
increase when you take into account that some
firms make their political donations through
industry groups that represent firms in a particu-
lar industry (10). These firms are in every indus-
try and have a broad range in size (e.g.,
employees, revenues, etc.). Even though donors
come from a broad range of industries, as shown
in Table 1 the largest givers tend to be in highly
regulated industries (11). For example, financial
services firms (e.g., commercial and investment
banks, insurance companies, etc.) are highly
regulated. The rules that govern their industry
have a direct and sizeable impact on market op-
portunities available to the firms, costs the firms
have to pay, revenue opportunities, and the
overall profitability of the firms. Additionally,
policies the government pursues have a substan-
tial impact on the economic environment firms
in the industry might encounter. For example, if
the government decides to run massive deficits
causing interest rates to rise, this would clearly
have an impact on the financial services indus-
try. As a result, 14 of the top 100 political do-
nors are financial services firms. If one were to
consider only corporations in the top 100, these
firms make up 37.8% of the firms.

Table 1. Top Ten Industries (in Millions)


Lawyers / Law Firms
Securities / Investment
Real Estate
Health Professionals
TV/ Movies / Music
Computers / Internet
Oil & Gas
Business Services


These are the top ten industries by total amounts given.
The largest corporate givers tend to be in highly regulated
* Center for Responsive Politics


Other highly regulated industries that tend to
give include the tobacco, energy, pharmaceuti-
cal, defense, entertainment, communications,
and transportation industries.

Why Give?

Corporations tend to give for several reasons
but the biggest reason is quite clear: a desire to
influence matters that are important to the firm
or to the firm's managers (12). For example,
when deregulation took place in certain sub sec-
tors of the energy industry, firms believing de-
regulation to be in their best interest
significantly increased the amounts donated to
politicians. Additionally, they also increased
their lobbying spending to provide additional
pressure on politicians to do the things that they
proposed (13). Political influence can take sev-
eral forms. Two of the most common ways are
through policy formation, including favorable
writing of laws, and agenda setting (14).
When writing policy there are several things
that must be considered including the overall
goal of the law, the effect the law will have on
both direct and indirect parties, and the winners
and losers created as a result of the policies.
When laws are written, corporations want to be
on the winning side and they can accomplish
this by influencing the language and details
within legislation. This is accomplished mainly
through the relationships that are established by,
and reinforced through, campaign contributions
(15). When sizeable donations are made, many
candidates/politicians are known to take one-on-
one meetings with large donors to listen to their
concerns (16) During this time, one can expect
corporate representatives (e.g., CEO's, lobbyist,
etc.) to voice their concerns and preferences on
specific items of interest. In fact many have
been known to even offer suggestions or guide-
lines for how the laws should be written or ap-
plied (17). The theory of 'investing' in the
political process leads one to believe that if poli-
ticians do an acceptable job in forming policies
and/or legislation favorable to firms, then the
politicians can expect future support. If they are
unsuccessful, support may be diminished or
passed on to an opponent in a future election.

Agenda setting is another important way in
which corporations wish to have influence.
Agenda setting is the ability to have issues im-
portant to the firms become a focus of public
debate. For example, some argue that the cur-
rent Bush Administration's emphasis on an
Energy bill and the President making it one of
his priorities, is simply a reflection of his ties
and duties to the energy industry (18). Agenda
setting is also important because there are issues
that many corporations would prefer not to be
part of the public debate; actions that they
would rather accomplish under the radar. By
having an impact on topics that are and are not
discussed in public, firms are better able to ad-
dress their needs. If they believe public senti-
ment is on their side, they try to get things out in
public debate. If public sentiment is against
them, they try to have things done quietly.
Some studies suggest that political donations
don't change politicians, but are simply a reflec-
tion of a politician's already stated interests
(19). For example, if a politician's stance on
trade was protectionism (e.g., high tariffs, quo-
tas, and other non-tariff barriers), and if a firm
saw this viewpoint as being in their best interest,
they typically would support the candidate.
Regardless of the type of influence exerted,
firms give because they wish to have some con-
trol over situations that could be either benefi-
cial or detrimental to the firm's success. They
have influence because even though politicians
are supposed to represent the interests of the
their constituents, they are much more likely to
listen to the concerns of their large donors, the
ones who help them attain and maintain their

What Determines the Amount

There is no one particular formula that de-
termines how much money corporations will
donate to politicians, however, several general
guidelines can be established. The first thing
that should be considered is the size of the firm.
This is important because company PAC funds
are raised from employees of the firm. As a re-
sult, larger firms typically have more funds to


donate through their PAC. Additionally, larger
firms tend to have more people who can make
larger personal donations. For example, a firm
with 100,000 people typically will have a larger
number of employees who can max out personal
donations to candidates than a firm with 100
employees. When coupled with the greater
availability of PAC funds, larger firms generally
contribute more.
Another important consideration is the firm's
industry. As previously stated, highly regulated
industries tend to have higher levels of political
donations. Firms in these industries tend to give
more because, by obtaining influence, they hope
to consistently improve the regulatory environ-
ment in which they operate. Additionally, the
impact on these firms tends to be much more
noticeable than in other areas, such as consumer
Perceptions of what is at stake also tend to
drive the amounts given. Generally speaking, if
a firm believes more is at stake, they typically
will donate more funds. For example, if a firm is
in the pharmaceutical industry and believes sub-
stantial changes in patent law will take place in
the next legislative session, it is more likely to
donate to the candidate who will support a posi-
tion most favorable to the firm.
The length of a relationship is also important
when determining how much to give. It can be
expected that the longer there has been an estab-
lished relationship, the greater the likelihood of
a larger sum being donated.
Another important factor is the importance
of the politician. Politicians in leadership posi-
tions, like the President, Majority Leader, or
Chairman, tend to receive more and larger dona-
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
committees tend to receive more campaign con-
tributions than non-chairmen. If a firm is donat-
ing to these politicians, they would tend to give
larger amounts and the donations would tend to
be more frequent.
There are several other factors that affect the
amount given. These include the party of the
politician (20), the politician's constituency
(21), prior personal relations (22), and legal lim-
its to donations (23).

Costs vs. Benefits

Firms are banned from directly contributing
to political campaigns. Instead, they usually ex-
ert their influence through Company PAC's, as
well as individual donations. Company PAC's
must submit statements to the Federal Election
Committee noting every donation they make.
When this amount is added to individual contri-
butions and lobbying costs, an estimate is de-
rived for the cost to companies for political
involvement. However, it must be made very
clear that other than lobbying, there are no di-
rect costs to the firm: individuals contribute
their own money to candidates and the PAC
and, therefore, it is not a direct company ex-
pense. Secondly, even if PAC donations were a
direct expense of the firm, they would be no-
minal when compared to other expenses. For
example, in the 2002 election cycle, the Altria
Group donated over $4 million from its PAC,
management, and employees (24). While this
might seem large in absolute terms, for a com-
pany that at the time had over $80 billion in
revenues, and $11 billion in profit (25), this
represents a paltry sum.
When these costs are compared to the poten-
tial benefits, it is clear that political donations
can provide for substantial returns and, there-
fore, it is probably in the best interest of firms to
make political donations. By making donations,
firms at the very least have an open ear and
sometimes one-on-one time to make their case.
If they don't make donations they lose this abili-
ty to have a direct line and, in a sense, leave
completely to chance changes in policy that
could significantly affect the firm.

Personal Interests vs. Corporate

Most companies have given overwhelmingly
to Republicans (see Table 2). This is because
the GOP is generally viewed as the pro-business
party. Even though this is the case, the question
arises as to whether or not political donations
are a reflection of the personal preferences of
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

Altrla 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 $8,170034 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

Ell 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


of shareholders. This question arises because the
firm's management determines the recipients of
PAC donations, as well as how much will be
HMM note in their paper that there are three
groups that potentially benefit from political
donations: politicians, managers, and sharehold-
ers. Much study has been done on the effects of
donations for politicians (26). There is only a
small literature that explores the impact of polit-
ical donations on managers and shareholders.
One study by Gupta and Swenson, which stu-
died the effects of a major tax law change in
1984, found that a firm's PAC contributions,
and individual manager's campaign contribu-
tions, were both positively correlated with the
tax benefits at stake for the firm (27). In other
words, PAC and personal donations by man-
agement seem to support the assertion that man-
agers' actions are aligned with shareholder
There are still critics who point to examples
of managers supporting a candidate for social
issues that are irrelevant to the overall success
of the firm. However such occurrences seem to
be the exception not the norm, and on the ag-
gregate it seems firms typically do make dona-
tions to address their interests or to support
those whom have a vested interest in the indus-
try (e.g., former executives). In fact, when Re-
publicans took control of the house in 1994, and
later on the Senate, donations shifted heavily to
the GOP (28). This supports the assertion that
large corporations are pragmatic donors and
give when and where necessary (29).


In a perfect world, it would be ideal to obtain
a corporate PAC's list of donations, manage-
ment's donations, their political affiliations, and
all employee donations, and then analyze this
data in relation to polling data of the relative
strength of the two major political parties. In
reality, this is not practical because such infor-
mation is not easily found. For example, all do-

nors to campaigns must list their job title and
corporate affiliations, however, they rarely do
so, usually only listing their general occupation
(30). Additionally, polling information is not
typically released on a daily basis and normally
only tracks one candidate against another, not
the relative strength of one party over the other.
To address these shortcomings, we have used
several proxies in an attempt to answer whether
corporate campaign contributions enhance
shareholder wealth.
Donations to political parties are often diffi-
cult to track, however, they can normally be
found via tracking through the Federal Election
Commission (FEC). The data provided from the
FEC is very difficult to decipher, but several
interest groups have simplified the data into
much more user-friendly versions. Perhaps the
most well know is the Center for Responsive
Politics (CRP). The CRP maintains extensive
databases on political donations, including pro-
files and background information on donors, the
recipients of funds, the type of funds donated
(e.g., PAC funds, "soft-money," "hard-money,"
bundled funds, etc.), and aggregate totals. The
CRP also maintains a listing of the top 100 do-
nors since its inception in 1989. Thirty-seven of
the top 100 donors are members of the S&P
500. These firms will make up our sample
group: Table 2 lists the 37 firms, their ticker
symbol, the total amount donated, and the per-
centage given to each party.
The S&P 500 is a market-capitalization
(number of shares outstanding times the share
price) weighted index that tracks the perfor-
mance of the 500 largest US firms. This index
provides a broad overview of US market condi-
tions because it encompasses several broad sec-
tors. Since our sample contains firms from
many different sectors (e.g., agriculture, con-
sumer products, energy, financial services, etc.)
the S&P will provide a good proxy for the mar-
ket. Returns for the S&P 500 were retrieved
using the Center For Research In Security Prices
(CRSP). Stock data including, raw return, beta-
excess return and holding period return for the
37 companies was retrieved using the same ser-
Since it is extremely difficult to find daily
polling data from the major pollsters (e.g., Zog-
by, Gallup, CNN, etc.) the Iowa Electronic


Markets (IEM) have been used instead. The
IEM are a "...small-scale, real-money futures
markets where contract payoffs depend [on]
political events such as elections. (31)" Using
the IEM, participants can trade "shares" of polit-
ical candidates or parties with the final return
dependent upon the outcome of the election.
Markets include a "winner-takes-all" and "vote-
share" market. The main difference between
these two markets is the winner takes all market
tries to predict the ultimate winner in an election
while a "vote share" market predicts the percen-
tage of votes each candidate will receive. The
IEM is extremely effective at predicting out-
comes, especially in the case of the vote share
market in which there is an average error of on-
ly 1.3% (32).
Historical daily closing prices from the 2000
presidential, winner-takes-all market will be
used for the analysis. This provides 137 obser-
vations per contract. These contracts reflect the
IEM market sentiment as to which candidate
will win the Presidential election. The Presiden-
tial election was used because this branch of
government has the most influence in agenda
setting and policy formation, arguably two of
the most important areas for corporations.

Variable Definitions

R=(Pt-Pt1 )/Pt-1

For this analysis, we define the following va-
riables: return, R, is calculated as today's price
(Pt) minus the prior day's price (Pt-1), divided by
the prior day's price (Pt-). This is the calculated
return for all companies, the S&P 500, and the
IEM data. The returns for all firms and the S&P
500 do not assume the reinvestment of divi-


According to the CRP, the top 100 donors
have given over $1 billion in federal election
campaigns from 1989 to October 2004. The 37
companies we track have given over $417 mil-
lion. The top 100 donors give slightly more
money to Democrats than to Republicans due to

the presence of several large unions. Although
Democrats hold a slight lead in funds from the
top 100 donors, this began to change when Re-
publicans won control of the house in 1994 and
later on gained control of the Senate (33). Large
corporations, such as the ones tracked in our
sample, have shown a sort of pragmatism in
their giving and have shifted much of their do-
nations to Republicans (34). The trend has also
seen large increases in the absolute amount cor-
porations donate. As a result (see Table 2), 28 of
the 37 companies in the sample have given over
half of their donations to Republicans.
Many factors affect the price of a stock. In
order to determine the effects of political affilia-
tion with respect to returns, we calculate return
to be:

R = a + B1(S&P500) + B2(IEM) + t

Where a = intercept of the returns, B 1 = beta
of the stock to the S&P 500 index, B2 = beta of
the stock in relation to the Iowa Electronic Mar-
ket data, and t = error adjustment. By determin-
ing b2, we are able to see the effects of the
firm's affiliation to either political party. In de-
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
would expect companies who donate a majority
of funds to Republicans to have a positive B2
when regressed against Republican IEM con-
tracts. This would lead to better returns when
there are increases in contract prices for Repub-
licans and decreases in contract prices for Dem-
ocrats. However, since this formula is related to
the capital asset pricing model (CAPM), it suf-
fers from some of the same limitations as the
original formula.
The sample for this experiment consists of
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
137 periods covered by the Iowa election mar-
kets, they were regressed using the formula
above. Tables 3 and 4 show B2 when this
process is undertaken for each contract. The
data is not consistent with the hypothesis that a
firm should have a positive B2 when regressed
against the contract for the party which it do-
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% 0022 0801

Freddie Mac FRE 73% -0014 -0379

Walt Disney Co DIS 69% -0019 -0554

Microsoft Corp MSFT 59% -0004 -0 192

Goldman Sachs GS 56% -0018 -0806

American International Group AIG 54% 0008 0205

Citigroup Inc C 52% 0013 0471

Metropolitan Life MET 52% -0003 -0 110

JP Morgan Chase & Co JPM 51% -0006 -0308

AT&T T 47% 0033 1153

Bank of America BAC 46% 0018 0796

Boeing Co BA 45% 0019 0404

Anheuser-Busch BUD 44% -0014 -0455

General Electric GE 43% 0018 0747

BellSouth Group BLS 42% 0018 0682

General Dynamics GD 42% 0 008 0 223

Verizon Communications VZ 39% -0019 -0562

Lockheed Martin LMT 39% -0025 -0690

Morgan Stanley MWD 39% -0005 -0 174

Archer Daniels Midland ADM 39% -0008 -0343

Altria Group MO 37% -0009 -0311

AFLAC Inc AFL 37% 0008 0265

General Motors GM 36% 0020 0573

FedEx Corp FDX 34% -0002 -0063

Pfizer Inc PFE 34% 0045 1411

SBC Communications SBC 33% 0048 1612

United Parcel Service UPS 29% 0009 0289

Ell Lilly & Co LLY 29% 0 060 1 695

Merrill Lynch MER 27% 0024 0664

Bristol-Myers Squibb BMY 27% -0011 -0492

MBNA Corp KRB 26% -0004 -0 127

CSX Corp CSX 26% 0026 0816

Union Pacific Corp UNP 20% 0041 1292

Southern Co SO 20% -0006 -0230

UST Inc UST 18% 0003 0065

ChevronTexaco CVX 17% 0009 0269

Exxon Mobil XOM 11% 0031 1007

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% -0003 -0014

Freddie Mac FRE 26% -0042 -0994

Walt Disney Co DIS 30% -0037 -0893

Microsoft Corp MSFT 39% 0011 0340

Goldman Sachs GS 42% -0012 -0389

American International Group AIG 45% -0047 -1 063

Citigroup Inc C 47% -0050 -1 151

Metropolitan Life MET 47% -0042 -1 127

JP Morgan Chase & Co JPM 48% 0027 0932

AT & T T 52% 0038 0893

Bank of America BAC 53% -0013 -0346

Boeing Co BA 54% 0009 0218

Anheuser-Busch BUD 55% -0004 -0091

General Electric GE 56% 0030 0631

BellSouth Group BLS 57% 0010 0265

General Dynamics GD 57% 0 027 0 478

Verizon Communications VZ 59% -0012 -0359

Lockheed Martin LMT 60% 0005 0133

Morgan Stanley MWD 60% 0019 0459

Archer Daniels Midland ADM 60% 0006 0162

Altrla Group MO 62% 0039 1028

AFLACInc AFL 62% -0005 -0186

General Motors GM 63% -0 053 -1 850

FedEx Corp FDX 65% 0 048 1 328

Pfizer Inc PFE 65% 0011 0353

SBC Communications SBC 66% -0031 -1 019

United Parcel Service UPS 70% -0009 -0369

Ell Lilly & Co LLY 70% -0015 -0364

Merrill Lynch MER 71% -0001 -0035

Bristol-Myers Squibb BMY 71% 0030 0887

MBNA Corp KRB 72% -0070 -2003

CSX Corp CSX 72% -0 040 -1 253

Union Pacific Corp UNP 78% -0018 -0508

Southern Co SO 79% -0013 -0351

UST Inc UST 81% -0009 -0326

ChevronTexaco CVX 82% -0020 -0601

Exxon Mobil XOM 87% -0031 -0940

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 5. Portfolio IEM Contract Betas and T Stats



Strong Democrats
Weak Democrats
Weak Republicans
Strong Republicans







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 portfo-
lio. 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
formed dependent upon companies percentages
donated to the political parties. Four portfolios
were formed: Strong Democrats (SD), Strong
Republicans (SR), Weak Democrats (WD) and
Weak Republicans (WR). "Strong" portfolios
are companies that have given over 60% of their
overall donations to either Democrats or Repub-
licans, while "Weak" portfolio members give
50-60% of their donations to a party. Assuming
all stocks were weighted equally, a portfolio
return was derived and then regressed against
the S&P 500, and IEM contract prices for both
parties. Table 5 summarizes the B2 for these
portfolios. This analysis produced only one sta-
tistically significant and interesting result: Weak
Republicans react negatively to improvements
of Republicans in the IEM. If this were the case,
why then would managers continue to support

the party in question? One hypothesis is that
corporate donations reflect the political prefe-
rences of management.
The third analysis involves correlating port-
folio returns to IEM contact returns. This would
determine the direction and strength of relation-
ship, if any, between the returns of the members
of the portfolio and the returns on the IEM con-
tract. One would expect there to be a strong pos-
itive correlation between the returns for firms
strongly supporting one party and the returns on
the IEM contract (36). This however is not the
case. Table 6 summarizes the correlation data
and shows that all portfolios have a negative
correlation to the Republican winner-takes-all
contract in the IEM. This too would support the
hypothesis that donations from corporations
reflect the political preferences of managers and
are not necessarily "investments" for the firm.

Table 6. Correlations



Strong Democrats
Weak Democrats
Strong Republicans
Weak Republicans




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




The results of this study seem to suggest that
shareholders receive no additional monetary
benefits from a firm's support of one political
party or the other. This is of great significance
because if shareholders receive no additional
benefit, then companies should refrain from
making political donations. There are several
possible reasons why there appears to be no ad-
ditional financial benefit that shareholders gain
from political support. The most likely reason is
that it is difficult to estimate the economic bene-
fits that firms will receive from their support of
political parties. As a result, investors and trad-
ers find it difficult to discount these benefits
and, therefore, political outcomes have no ma-
terial impact on the price per share.
Of particular interest is the correlation data.
This data reveals that all firms have a slight
negative correlation to Republican contracts. In
other words this data suggests that when mar-
kets believe republicans will win the election,
all security prices, regardless of which party the
company supports, goes down. This is interest-
ing because the majority of corporate campaign
contributions go to Republicans. Given this, one
would expect there to be at least a slight positive
correlation between the Republican IEM con-
tracts and the SR and WR portfolios, but this
clearly is not the case. In other words, even
though there is a converse relationship with re-
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-
lection of the personal preferences of manage-
ment, and are not necessarily in the best interest
of shareholders.
Another implication of this study is that the
market might not properly adjust for political
risk. In other words, the markets might not be
efficient when it comes to addressing the impact
political environments can have on businesses.


In this study we investigated the question
whether corporate campaign contributions en-
hance shareholder wealth, under the assumption
provided by HMM that these donations are like
investments and that managers expect a positive
payoff in the future. In order to accomplish this,
we performed multiple regressions and correla-
tion studies of the top 37 corporate donors over
the past 15 years with data from CRSP and from
the Iowa Elections Market, a futures market that
allows traders to buy shares in political out-
While the conclusion is not completely clear,
the evidence seems to indicate that corporate
campaign contributions are not necessarily con-
sidered investments for the firm by the market.
The statistically insignificant outcomes, general
trends, and correlation studies all seem to say
the same thing: corporate campaign contribu-
tions do not serve to enhance the shareholder
wealth and could potentially reflect the personal
preferences of the management of the firm.
With this knowledge, the analyses performed
in this study are of high importance to investors
as they should be interested in whether these
donations are actually useful investments for the
firm. Further analysis could be performed using
industry specific indexes. Additionally, the
study could be expanded to include all members
of the S&P 500 to determine whether the state-
ment holds true for all publicly traded firms
who make political donations.


1. Hertzel, M; Martin, J and Meschke J.
(2002). Corporate Soft Money Donations
and Firm Performance. Arizona State Uni-
versity (Google Scholar) 1-24
2. These are funds donated directly to candi-
dates from individuals. This contribution
limit was raised to $2000 in 2002.


3. Bundled funds are donations where fun-
draisers will gather the donations of mul-
tiple donors and send them in to candidates
and parties at one time. Bundled funds are
known to be as high as $100,000 or more
4. Center For Responsive Politics, Top All
Time Donor Profiles,
lihup \ \l .opensecrets.org/orgs/list.asp
5. Weisskopf, Michael. "Enron's Democrat
Pals" Time; 8/26/2002, Vol. 160 Issue 9,
p20, 1/2p, Ic
6. Center For Responsive Politics,
hul)p ""\\\\.open secrets.org/bigpicture
7. Dionne Jr., E. J., MONEY & ELECTIONS,
Commonweal, 4/9/2004, Vol. 131 Issue 7,
p8, lp
8. Hertzel, M; Martin, J and Meschke J.
9. Center For Responsive Politics, Political
Action Committees, http://www.open se-
crets.org/pacs/ index.asp
10. For example, some industry groups such as
the American Bankers Association (ABA)
count as members financial services firms.
The ABA receives its funding from these
institutions and makes donations as a indus-
try representative. When such groups are
considered, the number of donating firms
probably increases considerably.
11. Center For Responsive Politics, Top Indus-
tries Through The Years, ulip \ \ %%. open-
12. Hertzel, M; Martin, J and Meschke J.
13. Weisskopf, Michael. "Enron's Democrat
Pals" Time; 8/26/2002, Vol. 160 Issue 9,
p20, 1/2p, Ic
14. Hertzel, M; Martin, J and Meschke J.
15. Center For Responsive Politics, "Cashing
In: A Guide to Money, Votes, and Public
Policy in the 104thCongress",
Ihllp \\ \\ .opensecrets.org/
pubs/cashingin 104th/04intro.html

16. Not ducking Economist, 00130613,
3/27/2004, Vol. 370, Issue 8368
17. Ibid.
18. Ibid.
19. Magee, C. (2000). Do Political Action
Committee's Give Money To Candidates
For Electoral or Influence Motives? Public
Choice 11:372-399
20. Republicans are generally viewed as more
business friendly and as a result generally
receives more and larger donations from
21. The state that the politician represents can
have a huge impact on the sources and le-
vels of political donations. For example,
politicians from Texas generally have back-
ing from energy and energy services firms
native to the state.
22. A great example of this comes from former
Goldman Sachs Chairman and current New
Jersey Senator, John Corzine. When run-
ning for the US Senate, the firm raised mil-
lions of dollars internally to support his
candidacy and continues to support his
campaigns financially. Generally speaking,
if politicians have corporate ties (e.g., a
former executive of a firm, one could ex-
pect a larger amount of donations.
23. Multi-candidate PAC's can give $5000 to
individual candidates, $15,000 to national
parties, and $5000 to any other PACS or
state parties (Center For Responsive Poli-
tics. "Federal Campaign Finance Law: Con-
tribution Limits"
24. Center For Responsive Politics, Altria
Group Donor Profile http://www.open se-
25. Annual Report. Income Statement, http://
26. Hertzel, M; Martin, J and Meschke J.
27. Ibid.
28. The Center For Responsive Politics
29. Ibid.


30. Hertzel, M; Martin, J and Meschke J.
31. "What Is the IEM?" http://www.biz. ui-
32. Ibid.
33. The Center For Responsive Politics,
34. Ibid.

35. If Company A donates 65% to Republicans,
when regressed against the Republican con-
tract in the IEM, one would expect it to
have a positive B2.
36. For example, one would expect returns on
the Strong Democrats portfolio to have a
strong positive correlation with the returns
on the IEM winner-takes-all Democrat con-

Native Florida Crustacean Predators' Preferences

Regarding the Non-Indigenous Green Mussel, Perna

viridis (Linnaeus 1758)

Emily Mitchem


The invasive green mussel, Perna viridis, was first reported in Tampa
Bay, on the west coast of Florida, in 1999 (Benson et al. 2001; In-
grao 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 rec-
orded for 13 days. P. argus did not consume any P. viridis during the expe-
riment, 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 statis-
tically 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.



The introduction of non-indigenous species
through natural, intentional, or accidental trans-
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-
ic species introductions and invasions owing to
the state's temperate to subtropical climate and
heavy commercial and recreational use (Carlton
& Ruckelshaus 1997). One such new invader is
the green mussel, Perna viridis (Linnaeus
1758), a native of the coastal marine waters of
the Indo-Pacific (Benson et al. 2001). Green
mussels were first reported in Tampa Bay, on
the west coast of Florida, in 1999 (Benson et al.
2001; Ingrao et al. 2001). Dense assemblages
of these bivalves now clog seawater intakes,
weigh down navigational buoys, and foul the
hulls and engines of boats. Green mussels have
also been associated with oyster mortalities on
reefs throughout Tampa Bay (Baker et al. 2003).
Since its first appearance in Tampa Bay, P.
viridis has spread to Florida's coastal waters.
Green mussels are now distributed on the west
coast from Anclote Key south to Marco Island.
In October 2002, green mussels were discovered
on the east coast of Florida in the Ponce de
Leon Inlet (Baker et al. 2003) and they are now
found from the Mosquito Lagoon north to the
Georgia-South Carolina border (P. Baker &
these authors, in prep.). Based on physiological
tolerances, this invasive species is expected to
continue spreading throughout much of Florida
(Baker et al. 2004).
Predators, parasites, diseases, and viruses
have been proposed as biological control agents
for plant and animal invaders (Thresher & Kuris
2004). Several predators of shellfish already
inhabit the waters of Florida in the current and
potential range of P. viridis. These native pre-
dators include the blue crab, Callinectes sapi-
dus, and the Caribbean spiny lobster, Panulirus
argus, both of which are commercially impor-
tant crustaceans (Perera et al. 2005, Muller et al.
1997). It is not known if these native predators
will readily consume the non-indigenous green
mussel. To qualitatively assess whether these
native predators could be a source of significant

green mussel mortality, we addressed the fol-
lowing questions using multiple-choice experi-
ments: (1) Will native crustacean predators prey
on P. viridis? and, (2) Will these predators pre-
fer native bivalves over P. viridis?


Predator and prey specimens
Specimens of Perna viridis were collected
by SCUBA from the 312 Bridge in St. Augus-
tine, Florida on July 14, 2005. Caribbean spiny
lobster, Panulirus argus, were collected by
SCUBA from the Long Key Viaduct Bridge,
Long Key, Florida on June 24, 2005. Speci-
mens of northern quahog (= hard clam), Merce-
naria mercenaria were purchased from a
commercial supplier in Cedar Key, Florida
(west coast) on July 12, 2005. Eastern oysters,
Crassostrea virginica, and blue crabs, Calli-
nectes sapidus, were purchased from a retail
market in Ormond Beach, Florida (east coast)
on July 12, 2005 and August 4, 2005, respec-
tively. All specimens were transported to the
Department of Fisheries and Aquatic Sciences
(FAS), University of Florida (UF), in Gaines-
ville. Crustacean predators and bivalve prey
were placed in separate recirculating holding
tanks (624 L) until use in experiments. Seawater
(33.4 ppt 1.4 sd) was obtained from the UF
Whitney Laboratory in Marineland, Florida.
Filtration systems included a protein skimmer,
fluidized bed filter, wet-dry filter, and ultravio-
let sterilization. Temperature was held at
24.20C ( 0.5 sd) by use of room air condition-
ers. P. argus were fed every other day with fro-
zen squid prior to the start of the experiment.
Shell lengths (SL) of bivalve specimens used in
the experiments were as follows: green mussels
ranged from approximately 8.5 to 11.5 cm; hard
clams (littleneck size) ranged from approx-
imately 5.0 to 6.5 cm; oysters ranged from ap-
proximately 8.5 to 10.5 cm. Sizes of crustacean
prey used in the experiments were as follows:
spiny lobsters (sub-legal) ranged from approx-
imately 3.5 to 6.5 cm in carapace length; blue
crabs ranged from approximately 12.5 to 15.5
cm in carapace width.


Feeding preferences
Experiments were conducted in recirculating
tanks (624 L) with filtration systems, as de-
scribed above. P. argus and C. sapidus feeding
preferences were tested separately, with mul-
tiple prey species presented together. In the
spiny lobster experiment, begun on July 19,
2005, each of six tanks held seven lobsters each,
for a total of forty-two lobster specimens. Sev-
en P. viridis, seven M mercenaria, and seven C.
virginica were placed in each lobster tank. Ex-
periments were conducted under a 13:11 h
light:dark regime. Tanks were monitored every
twelve hours, at 8 am and 8 pm, for 13 days. At
each tank check, water quality parameters (tem-
perature, salinity, pH, and dissolved oxygen)
were measured, and any bivalve eaten was rec-
orded and replaced with the same species. The
blue crab experiment, which began on August 5,
2005, was conducted in the same manner as
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 analy-
sis 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 re-
jected, a Tukey test was performed to identify
differences in consumption between specific
prey species. Statistical analyses were per-
formed using Microsoft Excel and StatsDirect
version 2.4.3 statistical software (2005).


Panulirus argus
P. argus did not consume any P. viridis dur-
ing the experiment (Figure 1A), although green

mussel shells showed evidence of chipping
along the posterior margin (Figure 2A). On the
morning of the first day, the lobsters in one tank
had consumed one C. virginica; no more oysters
were consumed in any of the tanks during the
experiment. Spiny lobster specimens consumed
seventeen M. mercenaria by the final day of the
experiment, apparently opening them by chip-
ping large fragments off the posterior margin
(Figure 2B). The cumulative number of hard
clams consumed in individual tanks (replicates)
ranged from zero to eight.
Prey species had a significant effect on num-
ber of prey consumed (p = 0.0219) by P. argus.
Multiple comparisons indicated that P. viridis
were consumed in significantly lower numbers
than M mercenaria (p = 0.0331) and there was
no significant difference in consumption be-
tween green mussels and C. virginica (p

-P-P. wmis -U-M.o mrcina --C-vinic
S A Panuirus argus

i -


1 2 3 4 S 6 7 Ia 9 0 11 2 1 13

B. Cafinectes sapidus

I 2 3 4 S 6 7 8 9 tO 11 12 13 14

Figure 1. Cumulative consumption of bivalves by
crustacean predators. A. Panulirus argus, forty-two
specimens. B. Callinectes sapidus, thirty-five speci-


Figure 2. Photo of shells removed from Panulirus argus tanks. A. Perna viridis shells with evidence of chip-
ping 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
C. sapidus specimens consumed fifteen P.
viridis by the final day of the experiment (Fig-
ure 1B). The cumulative number of green mus-
sels consumed in individual tanks ranged from
one to six. Typically, zero to two green mussels
were consumed per day. However, on the final
day, six green mussels were consumed in five
tanks. Blue crabs consumed seven M mercena-
ria and seven C. virginica over the course of the
experiment. Bivalves consumed by blue crabs
had no evidence of shell damage; all empty
shells were intact and still hinged at the umbo.
Although the crabs consumed more than twice
as many green mussels as hard clams or oysters,
prey species had no statistically significant ef-
fect on number consumed (p = 0.2067).


In our study of the feeding preferences of
two native crustacean predators, C. sapidus and
P. argus, we found that (i) only blue crabs con-
sumed non-indigenous P. viridis; spiny lobsters
did not eat any green mussels, (ii) the number of
green mussels consumed by blue crabs in-
creased with exposure time, and (iii) blue crabs
and spiny lobsters differed in their modes of
prey handling.

Non-chelate predators, such as P. argus, typ-
ically use the mandibles to chip or bite the edges
of bivalve shells and gain access to the soft parts
through the resulting gap (Lau 1987). Although
the P. argus in our study attempted to open
green mussels, attempts were unsuccessful and
were apparently aborted. Optimal Foraging
Theory predicts that predators should select
prey items that maximize net energy intake
(Pyke 1984). Crustacean predators may eva-
luate prey value by assessing prey volume and
shape (Mascar6 & Seed 2001). In this case, P.
viridis may have been perceived to be of lesser
value than M mercenaria, simply because of
the thinner posterior margin.
Previous exposure to P. viridis may have had
an impact on apparent food preference by the
crustacean predators. C. sapidus, collected on
the east coast of Florida from the Halifax River
(Hull's Seafood Market pers. comm.), had most
likely been previously exposed to green mussels
(Baker et al. 2003). P. argus specimens, col-
lected from the Florida Keys, would have been
naive (never exposed to green mussels) but had
almost certainly been exposed to other mussel
species including Modiolus modiolus, M. ameri-
canus (squamosus according to Leal 2005) and
Brachidontes exustus (Morris 1975). In addi-
tion, lobsters in the genus Panulirus are known
to prey on P. perna (Berry 1971) and P. viridis
(Radhakrishnan & Vivekanandan 2004).


Previous exposure to mussels, combined with
the ability of crustaceans to transfer learned
handling skills to novel prey items (Hughes &
O'Brien 2001), suggests that the lack of green
mussel consumption by spiny lobsters was the
result of chemical or mechanical (i.e., size,
shape) inhibition, rather than novelty or insuffi-
cient mussel-handling skills.
Blue crabs, which are chelate predators, con-
sumed all three species of bivalves, including P.
viridis, without causing any damage to the
shells. This suggests that the blue crabs in our
experiment levered the valves apart. Prying
behavior, using the dactyli of the first pereio-
pods, has previously been described for blue
crabs preying on eastern oysters (Menzel &
Nichy, 1958). Other chelate decapods that have
been observed employing this technique include
the crabs Liocardinus puber and Cancer pagu-
rus, preying on the mussel Mytilus edulis; and
the crab, Ovalipes punctatus, opening Donax
spp. (Cunningham & Hughes, 1984; Du Preez,
1984; ap Rheinallt & Hughes, 1985; Lau,
1987). Prying is thought to be difficult, often
resulting in broken shells and therefore requir-
ing time-consuming removal of shell fragments
(Du Preez, 1984). In this study, blue crabs ap-
parently used the prying technique exclusively,
and with no incidents of shell fragmentation.
During the early days of the experiment, C.
sapidus consumed the three bivalve species in
approximately equal numbers, with the two na-
tive bivalves making up approximately 2/3 of
their diet. On the final day of the experiment,
however, blue crabs consumed more P. viridis
in one day (6) than both native species together
in any previous day (maximum total of 2 oysters
and/or clams in a single day). Since blue crabs
have the ability to modify foraging behavior
depending on experience (Micheli 1995, 1997),
our data suggest that blue crabs may increase
their predation rates on green mussels with
longer exposure duration.
Crustacean predators can have a significant
impact on molluscan populations (Vimstein
1977; Sanchez-Salazar et al. 1987; Richards et
al. 1999) and augmentation of native predators
has been suggested as an option for control of
introduced marine pests, such as invasive bi-
valves (Thresher & Kuris 2004). In this study,
we found that C. sapidus, will consume P. viri-

dis along with native bivalves. This suggests
that foraging by blue crabs may provide a natu-
ral control mechanism for green mussels. How-
ever, green mussels have high fecundity, grow
rapidly-about 9 mm per month-and may at-
tain sexual maturity within one year (Nair &
Appukuttan 2003; Barber et al. 2005). There-
fore, unless blue crab numbers increase greatly,
it is unlikely that they could significantly impact
green mussel populations, which can attain den-
sities of 4000 per square meter (Baker & Ben-
son 2002).
P. viridis is expected to continue spreading
south along the Gulf Coast of Florida, possibly
into the Florida Keys (Benson et al. 2001),
where P. argus is an important fishery species
(Muller et al. 1997). While spiny lobsters inha-
bit reefs, they are also frequently found around
bridge pilings and other man-made structures.
Green mussels also prefer such habitats, entirely
covering man-made structures and oyster reefs
(these authors, unpublished data). In this study
we found that spiny lobsters were unable or un-
willing to consume green mussels. Therefore,
spiny lobsters may be excluded from some habi-
tats if green mussels out-compete acceptable
prey items. This could have negative impacts
on the spiny lobster fishery.


Funding for this project was provided to
ELM by the University Scholars Program, Uni-
versity of Florida. We would like to thank the
following volunteers who helped with animal
collection, data collection, and tank mainten-
ance: Elise Hoover, Kenneth Black, Michelle
Tishler, Shannon Osborn, Jennifer Helseth, Kel-
ley Visentin, Lauren Murphy, Robert Mitchem,
Rebecca Mitchem, and Mary Mitchem.


ap Rheinallt, T. & R. N. Hughes. 1985. Handling
methods used by the velvet swimming crab Li-
ocardinus puber when feeding on molluscs and
shore crabs. Mar. Ecol. Prog. Ser. 25:63-70.


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of green mussels, Perna viridis, in Florida. J.
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Ophthalmic Drug Delivery Through Contact Lenses

Michael Abrahamason


Current ophthalmic drug delivery systems are insufficient, specifical-
ly eye drops, which allow approximately 95% of the drug contained
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.



Currently, approximately 90% of all
ophthalmic drugs are delivered using eye drops.
Although convenient and easy to use, eye drops
are very inefficient, losing about 95% of the
applied drug to absorption by the conjunctiva
and through tear drainage. This significant drug
dosage is released into the blood stream, where
it can have detrimental side effects elsewhere in
the body'13. For example, timolol is a nonselec-
tive beta blocker that is capable of treating glau-
coma by preventing the production of aqueous
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-
pasms, depression, and heart failure. To target
the dosage to the eye, it has been proposed to
use particle-laden contact lenses for ophthalmic
drug delivery. Ophthalmic drug formulations
such as timolol can be encapsulated within mi-
croemulsion nanoparticles, then entrapped with
a soft poly-2-hydroxyethyl methacrylate (p-
HEMA) hydrogel contact lens. Mircoemulsions
are clear, thermodynamically stable liquid mix-
tures of oil, water, and surfactant. An oil-in-
water microemulsion uses the surfactant to de-
crease the interfacial tension between droplets
of oil and the continuous water phase. These
microemulsions allow highly concentrated drug
to diffuse out of the lens allowing for long-term
ophthalmic drug delivery. The drug diffuses
from the lens into the tear layers surrounding
the lens, ultimately passing into the eye. This
paper focuses on defining the stable composi-
tions of microemulsions used in loading hydro-
gels and several methods of trapping
microemulsions laden with timolol within p-
HEMA gels4.

Due to the numerous harmful side-effects of
timolol, researchers have previously tried soak-
ing contact lens in drug solution to target deli-
very to the eye. When the lens is placed on the
eye, the drug diffuses into the pre-lens and post-
lens tear layers and eventually into the eye. The
benefits of the lens is the long residence time
within the eye and in the limited interaction of

these tear layers with the outside tear fluid, thus
greatly reducing the undesirable dosage into the
bloodstream5'6. A few clinical studies have
shown the soaked lens to give desired therapeu-
tic results7-1. Researchers have also used mi-
croemulsions in ophthalmic drug delivery,
although the primary purpose of these studies
was to increase the dosage of hydrophobic drugs
by entrapping them in the oil phase. These
proved to be ultimately ineffective in decreasing
the transfer of drug into the bloodstream since
the microemulsions are washed away by tears.
By entrapping the microemulsions in the lens it
will prevent them from enter tear circulation.


Hydroxyethyl methacrylate monomer and
ethylene glycol dimethacrylate (EGDMA) were
purchased from Aldrich Chemicals (St Louis,
MO); ethylbutyrate and benzoyl peroxide (BP)
(97%) were purchased from Aldrich Chemicals
(Milwaukee, WI); Timolol Maleate, Pluronic
F127, Dulbecco's phosphate buffered saline
(PBS), sodium caprylate, and sodium hydroxide
pellets (99.998%) were purchased from Sigma
Chemicals (St Louis, MO); Darocur TPO was
kindly provided by Ciba (Tarrytown, NY).

Methodology and Procedures
Decrease Ethyl Butyrate Solubility. To
create a stable microemulsion and minimize the
amount of drug outside of the microemulsions,
the solubility of the ethyl butyrate in solution
must be very low preventing the oil from solubi-
lizing. Sodium chloride and NaOH were used
to increase the ion concentration and pH of the
water phase, which will decrease the solubility
of the ethyl butyrate. The solubility limit was
determined by small incremental additions of
ethyl butyrate until the solution became opa-
que. Once the solubility of ethyl butyrate in
60% wt HEMA and 40% wt water was below
1%, the solution could then be used to create
stable microemulsions.
Loading timolol into the oil phase. To en-
trap the timolol within the oil phase, the timolol


maleate was fist converted to timolol base. Ap-
proximately 80 mg of timolol maleate was
mixed in a test tube with 6 ml of water and 3 g
of NaOH. At this low pH, the timolol maleate
will convert to a very hydrophobic timolol base
and phase separate in the bottom of the tube.
Five milliliters of the aqueous solution was then
carefully removed by pipette ensuring not to
remove any of the timolol base, and 400 gl of
hyl butyrate was added to extract the timolol
base. The resulting upper phase of ethyl buty-
rate and timolol base (referred to as TM/EB)
was used in creating the microemulsions.
Synthesis of microemulsions. Every micro-
emulsion was made using the same aqueous
solution as described above, containing 25 g of
60% wt HEMA and 40% wt water, 0.25 g NaC1,
and 3 g of 2N NaOH along with the addition of
0.0425 g of sodium caprylate. This mixture was
kept constant throughout the experiments and
well be referred to as the single "pseudo-
component" HEMA/water solution.
Since microemulsions will only form in so-
lutions containing specific ratios of
HEMA/water solution : Pluronic Surfacant :
TM/EB, a ternary phase diagram was con-
structed to determine the feasible range of com-
positions. At each test point chosen on the
diagram, the corresponding amount of Pluronic
F127 surfactant and TM/EB was added to give
the desired composition. The solution was tho-
roughly mixed and allowed to stabilize over-
night. Those systems that remained opaque were
marked as non-microemulsion. The systems
that became clear were tested further using pola-
rized sheets. Due to the shape of microemul-
sions, they rotate light very poorly. Each
sample was place between perpendicular pola-
rized sheets. If the sample rotated the light, al-
lowing it to pass through the sheets, it was ruled
also to be a non-microemulsion system. The
samples were then further tested by vigorously
mixing the system using a vortex mixer. Any
trace amount of the TM/EB which may have
phase separated and was not visible through the
first eye examination was forced back into the
solution. This caused unstable or minimally
phase-separated samples to become opaque.
Any samples which remained clear were ruled
to be microemulsions. Each point on the dia-
gram was labeled to indicate if it was a success-

ful microemulsion using an "0" for a success,
and an "X" for a failure. Visible trends could
then be used to create phase boundaries.
An example of one stable composition con-
tains the 25 g HEMA/water solution along with
3.6 g of Pluronic F127, 0.61 g of TM/EB. Fifty-
eight other compositions where tested in order
to accurately model the phase diagram.
Entrapment of microemulsions in HEMA
gels. The microemulsion particles were en-
trapped within p-HEMA gels using UV-
polymerization with Darocur TPO initiator.
One milliliter of the microemulsion solution
was added to 1.35 mL of HEMA, 5 ml of ethy-
lene glycol dimethacrylate (EGDMA). Dis-
solved oxygen must be removed from solution
before using free radical polymerization, since
oxygen is capable of acting as an inhibitor. To
remove the dissolved oxygen in the solution, the
sample was degassed by bubbling nitrogen for
15 minutes. Three milligrams of Darocur TPO
was added o the mixture and allowed to stir for
10 minutes outside of direct light exposure.
Next, the solution was then poured into a mold
made of two 3.5" x 3.5" glass plates clapped
over a 200 gm plastic spacer. The mold was set
on top of a UVB-light illuminator for 35 mi-
Polymerization of EGDMA microemul-
sion. It is possible that the microemulsions
could have destabilized during the polymeriza-
tion process, and it is very difficult to prove
they are intact within the gel. To ensure this
does not happen, the microemulsions them-
selves were first polymerized in solution. Ap-
proximately, 1 ml of EGDMA was degassed for
15 minutes by bubbling nitrogen. The EGDMA
was then loaded with timolol by substituting it
for ethyl butyrate in the same process. The ti-
molol-loaded EGDMA will be referred to as
TM/EGDMA. Eight hundred mL of the
TM/EGDMA was combined with 0.0124 g of
Darocur TPO and stirred for ten minutes. A
separate 10 g solution of water, NaC1, and 2N
NaOH was prepared in the ratio 100 : 1.8 : 10,
respectively. Next, 1.310 g of Pluronic F127
was mixed into the solution until fully dis-
solved. A 0.0239 mL aliquot of TM/EGDMA
with initiator was added to this solution and al-
lowed to stabilize overnight covered from any
light exposure. The solution was then placed in


a Petri dish on a UVB-light illuminator for 35
minutes. The solution formed some large ag-
gregates; and these large particles were not used
in further experiments.
The ethyl butyrate microemulsion solution
was replaced by 1 mL of the polymerized
EGDMA microemulsion solution and entrapped
within a HEMA gel using the same technique
Measuring timolol release from polyme-
rized EGDMA microparticle laden hydro-
gels. After polymerization, the gels were
removed from the glass mold and cut in to 1.5
cm x 1.5 cm squares. The gels were dried over-
night to allow any water remaining in the gels to
evaporate. The next day, the exact gel dimen-
sions and gel weight were recorded. Each gel
was then placed in vial with 3 mL phosphate
buffer solution, which better mimics a tear envi-
ronment than DI water. Periodically, a 1.5 mL
aliquot of the solution was temporarily removed
and analyzed using UV-visible spectroscopy.
Timolol present in solution will yield an absor-
bance peak at 295 nm proportional to the frac-
tion of drug released from the gel. These
periodic measurements were repeated until
changes in timolol concentration became insig-


Solubility of Ethyl Butyrate
Table 1 displays the effect of increasing
NaCl concentration on the solubility of ethyl
butyrate in the HEMA/water solution. Increas-
ing the NaCl concentration to one percent
weight decreased the solubility from over ten
percent to 3.3% wt.

Table 1. The effect of NaCI on solubility of ethyl
butyrate in HEMA solution
Weight % of NaCI in Weight % of Soluble Ethyl
60/40 HEMA/Water Butyrate in Solution @
Solution 250C
0 10.1
0.5 6.0
1.0 3.3

Table 2. The effect of NaOH on the solubility of
ethyl butyrate in HEMA solution
Milliliters of 2N NaOH in Weight % of Soluble
60/40 HEMA/Water Ethyl Butyrate in
Solution (25g Basis) Solution @250C
0 10.1
0.5 8.8
1.0 8.0
2.5 6.5
3.25 2.8
4 1.4

Table 2 shows a similar effect on ethyl buty-
rate solubility by adding 2N NaOH to the
HEMA/water solution. The solubility can be
decreased to 1.4 percent by adding 4 mL of
NaOH to 25 g of HEMA/water. To more easily
achieve the desired 1.0% ethyl butyrate solubili-
ty, the effects of both ion concentration and pH
were combined by adding 0.25g of NaCl and
3ml of 2N NaOH to meet the desired specifica-
tion. This ratio was then used throughout the
rest of the experiments.

Microemulsion pseudo phase diagram
Determination of feasible microemulsion
compositions. A total of 59 compositions rang-
ing from 82-97% HEMA/water solution were
used to determine the feasible range of micro-
emulsion compositions. Figure 1 shows a rea-
sonable estimation of the microemulsion phase
boundary at a room temperature of 22.80C.
Temperature dependence of microemul-
sion stability. To increase the drug loading ca-
pacity of the contact lens and minimize the
amount of surfactant required, the microemul-
sions must have a large oil fraction. As the
temperature of the solution is lowered, it be-
comes possible to stabilize microemulsions with
a larger oil fraction than before (Figures 1-4).
By decreasing the temperature of the micro-
emulsion solution to 5 degrees Celsius, it be-
comes possible to stabilize microemulsions with
an oil fraction of 8.4% wt and an oil-to-
surfactant ratio near 1:1. This greatly increases
the drug capacity of the contact lenses.


at228 de C




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



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

3,C arnplent Plol

AI 20.0 deg C





* 1


--B:.,.!, i
m.e 4. I
r nurt 2.:

md.b 5
4rrx I










3Czmp*iMnn PlaM


3,C ompamfl~ PIDl



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

3-C ompainlt PloD





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

alt MOig "C


" IA







at.O dIg C

* 1
* II
* 1I

* I.

* IS

* 2

4 I

* it


* 9 ____


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 microemul-
sions were successfully polymerized and re-
sulted a uniform dispersion of microparticles
approximately 2 lim in diameter. Microemul-
sions are typically much smaller in size, there-
fore these particles are likely aggregates of
several microemulsions.

Drug Release from gels
Drug release from Ethyl Butyrate micro-
emulsion gels. These experiments were per-
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
the gels will release drug for 10 days even under
perfect sink conditions. However, it must be
noted that these release experiments were per-
formed 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 micro-
particles 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 unsuita-
ble for contact lens applications. Although this
system did not provide prolonged release of ti-
molol, this method when used with other types
of cross-linking within the microemulsions may
provide sufficient resistance to be useful.

Image 1. SEM image of polymerized EGDMA micro-

Image 2. SEM image of polymerized EGDMA micro-

Image 3. SEM image of polymerized EGDMA micro-



5 --I-- ^ ^------------


0 5 10 15 20 25
time (days)

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

0 1 2 3 4
Time (hrs)

5 6 7 8

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




The feasible region of compositions for
which the HEMA/water solution : Pluronic
F127 : TM/EB system will form stable micro-
emulsion was defined for a series of tempera-
tures. The capability of increasing the oil
fraction by lowering temperature allows a very
large amount of timolol to be dissolved within
the oil phase. The stable microemulsions were
added to HEMA and polymerized into transpa-
rent hydrogels. Although this system released
for 25 days, it was performed in DI water which
may not be a good mimic of the eyes' environ-
EGDMA microemulsions were successfully
polymerized as evident through the SEM. The
resulting particles were slightly larger than ex-
pected and are likely to be aggregates of the
original microemulsions. The timolol release
from this system into PBS was rapid and too
short for contact lens application, but this me-
thod may be useful in slightly different condi-
tions. By loading these microemulsions with
larger drugs or using a more closely packing
cross linker, these particles may provide suffi-
cient resistance resulting in long term drug re-


I would like to thank Dr. Anuj Chauhan for
giving me this research opportunity and for the
time he has devoted to helping me. I would also
like to thank Chi-Chung Li for teaching me the
laboratory techniques used to study them. Chi
Chung-Li also performed the drug release expe-
riments from the ethyl butyrate microemulsion

1. Lang, J. C. "Ocular drug-delivery conven-
tional ocular formulations." Advanced Drug
Delivery Reviews 1995. 16(1): 39-43.
2. Bourlais, C.; Acar, L.; Zia, H.; Sado P.A.;
Needham, T.; Leverge, R. "Ophthalmic
drug delivery systems. i ,,,.. in retinal
and eye research, 1998. 17 (1), 33-58
3. Segal, M. P. "Pumps and timed release."
FDA Consumer magazine. 1991.
4. Li, Chi-Chung; Abrahamson, Michael; Ka-
poor, Y.; Chauhan, A. "Timolol transport
from microemulsions trapped in HEMA
gels." J. of Colloid and Interface Science,
2007, in press.
5. Creech, J. L.; Chauhan, A.; Radke, C. J.
Dispersive mixing in the posterior tear film
under a soft contact lens. Ind Eng Chem
Res, 2001. 40 (14), 3015-3026
6. Mc Namara, N. A.; Polse, K.A.; Brand,
R.D.; Graham, A.D.; Chan, J.S.; Mc Ken-
ney, C.D. "Tear mixing under a soft contact
lens: Effects of lens diameter." Am. J. of
Ophth, 1999. 127 (6), 659-665.
7. Hillman, J. S. "Management of acute glau-
coma with Pilocarpine-soaked hydrophilic
lens,." Brit. J. Ophthal. 1974. 58: 674-679.
8. Ramer, R.; Gasset, A. "Ocular penetration
of pilocarpine." Annals of Ori ,,i,,, i. .-. '.
1974.6: 1325-1327.
9. Montague, R.; Watkins, R. "Pilocarpine
dispensation for the soft hydrophilic contact
lens." Brit. J. Ophthal. 1975. 59: 455-458.
10. Hillman, J.; Masters, J.; Broad, A. "Pilocar-
pine delivery by hydrophilic lens in the
management of acute glaucoma." Transac-
tions of the ,-'lil, ,ii,,.... .. 1, societies of
the United Kingdom. 1975: 79-84.
11. Giambattista, B.; Viro, 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-

Investigating Thematic Tourism as a Tool

for Community-Based Ecotourism in the

Galapagos Islands

Jenny Basantes


E cuador is a country with great tourist potential due to its strategic
situation and great biodiversity. Galapagos is one of the world's
best examples of this biodiversity, and the archipelago an interna-
tional attraction for ecotourism. Currently, tourism is concentrated on one
island (Santa Cruz), which is home to most Galapagos 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 resi-
dents can be integrated to an entrepreneurial process that begins with the
vision of harmonic development and culminates with clear and precise ob-
jectives: a well defined and feasible tourist model that benefits the local
business owners and conserves the environment. A survey of visitors was al-
so conducted to identify the demand for potential services and products de-
livered through community-based tourism.

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


could be developed that might appeal to existing
and new visitors to the Galapagos.


The Galapagos archipelago is formed by 13
major islands (Santa Cruz, Floreana, San
Crist6bal, Isabela, Santa Fe, Santiago, Darwin,
Roca Redonda, Marchena, Pinta, Espanola, Ge-
novesa, and Fernandina) and a large number of
smaller islands and islets. The total of its surface
is 7,850 km2 (Acosta, 1979). Its population was
18,640 in 2001. The population's projection for
2006 is approximately 22,000 inhabitants distri-
buted in the following way: Santa Cruz with
13,446 people, San Crist6bal with 6,651, Flo-
reana with 104, and Isabela with 1,912 habi-
Ninety seven percent of the Galapagos
Islands are protected as a national park. Only
three percent of the archipelago is populated.
The Galapagos National Park (GNP) has
worked collaboratively with the Charles Darwin
Scientific Station, an international research non-
profit organization, for approximately 40 years
in the management of the park. This partnership
represents national and international scientific
support, dedicated to carry out studies regarding
the conservation of the Galapagos Sanctuary
and its spectacular flora and fauna.
The Galapagos' economy is monosectorial,
based almost exclusively on the tourist activity.
According to Ecuador's National Institute of
Statistics and Censuses (INEC) data in the year
2001, around 26% of the economically active
population participates in activities that offer
tourist services. In addition, other activities like
trade, transportation, basic services supply, and
construction are carried out for nearly 40% of
the population who benefit from tourism in an
indirect way (INEC Census, 2001).
Currently, Galapagos tourism exclusively
focuses on the National Park as an attraction
and the sea for transportation. There is little to
no contact with the local community. By sepa-
rating the tourists from the communities, local
residents are missing many of the benefits na-
ture-based tourism can potentially offer. Instead,
Galapagos' current tourism industry mainly

benefits the big national or foreign companies
that have a large tourist infrastructure.
The purpose of this project is to examine the
possibility of increasing the ability for commu-
nity-based nature-based tourism in the Galipa-
gos. The idea is to be applied to create new
services or tourist products based on the themat-
ic itineraries, using the developed areas (i.e.,
areas not within the Galapagos National Park),
and extending tourism visits, The new products
should also be managed by the community and
residents of many disciplines (e.g., anthropolo-
gists, doctors, historians, artists, agriculturalists,
experts in local food preparation, and fishing)
rather than by tourist operators exclusively.


The present investigation was conducted us-
ing a tourism supply and demand analysis. First,
the gathering of tourism supply information
from San Crist6bal and Isabela was done
through focus group interviews with various
members of the communities ready to partici-
pate in new tourist activities. Focus groups were
not held on Santa Cruz Island since a previous
analysis of community-based tourism was con-
ducted in October, 2005.
Focus groups were organized proportionally
to each island's population; therefore, six
groups were interviewed in San Crist6bal (with
approx. 7000 habitants) and one in Isabela (with
around 1900 habitants). The focus groups were
classified according to the participants' ages,
interests, professions, and genders. To provide a
useful structure to the meeting, the participants
were asked to complete a strengths, weaknesses,
opportunities, and threats (SWOT) table. This
is a common tool in developing strategic plans
for new initiatives (Patterson, 2002).
Galapagos tourist demand was gathered
through 150 surveys directed to foreign tourists
who visit Galapagos. The survey was designed
to identify tourists' willingness to participate in
new proposals of community based activities (as
identified by local residents), their participation
in activities, current motivations to visit the isl-
ands, and their socio-demographic characteris-



Tourism Supply Analysis
Tables 1 and 2 show the strengths, weak-
nesses, opportunities and threats of San
Crist6bal and Isabela community, based on the
focus groups held on June and July of 2006. It
could be inferred that a great percentage of the
population with varied resources is interested in
becoming part of the tourism sector. They see
Galapagos as a cluster that can benefit the resi-
dents without harming interest of enterprises
already established.

San Crist6bal and Isabela are concentrating
activities in the production of art and crafts of
different types. The community believes that
academic tourism, health tourism and artisan
tourism and will let other community sectors
integrate with them.
According to the information gathered in a
meeting held on October of 2005 in Santa Cruz,
there is a desire to complement the present tour-
ism of adventure with cultural and artistic ac-
tivities. This will allow visitors stay in the rural
area of Santa Cruz in typical and representative
houses of the gllq,'" p I'' of the colonization

Table 1. SWOT analysis for San Crist6bal Island





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 Crist6bal has telecommunication services
* Easy access to most tourist places
* Potential recreational places that haven't been utilized yet
* Increasing tourism infrastructure

* 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 Galapagos themes
* Tourism of relaxation
* Agritourism



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 Crist6bal 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

* Possible image of Galapagos 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



Table 2. SWOT analysis for Isabela Island


Strengths Isabela Tourism Association (ATI)
SSmall population




* Artisanal tourism
* Cultural tourism
* Agritourism
* Possibility of green seal on food products

* 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)

* Loss of Isabela's identity as a place to rest and relax

Tourist Demand Analysis
The second stage of the investigation fo-
cused on the study of the behavior and prefe-
rences of the tourist demand. Surveys were
developed for two types of tourists: those who
visit Galapagos through travel agencies, which
implies that their time in the islands does not
exceed eight days; and those who visit Galapa-
gos without travel agencies such as students,
volunteers, among others, that generally remain
in Galapagos for periods longer than eight days.
A total of 150 tourists were surveyed: 144
tourists during the two first weeks of August of
2006 in San Crist6bal Airport and six foreign
students residing temporarily in San Crist6bal
on the same dates. Therefore, these results can-
not be generalized, but they are valid because
they correspond to a group of typical tourists
visiting Galapagos in the two more common
As shown in Table 3 the tourists who visit
Galapagos through travel agencies, consider as
the most important benefits facts like learning
about the Galapagos ecosystem, enjoying a dif-
ferent and unique environment, being in contact

with nature, and feeling satisfied supporting
conservation. It shows a clear desire of intera-
tional tourists to conserve the Galapagos and
consequently they are arranged to unite efforts
with locals to do it, knowing that this would
give them intangible benefits of personal ac-
Although they were low in tourists' priori-
ties, learning the Galapagos culture, meeting
new people, keeping fit, developing skills and
abilities (learning Spanish, cooking typical
food), and being with people who share the
same interests, were classified from important to
very important for travel agency tourists. As
shown in Table 4, longer staying tourists tended
to rate these alternative tourism services and
products higher. They were likely not a high
priority for many of the respondents since they
do not focus on the primary reason the Galipa-
gos Islands are famous-wildlife and ecology.
They have more to do with the tourists' desire to
benefit physically, psychologically, and emo-
tionally, which explains why tourists consider
them important even if they are not benefits
commonly attributed to the Galapagos.



Table 3. List of benefits identified and prioritized by tourists who visit Galapagos through travel agencies

Benefit Mean* Sample

Enjoy a different and unique environment 4.35 144

Learn more about Galapagos' ecosystem 4.12 144

Be in contact and harmony with nature 3.94 144

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


Learning about Galapagos 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


Use Galapagos 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


Table 4. List of benefits identified and prioritized by tourists who visit Galapagos without travel agencies
Benefits Mean* Sample
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 Galapagos' ecosystem 3.83 6

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

Meet new people 3.67 6

Learning about Galapagos 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 Galapagos 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


Table 5 shows that travel agency tourists
have little interest towards the activities related
to participating agriculture and fishing. Seeing
and learning about commercial fishing and agri-
culture are slightly more important than practic-

ing or participating in them. Table 6 illustrates
that the students or people who visit Galapagos
with an extended stay are more interested in
these types of activities.

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

Benefit Mean* Sample

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 Galapagos without travel agencies about commercial fishing and

agricultural practices

Activities Mean* Sample

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


Table 7 illustrates that the preferred activities
of the travel agency tourists are diving and hik-
ing. Table 8 shows the relationship between the
tourists' proposed activities and the total time in
Galapagos developing those activities. As the
table illustrates, almost 40 % of the participants
think that 2 to 3 weeks will be enough time to
achieve their benefits. Approximately 47% of
them think that they can do it in a period of less
than one week. And 15% approximately wish
they can stay longer than a month doing those
To understand how age is related to activity
preference, respondents were divided into three
age classes: 1) 30 years old and younger, 2) 31
years old to 54 years old, and 3) older than 55
years old. Tables 9 and 10 point out that the
young people surveyed, who stay in Galapagos
for a relatively long time, prefer activities that
support the local community, like volunteering

Table 7. Proposed activities to be developed by
tourist who visit Galapagos through travel agencies
# of tourists
who want to
participate in
the activity

Learn environmental studies
Learn local culture (fishing and agri-
Visit more islands
See more of the Galapagos species
Teach English
Photography classes
Spanish classes
Boat trips
Learn how to dive

and receiving Spanish classes, and they would
like to stay longer than two months doing those
According to Table 11, the people 30 years
old and younger prefer activities related to keep-
ing fit and learning about the environment. Ap-
proximately 40% would prefer to dedicate a
long time to diving. Around 11% wish to learn
about environmental sciences like geology,
ecology, biology, among others. Twenty-one
percent of the people from 31 to 54 years old
prefer physical activities, want to see more isl-
ands, and know more Galapagos animals. Once
they exceed the 55 years the tourists divide in a
more balanced way their preferences by activi-
ties, like diving, visiting more islands, knowing
more animals, and learning environmental
sciences. All age groups, nevertheless, show
greater preference towards physical activities
like diving and sailing.

Table 8. Time of stay that tourists who visit Galapagos
through travel agencies, want to spend doing previous
Number of
Numbe o Percentage
Time people (n = Percentage
150) ()

More than 2 6 4
2 months 2 1.33
1 month 14 9.33
2-3 weeks 58 38.67
1 week 50 33.33
Less than 1 week 20 13.33

Table 9. Proposed activities to be developed by
Activities # of votes

Volunteering 3
Spanish classes 2
Cooking classes 1
Learn local culture (agriculture and 1


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

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

More than 2 4 66.7


1 month 2 33.3

Table 11. Proposed activities according t(


Diving, sailing

Learn environmental studies

Learn local culture (fishing and agri-

Participate in the Galapagos conser-

Spanish classes

Visit historical sites

Boat trips



Visit more islands

See more Galapagos species

Teach English

Photography classes

Live with local families


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

o age groups

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

37.04 30.3 20

11.11 12.12 10

7.41 6.06 13.33



























Results show that Galapagos residents want
to be involved in tourism, and have unique and
creative ways of integrating their culture into
the tourism experience. In other words, many
opportunities exist for diversifying and integrat-
ing Galapagos culture into tourists' experience
to the islands. However, surveys of the typical
Galapagos tourist who arrive through travel
agencies show there is not great demand for
these new products. This is not surprising since
existing tourists came to the Galapagos to pur-
sue activities associated with wildlife and ecol-
ogy-not culture and community. However, this
group did show some interest in and rated many
of these community-based tourism products as
important. Also, tourists would be willing to
extend their visits (potentially up to three
weeks) to take part in community-based tour-
The following proposals integrate the neces-
sities and expectations of the tourists and the
local community.
Providing a New Way to Experience the
Galapagos Islands
Close interaction between tourists and com-
munity members can provide a variety of im-
pacts (both positive and negative) to local
residents (Wearing, 2001). This project was de-
veloped to allow local residents to plan their
own strategy for developing opportunities that
would help ensure the provision of positive
community impacts (i.e., benefits) through in-
creased interaction with tourists (Stein, Ander-
son, and Thompson, 1999).
At present, more students and volunteers are
coming to the Galapagos and achieving the di-
verse experiences listed above and providing a
variety of benefits to the Galapagos environ-
ment and local residents. These results show
that existing visitors would likely want to ex-
tend their trips (up to three weeks), and new
visitors might be attracted to the islands if more
opportunities were present that provided them
with these benefit opportunities as part of longer

It is difficult to fully experience the Galapa-
gos Islands during the normal four to seven day
period. However, this is the average time most
tourists spend in the archipelago. Also, oppor-
tunities to achieve benefits like resting, tranquil-
ity, peace, harmony with nature, and freedom
sensations can only be attained if they are inte-
grated into longer tourism experiences. At
present, the traditional tourist who uses travel
agencies to plan and design their trips, do not
have opportunities to achieve these diverse ben-
efits, nor do they provide for the multitude of
community benefits, which could potentially be

New Tourist Product Proposals
The community focus group results provided
a diversity of specific opportunities that could
be provided in the Galapagos to extend the tra-
ditional tourist's stay or to provide alternative
opportunities for a new tourist to the region.
Although the tourism surveys did not show high
priority for these community-based activities,
the results show that alternative activities could
be integrated into their Galapagos visits. The
following section describes new products that
are potentially feasible in the Galapagos. In oth-
er words, each of the tourism products below is
framed within the commercial viability range,
integrating the necessities and expectations of
the tourists and the local community.

Product # 1: Galapagos Food
In order to satisfy visitors' benefits of learn-
ing about Galapagos culture, developing skills
and abilities (i.e., cook typical food), learning
more about Galapagos' ecosystem, and learning
about agricultural and fishing practices, tourist
should have the option to participate in the
preparation and collection of typical Galapagos
food. They will learn the entire food process -
from the gathering and capturing of food mate-
rials to its cooking and preparation. At the same
time tourists would learn about which of the
Galapagos animal species can be harvested, the
harvest seasons, and the different management
techniques taken to protect and maintain their
natural habitat.
Services and activities offered include:


seeding, collection, harvest and
preparation of own vegetables and
capturing own marine food with the
assistance of local fishermen,
learning about the handling and
strategies of the artisan fishing and
agriculture, whose products soon
will be consumed by the tourists and
the community, and
learning about typical Galapagos
food preparation.
Product # 2: Typical
Galapagos Residence
In order to satisfy the tourists' desires to
learn about the Galapagos culture, which was
rated as important, tourists should have the op-
tion to live in local families' houses, participate
in the family's daily activities, and receive di-
rect attention from the residents who will teach
them the best aspects of local culture.
Characteristics of the typical Galapagos resi-
housing in urban and/or rural zones
of the island with families. The
families must have good information
about Galapagos attractions and
community tourist services and
visitors will receive direct attention
by local families. Local families will
provide courteous and customized
treatment for the visitor, balanced
and healthy eating, and the integra-
tion of the tourist in daily family ac-
Product # 3: Early Settlement
of the Galapagos
Providing tourism services about Galapagos
early settlers and lifestyles was previously pro-
posed and studied for Santa Cruz Island. The
Santa Cruz community has the resources and is
willing to offer a different type of visitor lodg-
ing, which will be representative of the Galipa-
gos colonization time. This product can also
complement visitors' benefit of learning more
about Galapagos community, customs, and early
settlers' lifestyles.
Services and activities offered include:

visiting cultural historical and rural
sectors of the island and
learning about the history of the hu-
man colonization, such as settlers'
survival activities, materials used for
the construction of their houses, and
the type of food they consumed (es-
pecially fruits and vegetables proper
of the region).

Product # 4: Local support
The idea of local support is to offer the tour-
ists the benefit of feeling good or satisfied by
helping the local community and ecosystem.
This could be achieved by participating in
Galapagos species conservation, being part of
the recycling process, learning languages, de-
veloping social and scientific activities, sharing
cultural information, and supporting technical
Services and activities offered include:
technical and scientific support to
the community and local institutions
to help to conserve sites or species
and to solve problems such as:
o Preparation of preserves and
o Techniques for recycling
o Treatment of drinking water
o Conservation of species in
danger of extinction
o Eradication of introduced
o Volunteerism in diverse
foreign language classes, and
educational opportunities about
Galapagos culture, history, ecosys-
tem and conservation.

Product # 5: Galapagos Arts and Crafts
The purpose of offering arts and crafts op-
portunities to tourists is to provide unique op-
portunities for them to become strongly
connected with local Galapagos culture as well
as to interact with the natural environment. For
example, photographing or painting gives visi-
tors an alternative way to integrate themselves
into the Galapagos environment.


Services and activities offered include:
visits to artisan factories and/or the
artistic expositions in order to see,
learn the souvenirs' elaboration
process, acquire the products, or
make them,
attend painting, photograph, Latin
dances, and music classes, and
prepare preserves with local fruits.

Product # 6: Galapagos Health
Local residents proposed a variety of ways
they can work with tourists that would directly
improve their health and well-being. Exercise
and recreation, healthy eating, tranquility, par-
ticipation in transcendental activities like yoga,
Tai Chi, macrobiotic diet, among others will
enable people to maintain and improve their
health. Modem living habits like high stress
jobs, unhealthy eating, and sedentary lifestyle,
directly relate to pathologies like overweight,
cancer, diabetes, cardiopathies, arterial hyper-
tension, mental disorder, and many others. (Dr
David Basantes. Galapagos Province Health
Director. Pto. Brown Baquerizo, San Crist6bal-
Galapagos. June, 2006)
Services and activities offered include:
taking part in
o yoga, meditation, aerobics
o massages
o physical, occupational and
recreational therapies
Learning about
o alternative medicines,
o macrobiotic diet, and
o well-balanced eating.

Future research
The newly identified tourist products in this
study will become the first step to grow a new
model of community-based tourism. It will be
necessary to form a detailed configuration of
such products, a cost/benefit analysis, and mar-

keting strategies that the communities could
successfully manage and tourists would partici-
pate. Specifically, research would need to ex-
tend outside the Galapagos to identify new
tourism markets, who are not currently visiting
the islands. Research would examine areas that
offer tourism products identified in this study to
determine their visitors': socio-demographic
characteristics, motivations, travel patterns, and
willingness to travel to other locations in the
world (e.g., the Galapagos Islands). Also, re-
search could examine the people who provide
these alternative tourism products to identify the
opportunities and challenges they find in sup-
plying the products. Overall, research would
quantify the probability and practicality of at-
taining visitor and community benefits by pro-
viding these alternative products.


Acosta, Misael. (1979). Galcpagos and its Nature,
Geography, Ecology and Conservation. Quito,
Ecuador. Ecuador's National Institute of Statis-
tics and Censuses (INEC). (2006). Galapagos
Population Projection by provinces for the
year 2006. Quito, Ecuador. Government Printing
Patterson, C. (2002). Chapter 2: The planning
process. The Business ofEcotourism. Rhinelan-
der, WI: Explorer's Guide Publishing. (pp. 15-
Stein, T.V.; Anderson, D.H.; and Thompson, D.
(1999). Identifying and managing for community
benefits in Minnesota State Parks. Journal of
Park and Recreation Administration, 17(4): 1-
Wearing, S. (2001). Exploring socio-cultural impacts
on local communities. In: Weaver, D.B. (Ed.)
Encyclopedia of Ecotourism. Wallingford:
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

P roper trophoblast differentiation is critical in normal placental
development. Physical or chemical agents that interfere with the
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 pa-
tients with oral infectionsl5'20ln addition, animal studies provide evidence
that P. gingivalis impairs placental functioning by inducing local immune
responses and altering placental anti-inflammatory pathways 8. 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.


In a second protocol, HTR-8 cells were also
treated with benzo[a]pyrene, a carcinogen found
in cigarette smoke. Placental cells exposed to
benzo[a]pyrene are prone to irregularities that
can cause spontaneous abortions and fetal
growth retardation. RL95-2 human uterine en-
dometrial cells exposed to benzo[a]pyrene
showed actin disaggregation, impaired cellular
attachment and invasion5. In my study, immu-
nocytochemistry analysis was used to examine
the effects of the carcinogen on HTR-8 cell at-
tachment. Control cells had continuous mem-
brane actin filaments, whereas 10iM and 20iM
benzo[a]pyrene treated cells had actin aggre-


Porphyromonas gingivalis
Periodontal disease is a chronic oral infec-
tion caused by oral pathogens. Maternal peri-
odontal disease occurs in 5-40% of pregnant
women and is associated with second-trimester
miscarriage2, preeclampsia8, pre-term birth, and
fetal growth restriction, possibly triggered by
placental inflammatory responses following ute-
ro-placental exposure to oral pathogens8'9'12'"8'25
Among oral pathogens, Porphyromonas gin-
givalis is a gram-negative, anaerobic bacterium
prominent in subgingival plaque31. P. gingivalis
is a major contributor to chronic inflammation
of the gingivia26 and may be an underlying fac-
tor in pre-term births25. Recent human studies
have detected the presence of P. gingivalis sen-
sitized T-cells in the peripheral blood of patients
with oral infections5'20.
Recent animal studies provide evidence that
P. gingivalis impairs placental functioning by
inducing local immune responses and altering
placental anti-inflammatory pathm a\ s Success-
ful pregnancies consist of an important Thl/Th2
cytokine placental balance. P. gingivalis infec-
tion in pregnant mice has been associated with
placental Thl/Th2 imbalances8.

P. gingivalis is not the only mutagen altering
placental protein expression. Benzo[a]pyrene

(BaP), a carcinogenic polyaromatic hydrocarbon
found in cigarette smoke, also alters placental
protein levels. Exposure to BaP is associated
with a reduction in epidermal growth factor re-
ceptors (EGF-R) in human placental choriocar-
cinoma cells, resulting in uncoordinated
expression of the genes responsible for normal
trophoblast proliferation, differentiation, and
invasiveness. Thus, BaP is a cigarette smoke
toxicant that likely interferes with normal pla-
cental development, resulting in spontaneous
abortions and fetal growth retardation5.
Benzo[a]pyrene also has adverse effects on
some of the genes directly responsible for a
normal pregnancy. Human uterine endometrial
cells exposed to BaP exhibited significant de-
creases in plasma membrane EGF-Rs, decreas-
ing cell attachment. Fluorescent experiments
also showed actin degradation in human uterine
endometrial cells. Since actin filaments form the
cellular cytoskeleton, they are crucial for cellu-
lar morphology and cell-cell interactions5.

Trophoblast differentiation
Following fertilization, human placental pre-
cursor cells appear on the outer layer of the
blastocyst. These trophoblast cells are critical
for proper placental development. Regulated
secretion of the hormone human chorionic go-
nadotropin (hCG) assures proper implantation
conditions. Once endometrium conditions are
suitable, the trophoblast will attach to the ute-
rine lining'3. Subsequently, placental differen-
tiation commences along either the villous or
the extravillous trophoblast pathway. Extravill-
ous trophoblasts are responsible for securing
attachment of the chronic villi in the uterus3.
On the other hand, villous trophoblast coat these
villi and assists in nutriment transport. Once
differentiated, the placenta serves as a highly
vascular, cellular barrier between the mother
and fetus. The placenta mediates pregnancy
hormone production, immune protection of the
fetus, and filtration of harmful substances. It is
also directly involved in the transfer of nutrients
and gases to the fetus from the mother. Due to
its importance, proper placental development is
critical. Altering trophoblast differentiation can
be detrimental to the fetus, neglecting it of
proper nourishment3.


Preliminary experiments in Dr Shiverick's
laboratory were conducted using an in vitro
HTR-8 immortalized human placenta extravill-
ous trophoblast cells. My experiments show P.
gingivalis invasion in this established human
placental cell line, which is a model for early
placental development. In addition, my experi-
ments have shown HTR-8 cell susceptibility to

Cell cycle regulatory pathways
Normal placental development is balanced
by cell proliferation and cell death. p53, the "ul-
timate suppressor gene," codes for key regulato-
ry proteins involved in cellular growth27. Failure
to induce p53 proteins after DNA damage may
lead to cancerous growth. Once induced, p53
proteins control cell arrest and apoptosis1'28.
Suppressed growth permits DNA repair; if the
cell is unable to correct the damage it enters
apoptosis. p53 expression is also regulated
through phosphorylation. Once phosphorylated,
the p53 pathway is activated28.
p53 also mediates cell growth through other
regulatory proteins. Apoptosis triggers release
of cyctochrome C from the inner mitochondrion
membrane. Induction or inhibition of cyctoch-
rome C is regulated by Bcl-2. p53 activation has
been linked to the transcriptional repression of
the antipoptic gene Bcl-2; thus, high levels of
Bcl-2 protein suppresses apoptosis24.
p53 also regulates expression ofp21CIP', also
known as cyclin-dependent kinase inhibitor 1A
or CDKN1A, which codes for a cyclin-
dependent kinase inhibitor linked to gap 1 (G1)
of the cell cycle. When expressed, p21CIP~ inhi-
bits Cdk production28


Cell cultures

HTR-8/SVneo cells were derived from cul-
tures of human first-trimester placental trophob-
last cells with SV40 large T antigen. This cell
line was provided by Dr C. Graham in Canada.
Cells were plated and grown to confluence for
48 hours in a 5% CO2 atmosphere at 370C. Cul-
ture medium (RPMI-1640 [Invitrogen,

Carlsbad, CA] contained 5% heat-inactivated
fetal bovine serum [Hyclone, Logan, UT]. 100
mm cell plates were used for preparation cell
lysates and membranes for Western blot analy-
sis. For microscopic analysis, cultured cells
were grown on either plastic or glass micro-
scope chamber slides. It was assumed that cell
count doubled daily.
Bacterial strains and P. gingivalis
P. gingivalis strain ATCC 33277 was cul-
tured anaerobically for 24 h at 370C in trypti-
case soy. Bacteria were harvested after
centrifugation at 6000 g and 40C for 10 min.
They were prepared in HTR-8 cell medium at
random OD600 values.
Cell plates were cultured to confluence (80-
90%) for 48 hours and then infected with P.
gingivalis. Fresh media was added to the plates
and every HTR-8 cell was infected with 100 P.
gingivalis bacteria. The cells were then returned
to a 5% CO2 incubator at 370C. Treatment dura-
tion varied for each sample. Cells were cultured
for 2 hours in the absence or presence of P. gin-
givalis, then collected immediately for lysates
and membranes; or were washed with PBS and
cultured an additional 22 hours in medium
without P. gingivalis and then collected. All
samples were collected using Brandel cell
Plastic and glass chamber slides were first
treated with 0.5ml/chamber of Poly L-Lysine
for 5 minutes to enhance cell attachment. Poly
L-Lysine was then removed, and the slides were
air-dried under the hood. Cells were then cul-
tured to confluence (80-90%) for 48 hours. New
media was added and cells were exposed to P.
gingivalis for 30 minutes.

Benzo[a]pyrene treatment
60-80% confluent HTR-8 cells were treated
with varying stock solutions of benzo[a]pyrene
prepared in DMSO (100 mm cell plates or
chamber slides). Negative controls were treated
with DMSO vehicle only.

Cell lysate preparation
HTR-8 media was discarded from each cell
plate. PBS washes minimized media proteins
which may interfere in the examination of the


protein of interest. A solution consisting of lysis
buffer and protease stocks was prepared and
vortexed. Proteases are essential in protein pro-
tection during cellular explosion; lysis buffer
contains protein denaturing detergents. Thus,
ImL of the solution was applied to each cell
sample prior to collection using sterile Brandel
cell harvesters. Microfuge tubes (1.5 mL) were
prepared and labeled according to treatments.
Once scrapped thoroughly, cell samples were
pipetted into appropriate microfuge tube (since
absorption readings were usually on the low
side, cell samples were combined; ex. Three 24-
hour cell plates were scraped and pipetted into
the same microfuge tube). A 3 ml syringe was
used to disrupt any inappropriate lysate chunks.
Once in solution, the cell lysate samples were
placed on ice for 30 minutes. The samples were
then removed from ice, vortexed, and centri-
fuged at 40C. Supernatants were then trans-
ferred to new microfuge tubes and stored at

Cell membrane preparation
Membrane samples were prepared similarly
to cell lysates with the exception of protease
stocks. One milliliter of PBS was pipetted onto
each cell plate prior to collection. Cell samples
were inserted in 1.5 ml microfuge tubes and
placed on ice. A freezing solution of ethyl alco-
hol and dry ice was prepared under the hood.
After the vapors cleared, samples were frozen
for 1 minute. Sequentially, the samples were
thawed in room temperature water. The samples
were then centrifuged in a 40C room for 5 mi-
nutes. The supernatants were poured out, leav-
ing the membranes as pellets. Five-hundred
microliters of PBS was added to each tube. The
samples were then vortexed and centrifuged for
5 minutes at 40C. PBS (300 il) was added to
each tube, and the samples were stored at -800C.

BCA protein assay for lysate preparation
Total lysate protein concentration was mea-
suring using a Bovine Serum Albumen (BSA)
standard curve. Six different glass tubes were
prepared with different BSA concentrations: 10
il, 20 il, 30 il, 40 jil, and 50 il. Cell lysate
samples were removed from the -800C freezer,

and three test tubes were prepared for each
sample (10 il, 20 il, 30 il of cell lysate). Lysis
buffer was added to each tube to bring all vo-
lumes to 50 il. Once each tube had equal vo-
lumes, 1 ml of a 1:50 diluted solution of protein
assay reagent A and protein reagent B was add-
ed to each tube. Samples were then covered
with saran wrap and incubated in a 370C water
bath for 30 minutes. Samples were then trans-
ferred to plastic cuvettes and inserted into a
spectrophotometer. Absorbance of each sample
was measured at 562X. Results were then en-
tered into Microsoft Excel and a regression line
was computed. A regression formula provided
by Excel was used to find protein concentrations
of each sample. By multiplying these concentra-
tions by dilution factors, concentrations in
ig/ml of the original samples were derived.

BCA protein assay for membrane prepa-
Total membrane protein concentration was
also measured using a BCA protein assay. PBS
was used instead of lysis buffer.

Loading lysate and membrane samples
In order to provide an optimum environment
for the proteins, a buffer solution was prepared.
Solution buffer (900 .il) was added to 100 il of
2-Mecaptoethanol. The solution buffer was used
to trace protein progress during electrophoresis.
It also contained glycerol, responsible for
weighing down light proteins while in solution.
2-Mercaptoethanol, characterized by its strong
sulfur smell, reduced sulfide bridges allowing
the proteins to uncoil.
Microfuge tubes were then prepared and la-
beled according to sample type. Equal amounts
of cell lysate and loading buffer were pipetted
into each tube (70 il and 70 il loading buffer).
Membrane samples were dispersed using a 3 ml
syringe. All samples were vortexed and placed
in boiling water for three minutes. Calculations
were then conducted to determine how much of
each sample should be used to yield equal pro-
tein concentrations.
Using a thin pipette, 10 ml of Sigma molecu-
lar-weight marker was inserted into the first
well. Samples were loaded individually into
their respective wells.



Dividers and glass sheets were disinfected
with ethanol. Sandwich-like devices were made
by placing a small sheet on top of a big sheet,
using a divider on each side for separation. Us-
ing a regular ml pipette, each sandwich was
filled with running gel (acrylamide, 20% SDS,
DH20, running buffer, 0.28% APS) and solidi-
fied for 20 minutes. Once the running gel poly-
merized, stacking gel (acrylamide, 20% SDS,
DH20, stacking buffer, 0.28% APS) was pipet-
ted until 1 cm from the top of the sandwich.
White combs were inserted for well formation
and the stacking gel was given 20 minutes to
polymerized. Gel thickness depended on the
molecular weight of the proteins to be analyzed.


Once the stacking gel polymerized, the white
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
and electrophoresed at 50 V for 1 hour. The 50
V electric current successfully forced the pro-
teins across the gel and separated the molecules
based on molecular size.

Transferring proteins from gels to mem-

A membrane for each gel was prepared using
membrane paper (4.5 cm x 7 cm). Six filters
were also prepared from filter paper for each gel
(6 cm x 9 cm). Each gel was inserted into a
sandwich holder, supported by a sponge and
three filters on each side. The sandwiches were
then placed into electrode holders with the black
side of the sandwich facing the black side of the
electrode holder. The samples were electropho-
resed at 40C overnight at 30 V.
Membranes were removed from electrode
holders and rinsed with distilled water. They
were then briefly stained with Ponceau Red to
assure uniform protein loading and transfer.
Once confirmed, Ponceau Red was returned to
its original container and the membranes were
rinsed with distilled water. Membranes were
then washed with tris buffered saline (TBS).

A 5% nonfat milk solution was prepared by
mixing 50 ml of TBS and Tween (TTBS) with
2.5 g of nonfat milk. In order to block protein
colonies which might attack the primary antibo-
dy, each membrane was incubated in 10 mL of
5% nonfat milk solution for one hour on a rock-
er. The milk was then washed off and the mem-
branes were rinsed with TBS. The membranes
were then incubated in their respective diluted
antibody for one hour (1:1000). Control mem-
branes were incubated in their respective mo-
noclonal IgG serum. Membranes were then
rinsed with TBS+Tween (contains detergents)
and incubated in secondary antibodies (1:2000)
for one hour. The nonfat milk was then dis-
carded, and each membrane was thoroughly
rinsed (2x) with TTBS on the shaker. Mem-
branes were then rocked in TBS overnight at

Immunocytochemistry: fluorescent

Fluorescent staining washes followed the
same restrictions as above: two brief washes
followed by 1 thru 5 minute wash on the shaker.
Culture medium was removed from each cham-
ber slide. Cells were washed 2x with HTR-8 cell
medium and then 3x with PBS. They were then
fixed with fresh 4% Paraformaldehyde + PBS
solution for 6 minutes under the hood with their
slide-covers off (Note: a stock solution of 8%
PFA was diluted using 2X PBS). The cells were
washed 3x in PBS; the first 2 washes were brief
and the 3rd was for 5 minutes on the shaker.
0.1% Triton-X-100 in PBS or acetone was used
to permeablize the cells. Acetone was only used
on glass slides. When used, it was prepared at
-25 C; cells were incubated for 3 minutes at
-200C. Following permeablization, the cells
were washed 3x in PBS; the first 2 washes were
brief and the 3rd was for 5 minutes on the shak-
er. Nonspecific binding sites were blocked by
incubating with PBS + 1% Bovine Serum Al-
bumen (BSA) for 1 hour at 240C. Respective
primary antibody incubation lasted 1 hour at
240C. The antibodies were diluted in PBS + 1%

Gel preparation


BSA. Negative controls were incubated in PBS
+ 1% BSA alone. Fresh PBS + 0.1% Tween-20
was prepared for cell washes (3x). Respective
secondary antibody incubation lasted 1 hour at
240C. Tubulin and P. gingivalis antibodies were
prepared in solution with PBS + 1% BSA. Phal-
loidin (5 iL/slide) was heated in a disposable
culture tube for 5 minutes at 750C (evaporates
the methanol). A solution was then prepared
using PBS + 1% BSA. Chamber slides were
treated with phalloidin 30 minutes after second-
ary antibody incubation began (Note: due to
secondary antibody photosensitivity, slides were
covered in aluminum foil during the entire incu-
bation). The cells were then washed 3x in PBS
+ 0.1% Tween-20; the first 2 washes were brief
and the 3rd was for 5 minutes on the shaker.
Chambers were removed, and cover-slips were
mounted using ProLong gold anti-fade reagent
(100ll/chamber). Slides were left in the incuba-
tor (5% C02, 370C) overnight. Cover-slip edges
were covered with nail polish and stored in
aluminum foil at -200C.


Cell cycle regulatory proteins: Western
immunoblot blot
Western blot results of HTR-8 cells
exposed to P. gingivalis bacteria

Lysate/Membrane samples 1: col-
lected 2/9/06 and 2/10/06
Lysate/Membrane samples 2: col-
lected 4/13/06 and 4/14/06
Lysate/Membrane samples 3: col-
lected 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 de-
creased in the 24 hour samples (Figure 1B);
thus, no conclusions were drawn.
Western immunoblot analysis (Figure 2 A-
C) of the p53 pathway showed a decrease in
phospo-p53 expression following P. gingivalis
treatment. Protein expression was up-regulated
in samples cultured for an extra 24 hours. Total
p53 concentration remained the same (Figure 3

A, B). Bcl-2 protein (Figure 4 A, B) concentra-
tion showed no signs of change.

A Cell Lysates 1
C Pg C Pg
2h 2h 24h 24h

""" m ."'

B Cell Lysates 2
C Pg C Pg
2h 2h 24h 2h

Figure 1. Western immunoblots of HTR-8/SVneo whole
cell lysates probed with p21 antibody (Santa Cruz,
mouse anti-human monoclonal). Cells in 100mm dish-
es were cultures for 2 hours in the absence (C) or pres-
ence (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). p21 was detected at
the expected weight of approximate 20 kDA.

A Cell LyasF 1 B Cell Lmst 2
C Pg C Pg C Pg C Pg
2h 2h 24h 24h 2h 2h 24h 2h

C Cell ~~gps 3
C Pg C Pg
2h 2h 24h 24h

""*- --

Figure 2. Western immunoblots of HTR-8/SVneo whole
cell lysates probed with phosphorylated-p53 (serl5,
PhosphoDetect rabbit anti-human polyclonal). Cells in
100 mm dishes were cultures for 2 hours in the ab-
sence (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 me-
dium without P. gingivalis and collected (24 h). phosp-
p53 was detected at the expected weight of approx-
imate 37 kDA.

A Cell Lysates 1 B
C Pg C Pg
2h 2h 24h 24h

Cell Lysates 2
C Pg C Pg
2h 2h 24h 2h

: -

Figure 3. Western immunoblots of HTR-8/SVneo whole
cell lysates probed with p53 antibody (Ab-6, mouse
anti-human monoclonal). Cells in 100 mm 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). p53 was detected at the expected
weight of approximate 52 kDA.


A Cell Lyates 1
C Pg C Pg
2h 21i 24h 24h


B Cell Lsate 2
C Pg C Pg
2h h 24h 2h

- -

P. gingivalis invasion

Fluorescent microscopy confirmed P. gingi-
valis 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 dish-
es were cultures for 2 hours in the absence (C) or pres-
ence (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
TLR-4 showed a clear immunoreactive band at
its expected weight of 95 kDA, there was also
non-specific cross-reactivity with the antibody
(not shown). There was no detection of TLR-4
in membrane preparations (Figure 5).

Cell Lysates 2
C Pg C Pg
2h 2h 24h 24h

- -0MW 0

Membranes 2
C Pg C Pg
2h 2h 24h 24h

Figure 5. Western immunoblots of HTR-8/SVneo whole
cell lysate and cell membrane preparations probed
with TLR-4 (Santa Cruz, rabbit polyclonal) antibody.
Cells in 100 mm dishes were cultured 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 me-
dium without P. gingivalis and collected (24 h). TLR-4
was detected at the expected weight of approximate
95 kDA. Note: there was plenty of P. gingivalis cross-
reactivity with anti-TLR-4 at 65kDA (not shown).

Figure 6. Fluorescent immunocytochemical analysis of
P.gingivalis invading HTR-8/SVneo cells. Cells were
plated on poly-L lysine coated glass chamber slides
with four-wells and treated for 30 minutes with
P.gingivalis. Cells were fixed in freshly prepared 4%
Paraformaldehyde and incubated in primary and sec-
ondary 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 immunocyto-

Using fluorescein labeled phalloidin and
rhodamine labeled tubulin, cytoskeletal struc-
tures of HTR-8 cells were examined. Control
cells showed abundant continuous subcortical
actin filaments. Conversely, 10 iM ben-
zo[a]pyrene treated cells, showed clear signs of
actin degradation along the cellular membrane.
Subcortical actin aggregates were also present
in the cells treated with 20 iM benzo[a]pyrene.



Studies have shown that over 23% of women
aged 30 to 54 suffer from periodontitis, the di-
rect destruction of periodontal tissue.29 Caused
by oral pathogens such as P. gingivalis, peri-
odontitis has been positively correlated with
pregnancy complications in 6 out 13 studies
involving pregnant mothers suffering from peri-
odontal disease6'9'11,22'25'30. Studies also indicate
a link between periodontal infection and placen-
tal-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 pla-
cental development. Although total p53 concen-
tration was unaffected upon P. gingivalis
treatment, phosphorylated p53 levels were re-
duced. Once phosphorylated, the p53 pathway is
activated and cellular proliferation is sup-
pressed. 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. gin-
givalis) 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
may be attributed to the anti-body used or vary-
ing effects of P. gingivalis treatment.
Fluorescent immunocytochemistry con-
firmed P. gingivalis invasion of HTR-8 cells
(Fig. 6). The bacteria were stained with a fluo-
rescein dye and examined under a confocal mi-
croscope. Microscopy techniques assured that
invasion was intracellular. Higher cellular con-
fluence would yield better results. HTR-8 cells
showed extreme sensitivity to PBS washes and
PFA fixation. 70-80% confluence is optimal for

Figure 7. Fluorescent immunocytochemical analysis
of P.gingivalis invading HTR-8/SVneo cells. Cells
were plated on poly-L lysine coated plastic chamber
slides with four-wells and treated for 48 hours with
(A) DMSO, (B) 10pM BaP, or (C) 20pM BaP. Cells
were fixed in freshly prepared 4% Paraformaldehyde
and incubated in primary and secondary antibodies
respectively: mouse monoclonal anti-tubulin
(1:400), rhodamine TRITC secondary (1:300), and
FITC fluorescein phalloidin. Fluorescent microscopy
shows fluorescein actin localization and rhodamine

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