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 Series on Bioengineering a nd Biomedica l E ngineering – Vol. 9

D Y N A M I C S o f the
VASCULAR SYSTEM
Interaction with the Heart
Second Edition

9807_9789814723749_TP.indd 1 6/8/18 10:23 AM

 SERIES ON BIOENGINEERING AND BIOMEDICAL
ENGINEERING

Series Editor: John K-J Li (Department of Biomedical Engineering,

Rutgers University, USA)

The aims of the book series are to present a publishing forum for established
researchers, educators and professionals in the field of bioengineering and
biomedical engineering to promote in-depth documentation of new scientific
findings, technological advances, and to provide effective teaching tools of the
fundamental aspects of the field. Single or multiple authored or edited books,
research monographs, textbooks, lab manuals and specialized conference pro-
ceedings are welcome. Topics of interest include biosensors, biomedical devices
and instrumentation, physiological modeling and signal processing, medical
imaging, drug delivery systems, clinical monitoring, tissue engineering, sys-
tems biology and bioinformatics, biomechanics and biomaterials, rehabilitation
and prostheses, nano and micro applications to biomedicine, biomedical optics,
biofluid mechanics, artificial organs and assist devices.

Published

Vol. 9: Dynamics of the Vascular System: Interaction with the Heart

(Second Edition)
by John K-J Li (Rutgers University, USA)

Vol. 8: Neuroprosthetics: Theory and Practice (Second Edition)

edited by Kenneth Horch (University of Utah, USA) and
Daryl Kipke (University of Utah, USA)

Vol. 7: Further Understanding of the Human Machine: The Road to

Bioengineering
edited by Max E Valentinuzzi (National Scientific and Technical
Research Council (CONICET), Argentina)

Vol. 6: Cardiac Fibrillation-Defibrillation: Clinical and Engineering Aspects

by Max E Valentinuzzi (University of Buenos Aires, Argentina &
University of Tucumán, Argentina)

Vol. 5: Biomedical Engineering Principles of the Bionic Man

by George K Hung (Department of Biomedical Engineering,
Rutgers University, USA)

For the complete list of volumes in this series, please visit

www.worldscientific.com/series/sbbe

Alex - 9807 - Dynamics of the Vascular System.indd 1 30-07-18 12:30:20 PM

 Series on Bioengineering and Biomedical Engineering – Vol. 9

DYNAMICS of the
VASCULAR SYSTEM
Interaction with the Heart
Second Edition

John K-J Li
Rutgers University, USA

World Scientific
NEW JERSEY • LONDON • SINGAPORE • BEIJING • SHANGHAI • HONG KONG • TAIPEI • CHENNAI • TOKYO

9807_9789814723749_TP.indd 2 6/8/18 10:23 AM

 Published by
World Scientific Publishing Co. Pte. Ltd.
5 Toh Tuck Link, Singapore 596224
USA office: 27 Warren Street, Suite 401-402, Hackensack, NJ 07601
UK office: 57 Shelton Street, Covent Garden, London WC2H 9HE

Library of Congress Cataloging-in-Publication Data

Names: Li, John K-J., 1950– author.
Title: Dynamics of the vascular system : interaction With the heart / by John K-J Li.
Other titles: Series on bioengineering and biomedical engineering ; v. 9.
Description: 2nd edition. | New Jersey : World Scientific, 2018. | Series: Series on bioengineering
and biomedical engineering ; volume 9 | Includes bibliographical references and index.
Identifiers: LCCN 2018010403 | ISBN 9789814723749 (hc : alk. paper)
Subjects: | MESH: Cardiovascular Physiological Phenomena | Models, Cardiovascular
Classification: LCC QP105 | NLM WG 102 | DDC 612.1--dc23
LC record available at https://lccn.loc.gov/2018010403

British Library Cataloguing-in-Publication Data

A catalogue record for this book is available from the British Library.

Copyright © 2019 by World Scientific Publishing Co. Pte. Ltd.

All rights reserved. This book, or parts thereof, may not be reproduced in any form or by any means,
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Desk Editor: Anthony Alexander

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Printed in Singapore

Alex - 9807 - Dynamics of the Vascular System.indd 2 30-07-18 12:30:20 PM

9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-FM

Preface to the First Edition

This book is the first volume of the Bioengineering and Biomedical

Engineering Book Series. As the Series Editor, and to set a good
example, I have taken the task of writing yet another book on the
cardiovascular system.
The contents of this book extends from Arterial System Dynamics,
my first book published some fifteen years ago, to distinctly different
regimes of the microcirculation and the venous system, as well as the
assisted circulation.
The vascular system is indeed so vast, that a binocular vision is often
needed to unravel the mystery of the many concurrent interactions
occurring at different sites of the vascular tree. This becomes more
challenging with the imposition of studying its dynamic phenomena. The
Dynamics of the Vascular System is written employing mathematical
techniques to formulate the physical principles involved in the structural
and functional correlates of the underlying physiology. The intriguing
control and geometric perspectives are also included wherever possible.
The book also serves as a companion text to The Arterial Circulation:
Physical Principles and Clinical Applications.
Selected topics and references are provided, so that I and the readers
are not overwhelmed by the otherwise exhaustive presentations of the
many observed phenomena and the subsequent diverse interpretations of
their origins and mechanisms.
I hope professionals and students in the field of bioengineering and
biomedical engineering, biomathematics, biophysics, cardiovascular

v
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-FM

vi Preface to the First Edition

physiology and medicine will find this book a relevant source of

reference. Much of the work is the culmination of my three decades of
learning, experimenting and investigation. I am aware that there are
other works of notable items and newer advances which I have not yet
included in this book. I will continue to learn more of them. Finally, I
like to thank those who have contributed to the completion of this book.

John Kong-Jiann Li
New Jersey, USA
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-FM

Preface to the Second Edition

This book was originally published in 2004 as the first volume of the
Bioengineering and Biomedical Engineering Book Series. A decade has
quickly passed, together with the many advances in the sciences,
medicine and technology. I decided to take up the task to update some of
the materials for this second edition, while preserving the fundamental
concepts of the original text.
The contents of this second edition include explicitly a chapter on the
Interaction of the Heart and the Arterial System. This topic was
supported by the National Science Foundation that I began working on
right after completing my doctorate at the University of Pennsylvania
four decades ago with the late Professor Abraham Noordergraaf. This
chapter includes basic cardiac muscle mechanics, the contractile function
of the heart and its dependence on the operating relations with the
vascular system under normal and heart failure conditions, with emphasis
on their dynamic interaction. Examples of mechanical cardiac assist
devices and drug treatment are also included.
This second edition continues to emphasize on quantitative treatment
of the vascular system by analyzing the structural and functional
correlates of the underlying physiology. This may purposefully overlook
some of the clinical aspects in terms of diagnosis and treatment efficacies
of certain cardiovascular diseases. Similar to the first edition, rather than
being exhaustive, only selected topics and references are provided. In
this regard, worthwhile publications from some investigators may not
have been included.

vii
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-FM

viii Preface to the Second Edition

I hope many of the cardiovascular scientists, researchers and

clinicians, as well as students will continue to find this book a useful
reference. I like to thank those who have contributed to the completion
of this book.

John Kong-Jiann Li
New Jersey, USA
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-FM

About the Author

John K-J. Li obtained his Ph.D. in Bioengineering

from the University of Pennsylvania and has been a
Distinguished Professor of Biomedical Engineering
at Rutgers University since 1998. He has been an
elected Fellow of the American Institute for
Medical and Biological Engineering, the American
Colleges of Cardiology, the American College of
Angiology, and the Academy of Medicine of New
Jersey. He is also the Founding Editor-in-chief of
Springer’s Cardiovascular Engineering and Bioengineering and
Biomedical Engineering Book Series of World Scientific and Imperial
College Press, and is on the editorial boards of numerous journals. His
research has been founded by the NIH, NSF, AHA, and industry grants,
with interest in cardiac and vascular mechanics, modeling, medical
devices, controlled drug delivery, hypertension and heart failure,
neuroengineering, scaling in biology, and comparative physiology. He
has authored several books and published numerous articles and is a
frequently invited speaker at national and international conferences and
universities. He enjoys teaching and has been the adviser to more than 90
Ph.D. and M.S. students and 175 senior design students, and received
teaching excellence awards. He is also a holder of several US patents
and a recipient of the IEEE Millennium Medal.

ix
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9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-TOC

Contents

Preface to the First Edition....................................................................... v

Preface to the Second Edition .................................................................vii
About the Author ...................................................................................... ix

Chapter 1. Historical Background and Book Contents ............................ 1

1.1 Discoveries of the Circulation .................................................... 1
1.2 Importance of the Vascular System ............................................ 7
1.3 Newer Concepts .......................................................................... 8
1.4 Book Contents ............................................................................ 9

Chapter 2. Vascular Biology, Structure and Function ........................... 15

2.1 Anatomical Organization of the Vasculature ............................ 15
2.1.1 The Closed-loop Circulatory System............................. 15
2.1.2 The Heart ....................................................................... 15
2.1.3 The Arteries ................................................................... 18
2.1.4 The Veins ....................................................................... 19
2.1.5 The Microvasculature .................................................... 20
2.2 Geometric and Mechanical Properties of Blood Vessels .......... 21
2.2.1 Geometric Nonuniformity of Blood Vessels ................. 21
2.2.2 Elastic Nonuniformity of the Blood Vessels ................. 24
2.2.3 Vascular Stiffness and Elastic Properties ...................... 25
2.3 Functional Properties of Blood ................................................. 31
2.3.1 Blood Plasma and Blood Gas ........................................ 31
2.3.2 Oxygen Saturation Curves and Hemoglobin ................. 32
2.3.3 Red Blood Cells, Hematocrit and Blood Volume.......... 35

xi
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-TOC

xii Contents

2.4 Control Aspects of the Vascular System .................................. 37

2.4.1 Control of the Central Cardiovascular System .............. 38
2.4.2 Functions of the Baroreceptors ...................................... 39
2.4.3 Arterial Chemoreceptors ................................................ 40

Chapter 3. Physical Concepts and Basic Fluid Mechanics .................... 43

3.1 Basic Mechanics and Dimensional Analysis ............................ 43
3.1.1 Mass, Length and Time System and the Pi-theorem
of Buckingham .............................................................. 43
3.1.2 Dimensional Matrix ....................................................... 45
3.1.3 Biological Scaling and Dynamics Similitude in
Vascular Biology ........................................................... 46
3.1.4 Elastic and Viscoelastic Properties of Blood
Vessels ........................................................................... 49
3.2 Frequency Domain and Fourier Analysis ................................. 56
3.2.1 Blood Pressure as a Periodic Function .......................... 56
3.2.2 Trigonometric Fourier Series ......................................... 57
3.2.3 Complex Form of Fourier Series ................................... 59
3.2.4 Other Aspects of Frequency Domain Analysis.............. 62
3.2.4.1 Dirichlet Conditions ........................................ 62
3.2.4.2 Line Spectrum and Nyquist Criterion.............. 63
3.2.4.3 Correlation, Coherence and Power
Spectrum .......................................................... 64
3.3 Fluid Mechanics and Rheology ................................................ 65
3.3.1 Steady Flow, the Poiseuille Equation and Flow
Velocity Profile.............................................................. 65
3.3.2 Bernoulli’s Equation and Narrowing Vessel Lumen
or Stenosis...................................................................... 70
3.3.3 Orifice Flow and Torricelli’s Equation.......................... 71
3.3.4 Valvular Cross-section and the Gorlin Equation ........... 72
3.3.5 Flow and Flow Acceleration .......................................... 72
3.3.6 Newtonian Fluid, No-Slip, Boundary Conditions
and Entry Length ........................................................... 75
3.3.6.1 Newtonian Fluid .............................................. 75
3.3.6.2 No-Slip Boundary Conditions ......................... 76
3.3.6.3 Laminar and Turbulent Flow ........................... 77
3.3.6.4 Entry Length .................................................... 78
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-TOC

Contents xiii

Chapter 4. Hemodynamics of Arteries ................................................... 79

4.1 Blood Pressure and Flow Relations .......................................... 79
4.1.1 Pulsatile Pressure and Flow Waveforms
in Arteries ...................................................................... 79
4.1.2 Pressure-flow Relations in the Aorta ............................. 82
4.2 Vascular Impedance to Blood Flow.......................................... 84
4.2.1 The Impedance Concept and Formulation ..................... 84
4.2.2 Input Impedance and Characteristic Impedance ............ 86
4.3 Pulse Wave Propagation Phenomena........................................ 90
4.3.1 The Pulse Wave Propagation Constant.......................... 90
4.3.2 Pulse Wave Velocity and the Foot-to-Foot
Velocity ......................................................................... 91
4.3.3 Apparent Propagation Constant and Transfer
Function ......................................................................... 94
4.3.4 Determination of the Propagation Constant
and Frequency Dependent Pulse Wave Velocity ........... 98
4.4 Pulse Wave Reflection Phenomena ........................................ 102
4.4.1 Influence of Wave Reflections on Pressure
and Flow Waveforms................................................... 102
4.4.2 The Reflection Coefficients ......................................... 108
4.4.3 The Augmentation Index ............................................. 111
4.4.4 Wave Reflection Sites and Multiple Reflections ......... 112
4.5 Modeling Aspects of the Arterial Circulation ......................... 114
4.5.1 Mathematical Formulations of Pulse Wave
Propagation .................................................................. 114
4.5.2 Linear Theories of Oscillatory Blood Flow in
Arteries ........................................................................ 118
4.5.3 The Lumped Model of the Arterial System and the
Windkessel Model ....................................................... 124
4.5.4 Nonlinear Aspects and Pressure-Dependent
Arterial Compliance..................................................... 130

Chapter 5. Vascular Branching ............................................................ 137

5.1 Branching Geometry ............................................................... 137
5.1.1 Complexity of Vascular Branching ............................. 137
5.1.2 Nonuniform Branching and 3-D Branching
Structures ..................................................................... 139
5.1.3 Space-Filling Properties and Modeling ....................... 141
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-TOC

xiv Contents

5.2 Fluid Mechanics of Vascular Branching................................. 144

5.2.1 Branching Geometry and Fluid Dynamic
Considerations ............................................................. 144
5.2.2 Fluid Mechanics Associated with Atherosclerosis
and Stenosis ................................................................. 149
5.3 Pulse Transmission Characteristics at Vascular
Branching ................................................................................ 151
5.3.1 Impedance Matching and Wave Reflections ............... 151
5.3.2 Area Ratio Concept...................................................... 154
5.3.3 Minimum Local Reflections at Vascular Branching
Junctions ...................................................................... 158
5.4 Optimization Aspects Applicable to Vascular Branching ...... 161
5.4.1 Optimizing Vessel Radius and the Cube Law ............. 161
5.4.2 Optimizing Branching Radii and Angles ..................... 164

Chapter 6. The Venous System ............................................................ 167

6.1 The Reservoir Properties and Venous Return ......................... 167
6.1.1 Venous Compliance and Reservoir Characteristics ..... 167
6.1.2 Structural Properties of Veins ...................................... 168
6.1.3 Venous Return ............................................................. 169
6.2 Pressure and Flow Waveforms in Veins ................................. 170
6.2.1 The Normal Pressure and Flow Waveforms
in Veins ....................................................................... 170
6.2.2 Respiration Effects on Venous Pressure and Flow
Waveforms................................................................... 172
6.2.3 Abnormal Venous Pressure and Flow Waveforms ...... 173
6.3 Modeling and Collapsible Vessel Properties .......................... 173
6.3.1 Steady Flow in Collapsible Tubes ............................... 173
6.3.2 Flow Limitation and Model Experiments .................... 175
6.3.3 Pulse Wave Transmission Characteristics in Veins ..... 180

Chapter 7. The Microcirculation .......................................................... 183

7.1 Structure of the Microcirculation ............................................ 183
7.1.1 Functional Organization of the Microvasculature ....... 183
7.1.2 The Capillary Circulation ............................................ 188
7.2 Pressure-Flow Relation and Microcirculatory Mechanics ...... 191
7.2.1 Flow-Related Mechanical Characteristics of the
Microcirculation .......................................................... 191
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-TOC

Contents xv

7.2.2 Some Pressure-Related Mechanical Characteristics

of the Microcirculation ................................................ 193
7.3 Pulse Transmission and Modeling Aspects ............................ 196
7.3.1 Pressure and Flow Waveforms in Arterioles
and Capillaries ............................................................. 196
7.3.2 Pulse Transmission Characteristics in the
Microcirculation .......................................................... 198
7.3.3 Modeling Aspects of the Microcirculation .................. 201

Chapter 8. Hemodynamic Measurements: Invasive and

Noninvasive Monitoring ................................................... 205
8.1 Catheterization for Blood Pressure Measurement .................. 205
8.1.1 Fluid-filled Blood Pressure Measurement
Systems ........................................................................ 205
8.1.2 Experimental Evaluation of the Frequency
Response of Catheter-Pressure Transducer
Systems ........................................................................ 208
8.2 Noninvasive Blood Pressure Measurements ........................... 213
8.2.1 Auscultation Measurement of Blood Pressure............. 213
8.2.2 Blood Pressure Measurement with the Oscillometric
Method ......................................................................... 215
8.2.3 Noninvasive Blood Pressure Monitoring with
Tonometer .................................................................... 217
8.2.4 The Photoplethysmograph (PPG) ................................ 219
8.3 Blood Flow Measurement ....................................................... 219
8.3.1 Electromagnetic Flowmeter ......................................... 219
8.3.2 Ultrasound and Doppler Flow Velocity
Measurement ............................................................... 221
8.3.3 Cardiac Output Measurement with Indicator
Dilution Methods and Thermodilution ........................ 224
8.4 Measurement of Vascular Dimensions ................................... 227

Chapter 9. Interaction of the Heart and the Arterial System ................ 229
9.1 Ventricular Outflow and the Aorta ......................................... 229
9.1.1 Ventricular Ejection ..................................................... 229
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-TOC

xvi Contents

9.2 Cardiac Muscle Mechanics and the Force-Velocity-Length

Relation ................................................................................... 232
9.2.1 Structure of Myocardial Fibers and the Sliding
Filament Theory .......................................................... 232
9.2.2 Hill Model of Muscle Contraction ............................... 234
9.3 The Pressure-Volume Curve and Contractility
of the Heart ............................................................................. 235
9.3.1 Variables Defining the Pressure-Volume Loop ........... 235
9.3.2 Frank-Starling Mechanism and Ejection Fraction ....... 237
9.3.3 Cardiac Contractility and Indices of Cardiac
Performance ................................................................. 239
9.4 Heart and the Arterial System Interaction .............................. 241
9.4.1 The Concept of Ventricular and Arterial
Elastances .................................................................... 241
9.4.2 Dynamic Heart-Arterial System Interaction ................ 246
9.4.3 Left Ventricle-Arterial System Interaction
in Heart Failure ............................................................ 248
9.5 Heart-Arterial System Interaction in the Assisted
Circulation .............................................................................. 250
9.5.1 Mechanical Assist Devices and the Intra-Aortic
Balloon Pump .............................................................. 250
9.5.2 Optimization of Intra-Aortic Balloon Pumping:
Physiological Considerations....................................... 254
9.5.3 Optimization of Intra-Aortic Balloon Pumping:
Modeling Aspects ........................................................ 258
9.5.4 Optimization of Intra-Aortic Balloon Pumping:
Control Aspects ........................................................... 259

Bibliography ......................................................................................... 261

Index...................................................................................................... 273
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-ch01

Chapter 1

Historical Background and Book Contents

1.1 Discoveries of the Circulation

That “blood moves in closed circle” was apparently known in the Far
East, several millennia ago, about 2,650 B.C., as recorded in the book by
the Yellow Emperor of China written in the Canon of Medicine (Nei
Ching). Ancient Chinese practitioners customarily felt palpable wrist
artery (radial artery) pulsations as a means of diagnosing the cardiac state
of their patients. In this approach, the practitioners were able to obtain
both the strength of the pulsation to infer the vigor of contraction of the
heart, and the interval duration of the pulses, hence heart rate. This
seemingly indicates that the importance of the rate-pressure product, now
a popular clinical index of myocardial oxygen consumption, might even
have been considered pertinent at that time. The supply and demand of
oxygenation, as well as its proper utilization in terms of energy balance,
or ying-yang, is center to achieving body harmony. Thus, this suggestion
of an intrinsic transfer of the energy (Chi) generated by the heart to the
peripheral arteries may have been known since antiquity, although the
theoretical foundation was not established until much later.
In the West, the observation that man must inspire air to sustain life
led ancient scientists and philosophers to toy with the idea that arteries
contained air rather than blood. This was the notion originally attributed
to Erasistratus in the third century B.C., following the teaching of
Aristotle. Aristotle and later Herophilus performed numerous anatomical
studies and the latter discovered the connecting arteries to the contracting
heart. That arteries themselves contract and relax thus was known in
Aristotle’s time. Arterial properties in terms of elastic stiffness,
distensibility and compliance, as we know now, were not fully described.
Galen’s (130-200) description of the ebb and flow of blood in arteries,

1
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-ch01

2 Dynamics of the Vascular System (2nd Edition)

though lasted for centuries, was grossly inaccurate. Additionally, in the

Galenic view, blood was passed from the right side of the heart to the left
side through pores, which was later shown to be incorrect as they do not
exist within the inter-ventricular septum, as demonstrated by Columbus
(1516-1559), a Belgian anatomist. Otherwise, this would be known as
the septal defect. Columbus, during his many dissections, confirmed that
venous blood of the right ventricle passed into the left ventricle through
the lungs. This was concluded a few years earlier by Servetus (1511-
1553), a Spanish theologian and physician. Thus, the open-circuit
interpretation of the circulation by Galen cannot accurately describe the
“circulation of blood”.
In his many teachings, though some aspects were later known to be
erroneous, Galen was nevertheless the first to recognize that the walls of
arteries are thicker than those of the veins, and that arteries were
connected to veins. It was the Persian physician Ibn al-Nafis (1210-
1288) who claimed that venous blood of the right ventricle is carried by
the artery-like vein into the lungs, where it mixes with the air and then
into the left ventricle through vein-like artery.
Galileo Galilei (1564-1642) in his “Dialogue of the Two Sciences”,
which appeared in 1637, suggested the circulation of blood in a closed
system. Centuries later today, the idea of the circulation of blood was
credited to William Harvey (1578-1657), a contemporary of Galileo, in
his now famous “De Motu Cordis and De Circulatione Sanguinis” (1628)
presented to King Charles of England. He described in his “Anatomical
Exercises” that “blood does continually passes through the heart” and
that “blood flow continually out the arteries and into the veins”. Harvey’s
work indicated the pulsatile nature of blood as a consequence of
intermittent inflow, during roughly one-third of the heart cycle, now
known as systole, in combination with essentially steady outflow through
the periphery during the remaining cardiac period, the diastole.
Harvey’s work was completed before Malphighi who worked with the
aid of a compound microscope. He reported in 1661 the discovery of the
capillaries linking the arterial circulation to the venous circulation, while
he was working with the microscopic anatomy of the pulmonary
parenchyma in the frog, an uni-ventricular amphibian. Dutch anatomist
Van Leeuwenhoek (1632-1723) confirmed the capillaries in different
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Historical Background and Book Contents 3

organs of several animal species and established the concept of the

capillary bed. Bypassing the capillaries are the arterio-venous
anastomoses, which are now known to perform the function of
controlling blood flow.
German anatomist Henle discovered the smooth muscle cells in small
arteries in 1841. Thus, this provided the first evidence that smooth
muscle contributes to arterial contraction. But it is not until almost a
century later in 1937 that Zweifach showed that active contractility of the
micro-vessels is confined to those vessels with smooth muscle cells.
In the investigation of the microcirculation, credit was given to Hall,
an English physiologist, first to differentiate the capillaries from
arterioles. The fact that capillaries transfer water and water-soluble
substances from the blood stream to the surrounding tissues, were shown
by Starling (1866-1927) and is now known as the Starling’s hypothesis
governing fluid exchange. The measurement of capillary blood pressure
by cannulation was first performed in 1930, by Landis, in the nail
microvascular bed (Mayrovitz, 1998). The ultra-structure of the
microcirculation has now been established from electron microscope
studies.
French physiologist Claude Bernard in 1852 showed that stimulation of
sympathetic nerves induces vasoconstriction and the concept of
controlling blood flow by vasomotor nerves. Neural control of the
circulation is recognized as an important aspect in the regulation of
vascular function.
Fascinated by anatomic structure of the vascular tree, as an art,
Leonardo da Vinci (1452-1519) made many detailed drawings of the
constituent parts of the circulatory system. He apparently already knew
that both the contraction and resting periods are necessary for the heart to
function with a normal rhythm. His anatomic drawings of the heart and
the perfusing arteries are, to a large extent, amazingly accurate. This
includes drawings of the heart and the great vessels, together with the
main, anterior descending and circumflex coronary arteries and their
major branches. Several drawings of the heart valves, demonstrating
how well the leaflets are arranged when the valves are closed, as well as
the detailed anatomic drawing of the neck arteries in man with
its branching morphology were also shown (Li, 2000). In these, both the
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4 Dynamics of the Vascular System (2nd Edition)

Fig. 1.1.1: Anatomic drawings by Vesalius. The extensiveness of the vascular tree is well
appreciated.
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Historical Background and Book Contents 5

length and angle of branching arteries are incredibly accurate. Vesalius

(1514-1564), an anatomist, later provided a detailed drawing of the entire
human vascular tree (Fig. 1.1.1).
Italian physician Caesalpinus apparently identified the pulmonary
circulation and its associated two types of blood vessels: vena cava and
pulmonary vein and pulmonary artery and aorta. Hooke (1635-1703; of
Hooke’s law of elasticity), an assistant of the English chemist Boyle
(1627-1692; of Boyle’s law of gases), recognized that respiration was
necessary. But it was the English physiologist Lower (1631-1691) who
continued the investigation to show the importance of ventilation-
perfusion, i.e. exchange of gases between the lungs and blood. Gas
transport in blood was reported by Magnus in 1837. He demonstrated
that there was greater oxygen content in arterial blood and greater carbon
dioxide content in the venous blood. Other formed elements, such as
hemoglobin (Hb) were discovered by Funke in 1851 and has been shown
as an important oxygen transporter. Neural effect was shown by Haldane
(1860-1936), that carbon dioxide is a normal physiologic stimulus for the
respiratory centers. The Haldane effect is now well appreciated in
respiratory function and in oxygen therapy applications.
Lack of instrumentation, the measurements of the magnitudes of
blood pressure and flow took considerably longer than the interpretation
of the circulatory function. Hales in 1733 had incidentally already
registered the magnitude of the blood pressure level about which blood
oscillates. His initial measurement of blood pressure with a glass tube in
a horse has been well illustrated in many publications. Thus, the
magnitude of the mean arterial pressure and the amplitude of oscillation,
or pulse pressure, were already known at that time. This forms the basis
of modern day oscillometric measurement of blood pressure. Hales’
measurements however, did not induce recognition of the great
importance of blood pressure magnitude for many decades. We now
know that significantly increased magnitudes of mean blood pressure and
pulse pressure, the difference between systolic pressure and diastolic
pressure, are major contributors to hypertension and many forms of
cardiovascular diseases.
The shape of the pressure pulse became known only in the 19th
century when Ludwig came up with the kymograph which inscribed
blood pressure waveforms. His instrument provided information within
a single beat which was a truly a technological advance at the time. Its
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6 Dynamics of the Vascular System (2nd Edition)

accuracy was not comparable to present day instrument, although not an

issue at the time. Blood pressure recording with the sphygmographs by
Marey and his contemporary Mahomed has led to the clinical assessment
of arterial diseases, such as hypertension. Incidentally, Chaveau and
Marey (1863) also recorded cardiac chamber pressures. Both, shortly
later, measured blood flow with an instrument they developed, now
known as the bristle flowmeter.
Modern understanding of pressure-flow relationships came with the
inventions of fluid-filled catheter-manometer system and the
electromagnetic flowmeter. The simultaneous measurements of blood
pressure and flow have led to considerable advancement of
hemodynamics, or the studies of blood flow. The catheter was introduced
in man by Forssmann in 1929, and later advanced for catheterization of
the right heart for pressure measurement by Cournand and Range in 1941
(Li et al., 1976). Cournand and Forssmann (together with Richards)
shared the Nobel prize for medicine in 1956 for the invention leading to
the advancement of modern day catheterization for visualization of blood
pressure waveforms in various anatomical sites throughout the
circulation. The electromagnetic flowmeter was introduced by Kolin in
1936. But ultrasonic transit-time and Doppler flow velocity probes have
taken center stage in modern research and routine clinical measurements,
mostly for their noninvasive monitoring capabilities.
In an attempt to understand the function of the arterial system as a
whole, Hales (1733) concluded that in order for the arteries to accept the
large amount of blood ejected, or the stroke volume, the arteries must
behave like a temporary storage reservoir. Since the size of the aorta is
considerably smaller than that of the ventricle, the receiving aorta must
be elastic in order to perform the function as a reservoir. This
interpretation of the reservoir function of arteries became known later as
the Windkessel theory which was vigorously pursued a century later by a
German physician Frank towards the end of the 19th century. The
emphasis on the storage properties of the arteries modeled by Frank as a
single elastic tube implied that all pressure fluctuations in the arterial tree
should occur synchronously. In other words, the blood pressure pulse
should propagate with infinite velocity. The peripheral vessels, on the
other hand, are assumed rigid as stiff tubes. This gives rise to the lumped
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Historical Background and Book Contents 7

compliance-resistance model of the arterial circulation. This Windkessel

model lacks the description of the propagation characteristics of the
pressure pulse, but has remained the most popular model describing the
arterial system and interpreting its physiological properties even until
this day.
Blood pressure pulse propagation with finite wave velocity in a blood
vessel was considered over two centuries ago by Euler in 1775. He
attempted to develop a formula for its calculation. The well-known
physicist Young in 1816, and also the Weber brothers in 1866,
apparently solved for the propagation velocity in an elastic tube
(Noordergraaf, 1969). Incorporating the elastic properties and geometry
of the blood vessel, Moens (1878) and Korteweg (1878) separately
developed what is now known as the Moens-Korteweg formula for the
pulse wave velocity, or PWV:

Eh
c0  (1.1.1)
2r

where E is, appropriately at the time, defined as the Young’s modulus of

elasticity of the blood vessel, h and r are the wall thickness and inner
radius of the uniform cylindrical vessel, respectively, and  is the density
of blood. Pulse propagation velocity is seen to be related to the
mechanical and geometrical properties of the blood vessel.

1.2 Importance of the Vascular System

In terms of the dynamics of the vascular system, the function of the heart
is to provide energy and perfuse organ vascular beds. For the heart to
accomplish this efficiently, the vascular system plays a central role as the
distributing conduits. As such, both the distributing arteries and the
peripheral vascular beds present the load to the pumping heart.
Peripheral resistance has been popularly viewed in the clinical setting as
the principal vascular load to the heart. This applies mainly to steady
flow conditions. This description is naturally inadequate, because of the
pulsatile nature of blood flow which remains throughout the
microcirculation. Pulsatility implies that there is an oscillatory or
pulsatile contribution to the vascular load to the heart. The significance
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8 Dynamics of the Vascular System (2nd Edition)

of pulsations has been a popularly debated topic in the clinical settings

where perfusion to organs is considered pertinent.
The vascular system provides a seamless illustration of an efficient
transport system. This can be seen from the function of, for instances, the
coronary circulation in perfusing the heart, the renal circulation in
perfusing the kidneys, the cerebral circulation in perfusing the brain and
the pulmonary circulation in perfusing the lungs. By virtue of the
distributing arterial trees, oxygen, humoral agents, and nutrients be
transported to the vital parts of the body, and at the same time, removal
of biological waste materials is also accomplished.

1.3 Newer Concepts

Modern development of the theory related to blood flow in the vascular

system has included multi-faceted aspects, such as, fluid mechanics,
fluid-vessel interface, vascular tissue engineering, pulse wave trans-
mission and mathematical modeling.
The mathematical formulations of blood flow through visoelastic
arteries have been well established and documented in many texts (e.g.
Noordergraaf, 1978, 2011; Li, 1987, 2000, 2004; Nichols and O’Rourke,
1998). These texts also provided experimental measurement methods and
quantitative approaches to the assessments of the state of the arterial
circulation. There are also several texts in describing the microcirculation
and associated biomechanical behavior in greater detail (e.g. Lee and
Skalak, 1989; Fung, 1997).
In the application to clinical situations, the interpretation of the
morphology of blood pressure and flow waveforms in relation to
underlying diseased conditions has attracted the most attention. The
introduction of new groups of drugs beyond vasodilators, beta adrenergic
blockers, calcium channel blockers and angiotensin-converting enzyme
inhibitors that includes local targeted vascular drug delivery, as well as
the introduction of gene therapy and regenerative medicine, to improve
vascular perfusion and in the treatment of diseases, has become more
avant garde.
Not only the arteries, the microcirculatory vessels are no longer
viewed merely as resistance vessels, but are compliant with viscoelastic
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Historical Background and Book Contents 9

properties that vary with frequency. The classical elastic description of

blood vessels has been modified to include viscosities of the blood and
the vessel wall. The viscosities give rise to energy dissipation. Thus, the
energy utilization and dissipation in relation to blood flow is now
considered pertinent. Regarding Chi, or energy, the amount of the work
that the heart has to generate during each beat has generated considerable
attention. This included the steady energy dissipation through peripheral
resistance vessels in different parts of the body, as well as energy
required to overcome pulsations which persist even in the
microcirculation.
Clinical applications of modern development of dynamics of the
vascular system have initiated both invasive and noninvasive
technological development and improvement in the accuracy of assessing
the vascular structure and function. These include laser-Doppler
velocimeter, multi-sensor pressure-velocity catheter, phase contrast
magnetic resonance imaging (PC-MRI) and intravascular ultrasonic
system (IVUS). There are also advancements in the development of
interventional devices, such as local drug delivery catheter, laser- or
balloon-angioplasty catheter, vascular stents and grafts. Many of these
have been used for the assessment and treatment of vascular
hypertrophy, stenosis and aneurysm, hypertension and atherosclerosis.

1.4 Book Contents

This book deals primarily with the dynamic behavior of the components
of the vascular system and methods and techniques for their quantitative
measurements. The book is written applying fundamental physical
principles in conjunction with physiological measurements to the
analysis of the structural and functional aspects of the vascular tree that
includes the arterial circulation, the venous circulation, and the
microcirculation, inclusive of arterioles, capillaries and venules. In
addition, the constituent components, such as collagen, elastin, smooth
muscle, and endothelial and red blood cells as well as transport
phenomena are also discussed. An additional chapter on the interaction
of the heart and the arterial system is also included in this second edition.
Quantitative approaches are emphasized in the overall treatment.
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10 Dynamics of the Vascular System (2nd Edition)

In Chapter 2, modern concepts of vascular biology are illustrated.

This begins with the anatomical organization of the vascular tree. Major
branches of the aorta and some arteries at similar anatomic sites in some
mammalian species, such as human, dog and rats, are described. These
latter are common mammalian species where experimental
measurements and data are most frequently collected. Geometric
nonuniformities in terms of tapering and branching of the vessels are
quantified. The fractal nature of the vascular tree can be well
appreciated from some of the illustrations. The distributing channels and
networking environment are illustrated.
Examination of structural properties allows us to differentiate the
mechanical and functional characteristics of various vessels. This
includes the nonuniformities in elasticity reflected in the content and
organization of the walls of the various blood vessels. Constituent
structural components of the arterial and venous wall are examined in
rheological terms. In particular, the physical properties of elastin,
collagen, and smooth muscle. The relative contents of the wall materials
differentiate arteries from veins, arterioles and capillaries.
Oxygen is perhaps the most important component to be transported in the
blood. The formed elements of blood are dealt with, that includes
hemoglobin, red blood cells and plasma. Functional properties of blood
are therefore included in this chapter. Some aspects of the circulating
catacholamines and hormones, as well as neural control of the vascular
system are equally important.
Chapter 3 deals with some fundamental concepts for analysis of the
vascular system. The differences in their mechanical properties in large
and small arteries and veins are examined. Their collective contributions
to the overall function are analyzed. The arterial wall does not merely
behave as an elastic vessel, therefore viscoelastic behavior becomes
important. In this context, the viscous and elastic behavior of the
composite, i.e. the arterial wall, is discussed. This includes the
characteristics of a viscoelastic material, i.e. creep phenomenon, stress
relaxation, and hysteresis. These aspects are also applied to veins, except
the differences in distending pressures and collapsibility come into play.
Fundamental principles of fluid mechanics that includes classical laws
and governing equations are provided. This includes Poiseuille’s
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Historical Background and Book Contents 11

equation, Bernouilli’s equation and the determining laminar and

turbulent behavior in terms of Reynolds number. This is examined in
terms of the rheology of blood flow to the containing vessel properties.
Engineering methods of basic analysis in the time domain, the Fourier
analysis in the frequency domain are also included with examples that
apply to the vascular system.
Chapter 4 deals with the hemodynamics of large arteries. Aorta is the
largest artery whose distensibility and compliance facilitates ventricular
ejection in systole. The pulsatile wave transmission characteristics of
blood pressure and flow and simplified mathematical description, and
fundamentals of modeling are included. The description classic of the
windkessel model of the arterial system is first introduced. The
windkessel is the mostly used lumped model and its analysis is
elaborated in terms of total arterial system compliance and peripheral
resistance. Extension of this model to more sophisticated later models
include those that vary from a linear rigid tube model to a freely moving
or constrained thin- or thick-walled, viscoelastic tube model. Some of
these utilize Navier-Stokes equations describing fluid motion, Navier
equations describing wall movement, and the equation of continuity
describing the incompressibility of the blood. Experimental deviations
from linear models are compared to nonlinear theories, so as to identify
the regimes of nonlinearities.
Distributed model provide more precise descriptions of the pressure
and flow behavior under varied conditions. However, they are generally
complex and time-consuming in identify individual parameters, and less
useful in daily clinical settings. Reduced models that are useful for
practical and clinical applications are discussed. A recently introduced
model to analyze the arterial wall behavior subject to varying pressure
amplitudes in terms of pressure-dependent compliance is elaborated.
This helps to explain the cyclical stress placed on the arterial wall and
how the arterial wall adjust to rapidly changing pressure amplitudes.
Once models of the arterial system have been developed, it is
necessary to verify the validity and limitations of these models. Such
verifications depend often critically on the specific design of the
experiments for measuring relevant hemodynamic parameters. For all
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12 Dynamics of the Vascular System (2nd Edition)

practical purposes, these are pressure, flow, velocity, and vessel

dimensions.
Pulsatile pressure and flow and their transmission characteristics are
also the centerpoints of this chapter. Here, the peculiarities and features
associated with pressure and flow waveforms measured in their
respective anatomical sites are explained. How the vascular beds present
as load to impede blood flow is quantitatively described in terms of the
vascular impedance concept. Impedance, unlike resistance, which
remains constant, is complex with its magnitude changes with frequency.
Its usefulness is in its ability to include alterations in compliance,
resistance and inertance. This provides a useful description of the
changing arterial tree and individual vascular bed behavior. The manner
by which pressure and flow pulses propagate and reflect can also be
quantified.
Chapter 5 addresses the vascular branching aspects of the circulation,
whether of arterial, venous or capillary, except the latter two are dealt in
more detail in subsequent chapters. Branching geometry is examined in
terms of morphological measurements. The basic fluid mechanic aspects
of vascular branching in terms of pressure and flow transmission, shear
stresses are explained, best with illustrations and mathematical
formulations.
How efficient the pressure and flow pulses transmit depends on the
propagation and reflection characteristics through different arteries and
vascular branching junctions. Pulse wave velocity, a popularly used
index to describe the vascular stiffness, is dependent on the geometric
and elastic properties of the local arterial wall. Its measurement is
therefore, elaborated.
With differing vascular impedances, wave reflections arise, because
of the mismatching in impedances. The large peripheral resistances in
the arterioles are the principal sites contributing to reflections. Increased
wave reflection increases blood pressure amplitude and thus decreases
flow. This reduces the pulse transmission efficiency for the propagating
pulse. Pulse transmission through vascular branching junctions is
dictated by the local blood vessel properties. For forward traveling wave,
it is practically impedance-matched, resulting in optimal transmission.
For the backward traveling wave towards the heart, it is greatly
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Historical Background and Book Contents 13

attenuated at the vascular branching. Thus, the design of the arterial tree
is to facilitate pulse transmission to vascular beds. How this is optimized
is explained.
Chapter 6 deals with the less studied aspects of the venous circulation,
because of its low pressure and collapsibility and less life-threatening
behavior. Blood volume is the highest at rest in the venous circulation,
giving rise to its reservoir-like properties. The functional aspects of
collapsibility and venous valves are also discussed, in terms of pressure-
flow relations and the waterfall hypothesis. Modeling aspect is given in
terms of mathematical descriptions and hydrodynamic set-ups.
Chapter 7 deals with the microcirculation. The greatest drop in mean
blood pressure is found in the arterioles, hence justifying the vascular
waterfall interpretation. How the contributions of the microcirculation to
total peripheral resistance in its control of cardiac output are explained.
The capillary circulation, for its vast networking and exchange
environment is of utmost importance in terms of meeting the metabolic
demand of the supplying tissues. The aspects of diffusion and cellular
transports are of critical importance.
Thus, the design of the arterial tree is to facilitate pulse transmission
to vascular beds. These latter are discussed in detail for their importance
in both basic and clinical situations. Pulse pressure and flow remain
pulsatile even in the microcirculation, albeit to a much more reduced
amplitudes. The pulsatility facilitates capillary exchanges.
Chapter 8 deals with aspects of experimental methods, instrument-
ation and devices that are widely used for hemodynamic measurements.
Clinically useful methods and instruments for invasive and noninvasive
determination of blood pressure flow, and vessel dimensions are first
described. This begins with the commonly used noninvasive methods,
such as auscultatory method, the sphygmomanometer cuff method and
tonometry. Invasive blood pressure measurement system such as
catheter-pressure transducer combination is also evaluated in terms of its
frequency response.
Blood flow measurement with both electromagnetic flowmeter and
Doppler ultrasonic method are described, as well as the technique of
thermodilution measurement of cardiac output. The combination of
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14 Dynamics of the Vascular System (2nd Edition)

Doppler echocardiography and intravascular imaging devices now afford

simultaneous flow velocity and lumen diameter measurements.
The final chapter, Chapter 9, on the interaction of the arterial system
with the heart is a new addition to this second edition. Realizing that the
arterial system is only perfused thorough its coupling with the heart, the
aspect of the strength and timing of the cardiac contraction and its
ejection are crucial in overall vascular function. The manner how
ventricle and aorta interact will be explained, as well as the initial
impulse aspect of ventricular ejection. Thus, the dynamics of the vascular
system is only logically valid when the dynamics of the heart is included.
While not making an attempt to address the entire regime of cardiac
function, attempts are made to include the structural mechanical
properties and the mechanisms of coupling of the heart to the arterial
system, with particular emphasis on the left ventricle and the systemic
arterial system. The current debate on the clinical observations of heart
failure with preserved ejection fraction (HFpEF) and differentiating from
those with reduced ejection fraction (HFrEF) are analyzed in terms of
measurable hemodynamic parameters.
The aspect of cardiac assist device to aid the failing heart is well
appreciated with the introduction of the intra-aortic balloon pump
(IABP). IABP was selected because of the necessary consideration of
the interaction of the left ventricle and the arterial system. Our
experience with this in-series cardiac assist device is illustrated in terms
of hemodynamic function. The dynamics of the assisted circulation is
examined in terms of different modes of mechanical assistance.
The overall function of the dynamics of the vascular system depends
not only on the anatomical structure of the individual vessels, but also on
their multi-faceted functional interaction with neighboring and distant
vessels, and, of course, with the heart. This will become apparent to the
readers from the contents of this book.
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Chapter 2

Vascular Biology, Structure and Function

2.1 Anatomical Organization of the Vasculature

2.1.1 The Closed-loop Circulatory System

The heart, the arterial systems, the venous systems and the micro-
circulatory systems, coupled with neuro-humoral influences form the
entire circulation. Each is an important functional complement that the
circulatory system cannot be effectively described by its individual parts
alone. By virtue of the distributing vascular trees, oxygen, humoral
agents, and nutrients are transported to the vital parts of the body and the
waste products are removed. The heart provides the necessary energy.
In terms of the general structure components, Fig. 2.1.1 suffices to
provide an overview of the connectivity of the circulation.

2.1.2 The Heart

The heart in mammalian species has four chambers, the left ventricle
(LV), the right ventricle (RV), left and right atria (LA and RA). The left
ventricle pumps blood into the aorta through the aortic valve, perfuse the
systemic arterial system and the right ventricle pumps blood into the
main pulmonary trunk, perfuse the pulmonary arterial tree.
The shape of the left ventricle is in-between conical and semi-
ellipsoidal with its narrow end forming the apex of the heart. These
shapes, as well as cylinder and sphere, have been used in ventricular
modeling and in image processing. The left ventricular wall is about
three times as thick as the right ventricle, thus is able to develop a much
higher pressure. The thick interventricular septum, separating the left and

15
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16 Dynamics of the Vascular System (2nd Edition)

right ventricles, is more closely associated with the pumping action of

the left ventricle. The ventricle also contracts much more in the short-
axis (septum to LV free wall) or circumferential direction than the long-
axis or base-to-apex direction. The ventricles are made up of muscular
fibers. This so-called “myocardium” can be further divided transmurally
into the inner endocardium and the outer epicardium.

PULMONARY
CAPILLARIES

PULM.
ARTERIES

RA LA
VENA
CAVAE PULMONARY
VEINS
LV
RV AORTA

SYSTEMIC
CAPILLARIES

Fig. 2.1.1: Diagram illustrating the overall circulation. The four cardiac chambers (LV =
left ventricle, LA = left atrium, RV = right ventricle, RA = right atrium) and systemic and
pulmonary circulations are shown. Arrows indicate directions of blood flow.
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Vascular Biology, Structure and Function 17

There are four heart valves involved in the filling and pumping action
of the heart. The mitral valve, with just two leaflets, situates between the
left atrium and the left ventricle. It controls the flow between these two
chambers, but is a one-way valve. The tricuspid valve, as the name
implies, has three cusps. These are the posterior, the septal, and the
anterior. The cusps have similar geometric shapes. The right ventricle
and the low-pressure pulmonary arterial system on the other hand, are
separated by the pulmonary valve. The aortic valve separates the left
ventricle from the ascending aorta leading to the high pressure systemic
arterial system. These valves have three leaflets and are of similar shape.

Fig. 2.1.2: Blood pressure and blood volume distribution of the systemic circulation.
Notice the largest pressure drop occurs in the arterioles and the largest amount of blood
volume reside in the veins which serve as reservoir. From Rushmer (1972).
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18 Dynamics of the Vascular System (2nd Edition)

Fig. 2.1.3: Sketch of the mammalian arterial tree. Anatomic structures reveal branching
characteristics of the arterial system.

2.1.3 The Arteries

Anatomical descriptions of the human and other mammalian vascular
trees can be found in many textbooks. For the purpose of illustrating the
blood perfusion and pressure pulse transmission path, the major branches
of a typical mammalian arterial tree are shown in Fig. 2.1.3.
There are considerable similarities among the corresponding
anatomical sites of the mammalian arterial circulation (Li, 1996). The
root of the aorta begins immediately at the aortic valve. The outlet of the
valve sits the ascending aorta having the largest diameter. The first
branching off the aorta are the left and right main coronary arteries. The
aortic arch junction is formed by the ascending aorta, the brachiocephalic
artery, the left subclavian artery, and the descending thoracic aorta.
There are numerous branches come off the descending aorta at right
angles, renal arteries which perfuse the kidneys are such examples. The
distal end of the descending aorta is the abdominal aorta which forms the
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Vascular Biology, Structure and Function 19

aorto-iliac junction with left and right iliac arteries and its continuation.
In the human, it is a bifurcation. The femoral artery, a well-known
peripheral artery, because of its accessibility, continues from the iliac
artery. These are the arteries perfusing the upper thighs with the tibial
arteries peruse the lower legs and leading to the ankle arteries. The aorta
has, comparatively speaking, the greatest geometric taper, with its
diameter decreasing with increasing distance away from the ventricle.
The common carotid arteries are the longest, relatively uniform vessels,
with the least geometrical tapering. The brachial arteries perfuse the
upper arms leading to distal radial arteries. It is worth noting here that in
humans, both brachial and radial arteries are the most common sites for
noninvasive blood pressure monitoring, with radial in particular as
wearable sensor site.

2.1.4 The Veins

Arteries deliver blood from the ventricles to vascular beds, while veins
return it to the atria. Veins, unlike arteries are generally thin-walled and
have low distending pressures. They are collapsible even under normal
conditions of blood pressure pulsation.
The inferior vena cava is the main trunk vein. The superior vena cava
feeds into the right atrium and the main pulmonary vein leads into the
left atrium with oxygen enriched blood.
Veins have a greater total number than arteries and thus the venous
system has a much larger cross-sectional area. This results in a much
larger volume available for blood storage. Indeed, veins are known as
low pressure storage reservoirs of blood. Under normal physiological
conditions, the venous system contains about 75% of the total blood
volume in the systemic circulation with the systemic arterial system
constitutes some 15%. For this reason, veins are often referred to as
capacitance vessels. Venous return is an important determinant of cardiac
output. The pulmonary circulation contains about one quarter the blood
volume of the systemic circulation.
Veins have much thinner walls and less elastin than arteries. Because
of this, veins are stiffer than arteries. However, the low operating
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-ch02

20 Dynamics of the Vascular System (2nd Edition)

pressure and collapsibility allows veins to increase their volume by

several times under a small increase of distending pressure.
There are bicuspid valves in veins. These valves permit unidirectional
flow, thus preventing retrograde blood flow to tissues due to high
hydrostatic pressures. These valves are notably present in the muscular
lower limbs.

2.1.5 The Microvasculature

As stated previously, the function of the cardiovascular system is to
provide a homeostatic environment for the cells of the organism. The
exchange of the essential nutrients and gaseous materials occurs in the
microcirculation at the level of the capillaries. These microvessels are of
extreme importance for the maintenance of a balanced constant cellular
environment. Capillaries and venules are known as exchange vessels
where the interchange between the contents in these walls and the
interstitial space occur across their walls.
The microcirculation can be described in terms of a network such as
that shown in Fig. 7.1.1. It consists of an arteriole and its major branches,
the metarterioles. The metarterioles lead to the true capillaries via a
precapillary sphincter. The capillaries gather to form small venules,
which in turn become the collecting venules. There can be vessels going
directly from the metarterioles to the venules without supplying capillary
beds. These vessels form arteriovenous (A-V) shunts and are called
arteriovenous capillaries. The capillary and venule have very thin walls.
The capillary, as mentioned before, lacks smooth muscle and only has a
layer of endothelium. The smooth muscle and elastic tissue are present
in greater amounts in vessels having vasoactive capabilities, such as
arterioles. This is also the site of greatest drop in mean blood pressure.
For this reason, arterioles are the principal contributors to peripheral
vascular resistance that can effectively alter cardiac output.
The structural components of the microcirculation are classified
into resistance, exchange, shunt, and capacitance vessels. The resistance
vessels, comprising the arterioles, metarterioles, and precapillary
9in x 6in b3250 Dynamics of the Vascular System: Interaction with the Heart (2nd Edn) b3250-ch02

Vascular Biology, Structure and Function 21

sphincters, serve primarily to decrease the arterial pressure to the levels

of the capillaries to facilitate effective exchange.

2.2 Geometric and Mechanical Properties of Blood Vessels

2.2.1 Geometric Nonuniformity of Blood Vessels

The arterial system is a tapered branching system. Changes in lumen
size are often associated with branching and appropriate tapering. In the
normal arterial system, the branched daughter vessels are always
narrower than the mother vessel, but with slightly larger total cross-
sectional areas. This means that the branching area ratio, or the ratio of
the total cross-sectional area of the daughter vessels to that of the mother
vessel, is slightly greater than one. This has significance in terms of
pulsatile energy transmission.
Arterial diameters and lumen areas of the vascular tree can be
determined from different imaging modalities, such as angiography, CT
scan, ultrasound imaging or magnetic resonance imaging or from
implanted sonomicrometers. Arteries in man and in dog retract some 25
to 40 percent when removed. It is therefore necessary that in-vivo
lengths are restored and corresponding pressures are given for
mechanical measurements. Under normal conditions, higher distending
pressure leads to greater lumen diameter. Arterial vessel dimensions
have been provided for the dog (McDonald, 1974) and man (Westerhof
et al., 1969). The latter were used for constructing the analog model of
the human systemic arterial tree.
There are several branching junctions before the pulse reaches the
vascular beds. In relation to this, the number of generations of blood
vessels is of important consideration in terms of blood flow. These can
be found in Green (1950) and lberall (1967). Fractal studies of vascular
tree structures utilize much of this information.
Experimental data give typical values of internal diameters in a 20 kg
dog: ascending aorta, 15 mm; abdominal aorta, 8 mm; femoral artery, 3
mm; small artery, 0.1 mm. These values reveal an appreciable
“geometric taper” in the aorta from the root to the aorto-iliac junction
(Li, 1987). Together with branching, it contributes to the “geometric
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22 Dynamics of the Vascular System (2nd Edition)

nonuniformity, observed throughout the arterial system. Corresponding

data for the humans can be extrapolated with the use of allometry (Li,
1996; Li et al., 2015).
The term “geometrical taper” is appropriate when applied to a single
continuous conduit, such as the aorta. The area change of the aortic cross
section is close to an exponential form and can be expressed as:

A( z )  A(0)e  kz / r (2.2.1)

where:
z = distance in the longitudinal axial direction along the vessel
r = vessel lumen radius in cm
k = taper factor, dimensionless
A(0) = the cross-sectional area at the entrance of the vessel in cm2
A(z) = the cross-sectional at distance z along the vessel in cm2

The vessel area is calculated, assuming a circular cross-section,

A  r 2 (2.2.2)

The taper factor k, can be readily obtained as

r A( o )
k ln (2.2.3)
z A( z )

Taper factor, k, for the aorta has been reported to be in the range of
0.0314-0.0367 for 20-30 Kg dogs (Li, 2000). Geometric taper factor can
change substantially during varied vasoactive conditions and in disease
conditions, such as atherosclerosis, stenosis or aneurysm. When
vasoactive drugs are administered which have differential effects on
large and small arteries, changes in taper factors from normal can be
quite pronounced.
Alternative formula to calculate taper factor per unit length, or ko, is
expressed as follows:
A( z )  A( 0) e k o z (2.2.4)
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Vascular Biology, Structure and Function 23

Fig. 2.2.1: Schematic diagram illustrating a blood vessel with geometric taper. The vessel
diameter narrows with increasing distance (z) away from the origin. Geometric taper, an
exponential function of distance, is normally calculated from the change in cross-
sectional areas (A) as shown.

The reported values of ko obtained for the abdominal aorta, the iliac,
femoral and carotid arteries are shown in Table 2.2.1. These are
measured in vivo at a mean arterial pressure of about 90 mmHg. The
average body weights of dogs used are about 20 kg. It is obvious from
these data that the taper factor is smaller for smaller vessels. Carotid
arteries have the least taper. They are thus the best approximation to a
geometrically uniform cylindrical vessel.
Area ratios calculated for vascular branching junctions were about
1.08 at the aortic arch, and 1.05 at the aorto-iliac junction (Li et al.,
1984). These values are slightly larger than 1.0. The hemodynamic
consequences of these are discussed in Chapter 5.

Table 2.2.1: Measured external diameters and calculated taper factors in different
arteries. Lower taper factor indicates more uniform longitudinal geometry.

d (cm) ko (cm-1)
Abdominal aorta 0.777 0.027±0.007
Iliac artery 0.413 0.021±0.005
Femoral artery 0.342 0.018±0.007
Carotid artery 0.378 0.008±0.004
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24 Dynamics of the Vascular System (2nd Edition)

2.2.2 Elastic Nonuniformity of the Blood Vessels

In the broadest sense, the arterial wall (Fig. 2.2.2) consists of elastin,
collagen, and smooth muscle embedded in a mucopolysaccharide ground
substance. A cross section reveals the tunica intima, which is the
innermost layer consisting of a thin layer (0.5-1 m) of endothelial cells,
connective tissue, and basement membrane. The next layer is the thick
tunica media, separated from the intima by a prominent layer of elastic
tissue, the internal lamina. The media contains elastin, smooth muscle,
and collagen.

Fig. 2.2.2: Sketch of the cross sections of the artery reveal three distinctive layers: the
innermost tunica intima, the thick tunica media, and the outermost adventitia.

The difference in their composition divides arteries into elastic and

muscular vessels. The relative content of these in different vessels is
shown in Fig. 2.2.3. All vessels, including the capillary, have
endothelium. The capillary does not have smooth muscle content and
has only a single layer of endothelial cells. The outermost layer is the
adventitia which is made up mostly of stiff collagenous fibers.
Elastic laminae are concentrically distributed and attached by smooth
muscle cells and connective tissue. Longitudinally, we find that the
number of elastic laminae decreases with increasing distance from the
aorta, but the amount of smooth muscle increases and the relative wall
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Vascular Biology, Structure and Function 25

thickness increases. Thus, the wall thickness-to-radius ratio, or h/r is

increased. The net stiffness is also increased, accounting for the increase
in pulse wave velocity towards the periphery, as seen from the Moens-
Korteweg formula. The mechanical behavior of peripheral vessels is
largely influenced by the behavior of the smooth muscle, particularly by
its degree of activation.

Aorta Artery Sphincter Venule Vein Vena Cava

Arteriole
Capillary

Diameter 25 mm. 4 mm. 30µ 35µ 8µ 20µ 5 mm. 30 mm.

Wall 2 mm. 1 mm. 20µ 30µ 1µ 2µ .5 mm. 1.5 mm.
Endothelium
Elastic
Muscle
Fibrous

Fig. 2.2.3: Relative contents of endothelium, elastic and fibrous tissues, and smooth
muscle in different vessels. Large arteries have more elastic and fibrous tissues whole
smaller arteries have more smooth muscle in the tunica media. From Rushmer (1972).

2.2.3 Vascular Stiffness and Elastic Properties

Vascular stiffness is traditionally expressed in terms of Young’s modulus
of elasticity, which gives a simple description of the elasticity of the
arterial wall. Young’s modulus of elasticity (E) is defined by the ratio of
tensile stress (t) to tensile strain (t). When the relationship between
stress and strain is a linear one, then the material is said to be Hookian, or
simply, it obeys Hooke’s law of elasticity. This normally applies to a
purely elastic material. It is only valid for application to a cylindrical
blood vessel when the radial and longitudinal deformations are small
compared to the respective lumen diameter or length of the arterial
segment.
For the following analysis of the physical aspect of an artery, we shall
consider a segment of the artery represented by a uniform isotropic
cylinder with radius r, wall thickness h, and segment length 1. Isotropy
implies the uniform physical properties of the content of the arterial wall.
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26 Dynamics of the Vascular System (2nd Edition)

The arterial wall is actually anisotropic, consisting of various

components discussed above, and the assumption of isotropy can not be
exactly true. For instance, in vascular hypertrophy and in hypertension,
selective thickening in tunica media is often observed. This can be
accompanied by an increase in collagen and a decrease in elastin, and/or
a change in the level of smooth muscle activation. These observed
changes are not uniform throughout the arterial wall, i.e. anisotropic.
Nevertheless, the isotropic assumption allows simpler quantitative
descriptions of the mechanical behavior of the arterial wall properties
and eases mathematical computation. The following formulae provide
basic physical definitions.
Young’s modulus of elasticity in terms of tensile stress and tensile
strain is:
t
E (2.2.5)
t

Stress has the dimension of pressure, or force (F) per unit area (A),

F
t  P (2.2.6)
A

where P is pressure, in mmHg or dynes/cm2. Thus, stress has the

dimension of mmHg or dynes/cm2 in cm-g-sec or CGS units. The
conversion of mmHg to dynes/cm2 follows the formula that expresses the
hydrostatic pressure above atmospheric pressure:

P=hg (2.2.7)

where h is the height in terms of the mercury column,  is the density of

mercury, or 13.6 g/cm3, and g is the gravitational acceleration. Hence
100 mmHg, or 10 cm Hg, is equivalent to

P = 100 mmHg = 10 x 13.6 x 980 = 133,280 dynes/cm2 or about 1.33 105

dynes/cm2. (2.2.8)

Of course, the choice in using N/m2 or pascal is also common.

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Vascular Biology, Structure and Function 27

Strain in the longitudinal direction, or along the length of the blood

vessel is expressed as the ratio of extension per unit length, or the ratio of
the amount stretched longitudinally to the length of the original vessel
segment,
l
t  (2.2.9)
l
Strain in the radial direction, or perpendicular to the vessel segment
length, is the fraction of distention of the vessel lumen radius or
diameter. It is given by:
r
r  (2.2.10)
r

Fig. 2.2.4: Ultrasonic dimension gages recorded diameter of the aorta, together with
aortic blood pressure. Calculation of radial strain can be obtained from the fractional
change in diameter, D/D. This allows subsequent computation of pressure-strain elastic
modulus, Ep=P/(D/D), where P is the pulse pressure.

As an example, the radial strain calculated from an ultrasonic dimension

gage recording of the aortic diameter shown in Fig. 2.2.4 is

1.93
r   0.1 (2.2.11)
19.3
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28 Dynamics of the Vascular System (2nd Edition)

In this case, the fractional change in diameter, or D/D, represents the

radial strain.
Since pulsatile pressure and diameter tracings are rather similar (but
with a distinct phase shift, i.e. pressure leads diameter or vice versa),
many have utilized imaging modalities, such as ultrasound or magnetic
resonance imaging of arterial lumen diameter changes to infer pressure
changes. This has been done clinically for the noninvasive estimation of
pulse wave velocity (PWV) – a pertinent index of vascular stiffness
(Chapter 4).
For a blood vessel considered to be purely elastic, Hooke’s law
applies. To find the tension (T) exerted on the vessel wall due to
intraluminal blood pressure distention, Laplace’s law is useful.
Laplace’s law describes the tension exerted on a curved membrane with
a radius of curvature. In the case of blood vessel, there are two radii of
curvature, one that is infinite in the longitudinal direction along the blood
vessel axis and the other is in the radial direction. Thus, Laplace’s law
for an artery can be written as:

T  pr (2.2.12)

This assumes the vessel has a thin wall or that the ratio of vessel wall
thickness (h) to vessel lumen radius (r) is small, or h/r  1/10. Here p is
the intramural-extramural pressure difference, or the transmural pressure.
When the vessel wall thickness is taken into account, the Lame equation
becomes relevant:

pr
t  (2.2.13)
h

This relation is particularly importance in the analysis of aneurysm

where increased lumen radius is accompanied by a decreased wall
thickness, such that a further increase in distending pressure can cause
rupture. In hypertension however, tension can be normalized by
increasing the arterial wall thickness, chronically leading to observed
vascular hypertrophy.
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Vascular Biology, Structure and Function 29

Arteries have been assumed to be incompressible. Although not

exactly so, this is in general a good approximation. To assess the
compressibility of a material, the Poisson ratio is defined. It is the ratio
of radial strain to longitudinal strain. We obtain from the above
definitions, the Poisson ratio as:

 r r / r
n   (2.2.14)
 t l / l
When radial strain is half that of longitudinal strain, or when n = 0.5,
the material is said to be incompressible. This means that when a
cylindrical material is stretched, its volume remains unchanged. Or, in
the case of an artery, when it is stretched, its lumen volume remains
unchanged. Experimental measurements to obtain the Poisson ratio for
arteries have shown n to be close to 0.5. Arteries, therefore, can be
considered to be close to being incompressible.
The above analysis assumes an isotropic arterial wall. The non-
isotropy, or anisotropy, is seen in the various differences in the relative
content and physical properties of the arterial wall. Collagen is the
stiffest wall component, with an elastic modulus of 108 - 109 dynes/cm2.
This is some two orders of magnitude larger than those of elastin, 1-6 x
106 dynes/cm2, and smooth muscle, 0.1-2.5 x 106 dynes/cm2.
Elastin is relatively extensible, but is not a purely Hookean material.
Collagen on the other hand is relatively inextensible, because of its high
stiffness. Much more is known about vascular smooth muscle.
Mechanical properties of arterial vessel walls can also be altered by
neural mechanisms and by circulating catecholamine, such as
norepinephrine. The composite of the arterial wall components operates
in such a manner that at low pressures, elastin dominates the composite
behavior. At high pressures, collagen becomes more important. Elastic
modulus is a nonlinear function of pressure. The pressure dependence
of the mechanical properties of arteries has been reported by several
investigators (e.g. Cox, 1975; Weizsacker and Pascal, 1982; Drzewiecki
et al., 1997). Figure 2.2.5 illustrates how arterial lumen diameter, hence
volume and compliance vary with changing transmural pressure. With
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30 Dynamics of the Vascular System (2nd Edition)

increasing positive transmural pressure, arterial vessel diameter is

distended (Weizsacker and Pascal, 1982), as expected, the corresponding
compliance however, declines. With negative transmural pressure, the
arterial area compliance decreases as the artery is under collapse. The
decrease in compliance with increasing transmural pressure follows a
negative exponential function.

Fig. 2.2.5: Pressure dependence of mechanical properties of arteries is demonstrated in

this figure. Compliance decreases with increasing pressure when the transmural pressure
is positive and when the vessel is collapsing with negative transmural pressure.

Along the arterial tree, longitudinally, we find that the number of

elastic laminae decreases with increasing distance from the aorta, but the
amount of smooth muscle increases and the wall thickness-to-radius (h/r)
ratio increases. The underlying vascular stiffness is thus increased. This
latter phenomenon accounts for the observed large increase in pulse
wave velocity (Chapter 4). The mechanical properties are largely
influenced by the behavior of the smooth muscle. Its elastic properties
and activation have attracted considerable interests. A longitudinal
section also reveals a helical organization of the collagen fiber network.
It is this network that contributes mostly to the anisotropic properties of
the arterial wall.
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Vascular Biology, Structure and Function 31

2.3 Functional Properties of Blood

Blood is the principal vehicle and medium that serves to provide

nutrients and remove waste products throughout the complex multi-
cellular constituents of the body organs. It consists of a plasma fluid
with a number of formed elements.

2.3.1 Blood Plasma and Blood Gas

Blood plasma is about 90-95% water and contains numerous dissolved
materials that include proteins, lipids, carbohydrates, electrolytes,
hormones and pigments. It is the proteins that dominant the
characteristics of the plasma, which has a specific gravity (SG) of
plasma, which is about 1.028. These are albumin, globulin and
fibrinogen. The principal concentration by weight through fractionation
electrophoresis shows that albumin which has the lowest molecular
weight (69,000) exhibits the highest concentration of some 55%,
followed by globulin (80,000-200,000) of about 38% and largest
molecular weighted fibrinogen (350,000-400,000) of just 7%.
These proteins play an important functional role in viscosity, osmotic
pressure and suspension characteristics of the plasma. Gases, such as
oxygen and carbon dioxide are dissolved in the blood plasma. Their
partial pressures can be derived from gas laws. We know that for an ideal
gas, the pressure, volume and temperature are related by the gas law:

PV  nkT (2.3.1)

where P is the pressure, V is the volume, n is the number of gas

molecules, k is Boltzmann’s constant, and T is absolute temperature in
Kelvin. The concentration, Cc, is normally expressed in terms of moles
per unit volume,
n
Cc  (2.3.2)
N AV

where NA is the Avogadro’s number. Substitute for the universal gas

constant R=kNA we have
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32 Dynamics of the Vascular System (2nd Edition)

P  C c RT (2.3.3)

The partial pressure of a gas mixture, pi, can be calculated knowing

the molar fraction of the gas, fi, and the total pressure, P, i.e.

pi  f i P (2.3.4)

When a gas with partial pressure pi is in contact with a liquid, some of

the gas will be dissolved in the liquid. Here we can define the solubility
which is related to the concentration ci of the gas, and its partial pressure:

ci n
Si   (2.3.5)
p i p iV

Solubility in general is dependent on the total pressure above the liquid

and temperature. Solubility of some gases in blood plasma is shown in
Table 2.3.1.

Table 2.3.1: Solubility of gas in blood plasma.

Gas Solubility in Molar/mmHg

O2 1.4 x 10-6
CO2 3.3 x 10-5
CO 1.2 x 10-6
N2 7.0 x 10-7
He 4.8 x 10-7

2.3.2 Oxygen Saturation Curves and Hemoglobin

The binding of oxygen with hemoglobin provides an efficient transport
system to deliver and maintain a desirable amount of tissue and organ
oxygenation. The oxygen saturation curve follows an S-shape as shown
in Fig. 2.3.1. At a partial pressure of 100 mmHg, typical in the lungs and
in arteries, hemoglobin is about 97% saturated. In veins and some
tissues, the partial pressure of oxygen is about 40 mmHg. Here the
saturation decreases to 75% or so. Since the slope of the curve changes
greatly at this level, hemoglobin can easily give up its carrying oxygen
readily when the metabolic need arises. This is accompanied by a drop
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Vascular Biology, Structure and Function 33

in the partial pressure of oxygen, hence a reduced saturation of

hemoglobin. Thus, the oxygen transport system is ideally designed to
perform the tasks of on-demand metabolic adjustments. This is even
better illustrated when oxygen is transferred from hemoglobin to
myoglobin during greater muscle tissue demand. The affinity of
myoglobin for oxygen is significantly greater than that of hemoglobin.

100
Arterial
pH 7.6
7.4
7.2
80
Venous
O2 saturation (%)

60

40

20

0
30 60 90
PO2 (mm Hg)
Fig. 2.3.1: Oxygen saturation curve displaying its S-shaped characteristics. Normal
arterial and venous blood O2 saturations are also indicated. Normal arterial O2 saturation
is about 96%.

The oxygen affinity decreases with decreasing pH. This is termed the
Bohr effect by which changes in blood PCO2 which affects blood pH,
indirectly also influence hemoglobin-oxygen affinity.
Hemoglobin consists of four polypeptide chains or globins and four
disc-shaped molecular ring or heme groups, allowing binding of four
oxygen molecules. Once bound with oxygen, the iron atoms in
hemoglobin give it the red color. Optical absorptions of hemoglobin and
oxy-hemoglobin (Fig. 2.3.2) can be readily monitored by near-infrared
spectroscopy. The isobestic point, when the two absorptions are equal
which can be used as a reference, is at 805 nm.
 Another Random Document on
Scribd Without Any Related Topics
written in longhand on the letterhead of “Minister President General
Göring,” and is in the handwriting of Colonel Bodenschatz, Göring’s
Chief of Staff. I offer this memorandum as Exhibit Number USA-580.
It is our Document 3474-PS, and I direct the Tribunal’s attention to
the fact that the date of this document is the 2d of December 1936.
That was a conference, apparently, at which all the chief officers and
generals of the Air Force, the German Air Force, met. Besides the
Defendant Göring, there were General Milch, General Kesselring,
Rüdel, Stumpff, Christiansen, and all the top commanders of the Air
Force, and I read:
“World press excited about the landing of 5,000 German
volunteers in Spain. Official complaint by Great Britain; she
gets in touch with France.
“Italy suggests that Germany and Italy send, each, one
division ground troops to Spain. It is, however, necessary
that Italy, as interested Mediterranean power, issue a
political declaration first. A decision can be expected only
within a few days.
“The general situation is very serious. Russia wants the war.
England rearms speedily. Command therefore: Beginning
today ‘höchste Einsatzbereitschaft’ ”—apparently the
translator did not see fit to translate those words, which
mean the “highest degree of readiness”—“regardless of
financial difficulties. Göring takes over full responsibility.”
“Peace until 1941 is desirable. However, we cannot know
whether there will be implications before. We are already in
a state of war. It is only that no shot is being fired so far.”
THE PRESIDENT: Perhaps that would be a convenient time to
break off.
[A recess was taken until 1400 hours.]
 Afternoon Session
MR. ALBRECHT: May it please the Tribunal, two important
conferences which have already been adverted to by the Prosecution
show clearly how the Defendant Göring inspired and directed the
preparation of the German economy for aggressive war. On the 8th
of July 1938 he addressed a number of the leading German aircraft
manufacturers and laid the groundwork for a vast increase in aircraft
production. He stated that war with Czechoslovakia was imminent
and boasted that the German Air Force was already superior in
quality and quantity to the English. He said that:
“. . . if Germany wins the war. Then she will be the greatest
power in the world, dominating the world market, and
Germany will be a rich nation. For this goal, risks must be
taken. . . .”
That quotation, may it please the Court, is taken from Document R-
140, Exhibit Number USA-160.
A few weeks after the Munich Agreement, on the 14th of October
1938, at another conference held in Göring’s office, he made the
statement that Hitler had instructed him to organize a gigantic
armament program which would make insignificant all previous
achievements. He indicated that he had been ordered to build as
rapidly as possible an air force five times as large, to increase the
speed of army and navy rearmament, and to concentrate on
offensive weapons, principally heavy artillery and heavy tanks; and
at that meeting he proposed a specific program designed to
accomplish those ends. That is a short summary of facts which
appear from Exhibit Number USA-123 already in evidence, our
Document 1301-PS.
In his dual role as Reich Air Minister and Commander-in-Chief of
the German Air Force it was Göring’s function to develop the
Luftwaffe to practical war strength. As early as the 10th of March
1935, in an interview with the correspondent of the London Daily
Mail, the mask of hypocrisy was removed and Göring frankly
announced to the world that he was in the process of building a true
military air force.
Two months later, in a speech to 1,000 Air Force officers, Göring
spoke in a still bolder vein. I offer in evidence from Exhibit Number
USA-437, our Document 3441-PS—which is Göring’s Reden und
Aufsätze—another excerpt that has not yet been read in evidence,
from Page 242. Göring said:
“I repeat: I intend to create a Luftwaffe which, if the hour
should strike, shall burst upon the foe like a chorus of
revenge. The enemy must have the feeling of being lost
already before having fought.”
In the same year, on the 16th of March 1935, he signed his name
to the conscription law which provided for compulsory military
service and constituted an act of defiance on the part of Nazi
Germany in violation of the Versailles Treaty. The Tribunal will take
judicial notice of that decree, which is our Document 1654-PS, from
which I shall not read, with the permission of the Tribunal—the Law
for the Organization of the Armed Forces; it is cited in 1935
Reichsgesetzblatt, Part I, Page 369.
As is demonstrated by the affidavit of Ambassador Messersmith
already in evidence, Göring’s statements during this period left no
doubt in the minds of Allied diplomats that Germany was engaged in
full mobilization of air power for an impending war.
Göring was in fact the central figure in German preparation for
military aggression. In German economic development, too, he held
the key positions throughout the pre-war period. Although he held
no official position in the field of foreign affairs, as the Number Two
Nazi, history records that he was prominent in all major phases of
Nazi aggression between 1937 and 1941.
In the Austrian affair Göring was the prompter and director of the
diplomatic “tragicomedy” enacted before a shocked but silent world.
The Tribunal is familiar with Göring’s complicity in the aggression
against Austria. However, some additional documents have just
come to our notice which show that Göring not only participated
actively, but may even have been in direct charge of the German
plan to bring about the Austrian Anschluss. I will offer the first of
these documents, our Document 3473-PS, as Exhibit Number USA-
581. I shall not read from that exhibit, if Your Honors please, but I
would like to call the attention of the Tribunal to the letter from
Keppler, who was one of Göring’s agents, addressed to the
Defendant Göring. It is dated the 6th of January 1938. From its
context it would seem that a valid inference can be drawn that
Göring was already active in the Austrian matter in 1937. Our prior
evidence brought him into the picture much later. The Prosecution
believes this document to be of great significance, as it shows that
the Defendant Seyss-Inquart actually had Göring’s mandate to carry
out the orders of the Nazi conspirators in Vienna. The document
itself will be read and discussed in the presentation of the case
showing the individual responsibility of the Defendant Seyss-Inquart;
and I shall not take the time of the Tribunal at this time.
The second document I wish to introduce is Exhibit Number USA-
582, our Document 3472-PS. This exhibit would seem to show that
the conspirators attempted to create the impression that the
Anschluss, when it took place, was achieved by “legal” means. The
command apparently was given the members of the NSDAP in
Austria to keep “hands off” in order to permit the deviltry to be
worked out by the official Reich agencies, that is, through the
Defendant Göring and, presumably, the Defendant Von Papen, by
direct contact with the Austrian officials.
I read from that document:
“Yesterday information reached me to the effect that
Landesleiter Leopold”—and may I interrupt for a moment to
point out that the word “Landesleiter” is the title of the
leader of the Nazi community in Austria—“also on his part
has started negotiations with Chancellor Schuschnigg.
Thereupon I have asked the Foreign Office to investigate
the truth of this information and, in case it is true, to take
care that such negotiations are not held because they
 would merely disturb the proceedings of the other
negotiations.
“Just now I got word from the Foreign Office that they
received a report from the embassy in Vienna confirming
the facts. I therefore would like to know whether it would
not be more appropriate to forbid Landesleiter Leopold and
the other members of the country’s leadership to negotiate
with Chancellor Schuschnigg as well as with any Austrian
Government authorities as to the execution of the pact of
the 11th of July 1936, unless it is done after contacting and
in agreement with the authorities in charge in the Reich.”
Now below, if I may call the attention of the Tribunal to the note
that appears in this letter. It is written in blue pencil, and, while the
translator has not indicated the initial below that note, it is a large
“G”; and I have no doubt that that note was written by the
Defendant Göring. It reads:
“Agreed, Minister Hess or Herr Bormann can give this order
best! Keppler ought to ask therefore by telephone!”
If I may direct your attention to the upper right corner, there is
another note in pencil, “Transmitted to Herr Keppler on the 11th of
February 1938 by Fräulein Ernst;” and it is signed with initial “G,”
which in this case, however, we are quite sure is the initial of Miss
Grundmann, who was one of Göring’s secretaries.
The third document I offer as Exhibit Number USA-583, our
Document 3471-PS. The first letter of this exhibit is written by the
same Keppler to the same Bodenschatz mentioned a short while
ago, but who is now a general. I shall not read from this exhibit,
with the permission of the Tribunal, but I shall briefly summarize it.
This letter and the annexes show that Leopold, the Nazi Landesleiter
in Austria, was apparently not completely amenable to the orders
given by Berlin and pursued his own methods for accomplishing an
Anschluss. The second annex to this letter, addressed to Keppler,
who appears from this letter to have been an SS Gruppenführer,
shows that prominent Nazis had declared themselves in favor of a
Major Klausner to succeed Leopold as Landesleiter; and I would like
to call the Tribunal’s attention to the fact that in the left margin of
the covering letter appear some red crayon marks in the
characteristic color employed on several occasions, to our
knowledge, by Göring; and they would seem to show that Göring
personally had seen these documents and that General Bodenschatz
had brought them to his attention. In any event these letters again
demonstrate that Göring was one of the principal conspirators in the
Austrian affair.
When the time finally came, on 11 March 1938, to consummate
the Anschluss, Göring was in complete command. Throughout the
afternoon and evening of that day he directed by telephone the
activities of the Defendant Seyss-Inquart and of the other Nazi
conspirators in Vienna. The pertinent portions of these telephone
conversations, it will be remembered, were read into the record.
It will be recalled that early on the same evening of 11 March he
dictated to the Defendant Seyss-Inquart the telegram which the
latter was to send to Berlin, requesting the Nazi Government to send
German troops to “prevent bloodshed.” Two days later he was able
to call the Defendant Ribbentrop in London and gleefully relate to
him of his success and that “this story that we had given an
ultimatum is just foolish gossip.”
If I may interrupt for a moment, that passage I just alluded to
was read into the record at Page 581 (Volume II, Page 424).
Similarly, Göring played an important role in the attack on
Czechoslovakia. In March of 1938, at the time of the Anschluss, he
had given a solemn assurance to the Czechoslovakian Minister in
Berlin that the developments in Austria would in no way have a
detrimental influence on the relations between Germany and
Czechoslovakia and he had emphasized the continued earnest
endeavor on the part of Germany to improve these relations. In this
connection Göring had used the expression, “Ich gebe Ihnen mein
Ehrenwort” (“I give you my word of honor”).
That expression was read previously into the record at Page 962
(Volume III, Page 192).
 On the other hand, in his address to German airplane
manufacturers on the 8th of July 1938, which I have already
mentioned, he made his private views on this subject, which were
hardly consistent with his solemn official statements, abundantly
clear.
On the 14th of October 1938, shortly after the Munich
Agreement, at a conference in the Air Ministry, Göring stated that
the Sudetenland had to be exploited with all means and that he
counted upon a complete industrial assimilation of Czechoslovakia.
Meanwhile, as proof before the Tribunal shows, he was deceiving the
representatives of the puppet Slovakian Government to the same
end.
In the following year, with the rape of Czechoslovakia complete,
Göring frankly stated what Germany’s purpose had been throughout
the whole affair. He explained that the incorporation of Bohemia and
Moravia into the German economy had taken place, among other
reasons, in order to increase the German war potential by
exploitation of the industry there.
Göring was also a moving force in the later crimes against the
peace. As the successor designate to Hitler, chief of the air forces
and economic czar of Greater Germany, he was a party to all the
planning for military operations of the Nazi forces in the East and in
the West.
In the Polish affair, for example, it was Göring who, on the 31st
of January 1935, gave assurances to the Polish Government through
Count Czembek, as revealed in the Polish White Book, of which I ask
the Tribunal to take judicial notice, that “there should be not the
slightest fear in Poland that on the German side it”—meaning the
German-Polish alliance—“would not be continued in the future.” Yet,
4 years later, Göring helped to formulate plans for the ruthless
invasion of Polish territory.
In respect to the attack upon the Soviet Union, the documents
already introduced prove that plans for the ruthless exploitation of
Soviet territory were made months in advance of the opening of
hostilities. Göring was placed in charge of this army of spoliation,
whose mission was that of “seizing raw materials and taking over all
important concerns.”
But these specific instances cited are merely illustrative of
Göring’s activities in the field of aggressive war. On Pages 20, 21,
and 22 of our brief there appears a list of documents—by no means
exhaustive—previously offered by the Prosecution, which
demonstrate Göring’s knowledge of and continued participation in
the Nazi war program.
We turn now to Göring’s responsibility for planning and his
participation in the procurement of forced labor, the deportation and
enslavement of residents of occupied territories, the employment of
prisoners of war in war industry, the looting of works of art, and the
Germanization and spoliation of countries overrun by the Nazis.
Evidence previously introduced has detailed the slave labor
program of the Nazi conspirators and has shown its two purposes,
both of them criminal. The first was to satisfy the labor requirements
of the Nazi war machine by forcing residents of occupied countries
to work in Germany. The second purpose was to destroy or weaken
the peoples of the occupied territories. It has been shown that
millions of foreign workers were taken to Germany, for the most part
under pressure and generally by physical force; that these workers
were forced to labor under conditions of indescribable brutality and
degradation; and that often they were used in factories and
industries devoted exclusively to the production of munitions of war.
Göring was at all times implicated in the slave labor program.
Recruitment and allocation of manpower and determination of
working conditions were included in his jurisdiction as
Plenipotentiary for the Four Year Plan, and from its beginning a part
of the Four Year Plan Office was devoted to such work. I ask the
Tribunal in this connection to take judicial notice of our Document
1862-PS, Ordinance for the Execution of the Four Year Plan, dated
18 October 1936, which appears in 1936, Reichsgesetzblatt, Part I,
Page 887, and with the permission of the Tribunal I shall not read
the same.
Soon after the fall of Poland Göring began the enslavement of
large numbers of Poles. On 25 January 1940 the Defendant Frank,
the Governor General of Poland, reported to Göring on his directive
for the:
“Supply and transportation of at least 1 million male and
female agricultural and industrial workers to the Reich—
among them at least 750,000 agricultural workers of which
at least 50 percent must be women in order to guarantee
agricultural production in the Reich and as a replacement
for industrial workers lacking in the Reich.”
This is taken from our Exhibit Number USA-172, our Document
Number 1375-PS.
That orders for this enormous number of workers originated with
the Defendant Göring is clear from statements in the Defendant
Frank’s diary for 10 May 1940, already introduced in evidence.
For the harsh treatment given those workers when they reached
Germany the Defendant Göring is also responsible. On 8 March
1940, as Plenipotentiary for the Four Year Plan and as Chairman of
the Cabinet Council for the Defense of the Reich, he issued a
directive entitled, “Treatment of Male and Female Civilian Workers of
Polish Nationality in the Reich.” I refer to our Document R-148 as
proof of that fact. I shall not introduce it at this time into evidence,
with the permission of the Tribunal, as it will be introduced by the
Soviet prosecution at a later date.
On 29 January 1942 the division for the employment of labor in
the Four Year Plan office issued a circular, signed by Dr. Mansfeld,
the general delegate for labor employed in the Four Year Plan office,
addressed to various civilian and military authorities in the occupied
territories, explaining that, and I quote, “any and all . . . methods
. . . must be adopted” to force workers to go to Germany. I shall not
read from our exhibit, if the Tribunal please, but I would like to offer
in evidence Document 1183-PS as our Exhibit Number USA-585. This
is a circular letter dated the 29th of January 1942 of the
Commissioner for the Four Year Plan.
It has been shown previously that on 21 March 1942 Hitler
promulgated a decree appointing the Defendant Sauckel
Plenipotentiary General for manpower, directing him to carry out his
tasks within the framework of the Four Year Plan, and making him
directly responsible to Göring as head of the Four Year Plan.
On 27 March 1942 the Defendant Göring issued his important
enabling decree in pursuance of the decree of the Führer of 21
March 1942. The Tribunal has already judicially noted this decree,
which is our Document 1666-PS.
Since the Defendant Sauckel was an authority under the Four
Year Plan, the Defendant Göring retains full responsibility for the
enormous war crimes committed by Sauckel as Plenipotentiary
General for manpower. These crimes have been the subject of our
presentations on slave labor and on the illegal use of prisoners of
war.
It was also proven during those presentations that the Nazi
conspirators ordered prisoners of war to work under dangerous
conditions and in the manufacturing and transportation of arms and
munitions of war, in violation of the laws of war and of Articles 31
and 32 of the Geneva Convention of 27 July 1929 on prisoners of
war. The Defendant Göring had a part in all these crimes.
At a conference on 7 November 1941, the subject of which was
the employment of citizens of the Soviet Union, including prisoners
of war, it appears from a memorandum signed by Körner, who was
State Secretary to the Defendant Göring as Plenipotentiary for the
Four Year Plan, that Göring gave certain ruthless directives for the
use of Soviet citizens, both prisoners of war and free Soviet workers,
as laborers. I refer to our Document 1193-PS which, with the
permission of the Tribunal, I shall not offer in evidence at this time
and which will be offered by the Soviet Prosecution.
In a set of top-secret notes of outlines laid down by Göring in
what was apparently the same conference of 7 November 1941,
which are already in evidence, the following facts appear:
1) That, of a total of 5 million prisoners of war, 2 million were
employed in war industries;
2) That it was better to employ PW’s than unsuitable foreign
workers;
3) That Poles, Dutchmen, et cetera, should be seized if necessary
as PW’s and employed as such, if work through free contract cannot
be obtained.
These facts, if Your Honors please, appear in our Document
1206-PS, which was submitted in evidence as Exhibit Number USA-
215.
In a secret letter from the Reich Minister of Labor to the
presidents of the regional labor exchange offices, already in
evidence, it is furthermore recorded that upon the personal order of
the Reich Marshal, the Defendant Göring, 100,000 men are to be
taken from among the French PW’s not yet employed in the
armament industry and assigned to the airplane armament industry
and that gaps in manpower supply resulting therefrom are to be
filled by Soviet PW’s.
Evidence has also been introduced showing the organized,
systematic program of the Nazi conspirators for the cultural
impoverishment of every country in Europe. The continuous
connection of the Defendant Göring with these activities has been
substantiated.
In October 1939 the Defendant Göring requested Dr. Mühlmann
to undertake immediately the “securing” of all Polish art treasures.
In his affidavit, already offered, Dr. Mühlmann states that he was the
special deputy of the Governor General of Poland, the Defendant
Frank, for the safeguarding of art treasures in the Government
General from October 1939 to September 1943, and that the
Defendant Göring, in his capacity as Chairman of the Reich Defense
Council, had commissioned him with this duty.
Mühlmann also confirms that it was the official policy of the
Defendant Frank to take into custody all important art treasures
which belonged to Polish public institutions, private collections, and
the Church, and that such art treasures were actually confiscated.
It appears also from a report made by Dr. Mühlmann on 16 July
1943 on his operations that at one time 31 valuable sketches by the
artist Albrecht Dürer were taken from the Polish collection and
personally handed to the Defendant Göring who took them to the
Führer’s headquarters.
The part played by Göring in the looting of art by the Einsatzstab
Rosenberg has been shown. We refer to Exhibit Number USA-368,
which is our Document Number 141-PS, which is an order dated 5
November 1940, already read in evidence, in which Göring directs
the chief of the Military Administration in Paris and the Einsatzstab
Rosenberg to dispose of the art objects brought to the Louvre in the
following priority:
“1) Those art objects as to the use of which the Führer has
reserved the decision for himself;
“2) Those art objects which serve to complete the Reich
Marshal’s collection;
“3) Those art objects and library stocks, which seem of use
for the establishment of the Hohe Schule and for
Rosenberg’s sphere of activities;
“4) Those art objects suitable for German museums . . . .”
In view of the high priority afforded by the foregoing order to the
completion of the defendant’s own collection, it is not surprising to
find that Göring continued to aid the operations of the Einsatzstab
Rosenberg. It has been established that on 1 May 1941 Göring
issued an order under his own signature to all Party, State, and
Wehrmacht services, requesting them to give all possible support
and assistance to the chief of staff of Reichsleiter Rosenberg.
By May 1942 the Defendant Göring was able to boast of the
assistance which he had rendered to the work of the Einsatzstab
Rosenberg. In our Document 1015(i)-PS which has been read in
evidence on Page 1678 of the record (Volume IV, Page 87), he is
shown writing to the Defendant Rosenberg that he personally
supports the work of the Einsatzstab wherever he can do so and that
accounted for the seizure of such a large number of art objects
because he was able to render assistance to the Einsatzstab.
Thus, the Defendant Göring’s responsibility for the planning of
the looting of art, which was actually accomplished by the
Einsatzstab Rosenberg, would seem clear.
Details of the execution of both the Germanization and spoliation
policies in both the Western and Eastern countries occupied by the
German armies will be presented subsequently by the French and
Soviet Delegations. The responsibility of the Defendant Göring, in his
capacity as Plenipotentiary for the Four Year Plan, as President of
the Cabinet Council for the Defense of the Reich, and in other
capacities, will be further demonstrated by that evidence.
The plans of the Nazi conspirators with respect to Poland have
been shown by evidence already offered. The Nazis purported to
incorporate the four western provinces of Poland into the German
Reich. In the remaining portions occupied by them they set up the
Government General. It has been shown that the Nazis planned to
germanize the so-called incorporated territories ruthlessly, by
deporting the Polish intelligentsia, Jews, and dissident elements to
the Government General for eventual elimination, by confiscating
Polish property, by sending those so deprived of their property to
Germany as laborers, and by importing German settlers. It was
specifically planned to exploit the people and material resources of
the territory within the Government General by taking whatever was
needed to strengthen the Nazi war machine, thus impoverishing this
region and reducing it to a vassal state.
The Defendant Göring, together with Hitler and Lammers and
with the Defendants Frick and Hess, on 8 October 1939 signed the
decree by which certain parts of Polish territory were incorporated
into the Reich.
Purporting to act by virtue of the foregoing decree, Göring, as
Plenipotentiary for the Four Year Plan, signed an order on 30
October 1939 concerning the introduction of the Four Year Plan in
the Eastern territories.
In his directive dated 19 October 1939 (Document Number EC-
410, Exhibit Number USA-298) Göring stated that the task for the
economic treatment of the various administrative regions would
differ, depending on whether a country was to be incorporated
politically into the German Reich or whether the Government General
was involved, which, in all probability, would not be made a part of
Germany. He went on to say:
“In the first mentioned territories the reconstruction and
expansion of the economy, the safeguarding of all their
 production facilities and supplies must be aimed at, as well
as a complete incorporation into the Greater German
economic system at the earliest possible time. On the other
hand there must be removed from the territories of the
Government General all raw materials, scrap materials,
machines, et cetera, which are of use for the German war
economy. Enterprises which are not absolutely necessary
for the meager maintenance of the bare existence of the
population must be transferred to Germany, unless such
transfer would require an unreasonably long period of time
and would make it more practical to exploit those
enterprises by giving them German orders to be executed
at their present location.”
From the foregoing documents the complicity of the Defendant
Göring in the plans for the ruthless exploitation of Poland appears
clear. But his fine hand also may be found behind the remainder of
the Nazi plans for Poland. As an illustration, it was the Defendant
Göring who signed, with Hitler and the Defendant Keitel, the secret
decree of 7 October 1939 which entrusted Himmler with the task of
executing the Germanization program. That secret decree was read
into evidence at Pages 1522-23 (Volume III, Page 583).
Evidence already introduced has shown from the mouths of
Himmler, the Defendant Frank, and others just what this
appointment involved in human suffering and degradation.
Similarly, it was the Defendant Göring who, by virtue of his
powers as Plenipotentiary for the Four Year Plan, issued a decree on
17 September 1940 concerning confiscation in the incorporated
Eastern territories. This decree applied to “property of citizens of the
former Polish State within the territory of the Greater German Reich
including the incorporated Eastern territories.” I ask the Court to
take judicial notice of our Document 1665-PS, which is an “Order
concerning Treatment of Property of Nationals of the Former Polish
State,” cited in 1940 Reichsgesetzblatt, Part I, Page 1270. I shall
read from this document:
“Article I.
 “1) Property of nationals of the former Polish State within
the area of the Greater German Reich, including annexed
Eastern territories, is subject to confiscation, administration
by commissioner and sequestration in accordance with the
following regulations.”
I now skip to Article II.
“1) Confiscation will be applied in case of property
belonging to: a) Jews; b) persons who have fled or who
have absented themselves for longer than a temporary
period.
“2) Confiscation may be applied: a) If the property is
needed for the public good, especially for purposes of
national defense or the strengthening of German folkdom;
b) if the owners or other persons entitled to it immigrated
into the area of the German Reich after 1 October 1918.”
I skip now to Article IX, the first part:
“1) Sequestered property can be confiscated in favor of the
Reich by the competent office . . . if the public weal,
particularly the defense of the Reich or the consolidation of
the German nationality, requires it.”
Evidence has also been introduced by the United States showing
the extent to which the spoliation of Soviet territory and resources
and the barbarous treatment inflicted on Soviet citizens were the
result of plans long made and carefully drawn up by the Nazis before
they launched their aggressive war on the Soviet Union. The Nazis
planned to destroy the industrial potential of the northern regions
occupied by their armies and so to administer the production of food
in the south and southeast, which normally produced a surplus of
food, that the population of the northern region would inevitably be
reduced to starvation because of diversion of such surplus food to
the German Reich. It has been shown also that the Nazis planned to
incorporate Galicia and all of the Baltic countries into Germany and
to convert the Crimea, an area north of the Crimea, the Volga
territory, and the district around Baku into German colonies.
By 29 April 1941, almost 2 months prior to the invasion of the
Soviet Union, it appears that Hitler had entrusted the Defendant
Göring with the over-all direction of the economic administration in
the area of operations and in the areas under political
administration. It further appears that Göring had set up an
economic staff and subsidiary authorities to carry out this function.
The form of this organization created by Göring and the duties of
its various sections appear more clearly in a set of directives “for the
operation of the economy in the newly occupied Eastern territories”
issued by Göring, as Reich Marshal of the Greater German Reich, in
June 1941. These directives are contained in the important Green
Portfolio which, curiously enough, was printed by the Wehrmacht. By
the terms of these directives it is stated that:
“The orders of the Reich Marshal cover all economic fields,
including nutrition and agriculture. They are to be executed
by the subordinate economic offices. . . .”
An Economic Staff East was charged with the execution of orders
transmitted to it from higher authority. One subdivision of this staff,
the agricultural section, was charged with the following functions:
“Nutrition and agriculture, the economy of all agricultural
products, provision of supplies for the Army in co-operation
with the army groups concerned.”
Excerpts from the Green Portfolio have already been admitted as
Exhibit Number USA-315, but I will offer at this time without reading
some additional excerpts in support of the facts that have just been
related. I would like to offer, as Exhibit Number USA-587, our
Document 1743-PS. This is another copy of the Green Portfolio, and
I want to offer this portfolio to show to the Tribunal that these
directives were originally published in June 1941. Document EC-472,
which is already in evidence as Exhibit Number USA-315, was a
revised edition published in July 1941. In other words, the economic
plan for the invasion was ready when the Wehrmacht actually
marched into the Soviet Union on June 22, 1941.
As appears from the foregoing directives, it was a subdivision of
the economic organization set up by the Defendant Göring, the
agricultural section of the Economic Staff East, which rendered a
report on 23 May 1941, containing a set of policy directives for the
exploitation of Soviet agriculture. It will be recalled that these
directives contemplated abandonment of all industry in the food
deficit regions, with certain exceptions, and the diversion of food
from the food surplus regions to German needs, even though
millions of people would inevitably die of starvation as a result.
Those directives have already been read into evidence at Page 1558
(Volume IV, Page 5).
Minutes of a meeting at Hitler’s headquarters on 16 July 1941,
kept by the Defendant Bormann, have also been read in part in
evidence. It was at this meeting that Hitler stated that the Nazis
never intended to leave the countries then being occupied by their
armies, that although the rest of the world was to be deceived on
this point, nevertheless, “this need not prevent us from taking all
necessary measures—shooting, desettling, et cetera—and we shall
take them.” That quotation, may it please the Tribunal, was taken
from our Exhibit USA-317, our Document L-221. Then Hitler
discussed making the Crimea and other parts of the Soviet Union
into German colonies. The Defendant Göring was present and
participated in this conference.
As a final illustration it appears from a memorandum dated 16
September 1941, which is our Exhibit Number USA-318, that Göring
presided over a meeting of German military officials concerned with
the better exploitation of the occupied territories for the German
food economy. In discussing this topic, the Defendant Göring said:
“In the occupied territories on principle only those people
are to be supplied with an adequate amount of food who
work for us. Even if one wanted to feed all the other
inhabitants, one could not do it in the newly occupied
Eastern areas. It is, therefore, wrong to funnel off food
 supplies for this purpose if it is done at the expense of the
Army and necessitates increased supplies from home.”
From the foregoing documents participation of the Defendant
Göring in the Nazi plans for committing wholesale War Crimes in
occupied territories is, we submit, clear.
I turn now to Göring’s planning and his participation in inhumane
acts committed against civilian populations before and during the
war. It has been shown that shortly after becoming Prime Minister of
Prussia in 1933, Göring created the Gestapo in Prussia, which
became a model for that instrument of terror as it was extended to
the rest of Germany. Concentration camps were established in
Prussia in the spring of 1933 under his administration, and these
camps were then placed in the charge of the Gestapo, of which he
was chief.
The extent to which Göring and the other Nazi conspirators
employed these institutions as agencies for the commission of their
crimes already appears from the evidence. In 1936 Himmler became
chief of the German Police. Thereafter Göring was able to devote his
attention chiefly to the task of creating the German Air Force and to
the task of preparing the nation economically for aggressive war.
However, he continued to be concerned with these institutions of his
creation. An example of this is shown in our Document 1584(I)-PS,
already introduced as Exhibit Number USA-221, which is a teletype
sent by Göring to Himmler in which he requested the latter to place
at his disposal as great a number of concentration camp inmates as
possible, as the situation of air warfare made the subterranean
transfer of industry necessary.
In his reply Himmler advised Göring by teletype that a survey on
the employment of prisoners in the aviation industry showed that
36,000 were being employed for the purposes of the Air Forces and
that an increase to a total of 90,000 prisoners was being
contemplated.
Evidence has been introduced as to medical experiments
performed on human beings at the concentration camp at Dachau
and the part played by Field Marshal Milch, State Secretary and
deputy to the Defendant Göring as Air Minister, for whose acts the
latter must bear full responsibility. It is abundantly clear from letters
written by Milch to General Wolff on 20 May 1942 and to Himmler in
August 1942, both of which have been read in evidence at Page
1850 of the record (Volume IV, Page 204, 205), our Document 343-
PS.
Finally, I turn to Göring’s participation in and planning for
elimination of all members of the Jewish race from the economic life
of Germany and in the planned extermination of all Jews from the
continent of Europe.
In 1935 the Defendant Göring, as President of the Reichstag,
made a speech urging that body to pass the infamous Nuremberg
race laws. I offer, as Exhibit Number USA-588, our Document 3458-
PS, which is an excerpt from Rühle, Das Dritte Reich, Page 257.
Göring said:
“God has created the races. He did not want equality and
therefore we energetically reject any attempt to falsify the
concept of race purity by making it equivalent with racial
equality. We have experienced what it means when a
people has to live in accordance with the laws of an
equality that is alien to its kind and contrary to nature. For
this equality does not exist. We have never acknowledged
such an idea and therefore must reject it also, as a matter
of principle, in our laws, and we must acknowledge that
purity of race which nature and providence have destined.”
Again, to show his official attitude, as revealed on 26 March 1938
in a speech in Vienna, I offer, as Exhibit Number USA-437, our
Document 3460-PS, starting with Page 348. Göring said:
“I must address myself with a serious word to the city of
Vienna. The city of Vienna can no longer rightfully be called
a German city. So many Jews live in this city. Where there
are 300,000 Jews, you cannot speak of a German city.
“Vienna must once more become a German city, because it
must perform important tasks for Germany in Germany’s
 Ostmark. These tasks lie in the sphere of culture as well as
in the sphere of economics. In neither of them can we, in
the long run, put up with the Jew.
“This, however, should not be attempted by inappropriate
interference and stupid measures but must be done
systematically and carefully. As Delegate for the Four Year
Plan, I commission the Reichsstatthalter in Austria jointly
with the Plenipotentiary of the Reich to consider and take
any steps necessary for the redirection of Jewish
commerce, i.e., for the Aryanization of business and
economic life, and to execute this process in accordance
with our laws, legally but inexorably.”
Acting within the framework of economic preparation for
aggressive war, the Nazi conspirators then began the complete
elimination of Jews from economic life preparatory to their physical
annihilation. The Defendant Göring, as head of the Four Year Plan,
was in active charge of this phase of the persecution.
The first step in his campaign was the decree of 26 April 1938,
requiring registration of all Jewish-owned property. Both Göring and
the Defendant Frick signed that law. It is already in evidence.
I beg the Tribunal’s pardon. I would like the Tribunal to take
judicial notice of that decree, which is our Document 1406-PS and
cited as 1938 Reichsgesetzblatt, Part I, Page 414.
Now, armed with the information thus secured, the Nazi
conspirators were fully prepared to take the next step. The killing of
Vom Rath, a German Legation secretary in Paris on 9 November
1938, was made the pretext for widespread “spontaneous” riots,
which included the looting and burning of many Jewish synagogues,
homes, and shops, all carefully organized and supervised by the Nazi
conspirators. The Defendant Göring was fully informed of the
measures taken. The teletype orders of 10 November 1938 given by
Heydrich are already in evidence and were read at Page 1405 of the
record (Volume III, Page 500). A letter which Heydrich wrote to
Göring on the following day has also been read. It is our Document
3058-PS, Exhibit Number USA-508. In it Himmler summarizes the so-
called “spontaneous” riots that had taken place. He reported the day
after the riot that insofar as the official reports from the district
police were concerned he was able to state that 815 shops were
destroyed, 171 dwelling houses set on fire or destroyed, and that all
this indicates only a fraction of the actual damage caused, as far as
arson is concerned. He also said that:
“Due to the urgency of the reporting, the reports received
to date are entirely limited to general statements, such as
‘numerous’ or ‘most shops destroyed’. Therefore”—says
Heydrich—“the figures given will be considerably
augmented.
“One hundred and ninety-one synagogues were set on fire
and another 76 completely destroyed. In addition 11 parish
halls, cemetery chapels, and similar buildings were set on
fire. . . .
“Twenty thousand Jews were arrested. . . .
“Thirty-six deaths were reported and those seriously injured
were also numbered at 36.”
Immediately after these so-called “spontaneous” riots of 9
November, Göring acted as chairman of a meeting at the Reich
Ministry of Air devoted to the Jewish question, which also was
attended by the Defendant Funk and other conspirators. The
stenographic report on that meeting is an extraordinary document,
and it does not make pretty reading. It is our Document 1816-PS,
which has already been offered as Exhibit Number USA-261. I should
like to read certain passages that have not as yet been read into the
record. I read from the top of first page, the first two paragraphs of
Page 1 of the German original; Göring speaks:
“Gentlemen, today’s meeting is of a decisive nature. I have
received a letter written on the Führer’s order by the
Stabsleiter of the Führer’s deputy, Bormann, requesting that
the Jewish question be now uniformly comprehended and
solved one way or another. And yesterday once again the
 Führer requested me by phone to take co-ordinated action,
in the matter.
“Since the problem is mainly an economic one, it is from
the economic angle that it will have to be tackled. Naturally
a number of legal measures will have to be taken which fall
into the sphere of the Minister for Justice and into that of
the Minister of the Interior; then certain resulting
propaganda measures shall be taken care of by the office
of the Minister for Propaganda. The Minister of Finance and
the Minister for Economic Affairs shall take care of problems
falling into their respective departments.”
Specific measures to effect the Aryanization of Jewish business
were then discussed. A representative of German insurance
companies was called in to assist in the solving of the difficulties
created by the fact that most of the Jewish stores and other
property destroyed in the rioting were, in fact, insured, in some
cases, ultimately by foreign insurance companies. All present were
agreed that it would be unfortunate to pass a law which would have
the effect of allowing foreign insurance companies to escape liability.
The Defendant Göring then suggested a characteristic solution, and I
pass to Page 10. In German it is the third full paragraph on Page
3/11. Göring said:
“No, I don’t even dream of refunding the insurance
companies the money. The companies are liable. No, the
money belongs to the State. That’s quite clear. That would
indeed be a present for the insurance companies. You
made a wonderful Petitum there. You’ll fulfill your
obligations; you may count on that.”
It is superfluous to quote further from the extensive discussion of
all phases of persecution of the Jews that took place at this meeting.
It is sufficient to point out that on the same day the Defendant
Göring, over his own signature, promulgated three decrees putting
into effect the most important matters decided at this meeting. In
the first of these decrees a collective fine of 1 billion Reichsmarks
was placed on all German Jews. I ask the Tribunal to take judicial
notice of that decree, which is our Document 1412-PS and appears
in 1938 Reichsgesetzblatt, Part I, Page 1579.
The second decree entitled, “A Decree on Elimination of Jews
from German Economic Life” barred Jews from trades and crafts. I
ask the Tribunal to notice judicially that decree, which is our
Document 2875-PS, cited in 1938 Reichsgesetzblatt, Part I, Page
1580.
The third decree entitled, “Decree for the Restoration of the
Appearance of the Streets of Jewish Economic Enterprises” took care
of the insurance question raised in the morning’s meeting by
providing that insurance due to the Jews for various losses sustained
by them was to be collected by the State. I ask the Court to notice
judicially that decree also. It is our Document 2694-PS and appears
in 1938 Reichsgesetzblatt, Part I, Page 1581.
THE PRESIDENT: Shall we break off for 10 minutes there?
[A recess was taken.]

THE PRESIDENT: Mr. Albrecht, the Tribunal thinks that these

methods, which are really methods which we have already had
under consideration, might be presented in a more summary way
than you have been dealing with them, and if you can possibly
shorten the matters with which you are dealing now by summarizing
more than you are, it will be more useful to the Tribunal and will
save time.
MR. ALBRECHT: My Lord, I think I am practically through with
this point. At any event I think I shall not have to take more than 5
or 10 minutes.
THE PRESIDENT: Very well, but I may say that the same
observation will apply to those who follow.
MR. ALBRECHT: May it please the Tribunal, the material I alluded
to before the recess, we feel, is merely illustrative of the energetic
manner in which the Defendant Göring took part in driving the Jews
from economic life at this period. Two other documents would seem
to be pertinent on this point.
 I would like to offer our Document 069-PS as Exhibit Number
USA-589, which is a circular letter dated 17 January 1939 signed by
the Defendant Bormann, distributing a directive of the Defendant
Göring with respect to certain discriminations to be applied in the
housing of the Jews. I will be content with that summarization, if the
Court please, and I do not intend to read further from that
document.
The second document I desire to offer is our Document 1208-PS,
which I offer as Exhibit Number USA-590. That is an order of the
Defendant Göring as Commissioner for the Four Year Plan, dated 10
December 1938, prescribing the manner in which exploitation of
Jewish property is to be undertaken and warning that any profit
resulting from the elimination of Jews from economic activity is to go
to the Reich.
There is no need, I believe, to read excerpts from the document,
except that I do wish to call the attention of the Tribunal to the fact
that Göring’s letter is addressed to all the chief agencies of the
Reich, to all the political leaders and leaders of the affiliated
organizations of the Party, to all Gauleiter, to all Reichsstatthalter (or
governors), and to the various local heads of the German Länder
and subdivisions thereof.
As the German armies moved into other countries, the anti-
Jewish laws were extended, often in a more stringent form, to the
occupied territories. Many of the decrees were not signed by the
Defendant Göring himself, but were issued on the basis of decrees
signed by him.
Nevertheless, in his capacity as Commissioner for the Four Year
Plan or as Chairman of the Ministerial Council for National Defense,
the Defendant Göring himself signed a number of anti-Jewish
decrees for occupied territories, including the decrees enumerated
on Pages 47 and 48 of our brief, of which I ask the Tribunal to take
judicial notice.
During the later years of the war the program of the Nazi
conspirators for the complete physical annihilation of all Jews in
Europe achieved its full fury. While the execution of this anti-Jewish
program was for the most part handled by the SS and the Security
Police, the Defendant Göring remains implicated to the last in the
final efforts to achieve a Nazi “solution” of the Jewish problem.
On 31 July 1941 he wrote a letter to the conspirator Heydrich,
which is the final document to which I wish to draw the Tribunal’s
attention. It is a fitting climax to our presentation on this defendant.
The reason why it was addressed to the notorious Heydrich, the
predecessor of the Defendant Kaltenbrunner, need not strain our
imagination. This document is our Document Number 710-PS, which
has already been admitted as Exhibit Number USA-509, in
connection with the case on the Gestapo. While it has already been
read into evidence, with permission of the Court, I would like to
close my presentation with the reading of that letter. Göring writes
to Heydrich:
“Complementing the task that was assigned to you on 24
January 1939, which dealt with arriving at thorough
furtherance of emigration and evacuation solution of the
Jewish problem, as advantageous as possible, I hereby
charge you to make all necessary organizational and
practical preparations for bringing about a complete
solution of the Jewish question in the German sphere of
influence in Europe.
“Wherever other governmental agencies are involved, these
are to co-operate with you.
“I charge you furthermore to send me, before long, an
over-all plan concerning the organizational, factual, and
material measures necessary for the accomplishment of the
desired final solution of the Jewish question.”
The presentation made to the Tribunal on the individual
responsibility of the Defendant Göring has been intended to be
merely illustrative of the mass of documentary evidence which
reveals the leading part played by this conspirator in every phase of
the Nazi conspiracy. Thus, we submit that the responsibility of
Göring for the crimes with which he has been charged under Count
One and Count Two of the Indictment has been established.
 May it please the Tribunal, this completes the presentation on the
individual responsibility of the Defendant Göring. We will now
proceed with the arrangement made with the British Delegation on
the presentation showing the individual responsibility of the
Defendant Von Ribbentrop by Sir David Maxwell-Fyfe.
SIR DAVID MAXWELL-FYFE: May it please the Tribunal, if the
Tribunal would be good enough to look at Appendix A of the
Indictment on Page 28 of the English text (Volume I, Page 69) they
will find the particulars relating to this defendant, and they will find
that the allegations regarding him fall into three divisions.
After reciting the offices which he held, the appendix of the
Indictment goes on to say that the Defendant Ribbentrop used the
foregoing positions, his personal influence, and his intimate
connection with the Führer in such a manner that he promoted the
accession to power of the Nazi conspirators as set forth in Count
One of the Indictment and permitted the preparation for war set
forth in Count One of the Indictment.
In the second section he participated in the political planning and
preparation of the Nazi conspirators for wars of aggression and wars
in violation of international treaties, agreements, and assurances as
set forth in Counts One and Two of the Indictment.
In accordance with the Führer Principle, he executed and
assumed responsibility for the execution of the foreign policy plans
of the Nazi conspirators, as set forth in Count One of the Indictment.
Then the third section: He authorized, directed, and participated
in War Crimes, as set forth in Count Three of the Indictment, and
the Crimes against Humanity, set forth in Count Four of the
Indictment, including, more particularly crimes against persons and
property in occupied territories. I hope that it might be useful to the
Tribunal if I follow the order of these allegations in the Indictment as
we collected the evidence for each of these in turn; I therefore
proceed to deal first with the allegation that this defendant
promoted the accession to power of the Nazi conspirators.
The Tribunal knows already that the defendant held various
offices and these are usefully collected in his own certified
statement, which has already been put in as Exhibit Number USA-5,
Document 2829-PS. And I think it would be convenient if I very
briefly explained the different activities and offices of the defendant
which are dealt with in that list. It will be seen from that list that he
became a member of the Nazi Party in 1932, but, according to the
semi-official statement in Das Archiv, he had begun to work for the
Party before that time. That semi-official statement goes on to say
that he succeeded in extending his business connections to political
circles, having joined in 1930 the service of the Party. At the time of
the final struggle for power in the Reich, Ribbentrop played an
important, if not strikingly obvious part in the bringing about of the
decisive meetings between the representatives of the President of
the Reich and the heads of the Party, who had prepared the entry of
the Nazis into power on 30 January 1933. Those meetings, as well
as those between Hitler and Von Papen, took place in Ribbentrop’s
house in Berlin-Dahlem.
This defendant was therefore present and active at the inception
of the Nazi securing of power. After that, for a short period, he was
adviser to the Party on questions of foreign affairs. His title was first
“Adviser to the Führer on matters of foreign policy” and he later
became representative in matters of foreign policy on the staff of the
deputy. This was followed by membership in the Reichstag in
November 1933 and in the Party organizations he became an
Oberführer in the SS and was subsequently promoted to
Gruppenführer and to Obergruppenführer. Thereafter he attained
official government positions.
On the 24th of April 1934 he was appointed delegate of the Reich
Government on matters of disarmament. That was after Germany
had left the disarmament conference. In this capacity he visited
foreign capitals. He was then given a more important and certainly a
more resounding title: the German Minister Plenipotentiary at Large;
and it was in that capacity that he negotiated the Anglo-German
Naval Agreement of 1935.
In 1936, after the Nazi Government had re-occupied the
Rhineland contrary to the treaties of Versailles and Locarno, the
matter was brought before the Council of the League of Nations, and
the defendant addressed the Council in defense of the action of
Germany. His next position began on 11 August 1936, when he was
appointed Ambassador in London. He occupied that position for a
period of some 18 months, and his activities there, while having
their own interest, are not highly relevant to the matters now before
the Tribunal. But during that period, in the capacity which he still
had as German Minister Plenipotentiary at Large, he signed the
original Anticomintern Pact with Japan in November 1936 and also
the additional pact by which Italy joined it in 1937.
Finally, so far as this part of the case is concerned, on 4 February
1938 this defendant was appointed Foreign Minister in place of the
Defendant Von Neurath and simultaneously was made a member of
the Secret Cabinet Council (Geheimer Kabinettsrat) established by
decree of Hitler of that date. That takes us up to the period of his
holding the office of Foreign Minister, and his actions in that capacity
will be dealt with in detail later on.
I refer the Tribunal without reading further, because I have
already summarized it, to the extract from Das Archiv, which is
Document D-472, which I now put in as Exhibit GB-130; also to the
membership extract of the SS, which consists in the examination of
the descent of SS leaders and which I insert as Exhibit GB-131.
Again I shall not trouble the Tribunal with the details. It shows his
rank, which I have already mentioned. There is no question of any
honorary rank. It is simply stated to be the rank of Gruppenführer,
and of course, it gives his ancestry in detail, in order to deal with the
laws which related to that subject. It also deals with his adoption in
order to secure the prefix of “von,” but the defendant has now to
deal with much more serious things than barren controversies with
the Almanach de Gotha.
The only new document which I put before the Tribunal in this
part of the case is Exhibit GB-129, Document 1337-PS, which shows
the establishment of the Secret Cabinet Council and the membership
of the Foreign Minister. These are the activities of this defendant in
the earlier part of his career, and in the submission of the
Prosecution they show quite clearly that he assisted willingly,
deliberately, intentionally, and keenly in bringing the Nazis into
power and into the earlier stage of their obtaining control of the
German State.
I now come to the second allegation in the Indictment, that this
defendant participated in political planning and preparation with the
Nazi conspirators for wars of aggression and wars in violation of
international treaties, agreements, and assurances; and again it
might help the Tribunal if I took these quite shortly, in order of
aggression, and stated briefly the constituent allegations that we
make and the references to matters before the Tribunal, referring
the Tribunal only to any new document which shall come along.
The first is the Anschluss with Austria, and there the Tribunal will
remember that the Defendant Ribbentrop was present at a meeting
at Berchtesgaden on 12 February 1938, at which Hitler and Von
Papen met the Austrian Chancellor Von Schuschnigg and his Foreign
Minister, Guido Schmidt. The Tribunal will find the official account of
that interview in Document 2461-PS, which I put in as Exhibit GB-
132. What the Tribunal will find, I submit, is the truthful account of
the interview in Exhibit Number USA-72, Document Number 1780-
PS, which is the diary of the Defendant Jodl; and the relevant entries
are those for 11 and 12 February 1938. They are extremely short,
and I shall read—if the Tribunal will be kind enough to allow me,
they do show quite clearly the case for the Prosecution—about the
pressure that was used in Chancellor Schuschnigg’s interview. It is at
the foot of the first page in the Document Book; Document 1780-PS
is the number.
And on the 11th of February the Defendant Jodl writes:
“In the evening and on 12 February General K”—Keitel
—“with General Von Reichenau and Sperrle at
Obersalzberg. Schuschnigg, together with G. Schmidt are
being put under the heaviest political and military pressure.
At 2300 hours Schuschnigg signs protocol.
“13 February: In the afternoon General K”—Keitel—“asks
Admiral C”—Canaris—“and myself to come to his
apartment. He tells us that the Führer’s order is to the
effect that military pressure, by shamming military action,
 should be kept up until the 15th. Proposals for these
deceptive maneuvers are drafted and submitted to the
Führer by telephone for approval.
“14 February: At 2:40 o’clock the agreement of the Führer
arrives. Canaris went to Munich to the Counter-Intelligence
Office VII and initiates the different measures.
“The effect is quick and strong. In Austria the impression is
created that Germany is undertaking serious military
preparations.”
It is rather interesting, after reading the frank statement of the
Defendant Jodl, to look at the pale words of the official statement
which I have also put in. That is the view of the meeting with
Schuschnigg, which the Prosecution placed before this Court.
Will the Tribunal be good enough to ignore an allegation that
appears in the trial brief that this defendant visited Mussolini before
the Anschluss, as is stated by a member of his staff at that time. It
was disputed by another member. Therefore, I would rather the
Tribunal ruled it out.
The next point on which there is no dispute is the telephone
conversation which took place between the Defendant Göring and
the Defendant Ribbentrop on the 13th of March 1938, when this
defendant was still in London. The Tribunal will remember that that
was dealt with fully by my friend, Mr. Alderman. It was passing on
what the Prosecution submits is a completely false statement: that
there was no ultimatum. The facts of the ultimatum were explained
by the earlier telephone conversations with the Defendant Göring in
Vienna. Defendant Göring then passed that on to the Defendant
Ribbentrop in London in order that he might propagate the story of
there being no ultimatum, in political circles in London. That appears
in the telephone conversation, which is Exhibit Number USA-76,
Document 2949-PS, and, as I say, it is fully dealt with in the
transcript on Page 582 (Volume II, Page 425).
The third action which this defendant took occurred after his
return from London. Although he had been appointed Foreign
Minister in February, he had gone back to London to clear up his
business at the embassy and he was still in London until after the
Anschluss had actually occurred, but his name appears as a
signatory of the law making Austria a province of the German Reich.
That is Document 2307-PS, which I now put in as Exhibit GB-133.
And there is a reference in the Reichsgesetzblatt, which is given.
These were the actions of the defendant with regard to Austria.
Then we come to Czechoslovakia, and there you have an almost
perfect example of aggression at work in its various ways. Again I
simply remind the Tribunal of the outstanding points with the
greatest brevity. First, there is the question of stirring up trouble
inside the country against which aggression is going to be set forth.
This Defendant, as Foreign Minister, was concerned with the
stirring up of the Sudeten Germans under Henlein, and the contacts
between the Foreign Office and Henlein are shown in Exhibit
Numbers USA-93, 94, 95, and 96. These are Documents 3060-PS,
2789-PS, 2788-PS, and 3059-PS. They have all been read by my
friend, Mr. Alderman, but I simply give to the Tribunal their effect on
them, which is the stirring up of the Sudeten German movement in
order to act with the Government of the Reich.
Then, after that, the Defendant Ribbentrop was present on the
28th of May 1938 at the conference with Hitler, at which the latter
gave the necessary instructions to prepare the attack on
Czechoslovakia. That was dealt with previously on Page 742 of the
transcript (Volume III, Page 42). And I want to put before the
Tribunal Document 2360-PS, which is a report of a speech of Hitler’s
in the Völkischer Beobachter; and, if the Tribunal would be good
enough to look at it, it is a useful date to fix with regard to the
aggression against Czechoslovakia, because that was the day on
which Hitler, on his own proclamation, had decided that aggression
was to take place against Czechoslovakia. The extract which I have
taken is quite short and—if the Tribunal would look at the extract
which is on Page 1, columns 5 and 6, bottom—the important
passage is:
 “On the basis of this unbearable provocation, which was
still further emphasized by a truly infamous persecution and
terrorizing of our Germans there, I have now decided to
solve the Sudeten-German question in a final and radical
manner.”
This was in January 1939. Then he goes on to say:
“On 28 May . . . I gave the order for the preparation of
military steps against this state, to be concluded by 2
October. . . .”
The important point is that the 28th of May was the date when
the Fall Grün for Czechoslovakia was the subject of orders and it was
thereafter put into effect to come to fruition at the beginning of
October. That is the second stage: To lay well in advance your plans
of aggression. The third stage is to see that the neighboring states
are not likely to cause you trouble.
So we find that on the 18th of July 1938 this defendant had a
conversation with the Italian Ambassador Attolico, at which the
attack on Czechoslovakia was discussed. That is Exhibit Number
USA-85, Document 2800-PS. And there were further discussions
which are contained in Exhibits USA-86 and 87, which are
Documents 2791-PS and 2792-PS.
I think it is sufficient for me to say to the Tribunal that the effect
of these documents is that it was made clear to the Italian
Government that the German Government was going to move
against Czechoslovakia.
The other country which was interested was Hungary, because
Hungary had certain territorial ideas with regard to parts of the
Czechoslovakian Republic.
So, on the 23rd and 25th of August, this defendant was present
at the discussions and had discussions himself with the Hungarian
politicians Imredy and Kania, and these are found in Exhibit
Numbers USA-88 and 89, Documents 2796-PS and 2797-PS.
This defendant endeavored to get assurances of Hungarian help,
and the Hungarian Government at the time was not too ready to
commit itself to action, although it was ready enough with sympathy.
These are to be found in the documents which I have mentioned.
And, again, unless the Tribunal desires, I shall not read any
document that I summarize that way.
Now I have already mentioned that there had been contact with
the Sudeten Germans. That was the long-term grievance that had to
be exploited. But the next stage was to have a short-term grievance
and to stir up trouble, preferably at the fountainhead. And so,
between the 16th and 24th of September, we find the German
Foreign Office, of which this defendant was at the head, stirring up
trouble in Prague; and that is shown very clearly in Exhibits Numbers
USA-97 to 101, which are Documents 2858-PS, 2855-PS, 2854-PS,
2853-PS, and 2856-PS. I have read them in order of date. And it
would be interesting for the Tribunal to look at these. They ought to
follow quite shortly the document they have just been looking at,
beginning with Document PS-2858. You will see the sort of thing of
which I am reminding the Tribunal. Here you have the document of
the 19th of September coming from the Foreign Office to the
German Embassy in Prague:
“Please inform Deputy Kundt at Conrad Henlein’s request to
get in touch with the Slovaks at once and induce them to
start their demands for autonomy during the next day.”
And the others deal with questions of arrest and the action that
would be taken against any Czechs in Germany in order to make the
position more difficult.
That was the contribution which this defendant made to the pre-
Munich crisis. After, as the Tribunal will remember, on the 29th of
September 1938, the Munich Agreement was signed. That is GB-23,
Document TC-23, which I have already read to the Tribunal.
And, after that—I just remind the Tribunal of an interesting
document which shows the sort of action which the Wehrmacht
expected and the advice that the Wehrmacht expected from the
Foreign Office.
You have, on the 1st of October, Document C-2, which is Exhibit
Number USA-90, and that is a long document putting forward an
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