Tobacco Documents Online

Updated 2/24/85 CONFIDENTIAL INFORMATION__ ATTORNEY WORK PRODUCT DEFINITIONS FOR THE BROWN & WILLIAMSON SUBJECTIVE CODING TAXONOMY A ADVERTI$1NG & MARKETING: Documents relating to the promotion and sale of cigarettes to the public, but not covered by the subcategories below. ADVERTISING AND MARKETING RESEARCH: Documents concerning information from the marketplace or directly from consumers (current or potential) relating to advertising and promoting cigarettes. This research may investigate, for example, consumers' reactions to proposed ads or promotions, to new ideas for cigarettes or to actual cigarettes, etc. The research provides raw data that will be used by the company to decide how it will try to market its cigarettes to the public. ~dvertisiDq Testlng~ Documents concerning studies or sur~eys conducted to determine the effectiveness of various advertisements and various forms of advertising. Brand Name Research: Documents concerning this method of testing consumers' reactions to and interpretation of current or proposed cigarette names. Communications T~stlnq~ Documents discussing this method of testing print advertising in which interviews of res~ndents may be conducted on a personal basis in a shopping mall. Each respondent is shown only the test ad (a forced expos/ure) and then asked a series of questiuns to determine if the ad is communicating its intended message clearly and correctly. AAAC ~gnceDt Testinqz Documents discussing a method of testing ideas or concepts from which future advertising will be created. In this test, ideas are presented to the respondents in the fg~m of an ad, but it is the idea, not the adyertising execution, which is being tested. This test is usually done for a new product idea or for established brand line extension. Burke and -i-

AAAD AAAE AAAG Kapuler Is one of several companles who have suppl~ed this test to Brown & Williamson. Recall Te~tin~: Documents discussing studies to determine which ads people remember seeing, how much of the ads they read, what they learned from the ads and the interest level attained for the products advertised. An example of recall testing is the "tip-in test", in which magazines with a test ad insert are placed in the respondents' homes. A telephone interview is conducted 24-48 hours after the respondents have read the ad and respondents are asked about their recollection of various aspects of the ad. Market Facts is one of several suppliers of the tip-in test for Brown & Williamson. EYe Movement D~a: Documents concerning a test which studies the path a viewer's eye follows as he scans an ad and the amount of time spent looking at each part of the ad. This test is used to evaluate elements of advertising and/or packaging. Both product and user imagery are also usually measured in this test. Responsive documents include ads with percentages written by various sections of the ad ( .~, the picture or the title). Perception Research, Inc. is one of several of Brown & Williamson's suppliers of this test. Focus Groups: Documents concerning discussion groups of consumers (usually 8-10 people) led by a trained moderator used to explore consumers' reactions to concepts or actual advertisements Includin~ their copy, imagery, social dissonance and overall acceptability. In these sessions, which usually last two hours, advertising topic areas are outlined in advance, but specific questions and discussion flow are left to the discretion of the moderator. Qne-on-One ;nterviews: Documents discussing unstructured personal interviews (usually lasting about one hour) with specially trained moderators who conduct an in-depth investigation into the consumer's involvement, reaction to and interest in -2-

AAAI AAAJ advertising visuals and/or copy. Method slmllar to category AT~AF, "Focus Groups." Packinq Research: Documents concerning research investigating consumers' reactions to proposed or current cigarette packs and varlous color and deslgn schemes. ~ortfolio Test: Documents concerning a method of testing print advertising in which a respondent is interviewed in a central location (e._~., a shopping mall) and asked to review a portfolio containing 20 advertisements (test ads and competing ads) for various product categories, including cigarettes, to determine the test ad's impact (i.e., the respondent's awareness of the ad or brand noting) and to determine whether the ad is communicating its intended message. Market Facts and Burke are among the companies who have supplied this test for Brow~ & Williamson. Telephone Survey: Documents discussing a method of testing in which surveyors interview consumers by telephone to gather information on smoking habits, brands purchased, etc. This form of testing includes the purchase panel, which measures single and repeat purchase or usage of brands over time. Burke, Admar, and Market Facts are among Brown & Williamson's suppliers of nnms test. Consumers may be chosen by one of the two following methods: AAAJA Name Bank: A group of names gathered from consumers who in the past have responded to company promotions in exchange for cigarette carton panels or other proofs of purchase. These consumers are regarded as loyal brand users and are used as a sampling pool in occasional marketing surveys. AAAJB Random Sample: Names that are randomly selected to be included in market research testing. -3-

AAB Marketplace Studies: Documents concerning studles of smokers' behavior and views regardlng cigarettes. AABA Brand Study: Documents concerning Attitude, Awareness and Usage (AAU) studies restrlcted to specific markets, a specific point in time and a single brand. These studies are most often used for the test marketing of a new or repositioned brand. The purpose of this test is to gather and report information concerning the actual persons who smoke this brand. AABB ~orporate Study: Documents concerning a national Attitude, Awareness and Usage Study in which a national survey of smokers is conducted on a quarterly basis to monitor smoking behavior, track brand performance and evaluate advertising performance of all Brown & Williamson and competitive brands. Admar Research Co. is one of several companies who supply this test to Brown & Williamson. AABC Imaqe Study: Documents concerning an in- depth study of a particular brand. The purpose of this test is to gather and report information on consumers' perception of a product and their reasons for trial, use or rejection following an in-home intervlew. Acceptors, rejecters and aware non-triers of the brand are described by cigarette use, personality type and demographics. John Morton Co. is one of several companies who supply this test to Brown & Williamson. AABD ~arket Perception Study: Documents concerning a mapping, telephone/mail survey of smokers that establishes relationships (similarities as well as differences) among brands of cigarettes as perceived by smokers and the criteria by which smokers perceive the brands to be similar or different (e.~., taste, tar level, etc.) AABE Seqmentation Study: Documents concerning a comprehensive study of the smoker market that classifies smokers into segments based on the factors which motivate them to choose or -4-

AAC AABF AABG AABH reject a given brand of cigarettes. These segments are described in terms of demographlcs, socioeconomic and psychographlc structure of current brand franchises. The pur~9~ of this study is to identify target groups ~or the marketing of established brands or new products and to gain insight for developing marketing strategies to research these target groups. This study involves interviews with randomly selected smokers and may be supplied to Brown & williamson by Norsearch, McCann Erickson or John Morton Co. among others. SinGle Unit Marketing Model ~SUMMI: Documents concerning a self-administered mail questionnaire used to identify smokers' beliefs and desires and also to simulate the impact of product changes and brand repositionings. Eric Marder Associates is one company which has supplied this test for Brown & Williamson. Switching Study: Documents concerning a quantitative study which monitors smoking incidence and smoker mobility among starters, restarters, switchers, loyals and quitters to determine demographics, key attitudes of smokers, and brand shares. Data is tabulated quarterly, semi-annually and annually. Market Facts, Inc. is one company which administers the National ~rand Switcher Study. DemoGraphics: Documents concerning a statistical study of the population emphasizing density, distribution and vital statistics. Product TestinG: Documents concerning a testing of proposed, modified or already marketed cigarettes by consumers for flavor, preference or other consumer reactions. ' AACA 8l~nd Product Testlnu: A test in which a product's identity is masked and not revealed to the consumer. The consumer's reactions to the unidentified product are then measured. This type of testing includes Consumer Product Testing (CPT), which measures -5-

AACB AACC AACD AACE consumers' reactions to unidentified products after they smoke up to five packs, and Extended Use Testing (EUT) which measures changes in consumers' reactions to unidentified product over time. ~oncept-P[oduct Test: A combined test of an ad concept for a new or repositioned brand and the product itself. The consumer is exposed to a concept in an initial, personal interview and is given the product to take home to use. The consumer's telephone interview is conducted later to measure the reactions to the product. This test is used to measure the consumer's reactions (expectation vs. fulfillment) to the complete offering of a new brand in terms of acceptability, consonance of advertising and product, purchase interest and imagery. Market Facts, Kapuler and Burke are among the companies which have supplied these tests for Brown & Williamson. Focu~ Groups: Documents concerning discussion groups of consttmers (usually 8-10 people) led by a trained moderator in which advertising topic areas are outlined in advance for the consumers by the moderator, but specific questions and the discussion flow in each session are left to the discretion of the moderator. Sessions usually last about two hours and are tape- recorded. The research is used to explore consumers' reactions to products and to provide direction in terms of vocabulaz-y, image, social dissonance and acceptability of the tested item. Identified ~rodug~ Test: Documents concerning tests in which a product is presented to consumers in its usual package in fully-identified form, occasionally accompanied by an advertisement. Qn~-on-Qne Interview: Documents concerning one-on-one sessions with specially trained moderators who conduct an in-depth, non- structured investigation to determine single cigarette (sip) test reactions to product. This method is similar to category AACC, "Focus Groups." -6-

AAD Qpinion Tracking: Documents concerning the public's view (both smokers and non-smokers) of cigarette companies or smoking in general. Look for polls by Yankelovich, Skelly & White; Gallup & Robinson (G&R); Roper; or Nowland Organization, ~u~ong others. AAE ~dustry Performance: Documents concerning a study providing a summary of sales and share for each company's brands and total industry performance. This information is provided by each manufacturer directly to J. Maxwell, the supplier, on a quarterly basis. ADVERTISING & MARKETING STRATEGYz Documents concerning overall plans to make smokers aware of the company's cigarettes and to persuade smokers to try and then continue to smoke those cigarettes. ABA Brainstorminq Memos: Documents concerning concepts or ideas for advertising or marketing proposed by outside agencies or Brown & Williamson marketing or advertising personnel which were never implemented into Brown & Williamson's actual advertising and marketing strategy. ABB Five-Year Plan: Documents concerning a marketing and advertising plan discussing goals for Brown & Williamson's current and proposed cigarettes for a five-year period. ABC Lono-Ranqe Pla~: Documents concerning a marketing and aavertising plan discussing long term goals of one or more Brown & Williamson brands that is not specifically designated as a five-year plan. ABD ~_Q_~_~ Documents concerning promotions, which are any activity outside of normal brand advertising used to increase consumer brand awareness and brand loyalty (e.~., Kool & balloon, prize giveaways, and contests, items purchased at a discount by sending in proofs of purchase, or other promotions not covered in categories below.) ABDA Promotions, CiGarette SamDlins: Documents relating to the distribution of samples of cigarettes to the general public. Responsive -7-

ABE documents include guidelines, ordinances and regulatlons regarding sampling. Do not include documents concerning personal gifts of ciqarettes. Documents concerning the industry's Code of Cigarette Sampling should be coded to category A/IC, D_Q_I here. ABDB Promotions, Coupons: Documents relating to the use of coupons which are espec~ally prevalent in RALEIGH and BELAIR material. ABDC Promotions, Endorsements: Documents relating to celebrity endorsements or movie exposure of product. ABDD Fromotions, Retailers: Documents relating to various point-of-purchase (POP) items and displays including Buy-One-G~t-One-Free (BIGIF) and similar offers. Also code documents relating to negotiations between Brown & williamson and retailers concerning preferential retail space and advertislng for Brown & Williamson products. ABD~. Promotions, Event Sponsorships: Documents relating to brand sponsorships of various events (e.~., RALEIGH Rodeo, IL~LEIGH truck pull, KOOL Jazz Festival, spring break activities, etc.). ABDF Promotions~ Sweepstakes: Documents relating to various sweepstakes, contests or giveaways (e.g., yacht, island and KOOL Roils Royce). Taroet Audience: Documents concerning the portion of the smoker market toward which advertising and marketing strategies are aimed. Identification of the target audience may involve a study of the smokers of a particular Brown & Williamson brand. Documents to be coded to the categories below include reports and discussions of reports such as the National Brand Switching Studzes, Black Smoker Studies, Hispanic Smoker Studies and Smoker ! Personality Studies. Code documents to the appropriate subcategory. ABEA Male: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on male smokers. -8-

ABEB ABEC ABED ABEE ABEF ABEG ABEH ABEI ABEJ Female: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on female smokers. H@alth Conscious: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on "health conscious" smokers. Hispanic: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on Hispanic smokers. Black: Documents concerning advertising,{ market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on black smokers. Military: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on military personnel who smoke. Youth: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on smokers 18 years of age or younger. Starters: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on persons who have not yet started smoking. Quitters: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on persons attempting to quit smoking. Psychographic Seqment: Documents concerning advertising, market strategies, or market -9-

ABEK ABEL ABEM ABEN ABEO ABEP ABEQ research (i.e., studies of brand awareness, message recall, or usage Dehavior) focuslng on specific psychological profiles (e.~., hedonists, worriers, practicals, copers, New Autonomous, Gamesmen, Scramblers, Traditionalists, American Dreamers and Aimless). ~_Q_Q~: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on KOOL smokers. ~: Documents concerning advertising, market strategies, or market research (i.e., studies of Drand awareness, message recall, or usage behavior) focus£ng on RALEIGH smokers. VICEROY: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on VICEROY smokers. BARCLAY: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on BARCLAY smokers. Other BROWN & WILLIAMSON ~roducts~ Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on smokers of other Brown & Williamson products (9_=~ BELAIR, GENERIC, "Low Tar": Documents concerning advertising, market strategies, or market research (i.e., studies ef brand awareness, message recall, or usage behavior) focusing on smokers "low tar" cigarettes. Menthol/Nonmenthol: Documents concerning advertising, market strategies, or market research (i.e., studies of brand awareness, message recall, or usage behavior) focusing on smokers of menthol or nonmenthol cigarettes. -10-

AC VICEROY ADVERTISING & MARKETING: Documents that relate to the advertlslng and marketlng of VICEROY cigarettes. ACA Major VICEROY Advertising Themes: Documents concerning themes of advertising campaigns. Examples are the "dentists" campaign, the special filter campaign, the "All the Taste, All the Time" campaign, the tension release campaign and the auto racing campaign. ACB Historical Surveys of vICERQY Advertising: Documents which within themselves trace the history of VICEROY advertising. AD KQQD ADVERTISING & MARKETING: Documents that relate to the advertising and marketing of KOOL cigarettes. ADA MAJOR KOOL ADVERTISING THEMES: Documents concerning themes of advertising campaigns. Examples are the throat comfort theme, the willie the penguin campaigns, "Switch from 'Hots' to KOOLS," "Come Up to KOOL," "Problem-Solution/Slice of Life," "Menthol Mist," "Lady Be Kool', the waterfalls theme and the biker campaign. ADB Historical Surveys of KQOL Advertisinq: Documents which within themselves trace the history of KOOL advertising. AE RALEIGH ADVERTISING ~ MARKETIN~ Documents that relate to the advertising and marketing of RALEIGH cigarettes. AEA Ma~or RALE~$H 6dvertlsin~ Themes: Documents concerning themes of advertising campaigns. Examples are the "Slice of Americana" theme and the "Milder Moment" campaign. Coupons are an integral part of RALEIGH advertising. AEB Historical Surveys of KALEIGH AdvertisinG: Documents which within themselves trace the history of RALEIGH advertising. AF BARCLAY ADVERTISING & MARKETING: Documents that relate to the advertlsing and marketing of BARCLAY cigarettes. AFA M#Jor BABCLAY Adv@~%isinQ Themes: Documents concerning themes of advertising campaigns. AFB HistoTical Surveys of BARClAy Advertising: Documents which within themselves trace the history of BARCLAY advertising. -ii-

AG OTHER BP~AND SPECIFIC ADVERTISING & MARKETING: code documents to this general heading. Do not AGA Other B&W Brands: Documents that relate to the advertising and marketing of another Brown & Williamson brand (e.__~., BELAIR, TRAMPS, WINGS). AGB Other Companies' Brands: Documents that relate to the advertising and marketing of other companies' cigarettes. AGC BAT Hrands: Documents that relate to the advertising and marketing of BAT cigarettes. ADVERT~$1N~ & MARKETING PQLICY: Documents relating to guldelines on cigarette advertising and marketing. B&W Policy: Documents regarding guidelines on ' cigarette advertising and marketing followed, endorsed or rejected by Brown & Williamson. An example of a voluntary guideline endorsed by BrOwn & Williamson is the company's agreement to print tar and nicotine figures on cigarette packs. AHB Ciaarette Advertising Code: Documents so entitled or related to the voluntary guidelines set by the tobacco industry regarding cigarette advertising. Responsive documents may include documents regarding Meyner, who was heavily involved in the administration of the Code. Look for the acronym CAC. AHC Code of ¢~qarette Samplin~ Documents so entitled or related to the guidelines set by the tobacco industry regarding sampling of cigarettes. AI MARKETING/ADVERTISING BUDGET AND EXPENDITURES: Documents discussing proposed or actual budgets and/or expenditures for marketing and advertising. AJ pROJECT TRQTH/PRQQECT A/PRQJECT BI Documents relating to any of these public issue campaigns involving the tobacco companies and TI. "Project A," developed in 1970, consisted of three TV spots on smoking and health that would be substituted for some regular TV commercials for which time had already been contracted. The spots were rejected by the network. Ruder & Finn proposed "Project B," which called for TV and print advertising that might position tobacco beside liquor in terms of public tolerance. In the fall of 1970, TI distributed two public service TV spots, produced by Ted Bates, to counteract the anti-smoking spot announcements. This activity was called "Project Truth." -12-

TRUE A/~D NAT;ONAL ENOUIRER ARTICLES: Documents discussing the True and National ~nqutrer articles. Joseph Field, a public relations agent for Brown & Williamson, arranged for Stanley Frank to wr~te a smoking and health article entitled, "To Smoke Or Not To Smoke-That Is Still The Question." The article was published in the January 1968 issue of True. Tiderock, TI's public relations agency, arranged to run an advertisement promoting the article. Tiderock also purchased and distributed reprints of the article. Stanley Frank later wrote a similar article entitled, "Cigarette Cancer Link is Bunk" for the Nationa~ Enquirer under the pen name Charles Golden. John Blalock was one of the Brown & Williamson employees involved. ~RQWN ~ WILLIAM$ON v. JACOBSEN: Documents concerning a libel suit f11ed by Brown & Williamson when Walter Jacobsen, a CBS reporter, used a controversial "illicit pleasure campaign" that the Ted Bates agency had proposed to Brown & Williamson to accuse Brown & williamson of adopting an advertising strategy to encourage children to smoke. BARCLAY CONTROVERSY: Documents relating to the controversy concerning advertising of BARCLAY cigarettes relating to the I mg. tar rating claims made in its advertising. The cigarettes utilized an Actron filter, the mechanics of which were questioned by other cigarette companies, particularly Reynolds and Philip Morris. ~INEMA ADVERTI$1NGz Documents regarding Brown & Williamson's promotion of cigarettes in theaters. Include documents concerning the "Snow White Controvermy," a complaint filed with the FTC in August, 1983 by Action for Children's Advertising, Inc., a public interest group protesting the showing of a KOOL advertisement prior to the Saturday matinee screening of "Snow white and the Seven Dwarfs" on July 16, 1983 at a theater in Newton, Massachusetts. Brown & Williamson contended that it was never the company's policy to show cigarette ads along with "G'° movies and that the occurrence was a mistake by the theater owner. Also include documents about Brown & Williamson's decision in 1984 to discontinue its program of cinema advertising. -13-

AWARENESS OF POTENTIAL HEALTH HAZARDS: Documents relating to awareness of smoking and health issues and perception of the alleged risks of smoking not covered by categories below. BA SMOKER AWARENESS (HEALTH & COMPONENT DE~;VERY): Documents reflecting smokers' awareness as shown by survey results, newsclips, letters to the editor or health education courses. Documents showing that smokers' awareness caused changes in smoking behavior should also be coded to the appropriate subcategory below EF, "Human Smoking Behavior." BAA EFFECTS OF SGRs, ~OVT & MEDICAL PUBLICATIONS ON AWARENESS: Documents discussing the effects of Surgeon General's reports and government and medical publications upon public awareness of smoking and health issues. Include documents discussing subjects such as effects of anti-smoking campaigns on quitting, starting and moderation. BB BROWN & WILLIAMSON AWARENESS & ACTION: Documents discussing the smoking and health controversy or smoking and health research. Examples are public documents, literature reviews, unpublished reports, abstracts or report summaries that are not prepared by or on behalf of Brown & Williamson or BAT. BBA Analysis & Commentary (e.g., ~e Scientific Literature}: Documents including any analysis or commentary by or on behalf of Brown & Williamson or BAT on non-Brown & Williamson work, research or publications. Documents to be coded to this category include collections of abstracts prepared by or on behalf of Brown & Williamson or BAT. BBB Recommendations {e.G., re Research Qr Company Actlons]~ Documents relating to any recommendations made by Brown & Williamson or BAT personnel or consultants regarding major goals for Brown & Williamson or industry sponsored research and/or actions concerned with smoking and health issues. BBC Attendance at Scientific Meetinqs or Research Conferences: Documents indicating attendance by Brown & Williamson or BAT personnel at public or industry scientific meetings or research conferences. Includes people not employed by either company attending on behalf of Brown & williamson or BAT. Do not code document indicating attendance of Brown & Williamson employees at BAT or Brown & Williamson research conferences. Code those documents to category CCB. -14-

C BC BROWN & WILLI]tMSON POSITION PAPERS~ Documents by Brown & Williamson stating Brown & Williamson's position regarding the smoking and health controversy. Documents prepared by Brown & Williamson for the use of their employees, and that dlscuss smoking and health ~ssues, should be coded to this heading. Do not code documents by TI to this category, but to category HC. BCA BAT Position Papers: Documents by BAT stating BAT or its affiliated companies' position regarding the smoking and health controversy. Documents prepared by BAT for the use of its employees, and that discuss smoking and health issues, should be coded to this category. BRQWN $ WILLIAMSON CORPORATE: Documents relating to Brown Williamson and other BAT companies as corporate entities.. Include annual reports and tax information. CA DQCUMENT RETENTIQN/DESTRUCTIQN: Documents concerning any policy to retain and/or destroy company files after a specified period of time. CB HISTORY & ORGANIZATIONA/~ ~TRUCTVRE: Documents relating to the history and development of Brow~ & Williamson and other BAT companies and documents pertaining to the internal structure of Brown & Williamson and its affiliated organizations, including departmental and organizational charts. Responsive documents include documents concerning Brown & Williamson's organizational relationship with other BAT companies (e.~., BATUS, Imperial). CC BRQWN & WILLIAMSON/BAT RELATIONSHIP: Documents concerning Brown & Williamson's relationship with the British American Tobacco Company. Include documents mentioning any research sharing, division of research responsibilities, or communications concerning marketing or advertising between Brown & Williamson and BAT. Also include documents discussing legal considerations of such activities. CCA INTERBAT: Documents discussing, concerning, or, generated by INTERBAT, a computer network between Brown & Williamson and BAT which allowed these companies to share research results. CCB Brown & Williamson/BAT Meetinqs: Documents discussing or concerning meetings between or among -15-

D CD CE Brown & Williamson and BAT research or scientific personnel. Do not code documents indicating attendance by Brown & Wllllamson or BAT personnel meetings at public or industry research or scientific conferences. Code those documents to category BBC. LIBRARY: Documents relating to the decision to establish and maintain a collection of documents dealing with the health consequences of cigarette smoking. Includes references to computer libraries as well. Documents mentloning INTERBAT should be coded to category CCA above. BOARD OF DIRECTORS' A~D OTHER COMMITTEE MEETINGS: Documents relating to meetings of the Board of Directors and other committees. Responsive documents include minutes and summaries of meetings. CF SALES, PROFITS, PRICING & MARKET SHARE: Documents relating to sales, profits generated, pricing and market share of one individual Brown & Willlamson product o{ all Brown & Williamson products. • CFA Excise T~xes: Documents discussing or concerning the taxes that federal or state governments lev~ on cigarette products. DISEASES & CONDITIONS: Documents concerning diseases and/or conditions and the harmful and/or toxic effects allegedly associated with cigarette smoking. DO NOT CODE ANY DOCUMENTS TO THIS MAJOR HEWING. Documents d~.scussing research concerning these diseases should also be coded to the appropriate category E, "Research Focus," or category F, "Research Techniques." DA AQDIqTION/DEPENDENCY/HABITUATIQNz Documents which specifically mention the alleged condition of physiological or psychological dependence, characterized by unpleasant reactions upon withdrawal of the substance and tolerance to the suDstance, as identified Dy the need for increased doses of the substance to achieve the same effects as had been achieved in t~e past by smaller doses. Documents often will discuss nicotine, especially in terms of maintaining "satisfactory doses" or satisfying a "physiological need." Key words to look for include dependence and habituation. Documents concerning research concerning this condition should also be coded to category ED, "Pharmacology." -16-

DB DC DD DE EMPHYSEMA/BRONCHITIS/¢QpD: Documents which specifically discuss these non-cancerous chronic diseases of the lungs, including asthma. Key words to look for include chronlc obstructive pulmonary disease (COPD), chronlc obstructive lung disease (COLD), and chronic ai~-ways obstruction (CAO). RESPIRATORY FUNCTIQN & STRUCTURE (INCLUDING CILIASTA$1S). Documents discussing all influences on the function or structure of the respiratory system, except those listed in other categories in this section. Ciliastasis is paralysis or reduction of motion of the cilia, which are microscopic hair-lAke projections in the airways, resulting in a slowing of mucus flow. Also look for muco-ciliary clearance or mucus transport. CANCER: Documents discussing cancer in general or discussing the causes of cancer without reference to any particular location. Key words which may pertain to this category or its subcategories include mutagenicity, carcinogen, tumorigenic, metaplasia, hyperplasia, neoplasm and abnormal cells. DDA~ Lunq Cancer: Documents specifically relating t~ lung cancer. This category includes documents discussing "bronchogenic carcinoma." DDB~ Laryngeal/Throat Canc~r~ Documents specifically relating to laryngeal or throat cancer. DDC: Other Cancer: Documents relating to a specific form of cancer other than lung, laryngeal cr throat cancer (e.~., skin cancer). DDD: Cellular ChanGes: Documents discussing changes associated with exposure to various substances or pathogens and considered by some investigators to be "pre-cancerous." DDE: ~L~: Documents discussing the occurrence or induction of a permanent change in the genetic material. CARDIOVASCULAR: Documents regarding diseases of the heart and circulatory or blood systems. Key words or abbreviations to look for include CVD (cardiovascular disease), CHD (coronary heart disease), coronary, hypertension, atherosclerotic, vasoconstriction, and PVD (peripheral vascular disease). -17-

DF PRE~NANCY/FET~LL: Documents relating to diseases and conditions associated with pregnancy or the newborn. This category includes documents discussing teratogenicity (birth defects), low birth weight and spontaneous abortion. DG OTHER DISEASES OR UNSPECIFIED HEALTH CONSEQUENCES: Documents associating smoking with diseases other than addiction, cancer, emphysema, bronchitis, COPD, cardiovascular disease or fetal complications. This c~te~ory includes documents suggesting or cQptendinq that smoking is/is not a qause of death. Also Include documents associating smoking with chronic disease other than those named above. RESEARCH FOCQ~: heading. Do not code any documents to this major EA ~QMPONENT$ RESEARCH: Documents discussing the determination of the chemical nature of cigarette smoke, by identifying or quantifying specific components. This category also includes biological testing of individual components or groups of components. EAA Condensate/Fractionate: Documents regarding the study of the particulate matter of cigarette smoke, collected on a Cambridge filter or in a "cold trap." This category includes discussions of the biological effects of the particulate phase in this category, even if it has not been collected as condensate. Some documents in this category discuss the creation or testing of "fractions" of the condensate, prepared by treating the condensate with a series of solvents. Either the whole smoke condensate or the fractions may also be tested for biological activity, using mouse skin painting or various in vitro tests, e.~., Ames test. Key abbreviations to look for include CSC (cigarette smoke condensate) and WSC (whole smoke condensate). EAB Gas-phase: Documents discussing the chemical analysis or biological testing of the non- particulate part of whole smoke or its components. Look for testing of that portion of smoke that has passed through a Cambridge filter. EB ~MOKE MODIF;~ATIQN: Documents concerning the modification of the chemical or physical nature of tobacco smoke. This category includes chanties in levels of tar and/or nicotine, as well as other specific -18-

compounds (e._~_q_~., B(a)P, nitrosamines) by any method, including changing tobacco blends. The measurement of levels of components, without the objective of alterinq those levels, should be coded to the appropriate category under EA, "Components Research." Specific smoke modification methods include: EBA Design variables: Documents discussing changes in any aspect of cigarette design (e.~., type of wrapping paper, paper porosity, paper additives), except for those included in the other specific subcategories. EBB Filler Modification: Documents concerning the changes in the tobacco filler for the stated purpose of modifying the chemical nature or biological activity of the smoke. Code documents concerning changes in the "tobacco blend" to this general category. Specific suDcategories include: EBBA Tobacco Substitutes: Documents describing attempts to reduce tar and nicotine yields by substituting non-tobacco filler materials for som~ percentage of tobacco in the cigarette. This category includes documents concerning tests for biological activity resulting from these substitutions. Key words and abbreviations to look for include Cytrel, NSM (new smoking material), BATFLAKE, and Celanese Smoking Product. EBBB Tobag~o Tr@a~ment: Code 9_~ those documents discussing techniques clearly described in the document as being related to smoke modification. Substances applied to tobacco for this purpose may include ozone, various solvents, sodium nitrate and other chemical additives, heat, etc. Also include documents which discuss smoke modification by denitrification (i.e., the removal of nitrates or other nltrogen-containing compounds) or by incorporating "reconstituted leaf" (RL), "expanded tobacco" (ET), or "expanded stems" (ES) into cigarettes. D__~o ~ot include documents discussing "Tobacco Processing," which describe treatments designed to affect the "smoking quality" Of the cigarette rather than the nature of the smoke. "Tobacco Processing" documents should be coded to category EG. -19-

EC EBC Filter Research: Code any documents which discuss aspects of fllter development and modification but which are not included in the following specific subcategories to this main category. Do not include discussions of the Cambridge filter used to collect condensate or to separate the particulate and gas phases of whole smoke. Those documents should be coded to the appropriate category under EA, "Components Research." EBCA Filter Efficiency: Code documents which discuss the effect of a filter on the smoke yield (e.~., percent tar and/or nicotine removed). EBCB EBCC EBCD Selective Filt~atiQn: Code documents discussing filters designed to reduce or remove specific smoke components. Look for the specific term selective filtration, especially in connection with components such as HCN (hydrogen cyanide), phenol, acrolein, aldehydes, gas phase components, etc. ventilated/Air-Diluted Filter: Code ~ documents discussing the dilution of cigarette smoke by allowing air to enter the smoke through the filter either through small ventilation holes or by using highly porous "tipping paper" to wrap the filter. Actron Filter: Code documents discussing the Actron filter, a cellulose acetate filter designed to create a whirling action in the inhaled smoke, resulting in a full-flavored delivery. EBD Precursor Studies: Documents discussing attempts to determine which substances in tobacco contribute to the presence of certain compounds in smoke (e.~., B(a)P, nitrosamines, etc.). Code such documents only if the relationship of a precursor substance to a smoke component is directly expressed in the document. ADDITIVES: Documents discussing the various flavorings, humectants, casings, and other non-tobacco ingredients in cigarettes. Be absolutely sure to capture any names or designated numbers for these ingredients on the "Substances" llst. Documents which list the ingredients -20-

used in a particular Brown & Williamson brand, in all Brown & Will~amson brands, or in all cigarettes should be coded here. ECA Flavor Research: Documents discussing the analysis or modification of c~garette smoke flavor by addlng specific flavoring ingredients to cigarettes. Most documents will fall into one of the following subcategories: ECAA F~avor Analysis: Code documents specifically discussing only the chemical nature, chemical purity, or physical stability of substances under consideration as flavoring ingredients. ECAB Flavor Synthesis: Documents discussing methods and techniques for the laboratory synthesis (creation in the laboratory) of chemicals being considered as potential flavoring ingredients. ECAC T~ste Panel: Documents discussing the formation of, attitudes of, or reactions of groups of "test smokers" who evaluate the, flavor of smoke from either marketed or experimental cigarettes. This may include determination of the influence on smoke flavor of changes in tobacco filler blend or flavor additives. ECB Testing ProGram~ Do not code to this topic but to the more specific subcategories below. ECBA Additive Suidance Pane~: Documents discussing the role of this BAT or Brown & Williamson committee in the approval of the introduction of non-tobacco ingredients to their cigarettes. ECBB F~avoring Testing ProGram: Documents indicating whether Brown & Williamson or others used tests or other guarantees of safety to determine whether flavor additives used in cigarettes contribute to causation of diseases associated with smoking. Be sure to also code for the appropriate category under D, "Diseases and Conditions" and F, "Research Technique." -21-

ED ECBC Other Testin~ Program: Documents indicating whether Brown & Williamson or others used' tests or other guarantees of safety to determine whether non-tobacco ingredients other than flavorings (e.g., humectants, casings, etc.) contribute to the causation of diseases associated with smoking. Be sure to also code for the appropriate category under D, "Diseases and Conditions" and F, "Research Technique." ECC HH$/HEW Disclosures: Documents discussing negotiations, meetings, or discussions relating to the disclosure of non-tobacco ingredients to the HHS or HEW. PHARMACOLOGY: Documents discussing experiments which measure cardiovascular or behavior responses to smoke or its components. These responses include skin temperature and/or blood pressure changes, analgesia, aggression, and learning enhancement. Do not include in this category studies using potential flavorings or additives. Code those documents to subcategory ECB, "Testing Program." EDA ~e~nfQrc@ment: Code all documents which discuss animal studies in which the animal gives a specific behavioral response (e.g., "works") in order to receive a test substance ( .~___~., nicotine). Also, code documents concerning self-adminlstratlon of a test substance. EDB Tule~aDce: Code all documents discussing the alleged tendency of smokers to increase their use of cigarettes in order to satisfy increasing demands for nicotine. Special care should be used to code all documents discussing the absence of this effect to this category also. Include animal studies in which tolerance is evidenced by a diminished behavioral effect with repeated exposure to a smoke component, usually nicotine. EDC wl~bdrawal: Code all documents which describe the claimed physical symptoms which allegedly result from abstinence from smoking. Include anlmal studies which attempt to determine if deprivation of nicotine causes disruption in behavior. -22-

EE EF "SAFER" CIGARETTE: Documents suggesting that Brown & Williamson, BAT, or the other tobacco companies conducted experiments or had the knowledge and capability to manufacture safer cigarettes, but did not put such cigarettes on the market. Key phrases or names to look for include "low CO," Gio Gori, and Project Rio. EEA Project EMN: Documents discussing BAT's efforts to develop a "less hazardous" cigarette in the late 1970's by "eliminating, modifying, or neutralizing" certain components in cigarette smoke. EEB 8 Series/Janus: Documents discussing the series of experiments, including Project Janus, performed by the Battelle Institute for BAT. The experiments, which were conducted in the late 1960's and the early 1970's, included inhalation studies and mouse skin painting. Documents discussing those research techniques should also be coded to appropriate subcategories under FD, "Animal Inhalation', or FCB, "Topical Application." EEC Palladium: Documents referencing Liggett's development of a safer cigarette using palladiu~ as a catalyst for tobacco treatment. EED Tobacco Working Group {TWG]: Documents describing the work in conjunction with this group at the National Cancer Institute to develop a "less hazardous cigarette." Look for references to TWG, the "Less Hazardous Cigarette" project, the "Lung Cancer Task Force," the Smoking and Health Program (SHP), or the NCI specifications. HUMAN ~MOKIN~ BEHAVIOR: Documents discussing any aspect of human smoking behavior or how smoking affects human behavior. EFA Compensation, Titration, Modification of imokinq: Documents discussing the theory that smokers alter their smoking habits according to the type of cigarette being smoked. Look for all references to compensation for reduced yields of components (most notably nicotine) by taking more puffs, deeper puffs, holding breath, etc.; titration (i.e., smoking in a manner to maintain a "desirable" level of nicotine in the body); or any other modificahion of smoking habit or pattern. -23-

EFB EFC EFD EFE EFF EFG EFH EFAA Style Switching: Documents discussing a smoker's switch from smoking cigarettes ih one style to another style (e.Q., low tar to ultra low tar, nonmenthol to menthol, nonfilter to filter, etc). Effect o( Advertisino: Documents on the influence or absence of influence of cigarette advertising on smoking behavior (e.c[., brand changes, initiation, etc.). Pay special attention to documents discussing the effects of advertising on young people. Initiation: Documents discussing factors influencing smokers to begin smoking. Documents containing information on the age of initiation and reasons for starting (e.Q., peer pressure, effect of advertising, etc.) should also be coded here. Moderation: Documents concerning efforts by smokers to "moderate" their habit, usually by reducing the number of cigarettes smoked. Includes documents discussing the posslble effects of moderatioh (e.~., on health) and advertising documents seeking to encourage moderation. Motivation: Documents relating to what factors influence smokers to continue smoking, such as pleasure, avoidance of withdrawal, relief of stress, weight loss, etc. Ouittlno: Documents concerning quitting. Includes descriptions of the type of smoker who quits, statistics on the number of smokers who quit, reasons for quitting and methods for quitting. ~moker Psvcholo~ (e.g., Mood, Dearnino, Aagress£on, Attention): Documents describing psychological influences of smoking, including influences on mood (either beneficial from smoking or negative from abstinence); learning (increased or decreased information retention or learning efficiency); aggression ( .~, claims that nicotine reduced aggression); and attention (especially negative influences on attention span by deprivation from smoking). Cognitive Dissonance: Documents concerning smokers' rationalizations for continuing to smoke despite knowledge of potential health hazards. -24-

EG EH EI TOBACCO PROCESSING: Documents describing the breeding, growing, cultivation, fertilization, harvesting, curing, or preparation of tobacco for purposes of maintaining or improving smokeability and quality, rather than intended modification of smoke. Include documents concerning "reconstituted leaf" (RL), "expanded tobacco" (ET), "expanded stems" (ES), etc., as long as no reference is made to intentional smoke modification or health effects. (~ee category EBBB.) Include documents discussing the economics or processes of cigarette manufacturing, cigarette packaging (as long as they do not concern marketing), filter making machines, cigarette making machines, etc. QUALITY CONTROL: Documents discussing attempts to monitor or maintain the overall quality of cigarettes. Include documents discussing examination of defects, as well as the testing of tobacco or cigarettes from one year or batch in comparison to previous years or batches. Specific categories include: EHA Leaf Analysis: Documents discussing chemical or physical analysis of tobacco leaf for overall quality of smokeability. Documents will often contain lists of chemical compounds in the leaf itself. Do not ~n~lud~ documents concerning "Precursor Studies," as defined under category EBD. EHB T&N Trackinq: Documents related to tracking levels of tar and nicotine (T&N) or levels of other components in cigarettes marketed by Brown & williamson and other tobacco companies. Code documents discussing tracking done by and for Brown & Williamson. EHC ~ITL/FTC TrackinG: Documents concerning the tracking of tar, nicotine, or other components' levels in commercial cigarettes by the Tobacco Institute Testing Laboratory (TITL) or the FTC. ~RODUCT DEVELOPMENT: Documents relating to the development of new products or changes in an existing product (e._~, the flavoring, cigarette construction or packaging) to meet specified standards. EIA Ellis Patent: Documents that discuss or relate to a patent obtained by Sir Charles Ellis of BAT in 1964-66 for a smoking device that used a flavor cap containing nicotine enriched tobacco that was -25-

F heated by burning tobacco on the outside of the capsule. Also include documents concerning the amendment to the patent obtained with Brown & Williamson's Dr. I.W. Hughes as a collaborator. EIB Aerosol Cigarette: Documents that discuss any aspect of research or development of a cigarette- like product by any other cigarette manufacturer which would provide the smoker with the pleasure of cigarette smoking but which may or may not require burning of tobacco to produce the aerosol. EJ ENVIRONMENTA/~ TOBACCO SMOKE: Documents discussing the presence of tobacco smoke in the air, especially indoors. Look for studies in which cigarette smoke components (e.~., nicotine, carbon monoxide, nitrogen oxides, particulate matter) are measured in air. If document discusses possible health effects in nonsmokers exposed to Environmental Tobacco Smoke (ETS), also code to appropriate categories under D, "Diseases and Conditions." Key words to look for include passive smoking, public smoking, sidestream smoke, ambient smoke and second hand smoke. EK CIGARS/SMOKELESS TOBACCO: Documents that discuss cigars, cigar tobacco, "smoking" (pipe) tobacco, snuff, "roll your own" tobacco or chewing tobacco. Most notably, these include discussions of tobacco fermentation. Look for references to "seedleaf" tobacco. EL ~_~.~CID~: Documents that discuss the presence of pesticide or herbicide residues in tobacco or in smoke. Also include documents discussing the biological testing of pesticides or herbicides such as Penar. EM SMOKING MACHINE DEVELOPMENT: Documents that discuss the development or improvement of machines that simulate human smoking behavior. RESEARCH TECHNIOUES: The subcategories below should be coded only when the document includes discussions of or references to biological testing. Code to the most specific subcategories appearing in the document. Documents which discuss biological testing but which do not give sufficient information to be coded to specific subcategories below should be coded to this major heading. -26-

FA FB EX VIVO: Literally, "out of life." Documents discussing techniques in whlch tissues or organs are removed from living animals and exposed to test substances. Examples include ciliastasis experiments in which animal respiratory organs (e.~., trachea) are exposed to a substance (e.__u_q~., cigarette smoke) and are examined for changes in ciliary activity. One such test is the Rabbit Trachea Hyperplasia Test. IN VITRQ: Literally, "in glass." Documents concerning biological testlng in a test tube or other laboratory apparatus. Code documents which discuss ~n ~ tests in general here. Specific subcategories include: FBA Ames Test: Documents concerning a mutagenicity test involving application of a substance to a strain of bacteria (Salmonella). Key words to look for include Salmonella, S. tvDhimurlum. FBB NMFI (nitromethane f[action index]: Documents concerning a test developed to serve as a chemical indicator of the biological activity of smoke condensate. The nitromethane fraction (NMF) is the subpart of smoke condensate which allegedly contains most, if not all, of the claimed carcinogenic polycyclic aromatic hydrocarbons. The nitromethane fraction index (NMFI) is a measure of the degree of binding of the NMF to egg albumen obtained by multiplying its NMF value and its specific binding activity. FBC Paramecia Toxicity Tests: Documents relating to in vitro ciliastasis tests involving par~ecia, one cell organisms that propel themselves by hairlike structures called cilia. One test, referred to as a "hanging drop paramecium test," exposes a hanging culture of ~ to puffs of cigarette smoke to determine the numbers of puffs required to stop all cilia movement. Another test exposes paramecium overnight to a homogenate of smoke collected in water to determine the concentration of homogenate required to kill a standard volume of paramecium. FBD Clam Gill Cilia: Documents relating to an in vitro test in which clam cilia were exposed to whole smoke or smoke condensate to measure ciliastasis. Some of this work was done as part of Project Conqueror. -27-

FBE FBF Tetrahymena Testing: Documents relating to i_~n vltro testing in which tetrahymena, one cell c111ated organlsms, are exposed to either an aqueous smoke dispersion (solution tetrahymena test) or to condensate dissolved in acetone (particulate phase tetrahymen~ test) to determine the minimum dose required to reduce mobility, activity, or kill all or a portion of the tetrahymena. ~HK21 Cell: Documents relating to any of the several in vitro tests exposing baDy hamster kidney (BHK) to smoke condensate. FC ~N vIVO: Literally, "in life." Documents discussing tests an which a substance is applied directly in or on a living animal. If the document discusses Animal Inhalation, code to appropriate categoz-y or subcategory under FD, not to this category. If the document does not discuss speclfic in vivo tests, code to this general category. Specific techniques include: FCA Ingestion: Documents discussing tests in which the substance is given to the animal either in food, in water, or by some form of forced administration directly into the stomach (e.~., intubation). FCB TQpiq~l Application: Documents discussing tests in which the substance is applied directly to the outside of the animal. Examples of documents to be coded to this category include discussions of applications to the skin of mice (MSP) or to rabbit ears or eyes (Draize test). FCBA CAM Hyperplasia [chorioallantolc membrane): Documents relating to this non-mammalian vivo test in which cigarette smoke condensate is applied to the surface of the , chorioallantoic membrane (CAM) of fertile hen eggs and the resulting increase in thickness of the membrane (hyperplasia) is measured. FCC ~: Documents discussing the general toxic effects of a substance on the whole animal after administration by various means including oral, injection, etc. Documents discussing inhalation studies should be coded to the appropriate sub-category under FD, "Animal Inhalation." -28-

FD FCD Metabolism: Documents discussing the effects of a test substance on metabolic enzymes or on the induction of these enzymes. Also code studies of metabolites or routes of metabolism of a component or additive. ANIMAL INHALATIQN: Documents generally dlscusslng scientific experiments in which animals inhale test substances but which do not relate to specific subcategories below. FDA Acute: Documents generally discussing tests in which animals are subjected to and inhale a test substance in a single exposure of a period of minutes or hours. Look for Goblet Cell Test, a short term inhalation test exposing animals, usually rats, to cigarette smoke to determine the number of post-exposure goblet cells in the trachea. This type of testing was done in Project Conqueror. FDAA Rodent: Documents discussing scientific experiment in which rodents, including rats, mice or guinea pigs, inhaled test substances in a single exposure of minutes or hours.. FDAB Hamster: Documents discussing scientific experiment in which hamsters inhaled test substances in a single exposure of minutes or hours. FDAC Rabbit: Documents discussing scientific experiment in which raDbits inhaled test substances in a single exposure of minutes or hours. FDAD Do~: Documents discussing scientific experiment in which dogs inhaled test substances in a single exposure of minutes or hours. FDB Chronic: Documents generally discussing tests in which animals are subjected to and inhale test substances in repeated exposures over a period of days, months, or years. FDBA Bodent: Documents discussing scientific experiments in which rodents, including rats, mice, or guinea pigs, inhale test substances after repeated exposures over a period of days, months or years. -29-

G FDBB Hamster: Documents discussing scientific experiments in which hamsters inhale test substances after repeated exposures over a period of days, months or years. FDBC Rabb~t: Documents discussing scientific experiments in which rabbits inhale test substances after repeated exposures over a period of days, months or years. FDBD De_~: Documents discussing scientific experiments in which dogs inhale test substances after repeated exposures over a period of days, months or years. FE HUMAN: Code documents to this category which discuss studies of human diseases or conditions associated with exposure to cigarette smoke or other substances. Do no__!t code studies of Human Smoking Behavior here, but to category EF. FEA Autopsy: Documents discussing research involving human autopsy results, usually comparing smokers and nonsmokers. Examples would include Auerbach's comparisons of the lungs of smokers and nonsmokers at autopsy; the comparison of aortic segments ftom smokers and nonsmokers in the Oslo intervention trial, etc. FEB ~: Documents discussing research involving case reports or comparisons of clinical testing (e.~., pulmonary function testing, AAH levels), especially between smokers and nonsmokers. FEC Epidemiolouv: Documents discussing research in which the occurrence of specific diseases or conditions in a study population is related to known exposures to suspected causative agents (e.~., smoking, occupational exposures). ~ESEARCH FUNDING SOURCE: Documents concerning research funded by an identifiable source not covered by categories below (e.~., the AMA). GA C~OVERNMENT: Documents concerning research funded by or done by governmental agencies (either federal or state). Examples include NIH grants, NIDA grants, TWG (the "Tobacco Working Group"), NCI and USDA.

GB GC GD GE B&W ALONE: Documents concerning research funded by Brown & Williamson alone, either performed at Brown Williamson Research Development and Engineering Department in Louisville or at outside consultants' laboratories. Key words to look for include direct grants. BAT: Documents concerning the funding by British American Tobacco of scientific and/or technical research either performed at BAT's research facility in Southampton or at the outside laboratories of BAT's outside consultants (e.~., Batelle). ~AT AFFILIATES: Documents concerning funding by BAT affiliated companies, such as Imperial Tobacco, BAT Australia (AMATIL), or Souza Cruz (Brazil). TOBACCO INDUSTRY: Research funded by one or more cigarette manufacturer. Include documents concerning the Chemosol project here. Specific subcategories include: GEA CTR Special ProJec~sz Documents referencing research funded through CTR, but not after the normal review by the Scientific Advisory Board. GEB CTR Grants: Documents discussing research funded by the Council for Tobacco Research after project approval by the Scientific Advisory Board. GEC Institv%~onal ~ants IUCLA, Harvard, Washington UI: Documents referencing specific research at the three universities named funded by cigarette manufacturing companies by contract. GED ReseaE~h Committees, U.S.~ Documents referencing research funded by the industry through proposals developed by the various ~ research committees. These committees include the Industry Research Committee and the Ad Hoc Committee, and invariably have lawyers as memDers. Do no___!t include documents concerning the Industry Technical Committee (ITC) here. GEE Spe¢i~l Account 4: Documents concerning research funded through a special account at the Jacob, Medinger & Finnegan law firm. Most often applicable to identified potential litigation witnesses.

H TOBACCQ INSTITUTE: Documents relating to the formation and activities of the Tobacco Institute (TI) not included in the subcategories below. BROWN & WILLIA/~SON INVOLVEMENT~ Documents discussing or evidencing B&W's role in the activities of TI. Include documents showing that Brown & Williamson employees served on TI committees or attended TI meetings. HB ~OBBYING: Documents discussing or relating to TI's efforts as a lobbying organization. Include materials discussing campaign contributions or drafting of letters. Do not include lobbying by other segments of the tobacco industry. Code those documents to category L. HC PUBLIC RELATIONS/PUBLICATIONS: Documents discussing or containing public statements made by TI in its role as spokesman for the tobacco industry. Pay special attention to documents suggesting that TI was used as a vehicle for the industry's alleged conspiracy to promote cigarettes through the "open controversy" PR program; that industry-sponsored smoking and health research was used for PR; or that the industry monitored governmental expenditures on research to make certain the industry outspent the government on research. HD POLLS AND SURVEYS: Documents discussing polls and surveys conducted by TI in order to create a foundation for its public relations program. Includes PR proposals regularly made to the industry by the Roper Organization. PUBLIC RELATIONS/HILL ~ KNQWLTQN: Documents discussing the relationship between TI and the public relations firm, Hill & Knowlton. Pay special attention to documents suggesting that Hill & Knowlton supplied TI with proposals geared mainly toward perpetuating the smoking and health controversy, most of which were adopted by TI. v~_~L~_~: Documents discussing or containing promotional advertisements issued by TI to present the industry's views on the smoking and health issue. HG SAWYER INVOLVEMENT: Documents indicating that lawyers were present at all TI meetings and that the relationship between the cigarette manufacturers, TI and counsel is inextricably intertwined.

HH HI HJ CRITICISM QF TI: Documents indicating that certaln members of the tobacco industry were dlssatisfied with TI's performance as industry spokesman on the smoking and health issue. Include documents concerning American's decision not to Join TI, Lorillard's declsion to withdraw from TI, and Brown & Williamson's discussions concerning a possible withdrawal from TI. SURGEON gENEF~L'$ R~PQRT STRATEGY. Documents indicating that the industry prepared for the release of the 1964 Surgeon General's report or that the industry's preparations were to undermine negative aspects of the report. Include documents showing that TI staged media events simultaneously with the release of later Surgeon General's reports. TARGET ~: Documents suggesting that the tobacco companies developed a plan to counter the American Cancer Society's "Target 5" program, a campaign to stop the use of tobacco. HK INTELLIGENCE GATHER;N~: Documents discussing information gathered by TI regarding other anti-smoking or unfavorable activities for the purpose of developing strategies to counteract those activities. HL INSVKANCE INDUSTRY: Documents suggesting that the tobacco companies were concerned that the insurance industry, by offering lower rates to nonsmokers, was providing the message that smoking was harmful. TI contended that the rate reduction was a sales gimmick based on faulty actuarial tables. TI lobbied the insurance companies with fairly successful results. CTR/TIR~: Documents relating to the activities of the Council for Tobacco Research (CTR) or its predecessor, the Tobacco Industry Research Committee (TIRC), not included in the subcategorles below. IA THE FQKMAT~QN OF TIRe: Documents discussing the activities of the tobacco companies in the formation of TIRC in 1954. Look for references to the advertisement, "A Frank Statement to Smokers." IB AS PUBLIC RELATIQNS VEHICLE: Documents suggesting that TIRC or CTR was formed by the tobacco companies as a public relations vehicle to keep the smoking and health controversy alive. Also look for documents supporting or refuting the contention that CTR's public relations effort was equal to or sometimes greater than its -33-

J IC ID IE research effort. Include documents indicating that the companles utilized Hill & Knowlton, Leonard Zahn and TI to influence the public and scientific communities' view of CTR. BROWN & WILLIAMSON INVOLVEMENT: Documents discussing or evidencing Brown & Williamson's role in or perception of the activities of CTR or TIRC. Include documents that show that Brown & Williamson employees served on CTR or TIRC committees or attended CTR or TIRC meetings. INDEPENDENCE FROM CQMPANIE$: Documents indicating whether CTR was a independent research organization. Look for documents indicating whether the research that CTR funded was controlled by the tobacco companies. INDEPENDENCE FRQM LAWYERS: Documents indicating whether the research that CTR funded was controlled by the tobacco companies' attorneys. Include documents suggesting that lawyers stopped research efforts in sensitive areas (e.~., CNS research). IF INDEPENDENCE QF SCIENTIFIC ADVISORY BOARD Documents suggesting that the S~.B was controlled by the tobacco companies and the tobacco companies' attorneys; that the SAB was selected by the companies; and that. its decisions on grants were based on input from company officials and attorneys. Look for documents suggesting that CTR grantees were controlled by the SAB whose members acted to protect the tobacco companies from adverse results. IG R~$~ARCH FOCUS NOT SMOKING AND HEALTH: Documents suggesting that CTR funded research related mainly to the etiological aspects of diseases associated with smoking, rather than research specifically directed toward determining whether cigarette smoking causes lung cancer, COPD, etc. SQCIAL UTILITYz Documents discussing the legal issue of whether a product's "risks" outweigh its "benefits." Include documents that discuss weighing the risks of smoking against the benefits of smoking or the benefits of the tobacco industry on a societal level not covered by speclfic subcategories below. JA "~ENEFITS" OF SMOKING/TQBACCO INDUSTRY: "Usefulness" of smoking to the indivldual or of the tobacco industry to society. -34-

K JAA ~conom~g ~ont~ibution: Monetary contributlon of the tobacco ~ndustry to society (e._~., tax revenues, industry employment, agrlcultural growth). JB "RISKS" QF SMOKING: Documents that discuss the risks of smoking to society (e.__~., excess death, premature deaths). JBA Social Costs: The economic losses to society allegedly caused by smoking (e.~., higher health care costs for smokers, workdays lost). WARNINGS/PROCEEDINGS: Documents concerning the Surgeon General's warning about the health consequences of smoking. Watch for references to the Surgeon C, eneral's warning, warning notice, warning label or health warning. Also included in this category are various proceedings that may have a bearing on the case under consideration. ADEQUACY: Documents discussing the adequacy of various warnings (e.~., static warning vs. rotating warnings, strength of the warning, etc.). KB DESIGN OF WARNING {SIZE, COLOR, PLACEMENT, ETC.): Includes studies to determine effectiveness of various formats for the warnings. KC EFFECT ON SMOKING BEHAVIOR/AWARENESS: Studies to determine the effects of warnings on smokers' behavior and smokers' awareness of smoking and health issues. KD DILUTION OF WARNING/OV~BPROMOTION: Documents suggesting that Brow~ & Williamson or BAT used advertising and overpromotion to dilute the effect of the warning label on consumer awareness of risk. KE FTC WARNING NOTICE PROCEEDINGS: Several formal proceedings initiated by the FTC regarding the health warning in cigarette advertising. First hearings were held in March 1964. A trade regulation rule requiring labeling on cigarette packages was to have become effective January I, 1965, but Congress asked that it be postponed to give Congress time to pass legislation. A new trade regulation rule was proposed in May 1969 by the FTC to require a warning in all cigarette advertising, and hearings were held in July. Regulation by the FTC was again postponed for Congress to act.

KF KG KEA FTC v. Carter Investigation/Subpoena (I~76-19791: The key word here is "subpoena." Subpoenas were issued by the FTC to obtain advertising and marketing documents from cigarette manufacturers since 1964. The case became a procedural question on the FTC's authority to issue the subpoenas and on the question of confidentiality of the documents. The subpoenas were enforced in January 1979. KEB KEC Consent Decree {197~}: The FTC obtained consent decrees signed by six major cigarette manufacturers requiring appearance of the Surgeon General's health warning in all cigarette advertising. The announcement was made in April 1972. Key words were that the warnings were to be "clear and conspicuous." FTC v. Brow~ & Williamson. In 1974, the FTC began an investigation into the size of the health warnings required in cigarette advertising by the Consent Decree. On August I, 1975, the FTC notified the six cigarette companies that it had determined that they were in violation and requested the Department of Justice to commence actions. Suits were then filed in the U.S. District Court against the manufacturers seeking civil penalties for the correction of asserted violations of the Consent Order. Documents regarding FTC proceedings concerning BARCLAY should be coded to category AO, "BARCLAY CONTROVERSY." HATCH-FACKWOOP, WA~MAN PROCEEDINGS {1982J 1983]: The total of five different hearings in both the House and Senate ~eglnnlng in March 1982 through May 1983. The result was the requirement of the use of the current four rotational warnings which warn of the presence of carbon monoxide in smoke, the risk to pregnancy, the risk of developing diseases and the benefit of quitting. MOSS PROCEEDINGS: Do not code documents to this general topic. KGA: MQSs Proceedings lSenate 1971, 1972]: Senator Frank Moss (Utah), Chairman of the Senate Commerce Subcommittee on Consumer Affairs, held hearings in February 1972 on his 1971 proposal to regulate tar and nicotine content of cigarettes. Witnesses

KH KI KGB included Horace Kornegay, President of T.I.; Sheldon C. Sommers, M.D., Research Director of CTR; and Robert C. Hockett, Ph.D, actlng Scientlfic Director of CTR. Moss proceedings {House 197gi: Proceedings in the House by the Subcommittee on Oversight & Investigations of the Committee on Interstate and Foreign Commerce, chaired by John Moss (Calif.). The material requested of the tobacco companies included marketing, advertising and consumer surveys relating to the benefits, dangers, etc. of smoking; documents discussing consumers' attitudes about ads including the warning notice; and documents about advertising to the under 18 age group. Another proceeding to be coded here is a hearing on Antismoking Initiatives of the HEW held in the House Committee on Interstate & Foreign Commerce. Horace Kornegay of TI did make a statement. 1964/1965 PROCEEDINGS: These hearings were held before the House Committee on Interstate & Foreign Commerce in June and July 1964 (no action taken). More hearings were held before the Senate Committee on Commerce in March and April 1965 and again before the House Committee on Interstate & Foreign Commerce in April and May 1965. There were ten different bills before the House alone. There were many expert witnesses who gave statements on behalf of the industry. Among them were Dr. L.H. Garland, Dr. Israel Rappaport, Dr. Thomas Moran, Dr. Henry Russek, Dr. Milton Rosenblatt, Dr. Hiram Langston, and Dr. fan McDonald. The resulting legislation, The Federal Cigarette Labeling and Advertising Act, was signed into law in July 1965. It required the following warning on packages: "Caution: Cigarette Smoking May Be Hazardous To Your Health." ~6~ PRQCEEDINGS: Hearings were held before the House Interstate & Foreign Commerce Committee on several bills to amend the Federal Cigarette Labeling and Advertising Act in April and May 1969. A bill, Public Health Cigarette Smoking Act, was passed by the House and sent to the Senate in June 1969. -37-

L M In July 1969, hearings were held before the Consumer Subcommittee of the Senate Commerce Committee. Joseph F. Cullman, Ill spoke on behalf of cigarette manufacturers, announcing an agreement to dlscontlnue broadcast advertlsing if exempted from antitrust violation. The new law was signed into effect on April i, 1970. Its maln provision formalized the discontinuance of broadcast advertising and the revision of the cigarette pack "caution" label. (Note, this law did not require a warning notice in advertising.) KJ SPECIAL REPQRT$ TO FT¢: Reports compiled by Brown & Williamson and filed with the FTC on advertising. KK FTC REPQRTS: Annual reports that the FTC is required to file with Congress reporting on smoking and health. KL T&N DISCLOSURE PROCEEDINGS (I~70-I~711~ This proceeding was never held. It was noticed for hearing by the FTC in October 1970, but a voluntary agreement of the cigarette companies was accepted by the FTC and became operative in February 1971. FDA PROCEEDINGS: There are at least two hearings to code here. One concerns smoking and oral contraceptives. The other concerns an attempt to classify filters as medical devices. KN QTHER PROCEEDINGS: Documents concerning other hearings, proceedings, or legislation in the United States or abroad. LQBBYING: Documents that discuss tobacco industry lobbying other than lobbying by or through TI. Do not include anti- industry lobbying. Include materials discussing campaign contributions or drafting of letters. BROWN & W~LLIAMSON LOBBYING: Documents discussing lobbying efforts by Brown & Williamson on the national or state level. LITIGATION ISSUES: This general category should be used for documents which relate to allegations of misconduct or legal considerations, but which do not fall into one of the subcategories. ¢QNFIPd~ATION OF CAUSATION: Documents suggesting that the results of research confirm or supplement the alleged evidence that cigarette smoking causes disease. -38-

MB Include any documents suggesting that some tobacco company scientists believe it has been proven that cigarette smoking causes disease. Brown & Williamson's Confirmation of Causation: Documents suggesting that the results of Brown & Williamson's research confirm or supplement the alleged evidence that cigarette smoking causes disease. Include any documents suggesting that Brown & Williamson scientists believe it has been proven that cigarette smoking causes disease. MAB BAT's Confirmation of Causation: Documents suggesting that the results of BAT's research confirm or supplement the alleged evidence that cigarette smoking causes disease. Include any documents suggesting that BAT scientists believe it has been proven that cigarette smoking causes disease. FAILURE TO CONDUCT RESEARCH/TEST: Documents suggesting that the tobacco industry did not conduct smoking and health research. Include documents suggesting that any research conducted or supported by the tobacco industry was conducted to obtain data to rebut the charges of smoking critics or for public relation purposes. Include documents suggesting that research leading to "unfavorable" results was terminated. MBA Brown & Willi~mson's Failure to Conduct Research/ Test: Documents suggesting that Brown & Williamson did not conduct smoking and health research. Include documents suggesting that any research conducted or supported by Brown & Williamson was conducted to obtain data to rebut smoking critics or for public relation purposes. Include documents suggesting that research leading to "unfavorable" results was terminated. MBB BAT's Failure to ¢Q~duct Research/Test: Documents suggesting that BAT did not conduct smoking and health research. Include documents suggesting that any research conducted or supported by BAT was conducted to obtain data to rebut smoking critics or for public relation purposes. Include documents suggesting that research leading to "unfavorable" results was terminated.

MC MD ~ENTLEMEN'S AGREEMENT: Documents relating to allegations that the companies agreed to not conduct in- house animal research (smoking and health research) or that the companies agreed to share breakthroughs on a "safer" cigarette. MANIPULATIQN QF RESEARCH/DATA~ Documents relating to allegations that members of the tobacco industry pressured outside researchers into obtaining desired results or that the industry manipulated research data so that a favorable conclusion could be drawn. MDA Brown & williamson's Manipulation of Besearch/D~ta: Documents relating to allegations that Brown & Williamson pressured outside researchers into obtaining desired results or that the company manipulated research data so that a favorable conclusion could be drawn. MDB BAT's Manipulation of Research/Data: Documents relating to allegations that BAT pressured outside researchers into obtaining desired results or that the company manipulated research data so that a favorable conclusion could be drawn. FAILURE TO PUBLISH/SUPPRESSION OF RESEARCH RESULTS: Documents suggesting that members of the tobacco industry published only research results that supported the industry's position. Include documents suggesting that lawyers made the final decision about whether a study could be submitted for publication. MEA Brown & willlamson's Failure to Publlsh/Suppression O~ Research Results~ Documents suggesting that Brown & Williamson published only research results that supported the company's position. Include documents suggesting that lawyers made the final decision about whether a study could be submitted for publication. This code includes research performed by outside researchers funded by Brown & Willlamson. MEB ~AT's Failu~% to Pvbl~sh/Suppr@sslo~ o~ Research Results: Documents suggesting that BAT published only research results that supported the company's position. Include documents suggesting that lawyers made the final decision about whether a study could be submitted for publication. This code includes research performed by out|ide researchers funded by BAT. -40-

MG MEDIA SUPPRESSION: Documents relating to allegations that the tobacco companies prevent the publication of articles on smoking and health by threatening to withhold advertising revenues. MFA Bro%rn & Williamson's Media Suppression: Documents relating to allegations that Brown & Williamson prevents the publication of articles on smoking and health by threatening to withhold advertising revenues. FAILURE TO WARN: Documents suggesting that members of the tobacco industry were aware of health risks associated with smoking but did not warn smokers of those risks until warnings appeared on cigarette packages in 1966. MGA Brown & willlamson's Failure to warn: Documents suggesting that Brown & Williamson was aware of health risks associated with smoking but did not warn smokers of those risks until warnings appeared on cigarette packages in 1966. ASSURANCES QF SAFETY: Any documents giving express or implied guarantees concerning health consequences of smoking (e.~., public statements by industry executives that cigarettes are "safe', marketing strategies designed to "reassure the smoker," etc.). Include documents relating to express or implied assurances ~f safety about smoking and health in members of the tobacco industry's advertisements. Bro~ & Willlamson's Assurances of ~a~ety: Any documents giving express or implied guarantees concerning health consequences of smoking ( .~, marketing strategies designed to "reassure the smoker," etc.). Include documents relating to express or implied assurances of safety about smoking and health in Brown & Williamson's advertisements. MHB BAT's Assurances of Safety: Any documents giving express or implied guarantees concerning health consequences of smoking (e.~., public statements by BAT executives that cigarettes are "safe", marketing strategies designed to "reassure the smoker," etc.). Include documents relating to express or implied assurances of safety about smoking and health in BAT's advertisements. -41-

MI CONCESSIONS: Any statements, admission, or disclosures by members of the tobacco industry having detrimental legal consequences (e._~., an internal company document stating that smoking causes lung cancer). MIA Brown ~ williamson's Concessions: Any statements, admlssion, or disclosures by Brown & Williamson having detrimental legal consequences (e.~., an internal company document stating that smoking causes lung cancer). MIB ~AT's ¢oDcessions: Any statements, admission, or disclosures by BAT having detrimental legal consequences (e.G., an internal company document stating that smoking causes lung cancer). MJ DEFENSIVE DQCUMENTSz Any documents useful in defending against claims of addiction, lung cancer, emphysema, dilution of warning, or any of the above litigation issues. INDUSTRY CQMPETITIQN: Should not be used for documents concerned with ordinary marketplace competition, but only for unfortunate comments re competition, .91, a document that says, "we should do biological research to gain a competitive edge." INDUSTRY COOPERATION: Documents relating to cooperation between the cigarette companies. Should not be used'for documents that describe industry-wlde support of research (e._~, CTR), but only for documents with comments that could be misunderstood as a "conspiracy." ~: Documents discussing activities of 3i, L.S., Inc., or Literature Retrieval Division and documents concerning Brow~ & Williamson's dealing with any of these organizations. MLB Litigation Defense: Documents relating to cooperation between the cigarette companies and their legal counsel with regard to the smoking and health litigation. DAWY~R ~NVQLVEMENT: Do not code to this major heading. NA LEGAL DISCU$$IQN OR RECQMMENDATIQN: Documents evidencing lawyer's advice, recommendations, or a . discussion of the legal issues concerning the smoking and health controversy. -42-

NB NC QTHER LEGAL REFERENCE: Documents which were sent or copied to Brown & Williamson's lawyers or which reference a particular lawyer-in the Brown & Williamson law department. NO 5EGAL REFeRENCe: Documents which do not contain lawyers' advice, recommendations, or discussion of the smoking and health issue and which do not reference a particular lawyer in the Brown & Williamson law department. INTERNATIONAL: Documents discussing B&W's activities in producing and marketing its or other companies' brands for an international market.