Helena Francis-Granger

The Representation Crisis: The Underrepresented Malaysian Ethnic Minorities

Malaysia has been facing an ongoing battle on ethnicity and religion. The strategy of "divide and rule" carried out by the British administration during the colonial period has drastically changed the country's demography, resulting in a form of segregation of the population. Since its independence from the British rule, Malaysia has transformed into a racialised country, demonstrating the continuation in racial stereotypes and categorisation. The division between the Malay majority and the non-Malay minorities has grown wider, jeopardising interethnic unity and impairing social cohesion. Ethnic minorities in Malaysia encounter discrimination and unequal rights, which deeply reflects their representation and visibility-as they are underrepresented. For an ethnic minority to have the opportunity to an improved quality of life and career advancement, migration becomes an attractive alternative. Thus, this article seeks to explore the underrepresentation and marginalisation of Malaysian ethnic minorities, those who have emigrated and settled in the United Kingdom, through their narratives on equality and justice in a pluralistic society.

La Malaisie est confrontée à un conflit permanent entre les ethnies et les religions. La stratégie de diviser pour régner, menée par l'administration britannique pendant la période coloniale, a radicalement modifié la démographie du pays, entraînant une ségrégation de la population. Depuis son indépendance de la domination britannique, la Malaisie s'est transformée en un pays racialisé, résultat d'une persistance des stéréotypes et de classification raciale. La division entre la majorité malaise et les minorités non malaises s'est élargie, mettant en péril l'unité interethnique et portant atteinte à la cohésion sociale. Les minorités ethniques malaisiennes ne sont pas en mesure de bénéficier de droits similaires, ce qui reflète profondément la sous-représentation des communautés ethniques. Pour qu'une minorité ethnique ait une chance d'améliorer sa qualité de vie et sa carrière, l'émigration devient une alternative attrayante. Ainsi, cet article s'attache à montrer la sous-représentation et la marginalisation des minorités ethniques malaisiennes celles qui ont émigré et se sont installées au Royaume-Uni, à travers leurs récits sur l'égalité et la justice dans une société pluraliste.

Introduction and methodology

Dr. Mahathir bin Mohamad, Malaysia's longest serving and former Prime Minister, claimed that in a plural Malaysian society "every race should have a fair share in the bounty" (Mahathir 73). Why then are Malaysian ethnic minorities leaving their native country? John S.

Furnivall's concept of a pluralistic society views "the different sections of the community living side by side, but separately, within the same political unit" (Furnivall 304). How are ethnic minorities identified in a pluralistic society? What factors place them in a position of underrepresentation and, to some extent, invisibility? What were the reasons for their relocation from homeland? Through narratives of several Malaysian ethnic minorities gathered during interviews, I will delve into their predicaments and aspirations for equality and visibility in pluralistic Malaysia to understand the reasons why they emigrated. Pseudonymised initials will be used as I examine several ethnic minority cases -Malaysian Chinese, Indians and mixedethnics who were born in Malaysia and subsequently migrated to the United Kingdom, primarily between the early 1980s to the mid-2010s. Additionally, these participants were selected based on the minimum duration of relocation of two years, offering a fair amount of life experience in the United Kingdom.

For the recruitment of participants, advertisements were posted on several social media platforms to Malaysian groups in the United Kingdom seeking for voluntary and anonymous participation in a research study about Malaysians living in the United Kingdom. I used qualitative semi-structured interviewing as the main methodology for data collection which allowed for open-ended questions based on a questionnaire that I had prepared beforehand. I found this method an appropriate choice as it encouraged a smooth-flowing, relaxed and relatively spontaneous discussion enabling me to explore deeper into case studies, rather than a question-answer format. These audio interviews took place between 2020 and 2021 and due to COVID-19 sanitary and travelling restrictions, they were conducted via social media which allowed flexible interview scheduling using easily available platforms.

The outcome of these interviews revealed who the people leaving Malaysia are, the reasons for their departure and why they have chosen the United Kingdom. In this article, I will combine theoretical analysis based on the work of several prominent scientists, for example, Anderson, Furnivall, Hall, Hirschman, Pillai and Ratnam, with empirical analysis using excerpts from the participants' interviews. The first part will explore the historical link between Malaysia and the United Kingdom, and the impact of British colonialism in shaping Malaysia.

The second part will tackle the issues of underrepresentation and invisibility, which are factors for migration, or for what is called the Malaysian "brain drain" phenomenon. To show their move from invisibility to visibility and their degree of achievement, I will also show the various strategies employed by the Malaysian ethnic minorities who chose to leave their homeland for better opportunities and lifestyle abroad.

The history of Malaysia shaped by British colonialism

The country's ethnic distribution can be traced back to its history and the yearning for independence from British imperial grip. The majority ethnic groups are the Malays and the indigenous ethnic groups, comprising 69.7 percent of the population, while the other ethnic groups-mainly the Chinese (22.5%), Indians (6.8%) and mixed-ethnics (1.0%) form the minority of the country's population (Department of Statistics Malaysia). The British Empire colonised Malaysia from the late eighteenth century until its independence in 1957. As part of the imposed labour system of indenture and imperial capitalist trade established by the British, large numbers of Chinese and Indian immigrants were brought over into what was formerly called, in the nineteenth century, Malaya, to fulfil economical labour demands in the tin mines and rubber plantations, drastically changing the country's demography . According to Furnivall, "[e]ven in the economic sphere there is a division of labour along racial lines […] within each major group subsections have particular occupations […] the objective of colonial power […] under direct or indirect rule" . In The Meaning and Measurement of Ethnicity in Malaysia: An Analysis of Census Classifications, Hirschman's interpretation of the invention of "race" classification for census purposes links "Europeans' racial beliefs and their imperial role" (567), and what Darwin describes as the "empire [being] a system of racial oppression" (Darwin 4). The political strategy of "divide and rule" carried out during the British colonial administration to manage the multi-ethnic inhabitants and immigrants, has resulted in the polarisation of the population within Malaysia (Embong 46,54). In doing so, Darwin points out that it created "a false notion of traditional society" (Darwin 5) under the imperial rule.

During the Pacific War, the Japanese Occupation of 1941 to 1945 was a period of terror in Malaya which helped the inhabitants see the myth of unassailability of the British, and seek independence . When an administrative scheme called the Malayan Union was created in 1946 by the British as a response to unify the Malays, Chinese and Indians for the post-war restructuring and self-governing of Malaya, it stirred an anti-colonial feeling among the Malay elites who feared this scheme would threaten their political power . Apprehensive of equal rights bestowed upon the Chinese and Indians, the Malay elites assembled to form the United Malays National Organisation (UMNO), a political party that protected and fortified special rights for the Malays. Receiving extensive disapproval from the Malays, the British were impelled to change the Malayan Union to the Federation of Malaya in 1948 in an effort to safeguard the superior status of the Malays in Malaya. Following the UMNO formation, political parties such as the Malayan Chinese Association (MCA), the Malayan Indian Congress (MIC) and subsequently other parties joined the National Front (Barisan Nasional, BN), a new confederation of parties with which led the country, now known as Malaysia, from 1957 to 2018 .

In the hopes of a "New Malaysia", the 2018 election saw the defeat of BN for the first time since 1957 by the Alliance of Hope party (Pakatan Harapan, PH) led by former Prime Minister Dr. Mahathir bin Mohamad, marking a historic victory (BBC News). However, less than two years in power, PH failed to fulfil the hopes of the country with the unexpected resignation of Dr. Mahathir, paving the way for Muhyiddin bin Mohd. Yassin as the next Prime Minister, leading the National Alliance (Perikatan Nasional, PN) coalition party (Strangio), followed by Ismail Sabri bin Yaakob as the current Prime Minister from BN party. While the government represents a multi-ethnic political party, there are disparities in which the government continues to grant special privileges to the Malays, depriving ethnic minorities of equal constitutional rights.

Malaysia has experienced an ongoing battle on ethnicity and religion. Prior to independence, Dr. Mahathir argued that there was an impression of unity inaccurately referred to as ethnic harmony when in reality, what prevailed was "the absence of open conflict" (Mahathir 18). Tolerance is taught and practised, and in order to avoid conflict, according to Yee and Wong, it "involves a conscious rejection of biased beliefs and behaviour and the valuing of others irrespective of their colour or creed" (Yee,Wong 204). However, the lack of conflict and the encouragement of tolerance might have hindered interethnic unity and social cohesion. Profound socioeconomic changes have fostered different opinions in Malaysian society. Since its independence from the British rule, Malaysia has transformed into a kind of xenophobic multi-ethnic nation and has been a source of perpetual conflict on ethnic inequality, social classification, the institutionalisation of the Malay indigenous status, and the creation of vernacular schools. Lim uses Althusser's concept of "interpellation"1 in the context of Malaysia wherein "Malays", "Chinese" and "Indians" were not called as such until interpellated through ideological institutions (Lim 15). Hall's idea of an "effective suturing of a subject to a subjectposition" entails in the subject being hailed and invested in the position of the interpellated and "in turn places identification or […] identities" (Hall 19). With Malaysians having placed such interpellations and identification, multi-ethnicity has led to a form of segregation instead of a unified nation. This, in some way, has generated a certain degree of invisibility of the ethnic minority population. These polarisations signified the underrepresentation of ethnic minorities which would culminate in the May 1969 post-election ethnic riots in Kuala Lumpur. Ratnam, a Malaysian political scientist, postulates that "prolonged repression often succeeds only in concealing differences and not in eliminating them as history has shown" (Ratnam,Pillai 10).

When the government implemented the New Economic Policy (NEP) in 1971, an affirmative action plan encouraging the involvement of the underprivileged group in business, education and employment sectors, it responded to the economic criticisms of the Malays in reality . Ratnam explains further: Ethnicity remains a potent force in many countries and when a state is weak and unresponsive to the needs and aspirations of its citizens, people will begin to identify themselves less and less with it and increasingly with their tribe, clan or ethnic group. (Ratnam,Pillai 40) Polarisation between the Malay ethnic majority and the ethnic minorities (non-Malays) has grown wider due to the former being granted a superior status and special rights, while the latter have an inferior status owing to the concept of "Ketuanan Melayu", meaning Malay Supremacy (Lim 17). It protects the right of the Malays to rule the country and the conservation of the superior status of the Malays as the Bumiputeras. 2 Increased levels of religiosity in Malaysian society have caused further severe dichotomies between the Islamic community and other religious groups-a major divide that has been hard to bridge.

Over the post-independence years, "Malays, UMNO and Islam cannot be separated" (Martin 32) rendering a Malay a Muslim too, which has been a source of tension. The role of Islam has increased and shaped Malay nationalism, resulting in tearing the Malaysian social fabric apart. Racial disparities and tension are rife in the country, with the Malays implementing an Islamist position and the ethnic minorities a more secular one, blurring the distinction between ethnicity and religion to tailor different situations. Furthermore, people from ethnic minority communities are regarded as second-class citizens who are unable to enjoy the same rights as the Malays in various sectors such as education, employment and land ownership-evidence of their persistent underrepresentation and invisibility. 3 The creation of 2 The term Bumiputera means "son of the soil". Theoretically and constitutionally, this term applies to all indigenous people of Malaysia: the Malays, the native inhabitants of Sabah and Sarawak and the Orang Asli (original people) who are eligible for special affirmative action policies, although in practice, only the Malays and some Sabah and Sarawak natives benefit from this privilege. (Hooker and Osborne 243) 3 Constitution of Malaysia, Article 153.2: "[…] under this Constitution and federal law in such manner as may be necessary to safeguard the special provision of the Malays and natives of any of the States of Sabah and Sarawak and to ensure the reservation for Malays and natives of any of the States of Sabah and Sarawak of such proportion as he may deem reasonable of positions in the public service (other than the public service of a State) and of scholarships, exhibitions and other similar educational or training privileges or special facilities given or accorded by the Federal Government and, when any permit or licence for the operation of any trade or business is required by federal law, then, subject to the provisions of that law and this Article, of such permits and licences." (http://www.commonlii.org/) religious classes and schools of various ethnicity and faiths has in some way failed to build a "unified education system" (Ratnam, Pillai 88), segregating children based on their ethnic groups and faiths. Eddo-Lodge, a London-based journalist, sees racism as discrimination with power, with the realisation that it extends beyond "personal prejudice and in a position of negatively affecting other people's life chances" (Eddo-Lodge 2). By this articulation, for a Malaysian ethnic minority person to have the opportunity of an improved quality of life and career advancement as a skilled worker, not based on ethnicity, the choice of moving to another country to gain a degree of visibility becomes an attractive alternative. Singapore, Australia, the United States of America, and the United Kingdom seem to be popular migration destinations. Colonialism may have contributed to the gradual increase in the flow of Malaysian mobilities to their former colonisers' country due to the Commonwealth connection and the English language being common to all Malaysians. Many Malaysians leave and migrate in the hopes of gaining visibility and representation; they seek fairness and equality. This phenomenon has created the ever-growing Malaysian diaspora throughout the world.

The grand migration from Malaysia to the United Kingdom: from invisibility towards visibility

Due to Malaysia's biased policies, a significant number of skilled professionals continue to work in countries other than Malaysia, predominantly ethnic minorities "who make up the bulk of the diaspora"4 according to the Malaysia Economic Monitor report. 5 The key factors for the Malaysian brain drain phenomenon consist of the prevailing ethnic discrimination, employment opportunities, differences in earnings potential, the absence of meritocracy, insufficiency of appropriate education, and freedom of choice in sexual orientation and quality of life aspects. There is a tendency with fresh graduates opting to remain in the country of their tertiary education with the encouragement from their parents in the hopes of securing better employment. 6 Although the Malaysian government are aware of the severity of the Malaysian brain drain, efforts to address the issue need to be further reinforced.

The Malaysian economy is largely geared towards manufacture and services as opposed to research and development (The Malaysian Economy in Figures 2019). As a result, there is a significant demand for semi-skilled labour, whereas highly qualified professionals with research experience face redundancy. Absence in employment prospects is detrimental to these individuals who are then forced to seek opportunities abroad where their professional skills are visible and valued. They are given a chance to earn a decent and appropriate living with an attractive salary and benefits in the adopted country. As of 2010, the World Bank reported over one million Malaysians residing abroad. The data generated also reported "a of all migration is brain drain" and are contributing to their adopted country (World Bank 12). The growth of the brain drain is at a gradual rise in Singapore, followed by Australia, Brunei, the United Kingdom and the United States (World Bank 12).

Another contributing factor which explains why Malaysians remain abroad is the exacerbation of the bureaucracy and complexity of immigration rules for foreign spouses and children in Malaysia, complicating the process of obtaining visas, permanent residency and citizenship. Employment is prohibited for non-Malaysian spouses, unless they obtain a work visa from the company of employment which, even then, is subject to strict conditions. Such prohibition could yield a sense of invisibility for the foreign spouses as their skill sets are not acknowledged without undergoing extensive and time-consuming immigration process.

Employing skilled foreign spouses could have a positive economic impact on the country if the immigration rules were reviewed, and in turn, could encourage Malaysians/returning Malaysians to remain in Malaysia.

The decision to leave one's birth country can be challenging and is never an easy endeavour. It requires a fair amount of reflexion and much weighing of pros and cons. Living subjugated and disenfranchised lives, more and more Malaysian ethnic minorities are increasingly frustrated and are no longer willing to live in a society with a hegemonic majority where there are barriers, limited opportunities and, to some extent, archaic lifestyles. Part of the ethnic minority group that leaves Malaysia and therefore contributes to the brain drain phenomenon encompasses the LGBTQIA+ community who also has been excluded from certain privileges. A message was conveyed by the government in 2012 on allocating a large sum for counselling of individuals with "symptoms of sexual orientation disorder like LGBT," believing that it will effectively "curb this negative phenomenon from spreading in [the] community"7 (How). The message not only inaccurately classified the sexual orientation of the

LGBTQIA+ community as a medical condition, it also reverberated homophobia and transphobia in the Malaysian government, hindering the freedom and basic human rights of those ascribed to the community.

To illustrate this point an excerpt from a participant, N. who is mixed-ethnic and a homosexual, discloses that his migration was "mainly due to [his] sexuality as there has been a lot of struggles in Malaysia, especially within the LGBTQ population, and how we are marginalised, unrecognised and have no rights". N. is situated in a position of underrepresentation and invisibility because his identity as a homosexual is "unrecognised" in Malaysia. Moving to the United Kingdom was a pivotal choice for N. which has allowed him to live freely without restrictions and have a sense of visibility, albeit at the cost of leaving his homeland. Sacrifices are made, hardships of parting from family and friends are endured, celebrations and events are missed out on. Although decisions are made to move abroad for better education, income and lifestyle, there seems to be a longing for some to return home, as is the case for M. who wants to "go back and give it a try". Despite this determination, lack of opportunities in Malaysia forces these individuals to remain in their adopted country. Denied full rights in their birth country, the ethnic minorities feel marginalised, underappreciated and invisible.

A notable reason for migration is limited access to good quality education in Malaysia.

Although there are public tertiary education institutions throughout Malaysia with affordable tuition fees, enrolment into such institutions is limited, and based on ethnic quotas. It means that for an ethnic minority to be successful in securing a place at a public university, one has to attain outstanding grades. Many private tertiary education institutions have been established but they charge costly fees, and they are not quite up to par with the quality of higher education institutions abroad. Primary and secondary education is free but provides somewhat substandard quality, prompting families who can afford it to organise additional tutoring outside the schooling hours.

For instance, P. initially moved to London 24 years ago to complete her tertiary education in computer networks at University of East London:

[…] back then private colleges in Malaysia didn't offer tertiary education, unless you were accepted to study in the public universities, which meant you either had to be a bumiputera (an indigenous Malay or an indigenous ethnic problems which threatens the integrity of the family institution" and "are 'poisoning' the minds of Muslims to accept 'deviant practices.'" (How) group) or had scored straight As in O/A-levels as a non. For the rest of us, the only other option was to go overseas, UK being one of the first choice.

V. who arrived in the United Kingdom for tertiary education came to a decision that the United Kingdom was unequivocally the best option as universities were deemed prestigious "because there's so much of influence from the British, being a Commonwealth country and a former British colony, so that was more of an attraction education wise as the UK provide (sic) quality education." Both excerpts support the ethnic-biased education system that exists in Malaysia.

If one wants to study further to obtain quality tertiary education, one must either achieve perfect results in order to be accepted into a public university, or go abroad, provided one has sufficient private funds to go abroad. Lack of choice for education for ethnic minorities became one of the impetuses for migration. Deep-rooted policies on ethnic stereotypes and hierarchies inherited from the British colonial administration have set boundaries for those wishing to access tertiary education. As a result, ethnic minority students are impelled to migrate for education by cause of the ethnic-based university placement quotas. As V. stipulates, the United Kingdom has been a migration destination for Malaysians like himself, owing to the British colonial history, the Commonwealth connection, and a similar education system. The English language is an additional factor in the migration decision, as P.

specifies:

We learn British English in schools and have a similar education system, so it only made sense to go where it was familiar. And English being quite a strong language for me, I decided on picking a country that spoke English. It would have been quite difficult to learn another language and do my Uni studies.

T. has been living in London for over 40 years: I think it's mainly to do with the fact that I was studying GCSE which is Oxford/Cambridge. And I think Malaysia and Sabah, being former British colony (sic) has something to do with it.

The above excerpts linked migration with their ability to speak English, demonstrating the significance of language in their choice. Furthermore, after their education completion some student immigrants take this opportunity as a stepping stone to work and settle in the United Kingdom. According to Koh in British Colonial Legacies, Citizenship Habitus, and a Culture of Migration: Mobile Malaysians in London, Singapore and Kuala Lumpur, there exists three reasons:

[…] first, limited employment and social mobility opportunities in Malaysia due to affirmative action policies affecting the labour market; secondly, opportunities and preference for merit-based career development and progression in other countries where they obtained their higher education; and thirdly, the desire to capitalise on stronger foreign currencies to finance their education debt, typically paid for by their families. Over time, this turns into a culture of migration, where migrating for education turns into long-term settlement. (Koh 108) Koh's theory is in accord with the participants' culture of migration and settlement in the United Kingdom. It could be added here that while ethnic minorities seek career development and self-progression based on merit in countries abroad, it may also be an avenue for visibility in a professional setting through work contributions. P. intended on staying in London after her degree completion because she felt that she "had a fair chance for work based on [her] skills and would be earning much more in pounds sterling than Malaysian ringgit." Similarly, Y. who moved in 2006 has "no intention of going back to Malaysia and would struggle workwise there and might be better off here. Lifestyle and income are also a little bit better."

The purpose of migration is not solely to obtain quality education in the United Kingdom and to secure employment as a skilled worker not based on ethnicity, but also a way to increase visibility as an ethnic minority. As narrated by Y., "struggl[ing] workwise" as an underrepresented ethnic minority in Malaysia seems ubiquitous as professional skills are underappreciated and thus invisible, and in consequence affect employment and income prospects. The narratives thus far have specified that better earnings in a foreign currency contribute to yet another reason for them to remain in their adopted country. They strive to achieve their potentials and better working conditions: work-life balance as opposed to worklife imbalance. Earning a marginal income and living a mediocre/subjugated lifestyle as ethnic minorities in Malaysia have empowered these individuals to emigrate in an effort to reach visibility in the adopted country. The various forms of this phenomenon are carried out through productivity and diligence at education institutions, employment development and promotions in professional settings, and adequate proficiency in the language of the adopted country. With avenues for opportunities, more Malaysians emigrate to the United Kingdom, resulting in an increasingly visible population of Malaysian immigrant settlement in recent years. 8

Althusser uses the ideological terms "interpellation" or "hailing" in a way that they act or function as a means to recruit subjects among the individuals, or transform the individuals into subjects by that very precise operation.(Althusser 40)

The diaspora here indicates the non-Bumiputeras or the non-Malay and non-indigenous groups who are discontent with Malaysia's inclusive policies and thus migrate abroad for better opportunities. (The World Bank 137)

This Malaysia Economic Monitor issue focuses on Brain Drain, and is the outcome of a collaboration between the Malaysian Government and the World Bank operating as a platform for public discussion, analysis, and the sharing of knowledge on the challenges faced by Malaysia along its high-income journey. (The World Bank preface)

In 2010, 54.5% of Malaysians remain overseas following tertiary education completion, and

72% testify that one of the key factors for residing overseas is for better career opportunities.(The World Bank)

Former Malaysian Deputy Prime Minister, Tan Sri Muhyiddin bin Mohd. Yassin stated at a national counselling conference in 2012 that skilled counsellors were needed to provide counselling to Malaysians who face "sexuality

The official census dataset under the Population of the UK by country of birth and nationality category at the Office for National Statistics recorded 35,000 Malaysian immigrants in 2021.

Concluding reflections

The aim of this analysis has been to study the Malaysian ethnic minorities who are underrepresented in the ethnic-biased political post-independent Malaysia, where "the residue of racial ideology continues to haunt contemporary Malaysia" (Hirschman,The Meaning 570) and to explore their reasons for migration. Their narratives have given some insights into their feelings of invisibility and belonging to a second-class citizen category in Malaysia, and into their strategies of finding better representation and increasing visibility in the United Kingdom.

Understanding the history of British imperialism in Malaysia brings to light the continual impact of British colonial legacies of ethnicity, education, employment and nationality that have been ingrained in postcolonial Malaysia. Malaysians are encouraged to tolerate each other so as to avoid conflicts and to build a harmonious society. However, instead of mere tolerance, open and positive dialogues could be a beacon to minimising conflicts by setting inclusive policies for all Malaysians.

These narratives have highlighted the migration of Malaysians to the United Kingdom as education-led and employment-led whilst seeking for a fair system. The ethnic-biased education and restrictive employment systems in Malaysia have been unfavourable to overall quality of life, steering many Malaysians to move abroad. The British imperial influence has impacted their choice of country for migration and settlement. On that premise, many Malaysian ethnic minorities migrate to the United Kingdom in the hopes for better representation and enhanced visibility particularly in professional settings. They seek equality based on merit in education, fair recruitment in employment founded on skills and language proficiency as key part of their integration process. This phenomenon appears to proceed from invisibility towards visibility of the Malaysian ethnic minorities with its growing population in the United Kingdom.

Although these participants have lived in the United Kingdom for a long time, their loyalty to Malaysia seems to stand strong as the three participants, V., T. and Y., respectively show: "still feeling very much Malaysian" (V.); "I'm Malaysian through and through" (T.), and "I consider myself Malaysian and Malaysian only" (Y.). Despite their efforts in trying to integrate in the adopted country, they "miss the country, the culture and the food" (P.) and "want to go back home as the only resource [they] have left is the people there and maybe

[they] can make a small change somewhere" (M.). This suggests an enigmatic sense of loyalty towards their homeland regardless of the predicament and disenfranchisement that led them to migrate. While migration implies interaction with the adopted country's culture and


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Michel Beigbeder
email: michel.beigbeder@emse.fr

A Model for Searching Musical Scores by Instrumentation

We propose here a preliminary study on the definition of a search model that allows to look for musical scores that exactly or approximately match a query where the query defines the exact instrumentation wanted by the user. We define two versions of approximate matchings. In the first one, the ranking is done with a crisp matching of the instruments. In the second one we relax this constraint and we use a similarity between instruments. We present a first experiment and envision future works.

Introduction

There are many library or bookshop sites on the Web that propose an access to musical scores. Typically the access is provided either by browsing or searching by the composer, the arranger, the publisher or the title of the piece or any conjunctive combination of these fields. This search facility is efficient if the user is aware of some precise musical piece and is able to provide enough information to retrieve the corresponding score and parts.

Our goal is different and we want to give the possibility to search the pieces that a given ensemble is able to play in terms of the instrumentalists that belong to the ensemble. This would be particularly useful for nonprofessional ensembles or for pupil groups in music schools where the composition of the ensemble is not much under control. So the key point in our work is to match the description of an ensemble against the descriptions of the pieces in terms of the number of parts and their instruments.

Related Works

Music information retrieval is a large domain because music has many aspects of interest for the searcher. Downie quotes the following facets: Pitch, Temporal, Harmonic, Timbral, Editorial, Textual, Bibliographic [START_REF] Downie | Music information retrieval[END_REF]. He defends that the instrumentation 1 information is part of the Timbral facet but that it is sometimes considered as part of the Bibliographic facet with an enumeration of the instruments used in a piece. We adopt here the latter point of view. The Downie's survey paper does not quote any work on retrieval by instrumentation. 1 The author uses the term orchestration in place of instrumentation.

1

The paper by Ferrara et al. is focused on genre classification of musical pieces and it defines four facets to describe them: Ensemble, Rhythm, Harmony, and Melody [START_REF] Ferrara | A semantic web ontology for context-based classification and retrieval of music resources[END_REF]. The Ensemble facet is the one that is related to the instrumentation of a piece, and it is described in terms of performers rather than in terms of parts in the score. In their semantic point of view, they want to transform a list of instruments in more general and compact information. The trivial example is to transform the list 2 Violins, 1 Viola, and 1 Cello to String Quartet.I n terms of retrieval they do not address the problem we tackle with, but they are interested in finding pieces that resemble to a given one and they argue that instrumentation is a useful hint for that purpose.

We do not know any publication that address our problem, so we looked at some Web sites to build a tentative state of the art on that matter. We present two commercial sites and a cooperative one that propose scores. Their functionnalities are representative of the best possibilities that we found on any other Web site.

Free Sites

Regarding instrumentation there is currently only a browsing facility in the site http://imslp.org/. This browsing facility is built over a taxonomy where the top level classes are "Keyboard", "Chamber-Instrumental", "Orchestral", "Vocal" and "Featured Instruments". The second level for "Chamber-Instrumental" is mainly composed of the number of instruments (with or without continuo). The second level of the "Orchestral" class distinguishes combinations of i) "orchestra" or "strings", ii) with (or without) soloist, iii) with (or without) continuo. There are also subclasses concerning "toy instruments". It is very difficult to search pieces for a given ensemble. For instance, there are 181 categories of "Chamber-Instrumental" "For 5 players". Moreover in this site it seems that there is not a clean description of the instrumentation, but some "categories" are assigned to each piece just like categories are assigned to articles in Wikipedia.

Commercial Sites

The site http://www.di-arezzo.com/ is the site of a bookshop specialized in selling musical scores. Here one can specify that the scores have to contain parts for at least some instruments2 , and the count of these instruments can be specified. For instance, one can search a piece that needs two flutes, two violins, one viola and one violoncello. At the time of writing, this query returns four pieces. The first one needs two clarinets and two pianos too. The second one needs a keyboard in addition. The third one needs two oboes and two more violins and one more violoncello. The last one needs "13 players" whose list can be found on the page of this item. So we can suppose that none of them is a relevant answer for the given ensemble.

If browsing is used, selecting one instrument lists the scores that needs at least one instance of this instrument. This it not very useful, for instance browsing for Flute returns 13212 items mixed with flute solos, many flute and piano pieces, concertos for flute and orchestra, etc.

The search possibility let us infer that the exact instrumentation is stored in the database underlying this site.

On the site http://www.ewh.dk/ one can specity quite precisely an intrumentation which is developped as a list of instruments with a count. Moreover there are some shortcuts as for instance, "str4tet" (the short for String Quartet) which is developped as the list: 1 "Violin 1", 1 "Violin 2", 1 "Viola", 1 "Cello". Given this list four matchings are proposed:

-"exact match", -"approximate match", which returns scores with at most one more instrument, or those where one instrument is not used, or those where one intrument is replaced by another one, -"any combination", which matches all scores whose instrumentation is included in that of the query, -"any size match", where any piece whose intrumentation is larger matches the query; this is the behavior of the di-arezzo.com's search.

Modelization

In terms of mathematical modelling, the first and most simple approach is to model the instrumentation of a musical piece as a function from the set I of instruments to the set N of positive integers. We will call multiplicity this function.

In fact the mathematical notion of multiset corresponds to that and we will use this vocabulary. So to describe a string quartet the multiplicity function maps Violin to 2, Viola to 1, Cello to 1, and any other instrument to 0. The same simple model is applicable to the ensembles: the composition of an ensemble is a multiset of instruments. We distinguish two kinds of approximate matching. The first one concerns the number of parts and the number of instrumentists where each player has to play a part written for his instrument. The second one relax the latter constraint and will allow instrumentists to play parts written for another instrument. We will present a model for these two matchings in the following sections.

Cardinality Approximate Matching. The matchings used on the site //www.ewh.dk/ are based on exact matching of instruments and on relationships between multisets that are analogous to those used in the boolean model of document retrieval. To refine the set theoretic point of view used on the site, we can adopt an usual method used in information retrieval to present the result with the most relevant ones in top of the list3 .

To model the "any combination" match, the boolean answer is to return each piece p such that p ⊂ e. The larger is p (with p ⊂ e), the closer to the ensemble. So ranking the pieces with decreasing cardinality of p does make sense as the pieces will be ranked with those that employ the maximum of people of the ensemble ranked first. We can notice that the same ranking is obtained if the pieces are ranked with increasing cardinality of e \ p, and the latter multiset is equal to e∆p as p ⊂ e4 .

Symmetrically, for the "any size match", pieces which verify p ⊃ e should be ranked by increasing cardinality of p, which is also the increasing cardinality of e∆p as e ⊂ p.

If both matchings are merged in a single one, ranking by the increasing cardinality of e∆p will rank first 0) pieces which matches exactly the ensemble, then 1a) the pieces where one player don't play 1b) with those where one extra musician is needed, then pieces 2a) with two silent players, 2b) or two extra musicians, 2c) or one silent player and one extra musician, etc. Union of cases 0, 1a, 1b, 2c corresponds to the "approximate match" of site www.ewh.dk.

Instrument Approximate Matching. The second type of approximation is concerned when a part written for an instrument is played by another one. We introduce operators that can be used in a query, so a user might explicitly state her preferences.

We introduce now the OR operator as in the following example: flute OR oboe. There are at least three usages for this operator. The first one is for describing an ensemble where a player is able to play different instruments: for instance someone who can play the flute and the oboe. The second usage is a decision of the user for relaxing his query, probably because he did not find enough answers with a previous query. The last one is when the user knows that in a database two instruments are in fact the same, for instance flute and flauto. Such an operator would be trivially inserted in the previous modelling. But it also could be seen as a degenerated case of a similarity function in the instrument space, where the user explicitely says that the similarity between the oboe and the flute is one, and it is implied that all other similarities that are not explicitly mentioned in the query should be set to zero.

Finally, our most precise model considers as before a set of instruments I, and defines both ensembles and pieces as multisets of instruments. We now add a structure in the set of instrument with a symmetric similarity function sim : I × I → [0, 1] with the condition (∀x ∈ I)(sim(x, x) = 1). This similarity measures to what extent an instrument can replace another one. This function could be either user defined or system defined. We also introduce a pseudoinstrument ǫ which does not belong to I,ak i n do fempty instrument. We also extend the similarity function with sim(i, ǫ)=0f o re a c hi ∈ I.T h i se m p t y instrument will be useful in the mathematical formulation at the end of this section.

Before giving the full formula for the similarity function between an ensemble e and a piece p, we will first present a formal example. Let us consider:

an ensemble E with two instruments x and y, each with a multiplicity of 1; -a similarity function with sim(x, a)=x a and sim(y, a)=y a ; sim(x, b)=x b and sim(y, b)=y b ; -a piece P 1 with two instruments x and a; -a piece P 2 with two instruments y and a; -a piece P 3 with one instrument x; -a piece P 4 with two instruments a and a.

a piece P 5 with two instruments a and b.

The question is how to rank these five pieces for the ensemble E. With P 1 , x matches exactly and y matches a with value y a ,s o :score(P 1 ,E)=1+y a . With P 1 , y matches exactly and x matches a with value x a ,so:score(P 2 ,E)=1+x a . With P 3 ,onlyx matches (and we can say that y matches ǫ with a null similarity), so: score(P 3 ,E) = 1. Finally, with P 4 , x matches a with value x a and y matches a with value y a ,s o :score(P 4 ,E)=x a + y a . Thus in the final ranking, we will have P 1 and then P 2 or the reverse depending on the relative values of x a and y a . And then either P 3 or P 4 depending on the relative value of x a + y a to 1. To compute the score of piece P 5 we can either affect part a to player x (and thus part b to player y) or the reverse i.e. part b to player x (and thus part a to player y). In the former case, the score would be x a + y b , and in the latter case the score would be x b + y a , so we can consider that the score of piece P 5 is the best score: max(x a + y b ,x b + y a ).

We will now formalize for the general case. We have to consider every pair of one instrument in the ensemble with one instrument in the piece. To formalize that we artificially consider any numbering of the elements of the two multisets p and e. These numberings must have the same length. To do that the smallest multiset is filled with ǫ so as to have the same length as the largest one. After that their common length is n =m a x ( |e|, |p|). For instance for E = {x, x, y} and P = {a, b},w eh a v en = 3 and we can consider e 1 = x, e 2 = x, e 3 = y and p 1 = a, p 2 = b, p 3 = ǫ, but any other numbering of the elements would give the same result. Given these numberings, we define the score of the piece p for the ensemble e with: score(p, e)=max

4P r o t o t y p e

We have implemented a first version of the model with ranking on the cardinality of p∆e a sd e s c r i b e di nS e c .3 ,i.e. without the generalization of approximation with a similarity function between instruments. For the collection of pieces we used the site http://www.baroquemusic.it/.T h i ss i t ei so r g a n i z e dw i t h a browsing by composer. We downloaded the pages of each composer and with simple regular expressions matching the HTML code we were able to extract the name of the pieces and their parts. The site provides 247 pieces. For instance, the very first piece lists the following five parts: "Flauto traverso", "Violino primo", "Violino secondo", "Viola", and "Cembalo". But sometimes the parts were not for a single instrument, for instance some parts (twenty exactly) are for "Violino I e II", and there are many other combination of instruments in the part names. So the main difficulty was to build the instrument sets for the pieces. We used ad'hoc rules to unify many variations of "Violino", "Violini", "Violino primo", "Violini ripieno", "Violons", etc. to a single instrument "Violino"; And, for instance, "Violino I e II" to a multiset with two "Violino".

The data extracted from the Web site were stored in a simple text file. A file containing the ad'hoc rules for converting part names to instrument multisets was manually built. When launching the query process, it first loads the rules and the list of pieces and builds the multisets, this is humanly instantaneous. Query processing considers each piece and compute the cardinality of the symmetric difference between the query and the pieces, and rank the pieces accordingly. With this number of pieces, this is also humanly instantaneous.

Future Work

The next step consists in the full implementation of the score formula between a piece and an ensemble for approximate matching. Particularly its complexity in terms of computation with a naive implementation would be in O(n!), which is only usable for very small values of n. We will try a greedy algorithm which will first affect exact matches between an instrument and a part.

We also want to work on a larger database, and we think that imslp.org would be a good choice. Though it perhaps contains too many instrument/part names. An alternative choice would be a commercial site such as di-arezzo.com where the panel of scores is more limited and thus the instrumentations are controlled. We also think that the exact instrumentations are stored in their database and this would eliminate the problem of many names for the same instrument and also the splitting of part names to instrument names.

  i ,p σ(i) )where S n is the set of all permutations of order n. With the same example we have to consider all the following affectations between parts and instrumentists: (x,a)(x,b)(y,ǫ), (x,a)(x,ǫ)(y,b), (x,b)(x,a)(y,ǫ), (x,b)(x,ǫ)(y,a), (x,ǫ)(x,a)(y,b), (x,ǫ)(x,b)(y,a).

More precisely, it is possible to specify at most four pairs of one instrument with a count. So it is not possible to add a trumpet, for instance, to the subsequent example.

Relevance as computed by the information retrieval system, which is not necessarily the human relevance.

The inclusion (⊂), the difference between sets (\), the symmetric difference (∆), and the cardinality should be understood in the multiset meaning.


John Rönn

Jianhao Zhang

Weiwei Zhang

Zhengrui Tu

Antti Matikainen

Xavier Leroux

Elena Durán-Valdeiglesias

Nathalie Vulliet

Frederic Boeuf

Carlos Alonso-Ramos

Erbium-doped hybrid waveguide amplifiers with net optical gain on a fully industrial 300 mm silicon nitride photonic platform


Junlei Yu
email: junleiyu2013@gmail.com

Ana Maria Cruz

Eric Piatyszek
email: piatyszek@emse.fr

Michel Lesbats
email: michel.lesbats@u-bordeaux.fr

Alicja Tardy
email: alicja.tardy@emse.fr

Akihiko Hokugo
email: a.hokugo@gmail.com

Hirokazu Tatano
email: tatano@imdr.dpri.kyoto-u.ac.jp

Junlei Yu

Henri Fayol

A survey of impact on industrial parks caused by the 2011 Great East Japan earthquake and tsunami

Keywords: Industrial facility safety, earthquake, tsunami, hazardous materials

During the 2011 Great East Japan Earthquake and Tsunami (GEJET), many industrial facilities were affected to different extents by the earthquake and/or tsunami. Damages and reasons for hazardous materials releases were reported by former studies. This paper provides further details concerning the impact of GEJET, by the data collected from a series of field visits, interviews and mail surveys. In this study, we report the facility damage and economic losses, the performance of safety and mitigation measures, the emergency preparedness and response to the chemical releases triggered by earthquake and/or tsunami, and changes to preparedness practices at the facilities after experiencing the GEJET. Recommendations are proposed at the end when compared to previous studies in the literature.

Introduction

The Great East Japan Earthquake and tsunami (GEJET) on March 11, 2011 affected industrial facilities and industrial parks, as well as port terminals in Iwate, Miyagi, Fukushima, Aomori, Chiba, Ibaraki, and Tokyo, along coastal areas on the Pacific Ocean in Japan. Earthquake damages extended beyond the coastal areas inland, and even to coastal facilities located on the Japan Sea. [START_REF] Zama | On damage of oil storage tanks due to the 2011 off the Pacific Coast of Tohoku Earthquake (Mw9.0), Japan[END_REF] reported damage at 3,324 oil storage and hazmat facilities (out of 211,877 surveyed by the Japanese government) in the affected areas. 1,404 of these were damaged by the strong ground motion, 1,807 by the tsunami and the rest, 113, remain unknown. According to their report, fires occurred in 42 facilities, and oil leakage occurred in 122 facilities, representing about a 4.9% of the damaged industries. Zama et al. report the number of facilities that had releases, not the actual number of releases which is probably much higher. [START_REF] Krausmann | Impact of the 11 March 2011, Great East Japan earthquake and tsunami on the chemical industry[END_REF] investigated hazardous materials releases at industrial facilities impacted by the earthquake and tsunami based on a review of open sources such as company websites and newspaper articles, and interviews with fire department officials in Sendai and Chiba regarding. At the Sendai refinery, the authors reported several fires, and at least two large oil spills from JIMGA member companies. Another three surveys questionnaires were filled out during field visits.

After tabulation and analysis of the first set of completed questionnaires we found that there were several questions that were left unanswered. Thus, further reviewing and testing of the questionnaire was done and a new version was prepared and translated hoping to get better results in the second mailing to all the companies at the Chiba and Kashima industrial parks located in Chiba and Ibaraki Prefectures, respectively. A total of 351 questionnaires were mailed out.

The questionnaires were written in both Japanese and English. A cover letter with instructions, and a pre-addressed return envelope were mailed to the entire sample. There were no follow up mails or phones to the investigated facilities.

Figure .1 Map showing the location of industrial facilities for which a completed questionnaire was received (the number of respondents of each area is shown in the brackets)

The questionnaire was divided into ten sections. As listed in Table 1, Section A provided an introduction to the questionnaire survey. Section B asked questions that identified each industrial facility, including company name, size, number of employees, year of construction and type of industry. Section C asked questions regarding the earthquake (e.g., peak ground acceleration (pga) or Gal, Shindo scale intensity) and the tsunami (e.g., water depth, duration of submersion, water flow velocity) hazard event if known, and their impact.

We were interested in learning about damages and losses to the facility as well as the performance of safety and mitigation, and emergency response systems.

Thus, Section D inquired about the overall damages and economic losses at the facility from the earthquake, tsunami and aftershocks. Specifically, we asked if the plant was directly or indirectly damaged by the earthquake, tsunami or aftershock; the causes of total or partial plant shutdown; and the monetary losses suffered by the companies. In Section E, we asked whether the units or system handling hazardous materials were damaged by the earthquake or tsunami, and whether these damages involved hazmat releases. In the case of a hazmat release, the responder was further asked to indicate if these releases had resulted in, or posed a threat of fire, explosion, etc. In this section, we also asked about the performance of safety and mitigation measures in place when the earthquake and/or tsunami occurred. In addition, we asked the respondents to tell us about any other problems or failures that occurred during the earthquake and/or tsunami, such as, building collapse, debris impact, etc.

Section F asked questions concerning damage to emergency response facilities and resources by the earthquake and/or tsunami.

Questions regarding the preparedness and emergency response actions taken were also included. Section G inquired about the emergency preparedness actions taken to prevent casualties, and the effectiveness of emergency plans for the earthquake and/or tsunami triggered chemical accident. In Section H, we asked about the actions taken to control the releases triggered by earthquake and /or tsunami during the GEJET.

Questions concerning the possible impact of the chemical releases on nearby residents and the environment were included in Section I. Finally, Section J investigated changes to regulations, preparedness practices, and recommendations for future practices based on the experience of the GEJET.

Results

Response rate and general characteristics of the facilities

In total, we have received 48 completed questionnaires from the two mail surveys and field visits, resulting in a response rate of 13.3%. The response rate is low for this kind of survey. Past surveys reported response rates of 23-26% [START_REF] Cruz | Industry preparedness for earthquakes and earthquake-triggered hazmat accident in the 1999 Kocaeli Earthquake[END_REF]Lindell andPerry 1998, Webb et al. 2000).

Nonetheless, given the general difficulty to access information from industrial installations, we believe the results here presented provide some interesting insights as to the impacts of the GEJET on the chemical industry.

The characteristics of respondents are shown in Table 2. Among the 48 facilities surveyed, only 5 were part of a multinational company. We used two measures of company size including self-identification as small, medium, or large; and selection of the number of employees from among three categories as shown in table 2. A relatively large group of facilities (63 %) were small-size companies, and 65% of the facilities had 0-50 employees. A little less than 20% of the facilities had more than 200 employees. Half of the facilities were chemical companies, 15% were petrochemical, 8% were metallurgical, and 4% were oil refineries.

We asked respondents to indicate the date of construction of the facilities.

Unfortunately, almost half (23) of the respondents did not answer this question. indicated being affect by the tsunami or the combined effect from both the 14 earthquake and tsunami. Two of the facilities surveyed through JIMGA were 15 located inland in Fukushima prefecture and were thus not affected by the tsunami. Most of companies located along the coastline reported damage due to both the earthquake and the tsunami (27%), and by the tsunami alone (6%).

Moreover, among the companies surveyed, 60% were directly damaged by the earthquake, and 29% directly damaged by the tsunami. 63% were indirectly impacted by the earthquake, and 25% indirectly damaged by the tsunami. The earthquake aftershock also caused direct damage to 33% and indirect impacts to 25% of the surveyed companies. Table 3 Overall damages by impact hazards

In addition, the earthquake and/or tsunami caused total shut down in 48% (23 out of 48) of surveyed facilities; and partial shutdown in 6% (3out of 48). 19% (9 out of 48) said they experienced both total and partial shutdown of different parts of their plants; and 21% (10 out of 48) did not shut down. On average, the earthquake and/or tsunami impacts cost surveyed companies to shut down totally for 61 days, and partially for 63 days. The main causes of shutdown are listed in Table 4, which shows that the most common cause for shutdown was direct (e.g., direct damage due to ground shaking, submersion) or indirect damage (e.g., debris impact, collapse of neighboring structure) due to the earthquake and/or tsunami (58%). Loss of electricity was the second most common cause, resulting in shutdown at 44% of surveyed companies. Other causes such as "blocked transportation routes" and "supplier company was damaged", etc. were also reported by respondents.

Damage to the facilities handling hazardous materials 3

In the questionnaire, we asked if there was any damage caused by the 4 earthquake and/or tsunami on process units, vessels, storage tanks or other 5 equipment that handle high pressure gases, flammable liquids or toxic chemicals.

6

As indicated in Table 5, 21 of the surveyed companies handling high pressure 7 gases, in which 12 of them were damaged by the earthquake, while nine were 8 damaged by the tsunami. Furthermore, 2 companies handling toxic chemicals,

9
and three that handle flammable liquids were damaged by the earthquake and/or tsunami. In our survey we asked about the types of problems or failures that occurred at: 6. The selection of failures and/or problems used in this survey was based on a similar list used by [START_REF] Cruz | Industry preparedness for earthquakes and earthquake-triggered hazmat accident in the 1999 Kocaeli Earthquake[END_REF] and typical failures reported by [START_REF] Abag | Hazardous Materials Problems in Earthquakes: A Guide to Their Cause and Mitigation[END_REF]. Loss of electricity was the most often reported problem affecting operation at four atmospheric storage tanks, five pressure tanks/ vessels, six process units/ equipment, and two pipeline systems. Water intrusion affected 10 facilities causing total damage or malfunction. Furthermore, failure of support structures (6 facilities), building collapse (6 facilities) and debris impact (6 facilities) were also reported. Process units/ equipment (28 facilities) and atmospheric storage tanks (16 facilities) appear to be the most vulnerable in our study. Even though no respondents reported any problems or failures due to human error in the survey, the interview with Cosmo oil refinery revealed that human error and design were the major contributors to the hazmat release and fires that resulted. facilities were damaged by the earthquake, while 7 (15%) were damaged by the 7 tsunami. One respondent reported that their emergency team members were 8 unable to reach the plant during the earthquake and/or tsunami. Fortunately, no 9 emergency team members were reported to be injured or killed by the earthquake and/or tsunami.

In more detail, we asked respondents about damage to the emergency operations center, and on-site fire station building (if present in the installation).

The results are shown in Table 7. Ten facilities lost utilities at the emergency operation's center during the earthquake and/or tsunami. Furthermore, 7 and 8 respondents reported damage to their IT equipment and communications equipment at the emergency operation center, respectively. For the on-site fire station building, the earthquake and/or tsunami damaged the IT equipment in 6 of the surveyed facilities. Other issues such as loss of utility, damage to fire suppression and hazmat response equipment were also reported by some respondents. Japanese yen, respectively, due to the earthquake and/ or tsunami impact. Only 6 (13%) industries indicated that their losses were covered by insurance, while 27 (56%) were not. In the questionnaire, we also asked what percentage of the total losses was covered by the insurance. Only 3 respondents answered this question, by providing the amount of money they received from insurance instead of percentage. The average losses covered by the insurance was 1800 million Japanese yen.

Emergency preparedness adopted by industrial facilities

20

54% of surveyed industries reported that they had emergency response plan that took into account the response to earthquake and/ or tsunami triggered chemical accidents. However, 21% of respondents indicated that they think the procedures in the emergency response plan were not well designed for the chemical accidents triggered by earthquake and/or tsunami (35% said the procedures were well designed). In comparison, 63% of the respondents thought the procedures were well designed to cope with the earthquake. Only 31% of industries thought their emergency plans were adequately designed for the tsunami.

Concerning to the emergency teams, 33 (69%) industries had an on-site fire teams, while 18(33%) had an on-site Hazmat team at the time of the earthquake and tsunami. Comparatively fewer industries had on-site incident support services (e.g., excavator, bull dozer, and crane) (15 (31%)), and on-site emergency medical teams (13 (27%)). 31(65%) surveyed facilities had an evacuation plan for employees at the time of the earthquake, while only 12 (25%) of them did not have one. This may be because 63% of respondents were small-size companies. Six facilities reported that they now have an evacuation plan. 40% of facilities had an established program for training their workers for the handling of chemicals safely at the time of the earthquake, while 42% of them did not have such program.

In addition to asking about the on-site emergency preparedness, we were also interested in the off-site plans adopted by the industries. We asked respondents to indicate if they had established procedures to notify local authorities in the event of a chemical accident at the time of the earthquake. A relatively high percentage (60%) of respondents said they had such plan in place. However, for the program for enhancing residents' risk awareness and/or disseminating knowledge about hazardous materials, 65% of industries did not have one.

Emergency actions during the earthquake and/or tsunami

Among the 48 respondents, 67% (32) of them indicated that they did not receive the tsunami evacuation warning from local authorities. However, 46% (22) of them did evacuate for the tsunami. 15% (7) of them evacuated before receiving the official evacuation warning, while 27% (13) of them evacuated after receiving the warning. Most facilities evacuated all the staff (67%), while only 5 (10%) of them left a crew to deal with later emergencies.

The facilities that experienced releases of hazardous materials, fires, explosions, or oil spills, were further asked about their emergency actions. As indicated in section 3.2.2, six facilities reported hazardous materials releases, fires or explosions. Furthermore, another two facilities indicated that releases almost occurred at their plants (near misses). Among the 8 respondents, only 3 of them indicated that they were able to control the accident or release once it began.

The emergency shut down procedure worked effectively which prevented further releases. The emergency response to contain the accidents in 6 out of 8 facilities involved the facilities' fire teams, while 1 facility reported the involvement of the facility hazmat team, and 1 facility reported the involvement of government fire team support. 3 out of 8 respondents indicated that there were sufficient numbers of personnel to respond to the release, while 3 industries did not have enough personnel. In the questionnaire, we asked if the respondents were able to clean up or recover the released materials. 4 respondents said yes, while 2 of them said no.

In order to understand more details about the emergency response actions, we asked respondents to indicate the timing when they: 1. Activated the emergency plan; 2. Manage to respond effectively; 3. Communicated with outside agencies/authorities; 4. Secured the facility, 5. Accessed the accident scene;

and Respondents were given five "time periods" to choose from: a. immediately after the earthquake, before the tsunami warning; b. after tsunami warning, before the tsunami; c. sometime after the tsunami attack (one or two days after); d. several days after the tsunami attack (three days or more); and e. it was not able to take actions. The results are shown in Fig. 2. 50% of respondents successfully activated the emergency plan immediately after the earthquake (1 involved earthquake, and 3 involved both earthquake and tsunami). However, only 25% of them managed to respond effectively in the same time period (1 involved earthquake, and 1 involved earthquake and tsunami). 38% of respondents secured the facility immediately (1 involved earthquake, and 2 involved earthquake and tsunami), but, only 25% of them were able to access to the emergency equipment or respond to the accident (1 involved earthquake, and 1 involved earthquake and tsunami). Moreover, 38% of respondents indicated that they were unable to communicate with outside agencies/authorities (1 involved earthquake, 1 involved tsunami, and 1 involved earthquake and tsunami).

Changes in industry preparedness for hazmat releases after the GEJET

After experiencing the GEJET, many industrial facilities had changed their regulations or practices to better respond to the next earthquake and tsunami.

Table 10 shows that 65% of surveyed industries have added or modified their emergency response plans after the GEJET. Furthermore, 44% of industries indicated that they have changed the company's external relations policies to improve public safety around the facility, such as the dissemination of information concerning self-protective knowledge, etc. Other measures taken include improving the way to obtain disaster information and warnings (40%), improving the way to communicate disaster information and warnings to their employees (35%), earthquake retrofitting of existing buildings, storage tanks or process units (33%), and adopting specific measures for tsunami impacts (23%). Fewer respondents indicated that they have taken measures to In fact, loss of electricity was reported as a problem affecting operations at 17 storage tanks and vessels, and pipeline systems. 11 of these facilities were impacted by the tsunami or by the conjoint effect of the earthquake and tsunami. 10 of these facilities reported damage due to water intrusion. Onsite power generation plants or back up power generators if available (only 4% indicated they had them) were most likely flooded, and those that were not, may have been available only for lighting purposes, not to operate process equipment. Our results show that facilities were less likely to take tsunami protection countermeasures. Thus, to prepare for any future disaster, measures should be conducted to prevent or mitigate the direct/ indirect impact by natural events (such as earthquake and tsunami), and to avoid losing electricity, especially for critical facilities.

About 44% of facilities handling high pressure gases were damaged by the earthquake and/or tsunami. The high percentage may be a sample bias because 35% (17 out of 48) of the respondents were from high pressure gas facilities. Hazmat releases occurred in 13% of hazmat-handling industrial facilities in our survey. This is higher than that reported for the Kocaeli earthquake (8%) by [START_REF] Cruz | Industry preparedness for earthquakes and earthquake-triggered hazmat accident in the 1999 Kocaeli Earthquake[END_REF], but lower than 18.5% reported by [START_REF] Lindell | Identifying and managing conjoint threats: Earthquake-induced hazardous materials releases in the US[END_REF]. Besides the fact that our sample was small, the difference may due to the fact that the GEJET was a much more powerful earthquake in addition to the large tsunami and series of earthquake aftershocks. Our results show that process units and atmospheric storage tanks were more vulnerable than other types of equipment. Earthquake retrofitting, elevating the equipment or improving waterproofness may help facilities to increase their ability to cope with next earthquake and tsunami impact. Furthermore, the higher number of facilities reporting loss of electricity as a "failure mode", indicates that adequate planning of backup power requirements is needed, including ways to insure their integrity during future earthquakes and tsunami.

Even though over 50% of respondents reported that they had response plan considering the hazmat releases during earthquake and/or tsunami, 21% of them indicated that the plans were not well designed. An important issue revealed by this study is that 65% of the facilities surveyed had no programs or activities to communicate with the public regarding preparedness for hazardous materials accidents.

About a third of the surveyed facilities reported that they have retrofitted existing buildings, storage tanks, etc. for the next earthquake, and about a quarter have adopted specific prevention and mitigation measures for tsunami. Most surveyed facilities have made some changes to improve disaster preparedness after the GEJET. Improvements were reported regarding emergency response plans and risk communication to residents living close to the facilities. However, more needs to be done to reduce Natech risks based on the lessons from this survey. For example, the domino accidents that occurred at the Chiba refinery suggests that strict regulations should be adopted to ensure that sufficient separation distances are kept between storage tanks, as well as between storage tank farms and other facilities. Following the GEJET, the Chiba refinery increased the distance between the new LPG tanks to 25-30m, and improved water sprinkler systems on each tank. At other existing tanks and neighboring facilities that cannot be moved, risk assessments should be performed to ensure that Natech risks are identified and adequate prevention and preparedness measures are put in place. Furthermore, emergency planning that considers the potential loss of onsite and offsite utilities required for mitigating the consequences of a Natech accident should be introduced [START_REF] Krausmann | Impact of the 11 March 2011, Great East Japan earthquake and tsunami on the chemical industry[END_REF].

This study provides detailed information concerning the impact of earthquake and tsunami on industrial facilities as well as their emergency system during the GEJET. Even though, the samples for this study is relatively small and has potential bias, it provide some insights in the management of risks resulting from earthquake and tsunami triggered chemical accidents. First, comprehensive loss estimation caused by potential natural hazard impact should be conducted for the existing industrial facilities in areas subject to high earthquake and tsunami hazards such as Osaka Bay in Japan. Second, particular attention should be given to the facilities or equipment that are more vulnerable (e.g. process units and atmospheric storage tanks found in this study). Finally, effective emergency plans to deal with the conjoint impact by natural events and chemical accident should be discussed.

Section

  damage and economic losses at the facility from the earthquake and tsunami Section E Performance of units and systems handling high pressure gases and other hazardous chemicals during the earthquake and tsunami Section F Performance of emergency response systems (facilities and resources) Section G Emergency preparedness Section H Actions taken to control the earthquake/ tsunami caused chemical accidents Section I Consequences of the chemical releases Section J Changes and recommendations

  (a) Atmospheric storage tanks; (b) Pressure tanks/ vessels; (c) Process units/ equipment; and (d) Pipeline systems as presented in Table

3

  (a) Atmospheric storage tanks; (b) Pressure tanks/ vessels; (c) Process units/ equipment; (dWe were also interested in collecting information concerning the damage to 4 emergency equipment and resources by the earthquake and/or tsunami. The 5 results show that the emergency response resources of 6 (13%) surveyed 6

Fig. 2

 2 Fig.2 Timing of emergency actions

23

  were not covered by insurance. Direct/ indirect damages caused by the 24 earthquake and/or tsunami and loss of electricity were the main reasons for 25 facility shutdowns.

Table 1 .

 1 Contents of the survey questionnaire

	Section	Topic
	Section A Introduction to the questionnaire survey

Table 2 .

 2 Industrial facility characteristics

	1	Ten respondents indicated their facilities were built between 1970 and 1980, six
		said the facilities were built in1969 or before, and nine were built after 1980.
	3
			No. of facilities	Percent
		Multinational
		Yes No	5 43	10% 90%
		Company size
		Small Medium Large No answer	30 12 4 2	63% 25% 8% 4%
		No. of employees
		(0-50) (51-200) (201+)	31 8 9	65% 17% 19%
		Type of industry
		Chemical Petrochemical Oil refinery Metallurgical Other No answer	24 7 2 4 10 1	50% 15% 4% 8% 21% 2%
		Age of industrial facilities
		≤1969	6	13%
		≥1970<1980	10	21%
		≥1981<1990	4	8%
		≥1991 No answer	5 23	10% 48%
		Total	48	100%
	4

2

3.2 Damage and economic losses

	5
	6	3.2.1 Overall damages
	7	In the questionnaire, we asked respondents to indicate whether the industrial
	8	facility was damaged by the earthquake, tsunami, and earthquake aftershocks
	9	directly (e.g. due to ground shaking, liquefaction, inundation) or indirectly (e.g.
	10	debris impact, collapse of support structure, earthquake/tsunami triggered fires
	11	at other facilities). As indicated in table 3, of the 48 facilities, 22 were damaged
	12	by the earthquake and/or its aftershocks. 11 of these, were located at the Chiba
	13	industrial park in Chiba Prefecture. Only 3 facilities from Chiba prefecture

Table 4

 4 Main cause of total or partial plant shutdown

	Hazards	Only earthquake		Both	No
	Locations	or aftershock	Only	earthquake	damage	Total
			Tsunami	and tsunami
	Aomori	0	0	3	0	3
	Iwate	4	0	2	0	6
	Miyagi	2	2	4	0	8
	Fukushima	2	0	0	0	2
	Kashima	3	0	2	0	5
	Chiba	11	1	2	10	24
	Total	22	3	13	10	48

Table 5

 5 Damage to the facilities handling hazardous materials by impact hazards Four employees in one industry were killed by the tsunami. No domino effect was reported by the respondents despite the fact that in one of the facilities surveyed there were several domino chemical accidents. As reported by[START_REF] Krausmann | Impact of the 11 March 2011, Great East Japan earthquake and tsunami on the chemical industry[END_REF], during the GEJET, the strong ground motion at the Chiba refinery caused the support braces of an LPG tank to buckle which led to complete tank collapse during an aftershock. The collapse of the tank, which contained water at the time of the earthquake due to a maintenance check, ruptured connected LPG pipes and eventually degenerated into a major refinery fire and series of explosions. The associated explosions destroyed all 17 LPG tanks in the tank farm, and damaged nearby asphalt tanks due to debris impact, causing asphalt to leak into the ocean. The reason for no report about domino accidents in this survey by the Chiba refinery may have been due to a misunderstanding of the concept of "domino" effects.

	Hazards
	Units and systems	Earthquake	Tsunami	Total
	High pressure gases	12	9	21
	Flammable liquids	2	1	3
	Toxic chemicals	1	1	2
	Two facilities reported fires, and one facility reported explosions and fires during
	the earthquake and tsunami disaster. Six of the surveyed facilities reported
	hazardous materials releases. Although these facilities did not suffer fires or
	explosions, they did report concern that the released materials posed a fire or

explosion hazard. Furthermore, the releases resulted in resident evacuation in two surveyed cases. Furthermore, 2 facilities indicated that the hazardous material releases caused environmental consequences such as air or water

Table 6

 6 Types of problems or failures that occurred at

Table 7

 7 Damage to emergency response systems No. of facilities

	Emergency Operations Center
	Loss of utility	10
	Damage to IT equipment	7
	Damage to communication equipment	8
	On-site fire station building
	Loss of utility	3
	Damage to IT equipment	6
	Damage to fire suppression equipment	2
	Damage to hazmat response equipment	1
	Damage to emergency medical care equipment	0
	Damage to personal protective equipment	0
	Total	48
	3.2.4 Economic losses
	15% (7 out of 48) an4d 38% (2 out of 48) of respondents at the surveyed
	facilities reported direct and indirect economic losses, respectively. 38% (18 out
	of 48) of them reported both direct and indirect losses. 44% (21 out of 48) of
	respondents did not provide information about their economic losses or indicated
	that such information had not been published. As shown in Table 8, direct and
	indirect economic losses were on average, 2,144 million and 843 million

Table 8

 8 Direct losses refer to the estimated cost of property damage losses caused by the earthquake and/or tsunami. Indirect losses refer to the estimated cost of other losses such as

	Economic losses at industrial facilities surveyed
	Economic losses (million)	Mean	Minimum	Maximum
	Estimated cost of total direct losses	2144	1	50000
	Estimated cost of total indirect losses	843	0.6	7500
	Losses covered by the insurance	1800	100	5000
	Note:

2 3.

3 Industry preparedness for hazmat releases during the earthquake and

	3
	4	tsunami
	5
	6	3.3.1 Available and damaged mitigation measures
	7	In the questionnaire, we asked respondents to indicate the mitigation measures
	8	that were available and whether they were damaged by the earthquake and/or
	9	tsunami. According to results shown in Table 9, 21% of facilities had adopted
	10	structural design/ retrofitting for earthquake at the facility level, followed by
		anchoring of storage tanks and other equipment (19%). 17% and 19% of

11

respondents said that atmospheric storage tanks and pressure tanks/vessels 12 were designed or retrofitting for earthquake respectively. Emergency shut off/ 13 safety valves were available for these two types of equipment at 13% and 15% 14 of facilities, respectively. The damage rate of these types of mitigation measures 15 was quite low, less than 4% according to our survey.

16 17

Table

9

Available and damaged mitigation measures adopted by industrial facilities

Table 10 .

 10 Changes to regulations or practices after the GEJET 5

	120%
	80% 100%	25% 13%	13%	38%	25%
	20% 40% 60%	50% 13%	25% 25% 25%	25% 13% 25%	38% 13% 25%	25% 13% 13%
	0%
		Activating the emergency plan	Managing to respond effectively	Communicating with outside agencies/authorities	Securing the facility	Accessing to the emergency equipment
			It was not able to take actions
			Several days after the tsunami attack (three days or more)
			Sometime after the tsunami attack (one or two days after)
			After the tsunami warning, before the tsunami
			Immediately after the earthquake, before the tsunami warning

Acknowledgements

This work is funded in part by the French Ministry of Ecology, Sustainable Development and Energy (Ministre de l'Écologie, du Développement durable et de l'Énergie -MEDDE).

Review, 1 (2): 83-90.

ACCEPTED MANUSCRIPT

The earthquake and /or tsunami during the GEJET had caused substantial damages and economic losses to the industries investigated.

The investigated industries were less prepared for the tsunami impact Loss of electricity was reported as a major problem affecting operations at storage tanks and vessels, and pipeline systems.

Process units and atmospheric storage tanks were more vulnerable than other types of equipment 65% of the facilities surveyed had no programs or activities to communicate with the public regarding preparedness for hazardous materials accidents