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{"url":"http:\/\/en.wikibooks.org\/wiki\/Topology\/Points_in_Sets","text":"# Topology\/Points in Sets\n\nTopology\n \u2190\u00a0Bases Points in Sets Sequences\u00a0\u2192\n\n## Some Important Constructions\n\nLet $A$ be an arbitrary subset of $X$.\n\n### Closure\n\n\u2022 A point $x$ is called a point of closure of a set $A$ if for every neighbourhood $U$ of $x$, $U \\cap A \\neq \\emptyset$\n\u2022 Define the closure of $A$ to be the intersection of all closed sets containing $A$, denoted $\\mathrm{Cl}(A)$ (some authors use $\\bar{A}$). The closure has the nice property of being the smallest closed set containing $A$. Each neighborhood (nbd) of every point in the closure intersects $A$.\n\n### Interior\n\n\u2022 We say that $x$ is an internal point of $A$ iff There is an open set $U$, $x \\in U$ and $U \\subseteq A$\n\u2022 Define the interior of $A$ to be the union of all open sets contained inside $A$, denoted $\\mathrm{Int}(A)$ (some authors use $A^\\circ$). The interior has the nice property of being the largest open set contained inside $A$. Every point in the interior has a nbd contained inside $A$.\n\nNote that a set $A$ is Open iff $A = Int(A)$\n\n### Exterior\n\n\u2022 Define the exterior of $A$ to be the union of all open sets contained inside the complement of $A$, denoted $\\mathrm{Int} (X \\setminus A)$. It is the largest open set inside $X \\setminus A$. Every point in the exterior has a nbd contained inside $X \\setminus A$.\n\n### Boundary\n\n\u2022 Define the boundary of $A$ to be $\\mathrm{Cl}(A)\\setminus\\mathrm{Int}(A)$, denoted $\\mathrm{Bd}(A)$ (some authors prefer $\\partial A$). The boundary is also called the frontier. It is always closed since it is the intersection of the closed set $\\mathrm{Cl}(A)$ and the closed set $X\\setminus\\mathrm{Int}(A)$. It can be proved that $A$ is closed if it contains all its boundary, and is open if it contains none of its boundary. Every nbd of every point in the boundary intersects both $A$ and $X \\setminus A$. All boundary points of a set $A$ are obviously points of contact of $A$.\n\n### Limit Points\n\n\u2022 A point $x$ is called a limit point of a set $A$ if for every neighborhood $U$ of $x$, $(U\\setminus\\{x\\}) \\cap A \\neq \\emptyset$. All limit points of a set $A$ are obviously points of closure of the set $A$.\n\n### Isolated Points\n\n\u2022 If a neighborhood $N$ of a point $x\\in S\\subseteq X$ can be found such that $N\\cap S = \\{x\\}$, then x is called an isolated point.\n\n### Density\n\nDefinition: A subset $A$ of a topological space $X$ is called dense if any point $x\\in X$ is in $A$, or if the point $x$ is a limit point of $A$.\n\nDefinition: In a topological space $X$, $A\\subseteq X$ is dense if $Cl(A)=X$.\n\nExample: The set of rational numbers is dense in the set of real numbers.\n\nDefinition: In a topological space $X$, a set $A\\subseteq X$ is nowhere dense if $Cl(A)$ has no nonempty open sets.\n\nExample: The set of natural numbers is nowhere dense in the set of real numbers.\n\nDefinition: Suppose X is a topological space. Then for $A\\subseteq X$, A is dense in X if $\\bar{A} = X$.\n\nDefinition: Suppose X is a topological space. Then for $A\\subseteq X$, A is nowhere dense in X if and only if $int (\\bar{A}) = \\emptyset$.\n\nDefinition: A G\u03c3 set is a subset of a topological space that is a countable intersection of open sets.\n\nDefinition: An F\u03c3 set is a countable union of closed sets.\n\nTheorem\n\n(Hausdorff Criterion) Suppose X has 2 topologies, r1 and r2. For each $x \\in X$, let B1x be a neighbourhood base for x in topology r1 and B2x be a neighbourhood base for x in topology r2. Then, $r_1\\subseteq r_2$ if and only if at each $x \\in X$, if $(B^1 \\in B^1_x)(\\exists (B^2 \\in B^2_x)( B^2 \\subseteq B^1).$\n\nTheorem\n\nIn any topological space, the boundary of an open set is closed and nowhere dense.\n\nProof:\nLet A be an open set in a topological space X. Since A is open, int(A) = A. Thus, \u03c3A ( or the boundary of A) = $\\bar{A}\/ int (A)$. Note that $\\bar A\/A = \\bar A \\cap A^c$. The complement of an open set is closed, and the closure of any set is closed. Thus, $\\bar A \\cap A^c$ is an intersection of closed sets and is itself closed. A subset of a topological space is nowhere dense if and only if the interior of its closure is empty. So, proceeding in consideration of the boundary of A.\n\nThe interior of the closure of the boundary of A is equal to the interior of the boundary of A.\nThus, it is equal to $int (\\bar{A} \\cap A^c)$.\nWhich is also equal to $int (\\bar{A}) \\cap int (A^c)$.\n\nAnd, $int (A^c) = \\bar{[(A^c)^c]}^c$. So, the interior of the closure of the boundary of A = $int (\\bar{A}) \\cap int \\bar{(A^c)}$., and as such, the boundary of A is nowhere dense.\n\n## Types of Spaces\n\nWe can also categorize spaces based on what kinds of points they have.\n\n### Perfect Spaces\n\n\u2022 If a space contains no isolated points, then the space is a perfect space.\n\n## Some Basic Results\n\n\u2022 For every set $A$; $A\\subseteq \\mathrm{Cl}(A)$ and $\\mathrm{Int}(A)\\subseteq A$\nProof:\nLet $x\\in A$. If a closed set $\\alpha\\supseteq A$, then $x\\in\\alpha$. As $\\mathrm{Cl}(A)=\\displaystyle\\bigcap_{\\alpha\\subset X} \\alpha$ for closed $\\alpha$; we have $x\\in\\mathrm{Cl}(A)$. $x\\in A$ being arbitrary, $A\\subseteq \\mathrm{Cl}(A)$\nLet $U\\subseteq A$ be open. Thus, $x\\in A\\forall x\\in U$. As $\\mathrm{Int}(A)=\\displaystyle\\bigcup_{U\\subseteq A}U$ for open $U$; we have $x\\in \\mathrm{Int}(A)\\forall x\\in U$. $U\\subseteq A$ being arbitrary, we have $\\mathrm{int}(A)\\subseteq A$\n\n\u2022 A set $A$ is open if and only if $\\mathrm{Int}(A)=A$.\nProof:\n($\\Longrightarrow$)\n$A$ is open and $A\\subseteq A$. Hence, $A\\subseteq\\mathrm{Int}(A)$. But we know that $\\mathrm{Int}(A)\\subseteq A$ and hence $\\mathrm{Int}(A)=A$\n($\\Longleftarrow$)\nAs $\\mathrm{Int}(A)$ is a union of open sets, it is open (from definition of open set). Hence $A=\\mathrm{Int}(A)$ is also open.\n\n\u2022 A set $A$ is closed if and only if $\\mathrm{Cl}(A)=A.$\nProof:\nObserve that the complement of $\\mathrm{Cl}(A)$ satisfies $X\\setminus \\mathrm{Cl}(A)=\\mathrm{Int}(X\\setminus A)$. Hence, the required result is equivalent to the statement \"$X\\setminus A$ is open if and only if $\\mathrm{Int}(X\\setminus A)=X\\setminus A$\". $A$ is closed implies that $X\\setminus A$ is open, and hence we can use the previous property.\n\n\u2022 The closure $\\mathrm{Cl}(A)$ of a set $A$ is closed\nProof:\nLet $\\alpha$ be a closed set such that $A\\subseteq\\alpha$. Now, $\\mathrm{Cl}(A)= \\displaystyle\\bigcap_{\\alpha\\subset X}\\alpha$ for closed $\\alpha$. We know that the intersection of any collection of closed sets is closed, and hence $\\mathrm{Cl}(A)$ is closed.\n\n## Exercises\n\n1. Prove the following identities for subsets $A,B$ of a topological space $X$:\n\u2022 $\\mathrm{Cl}(A\\cup B)=\\mathrm{Cl}(A)\\cup\\mathrm{Cl}(B)$\n\u2022 $\\mathrm{Cl}(A\\cap B)\\subseteq\\mathrm{Cl}(A)\\cap\\mathrm{Cl}(B)$\n\u2022 $\\mathrm{Int}(A)\\cup\\mathrm{Int}(B)\\subseteq\\mathrm{Int}(A\\cup B)$\n\u2022 $\\mathrm{Int}(A\\cap B)=\\mathrm{Int}(A)\\cap\\mathrm{Int}(B)$\n2. Show that the following identities need not hold (i.e. give an exaple of a topological space and sets $A$ and $B$ for which they fail):\n\u2022 $\\mathrm{Cl}(A\\cap B)=\\mathrm{Cl}(A)\\cap\\mathrm{Cl}(B)$\n\u2022 $\\mathrm{Int}(A)\\cup\\mathrm{Int}(B)=\\mathrm{Int}(A\\cup B)$\n\nTopology\n \u2190\u00a0Bases Points in Sets Sequences\u00a0\u2192","date":"2015-03-26 19:27:25","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 133, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.9338712096214294, \"perplexity\": 118.013968037529}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2015-14\/segments\/1427131292567.7\/warc\/CC-MAIN-20150323172132-00139-ip-10-168-14-71.ec2.internal.warc.gz\"}"}
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{"url":"https:\/\/www.hackmath.net\/en\/math-problem\/32901","text":"# Insert AP member\n\nInsert arithmetic means between 75 and 180.\n\nCorrect result:\n\nm = \u00a0127.5\n\n#### Solution:\n\n$m=\\frac{75+180}{2}=\\frac{255}{2}=127.5$\n\nWe would be pleased if you find an error in the word problem, spelling mistakes, or inaccuracies and send it to us. Thank you!\n\nTips to related online calculators\nLooking for help with calculating arithmetic mean?\nLooking for a statistical calculator?\n\n#### You need to know the following knowledge to solve this word math problem:\n\nWe encourage you to watch this tutorial video on this math problem:\n\n## Next similar math problems:\n\n\u2022 Insert 7\nInsert five harmonic means between 3 and 18\n\u2022 Insert 5\nInsert five harmonic means between 1\/2 and 1\/26\n\u2022 A trapezoid\nA trapezoid 75 ft wide on top 85 ft on the bottom, the height is 120 ft. What is its area in the square yds?\n\u2022 Insert 6\nInsert four harmonic means between 3\/7 and 3\/19\n\u2022 Statistics\nThe sum of all deviations from the arithmetic mean of the numerical sequence 4, 6, 51, 77, 90, 93, 95, 109, 113, 117 is:\n\u2022 Dried fruit\nThe manufacturer produces a mixture of dried fruit. He purchased: 10kg pineapple for 200 Kc\/kg 2kg papaya for 180 kc\/kg 1kg of banana for 400 Kc\/kg How many kgs of raisin for 80 Kc\/kg must be put into the mix by the manufacturer so that the production pri\n\u2022 Average height\nIn a class are 34 students. The average height of the students is 165 cm. What will be the average height of students in the classroom when two pupils, tall 176 cm and 170 cm, moved from this school\/class?\n\u2022 The hollow cylinder\nThe hollow cylinder has a height of 70 cm, an outer diameter of 180 cm and an inner diameter of 120 cm. What is the surface of the body, including the area inside the cavity?\n\u2022 Unions\nCalculate how much money per year would go to the treasury of unions if 976 thousand employees join unions with an average net salary of 587 euros and if union membership cost 1% of the net monthly salary.\n\u2022 Harmonic series\nInsert four members between 5\/3 and 5\/11 to form harmonic series (means).\n\u2022 RWY\nCalculate the opposite direction of the runway 13. Runways are named by a number between 01 and 36, which is generally one tenth of the azimuth of the runway's heading in degrees: a runway numbered 09 points east (90\u00b0), runway 18 is south (180\u00b0), runway 2\n\u2022 Find the mean\nFind the number between 13 and 29.\n\u2022 Trees avg\nThe worker planted 96 trees on Monday, 120 on Tuesday and 61 trees on Wednesday. How many trees did he plant on Thursday if he averaged 105 trees per day?\n\u2022 Two cars 2\nTwo cars started from two positions 87 km distant at the same time in opposite directions at speeds 81 km\/h and 75 km\/h. What was the distance between them after 2 hours 50 minutes of driving.\n\u2022 Reverse Pythagorean theorem\nGiven are lengths of the sides of the triangles. Decide which one is rectangular: \u0394 ABC: 77 dm, 85 dm, 36 dm ? \u0394 DEF: 55 dm, 82 dm, 61 dm ? \u0394 GHI: 24 mm, 25 mm, 7 mm ? \u0394 JKL: 32 dm, 51 dm, 82 dm ? \u0394 MNO: 51 dm, 45 dm, 24 dm ?","date":"2021-01-20 01:35:16","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 1, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.5140184164047241, \"perplexity\": 2803.2952044451745}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2021-04\/segments\/1610703519843.24\/warc\/CC-MAIN-20210119232006-20210120022006-00188.warc.gz\"}"}
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Teresa Lubomirska (ur. 1 stycznia 1685, zm. 6 stycznia 1712) – polska księżna.
Córka Józefa Karola Lubomirskiego i Teofili Ludwiki Zasławskiej. 15 grudnia 1701 roku poślubiła Karola III Filipa, przyszłego elektora Palatynatu .
Wywód przodków
Teresa Lubomirska
Polki – żony władców obcych
Urodzeni w 1685
Zmarli w 1712
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Q: Notation in definition of a quantity involving uncertainty and posterior probability As a probs & stats noob, I'm still getting confused by notation. I would appreciate if someone could elaborate a bit on what's going on here, on p12 of Settles' Active Learning survey (2012).
He writes:
For problems with three or more class labels, a more general uncertainty sampling-variant might query the instance whose prediction is least confident: $$x^*_{LC} = \mathrm{argmax}_x 1-P_{\theta}(\hat{y}|x),$$
where $\hat{y} = \mathrm{argmax}_y P_{\theta}(y|x)$, or the class label with the highest posterior probability under the model $\theta$. One way to interpret this uncertainty measure is the expected 0/1 loss, i.e. the model's belief that it will mislabel $x$.
Could someone please explain exactly what probabilities those two $P_{\theta}(\cdot)$ are referring to? How to think about "posterior" in this context, and why can this be interpreted as a belief of mislabeling $x$?
Thanks.
A: $P_{\theta}(\hat{y}|x)$ is a probability of observing $y$ given the information $x$ as judged by the model $\theta$. If model $\theta$ "thinks" that given $x$ the most likely value you should predict is $y$ (with probability $p$), then if you decide to choose other label instead, the model would argue, that according to it's best knowledge you are wrong with probability $1-p$. Saying it differently, if according to $\theta$, probability that for the label $y$ is $p$, then you can think of this probability as of a measure of how much $\theta$ believes that the label you should assign is $p$.
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"redpajama_set_name": "RedPajamaStackExchange"
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Q: Laravel Dusk how to check if element is visible/clickable? I have a scenario where I'd like not check IF an element exists and is visible/clickable. If not, script processing continues.
While Laravel Dusk provides $browser->assertVisible($selector) method, this ends up in an exception if the element is not visible. Or $browser->waitFor('.selector'); but this also ends the script processing if element doesn't appear.
Here is the criteria Selenium uses to check for an element being visible is found here: How to force Selenium WebDriver to click on element which is not currently visible?
Apparently Dusk doesn't provide this kind of method. What would be the best way to implement it?
A: Better late than never I suppose.
isDisplayed() works pretty well (though not if it's covered up by other elements)...
if($browser->driver->findElement(WebDriverBy::cssSelector('#my-selector'))->isDisplayed()) {
// do something
}
if I have overlays covering my elements, I use ->waitUntilMissing(), or in extreme cases I call on $browser->driver->executeScript() and run some jQuery to temporarily manipulate an element that is "in the way".
A: You can try to find the element and try to retrieve properties of it. If the properties are empty, the element is not visible. E.g.
$hiddenBtn = $browser->element('@show-more');
if($hiddenBtn && $hiddenBtn->getText()){
$browser->click('@show-more');
}
This worked for me.
A: Without a good idea of what you're trying to accomplish you can always wait until the element is visible:
https://laravel.com/docs/5.5/dusk#waiting-for-elements
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# Índice
Portada
Dedicatoria
Epígrafe
El aprendizaje de la libertad
1. Vivir para emprender o emprender para vivir
2. ¿Un mundo de abundancia o uno de escasez?
3. El hombre que aprendió a aprender
4. "Lo importante era el equipo"
5. El cincel del poderoso
6. La oportunidad de ser protagonista
7. Las imágenes del futuro
Un propósito para la libertad
Biografía
Créditos
Para Romi, Tommy, Matu, Sol y Emi.
"Vivo entregado a esta idea, es la culminación
de la sabiduría: solo merece la vida y la libertad
aquel que tiene que conquistarlas todos los días".
Johann Wolfgang von Goethe, Fausto.
# El aprendizaje de la libertad
¿Qué pensarían si les dijera que una persona presa en una cárcel dedica posiblemente más tiempo a realizar tareas vinculadas con sus motivaciones profundas que ustedes? Seguramente les costaría creerlo, porque ustedes pueden elegir a qué dedicar su tiempo, y los presos no. Sin embargo, quienes están en esa situación participan entre diez y quince horas semanales en actividades vinculadas al aprendizaje sobre ellos mismos o sobre sus vocaciones no explotadas, como parte de diferentes programas de rehabilitación.
Los presidiarios suelen practicar diversas actividades artísticas, como música o literatura; en las penitenciarías del Estado de Oregon, en los Estados Unidos, por ejemplo, tienen sesiones de meditación trascendental. Esa dedicación es quince o veinte por ciento superior al promedio de tiempo que un ciudadano de una gran metrópoli destina a tratar de estar conectado con lo que siente que es y quiere ser. Muchos de quienes pasan sus días en una cárcel han logrado, en el encierro, encontrar una libertad bastante más genuina en comparación con la que varios de los que estamos fuera de las cárceles vivimos a diario.
Claramente, ser libre trasciende el universo de lo físico. Es un estado espiritual y mental producto de una decisión consciente de conectarse con lo más sincero de uno mismo.
Claramente, ser libre trasciende el universo de lo físico. Es un estado espiritual y mental producto de una decisión consciente de conectarse con lo más sincero de uno mismo. Siempre consideré una falacia creer que alguien puede privar de su libertad a otra persona. A lo sumo, podrá hacerlo con su dimensión material, pero jamás lo logrará con su mente o su espíritu. El ejemplo más acabado al respecto lo constituye Nelson Mandela, que pasó veintisiete años detenido en una celda minúscula. Sin embargo, ni un segundo de todo ese tiempo estuvo "preso". Pudieron atrapar su cuerpo pero nunca capturaron su espíritu, que fue lo suficientemente fuerte como para liberar a toda una nación.
La libertad es demasiado importante como para estar condicionada por un contexto. Solo nosotros podemos ejercerla o perderla. Es lamentable, pero muchos pasamos valiosos años eligiendo la última alternativa... o directamente ignoramos que podíamos elegir.
Descubrir que somos dueños de algo tan relevante implica una responsabilidad enorme respecto de nuestras vidas: ni más ni menos que el pleno dominio de su rumbo. Pero, ¡cuidado!, esto no quiere decir que controlemos todo lo que ocurra, sino que aquello que suceda no pueda controlarnos.
Asumirlo empodera y, a la vez, nos obliga a transitar el camino hacia la plenitud personal. En primer lugar, porque nos impulsa a bucear en nuestro interior para encontrar el sentido más auténtico, definir propósitos y perseguir aquello que nos hace o creemos que nos hará vibrar; conectarnos con quienes somos, en vez de con quienes nos imponemos ser, es la única manera de comenzar a vivir en libertad. En segundo lugar, porque esa búsqueda consciente requiere de decisiones y acciones que impacten en la realidad.
Para que ello ocurra existen métodos. Y por eso es que yo, un emprendedor, escribo sobre este tema. Porque emprendiendo descubrí que existen muchas herramientas que, lejos de ser aplicables solo a proyectos comerciales o sociales, pueden ayudarnos a construir con autonomía nuestro propio destino. Estoy convencido de que emprender es mucho más que crear una empresa o una organización: es hacer que las cosas sucedan.
Adoptar una actitud emprendedora para encarar nuestra vida diaria implica, de alguna manera, tener una filosofía, una forma de plantarse frente a la realidad con dinamismo proactivo y la certeza de que entender quiénes somos y cómo miramos el mundo es fundamental para alcanzar lo que deseamos.
Solo debemos decidirnos a encarar los dilemas que se nos presentan, afrontar nuestras propias limitaciones e intentar cuestionarnos para responder, con sinceridad brutal, la pregunta liberadora: ¿Existe una diferencia entre la vida que vivimos y la que nos gustaría vivir?
Ser libre es aprender a reducir esa brecha entre lo que somos y lo que queremos ser, entre nuestros deseos y la posibilidad de concretarlos. Este libro tiene la vocación de contribuir con ese proceso, ayudarlos a que puedan, aplicando visiones de emprendedor, ser un poco más libres. Porque esta, a decir verdad, es también una forma que encontré de reducir mi propia brecha. De hacer crecer mi libertad.
# Vivir para emprender
o emprender para vivir
Sí, aunque hoy me cause vergüenza, debo admitirlo: durante la primera parte de mi vida pensé que el secreto para la realización personal era ganar mucha plata, muy rápido. Provengo de una familia de clase media (mi padre es médico y mi madre, profesora de inglés) y mi ilusión era que la felicidad llegaba con el dinero. Sobre la base de esa concepción me programé casi como una máquina para conseguirlo.
"Tengo que estudiar en los mejores lugares", me dije, "y empezar a pensar cómo generar una gran cantidad de recursos velozmente". Había hecho el secundario en el Carlos Pellegrini, estudié Economía en la Universidad de San Andrés, a la que accedí gracias a una beca, y luego pasé por Harvard.
Con 24 años, me lancé a emprender detrás de una idea clara: armar una empresa muy grande con el objetivo de venderla; después de eso, todo estaría "solucionado". El primer paso en pos de esta meta fue Officenet, una compañía de venta de material de oficina que creamos en conjunto con Santiago Bilinkis. Arrancamos con muchas ganas y una gotera en el depósito. Y nos fue muy bien: crecimos hasta llegar a tener casi mil empleados, nos expandimos más allá de las fronteras y llegamos a facturar cerca de cien millones de dólares anuales entre la Argentina y el Brasil. La compañía más grande del mundo en el rubro vino a la Argentina y nos compró la empresa.
¡Había logrado el anhelo de mi vida! Sin embargo, al día siguiente de la venta me sentí la misma persona de siempre. Quizás económicamente algunas dimensiones estaban resueltas, pero esa máquina humana había llegado a una ilusión que no era real.
Como Tom Hanks en su personaje de Forrest Gump, había corrido sin saber bien para qué. El objetivo de construir una empresa bien grande para venderla estaba cumplido, pero en lo profundo de mí nada había cambiado: a lo largo de siete años me había esforzado, resignando muchas otras cosas importantes, con el objetivo de llegar a un lugar que, una vez alcanzado, no resultaba como me lo había imaginado: no terminaba de hacerme sentir pleno.
Esa desilusión me condujo a un profundo replanteo personal. Me hizo preguntarme qué era lo que verdaderamente quería hacer de mi vida. Descubrí que, en realidad, el secreto de lograr resultados excepcionales se vincula con algunas recompensas, beneficios económicos y de los otros, pero que también son importantes otras dimensiones, desde con quién nos asociamos hasta qué cultura de trabajo creamos, qué valores (confianza, solidaridad y sentido de colaboración) desarrollamos en nuestro espacio de trabajo.
La clave no es tanto qué hacemos sino qué nos moviliza a hacerlo.
Y, por sobre todo, me hizo pensar en qué nos pasa con nosotros mismos. La pregunta más importante es cómo nos conectamos con un propósito que nos llegue al corazón. La clave no es tanto qué hacemos sino qué nos moviliza a hacerlo. Dicho más poéticamente: qué hace cantar a nuestro corazón.
Este fue mi descubrimiento con la experiencia de Officenet. Aprendí que no se trataba de armar una empresa para venderla, sino de hacer algo que tuviera significado. Esta idea, pequeña pero motivadora, me invitó a empezar a estudiar sobre estos temas para terminar de descubrir un tesoro que excede lo estrictamente económico.
En definitiva, entendí que los resultados extraordinarios surgen cuando integramos tres cosas: lograr lo que nos proponemos; rodearnos de la gente y los equipos con los que queremos hacerlo y, en ese camino, conectar con los valores más profundos que nos dan sentido y significado.
Todos podemos encontrar la forma de vincularnos con esta idea; hacerlo cambió completamente mi vida, y creo que cambiaría la de ustedes.
Para transitar ese camino transformador recurrí, al principio sin darme cuenta pero luego conscientemente, a las herramientas que tenía a mi disposición, las que me habían dado los años de emprender. Lo que cada vez se me hizo más claro es que hay algo más que fluir en la vida, y que el método para ello puede ser el proceso emprendedor.
Emprender es mucho más que crear una empresa u organización: es cumplir un sueño. Es por eso que sus simples pero eficaces procesos pueden aplicarse a todos los ámbitos de la vida. La lógica emprendedora puede ser de gran ayuda para cumplir objetivos personales.
El secreto es despertar, apagar el piloto automático que todos por momentos tenemos encendido, y decidirnos a ser plenamente.
El secreto es despertar, apagar el piloto automático que todos por momentos tenemos encendido, y decidirnos a ser plenamente. Decisión que implica, claro está, optar por una serie de actitudes para apoderarnos de nuestra propia vida. Tomar el control del propio rumbo, encauzarlo hacia lo que sentimos va a hacernos felices. Asumir la certeza de que estamos tomando decisiones que efectivamente nos lleven a ese lugar que todos, de alguna u otra forma, buscamos.
Hace algunos años, en una cena de amigos de esas que se extienden por largas horas y en las que surgen temas profundos, uno de ellos, un excelente periodista, había manifestado bastantes insatisfacciones respecto de su vida. Se me ocurrió preguntarle cuál era su sueño más extravagante, qué era esa cosa que, si tuviese una oportunidad, le pediría al genio de la lámpara. Él me dijo:
—Me encantaría ganar un Oscar por escribir un guion.
Le pregunté:
—¿Cuántos guiones escribiste?
—Todavía ninguno.
—Entonces, ¿cómo pensás que tu sueño se va a concretar?
—Es sólo un sueño.
—¿Pero te haría feliz que eso ocurrierra? ¿O, al menos, trabajar haciendo eso, aunque el premio nunca llegara?
—Sí, creo que mucho.
Mi amigo sabía a la perfección qué necesitaba para sentirse pleno. Y no era ganar un Oscar, sino simplemente concretar una vocación que siempre estuvo latente en él. Lo mismo nos pasa a la mayoría. Nos topamos con frustraciones, ilusiones que se diluyen hasta que, en ocasiones, logramos convencernos de que queremos algo diferente. Es en ese momento cuando tenemos que mirar para adentro, tomar conciencia de lo que nos pasa.
Fred Kofman es un experto en temas de management y mi socio en la creación de Axialent, una consultora especializada en desarrollo humano. Muchos de los conceptos que vamos a ver en este libro los aprendí de él. Es que, además de ser un experto en este tema, Fred ha escrito mucho y es considerado un referente a nivel mundial. En su libro La empresa consciente explica que es fundamental saber por qué hacemos lo que hacemos.
"Podemos ser autónomos. La autonomía es una posibilidad, no un hecho dado. Tenemos que desarrollarla a través de opciones conscientes", Fred Kofman.
"La conciencia es la habilidad para experimentar la realidad, es saber cuáles son tus mundos internos y externos", escribe en el libro. "Esto nos permite adaptarnos a nuestro entorno y actuar para avanzar en nuestras vidas".
La invitación es a pensar para qué, y así dirigir nuestro camino. "Podemos ser autónomos. La autonomía es una posibilidad, no un hecho dado. Tenemos que desarrollarla a través de opciones conscientes", agrega.
Esta autoconciencia es clave. Nos permite asumirnos como protagonistas y abandonar el camino de la inocencia. Es la única forma de apropiarnos y dirigir nuestro propio destino. Y nunca es tarde para tomar esta vía.
Esa búsqueda es la que nos permite encontrar nuestros propósitos más profundos, por los cuales apostaríamos pese a cualquier riesgo y que son los que nos permiten alcanzar metas inimaginables. Y para eso, las herramientas que da el emprendedorismo aplicadas a la vida son en extremo eficientes. Si funcionan en el trabajo, ¿por qué no lo harian en otros ámbitos también?
Si investigamos la vida de muchos de los emprendedores de nuestra era, descubriremos una lógica sencilla: tienen una visión clara de lo que quieren de sí mismos y de su entorno, y se lanzan al camino de la búsqueda consciente para alcanzarlo.
De hecho, si investigamos la vida de muchos de los emprendedores de nuestra era, descubriremos justamente esa lógica sencilla: tienen una visión clara de lo que quieren de sí mismos y de su entorno, y se lanzan al camino de la búsqueda consciente para alcanzarlo. Ninguno de ellos tiene como propósito el éxito en sí mismo, y todos comparten la certeza de querer cambiar algo con lo que están conectados y de que solo en sus manos está la posibilidad de alcanzar la plenitud.
Ese "despertar", alcanzar esa conexión con lo que hace cantar a nuestro corazón, es lo que nos permite forjar las actitudes para acercarnos a aquello que nos transformará en nuestra mejor versión. Descubrirnos nos permite no solo actuar sino, también, desarrollar la fortaleza necesaria para mantener el rumbo, a pesar de las contingencias y las dificultades que se presenten. Porque es nuestro trayecto más genuino.
Estoy convencido de que el grado de conexión con la conciencia de propósito es directamente proporcional a la fuerza que tenemos para alcanzarlo, a pesar de las circunstancias adversas. Esto se puede observar en casi todas las historias de emprendedores: Richard Branson lanzó cuatrocientas compañías antes de crear una que fuese exitosa (Virgin); Thomas Edison creó diez mil prototipos fallidos de su lámpara; Sylvester Stallone fue rechazado mil quinientas veces al intentar vender el guion de la película Rocky; Walt Disney fue echado de dos empleos por ser considerado "una persona sin ideas"...
Otro caso admirable de convicción en un propósito profundo es el de Edmund Hillary, el primer hombre que hizo cima en el Everest. Este sencillo apicultor de Auckland, Nueva Zelanda, empezó a interesarse en la escalada a los 16 años, cuando participó de una excursión escolar a una montaña. A partir de entonces comenzó para Hillary un camino de preparación en pos de sueños altos. Muy altos.
Casi diez años antes de escalar el Everest, Hillary le anticipó a un amigo que quería subir al pico de la montaña más alta del mundo. Sus ambiciones iban de la mano con la humildad. "En muchos sentidos creo que soy la imagen del neozelandés promedio: tengo habilidades modestas que combino con una buena dosis de determinación", declaró una vez.
"Everest, me has derrotado una vez y quizás lo hagas otra. Pero regresaré vez tras vez, y yo venceré, porque tú ya no puedes crecer, Everest, pero yo sí", Edmund Hillary.
Fue su entrenamiento intenso el que llevó a que lo convocaran a una excursión al Everest en 1951, pero en esa ocasión no consiguió el objetivo. Luego de ese aparente primer fracaso, Hillary dijo: "Everest, me has derrotado una vez y quizás lo hagas otra. Pero regresaré vez tras vez, y yo venceré, porque tú ya no puedes crecer, Everest, pero yo sí".
El 10 de marzo de 1953 inició, con un equipo de cuatrocientas personas, el trayecto desde Katmandú hasta ese mito del Himalaya. Once semanas después, el 29 de mayo de 1953, llegó a la cima del Everest. En el camino hubo desafíos y problemas, pero una determinación avasalladora finalmente le permitió a él y a Tenzig Norgay llegar a la cima.
¿Creen que habría sido posible esa hazaña si no hubiera tenido la plena convicción de que ese proyecto lo haría vibrar? Me cuesta imaginar de dónde podría haber conseguido la energía y la voluntad sino de su interna convicción.
Pero esta forma de encarar la vida no implica tener que arrojarse a grandes aventuras o ir tras logros extraordinarios. Es más, en mi caso, no lo fue. Simplemente me di cuenta de que las dimensiones que me importaban no eran solo profesionales y monetarias, y que desde ahí debía pensar en otras cosas sobre las que quería trabajar. Descubrí que rodearme de las personas indicadas era fundamental, y que cómo hacíamos las cosas también lo era: mis valores le daban sentido y significado a lo que hacía.
Todo esto impactó profundamente en mi vida personal y profesional. Comencé a trabajar en desarrollo humano y entendí que emprender era mi pasión, una realidad que me convirtió en un emprendedor serial.
Una de las cosas más maravillosas de emprender el propio futuro es que no se trata tanto de lo que se consigue en sí como del camino que se recorre para lograrlo.
En ese camino también descubrí que difundir el emprendedorismo podía ser un aporte valioso y vinculado con lo que yo quería. En el maravilloso mundo de los emprendedores también me encontré con los emprendedores sociales, aquellos que, en vez de una oportunidad de negocio, ven una necesidad de ayuda. Eso me permitió conectar con un concepto que también se convirtió en libro: que el cinco por ciento de nuestro tiempo puede cambiarle el ciento por ciento de la vida a otra persona.
Muchos de estos descubrimientos personales se transformaron en realidades palpables y en hechos. Pero eso no significa que en el camino no haya habido tropezones y caídas más o menos grandes. Una de las cosas más maravillosas de emprender el propio futuro es que no se trata tanto de lo que se consigue en sí como del camino que se recorre para lograrlo.
Muchas de las tradiciones espirituales y de las religiones más importantes, al hablar de felicidad, se refieren a ella más como un recorrido con idas y venidas, éxitos y fracasos, que como una meta o punto de llegada. No se trata de vender una empresa para poder disfrutar de la vida, sino de disfrutar la vida mientras se crea la empresa, sea cual fuere el resultado final.
"El éxito es aprender a ir de fracaso en fracaso sin desesperarse". Winston Churchill
Winston Churchill decía que el "el éxito es aprender a ir de fracaso en fracaso sin desesperarse". Reconocido como uno de los grandes líderes del siglo XX, este ex primer ministro británico y premio Nobel de Literatura es muy citado cuando se habla de tolerancia al fracaso, en especial a partir de su historia personal. "El éxito no es definitivo, el fracaso no es fatídico. Lo que cuenta es el valor para continuar"; "un optimista ve una oportunidad en toda calamidad, un pesimista ve una calamidad en toda oportunidad"; "vivan arduamente, no teman nada y el triunfo les sonreirá", son algunas de sus frases más conocidas.
En octubre de 1941, en plena Segunda Guerra Mundial y unos meses después de haber resistido al bombardeo a Londres de la Alemania nazi, Churchill, primer ministro de Inglaterra en ese momento, pronunció uno de sus discursos más recordados: "Nunca se rindan, nunca se rindan, nunca, nunca, nunca; ante ningún reto, por grande o pequeño que este sea...", dijo.
La historia de Churchill era de total coherencia con esa frase. En la escuela era considerado un mal alumno y recién comenzó a destacarse una vez terminado el secundario, cuando entró en la academia militar. Luego, ya durante su carrera como político, perdió varias elecciones. Su derrota más recordada fue la de 1945. Tras sostener al país durante el período más duro de la guerra, y finalmente ganarla, no fue reelecto.
La historia indica que muchos confiaban en que iba a ganar, incluso él mismo, pero el electorado se inclinó por el candidato del Partido Laborista, dejando fuera a uno de los hombres más influyentes de la historia británica y un líder indiscutido en uno de los períodos más complejos de la humanidad. Perseverante, Churchill volvió a presentarse, hasta que en 1951 resultó elegido primer ministro, cargo que ejerció hasta su retiro en 1955. Su legado, por supuesto, va mucho más allá de sus derrotas o victorias en las urnas; tiene que ver con el sentido, con por qué hizo lo que hizo.
Despertar a la conciencia y descubrir el sentido es solo un primer paso; es encender el motor de todo lo demás. Y es un acto que arrostra miedos y desafíos. Mi amigo, el periodista que quería ganar el Oscar al mejor guion, sabía desde mucho tiempo antes cuál era la senda que conducía a su plenitud, pero no se animaba a transitarla; el temor de no cumplir sus expectativas era tan grande que prefería vivir con la idea platónica de que algún día, mágicamente, podría lograrlo. Generalmente, lo más difícil no es saber el qué, sino aprender el cómo. Y ese es el porqué de este libro: para compartir herramientas del mundo emprendedor que ayuden a transformarnos de lo que somos en lo que queremos ser.
El desafío es aprender cómo pensamos para, así, comenzar a pensar distinto. Básicamente: entender los propios modelos mentales que hacen que nos pasen o dejen de pasar las cosas que nos pasan.
El desafío es aprender cómo pensamos para, así, comenzar a pensar distinto. Básicamente: entender los propios modelos mentales que hacen que nos pasen o dejen de pasar las cosas que nos pasan.
La manera en que percibimos el mundo es la forma en que podemos o no incidir sobre él. John Wearden es un académico y profesor de la Universidad de Keele, en el Reino Unido, que durante los últimos años se dedicó a estudiar un tema que me resulta apasionante: el tiempo. Más específicamente, la percepción que tenemos los humanos de él. Fue el primero en intentar aplicar una teoría del estudio de la percepción de los animales en los hombres: la Teoría del Tiempo Escalar (Scalar Timing Theory). Lo que pudieron demostrar sus estudios es que el tiempo, algo que popularmente consideramos un indicador exacto y medible, posee un gran componente de subjetividad en la percepción. Para él, el tiempo es extraño y paradójico. Por ejemplo, las personas mayores suelen decir que el tiempo se les pasa más rápido a medida que envejecen, y de hecho existen muchos estudios que prueban que esa percepción es compartida en todo el mundo. Sin embargo, Wearden asegura que, si se profundiza un poco más en ello, se descubre que, paradójicamente, a los mayores los días se les hacen muy largos y son solo los meses los que se les pasan rápido. ¿Cómo puede ser, si los días hacen los meses?
Para intentar acercarse a una respuesta a este tipo de preguntas, Wearden hizo un experimento. Les preguntó a doscientos estudiantes acerca de sus experiencias con el tiempo. Al principio las respuestas eran las esperadas: lento si nos aburrimos, rápido si nos divertimos. Pero, otra vez, al analizar los matices de las respuestas, accedió a conclusiones interesantes.
Las descripciones del tiempo rápido eran casi todas de este estilo: "Fui a una fiesta y, cuando terminó, miré mi reloj y eran las cinco de la mañana; el tiempo pasó muy rápido". O sea que se necesita un marcador externo (el reloj, el cierre del bar o la salida del Sol) para llegar a la conclusión de que el tiempo "pasó rápido". No se piensa que el tiempo está pasando rápido mientras ocurre el evento; entonces la atención está en otro lugar.
En cambio, las descripciones sobre el tiempo lento eran de este tipo: "Trabajo en una tienda los sábados y no hay clientes. La última hora se hace eterna". Se repite el marcador externo, pero hay una diferencia: en estos casos, la lentitud del transcurso del tiempo se experimentaba simultáneamente al suceso.
La conclusión a la que llegó Wearden fue que experimentar subjetivamente el tiempo de forma rápida o lenta constituye dos fenómenos distintos. Cuando se está en una situación en que el tiempo pasa lento, se siente esa lentitud, se la mide en tiempo real, mientras que, cuando se está en una situación en que el tiempo pasa rápido, el momento no se siente sino que se infiere más tarde a partir de determinados indicadores. Otro dato curioso: no solo se percibe distinto, sino que, para quien percibe de un determinado modo, es difícil comprender que otro perciba de manera diferente. Nuestra referencia cultural del "tiempo medido" por una máquina (reloj) es tan fuerte que tendemos a bloquear cualquier tipo de distorsión personal en su percepción.
Vemos el mundo subjetivamente, cada quien en su propio contexto y mediante su propio modelo de comprensión, pero a veces no entendemos que el otro también ve la realidad desde su propia subjetividad.
Esto que pasa con nuestras horas, minutos y segundos, también pasa con todos los aspectos de la realidad. Vemos el mundo subjetivamente, cada quien en su propio contexto y mediante su propio modelo de comprensión, pero a veces no entendemos que el otro también ve la realidad desde su propia subjetividad, en su propio contexto y a través de sus propios modelos, y que estos son distintos de los nuestros.
Aunque esto parece muy simple de explicar, en muchos momentos clave de nuestras vidas olvidamos que tenemos una perspectiva y nos perdemos en la trama de nuestros modelos mentales. Esto es más importante de lo que parece. Para encarar el proceso de emprender la vida, primero tenemos que tomar distancia y observar cómo comprendemos. Necesitamos entender que muchas de las decisiones que tomamos y muchos de los límites que nos ponemos dependen de una serie de realidades que surgen del modo en que conocemos. Entender esa dinámica es lo que nos permite ser libres.
Todo el tiempo, por más que no seamos conscientes de ello, construimos modelos mentales a través de los cuales vemos nuestra realidad. Somos un punto de vista constante.
Esto que digo es algo que trato de vivir siempre. Busco desafiarme a mí mismo repensando todo el tiempo la manera en que veo las cosas. Si, por ejemplo, sentía que era imposible conseguir capital para un proyecto emprendedor, me preguntaba: ¿es esto cierto o será que sólo mido el tiempo como quiero medirlo, para justificar mis propias teorías? Y si esto sucede: ¿qué tan lejos estoy de dejar de buscar capital porque creo que no se puede, haciendo de esta manera que mi profecía se cumpla?
Todo el tiempo, por más que no seamos conscientes de ello, construimos modelos mentales a través de los cuales vemos nuestra realidad. Somos un punto de vista constante. No las vemos, pero tenemos estructuras que usamos para entender lo que nos ocurre y sacar conclusiones sobre situaciones determinadas. Es como cuando llevamos puestos lentes de sol: al principio notamos que están allí, pero, con el tiempo los ojos se acostumbran y nos olvidamos; ya no nos damos cuenta de que estamos viendo las cosas a través de un filtro que las modifica. Como cuando nos ponemos a buscar los anteojos que traemos puestos. Los modelos mentales son así: están, inciden en nuestra percepción, pero no los notamos. Desde la teoría del conocimiento esta autopercepción ya es interesante de por sí, y creo que hay mucho en ella que nos puede servir para aplicar en nuestra cotidianidad.
Los modelos mentales son útiles para simplificar cómo vemos la realidad, pero, al mismo tiempo, nos limitan y no podemos ver las cosas como verdaderamente son.
La forma en que nos contamos lo que vemos determina el modo en que actuamos. Dicho en concreto: cómo miramos el mundo determina quiénes somos. Y lo que hacemos es reflejo de eso. Los modelos mentales son útiles para simplificar cómo vemos la realidad, pero, al mismo tiempo, nos limitan y no podemos ver las cosas como verdaderamente son.
La ciencia actual nos muestra que esto tiene que ver con la evolución del ser humano. Estudios neurocientíficos revelan cómo, a lo largo de unos cien mil años, el cerebro ha evolucionado en función del principio de conservación de la energía. Para estar alerta ante las constantes amenazas que se cernían sobre su vida, para cazar o huir del acecho de los predadores, el ser humano necesitaba disponer de reservas de energía. Por eso, ante un desafío, intuitivamente buscamos lo conocido, aquella información que está disponible y a la que podemos acceder con rapidez y el menor esfuerzo. Este mecanismo de reacción influye directamente en las decisiones que tomamos, convirtiéndose en un problema porque perjudica nuestra creatividad, limitándonos. Esto no es menor. Nuestras decisiones impactan en la realidad; somos nosotros quienes creamos nuestra realidad.
Física y psicológicamente tendemos a pensar o mirar el mundo siempre desde la misma perspectiva. Es más fácil, cómodo y eficiente, y resultaría maravilloso... si fuésemos máquinas. Pero no lo somos. Cuando despertamos a una nueva conciencia, cuando descubrimos que nuestro propósito pasa por otro lugar, distinto del que creíamos, tenemos que cambiar, animarnos a recorrer caminos diferentes. Tenemos que aprender a ver cómo miramos y buscar, si es necesario, nuevas formas de hacerlo. Lo cual implica elegir.
El emprendedorismo puede ayudar a eso. A lo largo de los años en que me ha tocado emprender, me topé con una serie circunstancias, más bien dilemas. Ellos, en el fondo, son opciones que se nos presentan todos los días y que elegimos sin pensar. El emprendedorismo como filosofía de vida implica tomar control de esa elección y tomarla teniendo en cuenta un criterio fundamental: cómo ella nos acerca al cumplimiento de nuestro propósito, a quienes queremos ser.
Tomar conciencia de qué queremos, entender cómo percibimos la realidad según nuestros modelos mentales y aprender a elegir entre los dilemas que se nos plantean, es de lo que se trata ser libre.
* Los resultados extraordinarios surgen cuando integramos tres cosas: lograr lo que nos proponemos; rodearnos de la gente y los equipos con los que queremos hacerlo y conectar con los valores más profundos que nos dan sentido y significado.
* Emprender es mucho más que crear una empresa u organización: es cumplir un sueño. La lógica emprendedora puede ser de gran ayuda para alcanzar objetivos personales.
* La búsqueda de la autoconciencia es clave. Nos permite asumirnos como protagonistas y abandonar el camino de la inocencia.
* El grado de conexión con la conciencia de propósito es directamente proporcional a la fuerza que tenemos para alcanzarlo.
* La manera en que percibimos el mundo es la forma en que podemos o no incidir sobre él.
* En muchos momentos olvidamos que tenemos una perspectiva y nos perdemos en la trama de nuestros modelos mentales. Para encarar el proceso de emprender la vida, primero tenemos que tomar distancia y observar cómo comprendemos.
* La forma en que nos contamos lo que vemos determina el modo en que actuamos. Dicho en concreto: cómo miramos el mundo determina quiénes somos.
* Tenemos que aprender a ver cómo miramos y buscar, si es necesario, nuevas formas de hacerlo. Lo cual implica elegir.
* El emprendedorismo como filosofía de vida implica tomar control de esa elección y hacerlo teniendo en cuenta un criterio fundamental: cómo ella nos acerca al cumplimiento de nuestro propósito, a quienes queremos ser.
* La conciencia de qué queremos, entender cómo percibimos la realidad según nuestros modelos mentales y aprender a elegir entre los dilemas que se nos plantean, es de lo que se trata ser libre.
# ¿Un mundo de abundancia
o uno de escasez?
¿En qué mundo vivimos: en uno en el que impera la escasez, y donde siempre hay que ser conservador, o en uno de abundancia, donde de alguna manera es posible crecer?
Unos de los grandes dilemas para quien quiere emprender su vida es el de abundancia-escasez. La pregunta es sencilla: ¿En qué mundo vivimos: en uno en el que impera la escasez, y donde siempre hay que ser conservador, o en uno de abundancia, donde de alguna manera es posible crecer? Como emprendedor, les anticipo que mi respuesta es que siempre podemos avanzar. Pero creo que es más ilustrativo explicarlo a través de un ejercicio en el que participé en la Universidad de Harvard.
El mismo consistía en una negociación en la que estaba en juego un pedazo de tierra. Participaban doscientas parejas. Una mitad eran compradores, y la otra, vendedores. A los vendedores se les dijo que habían conseguido la tierra a 50 dólares y que tenían que deshacerse de ella al mejor precio posible. A los compradores les había dicho que esa tierra valía alrededor de 1500 dólares y que debían intentar comprarla al precio más accesible. La idea era que se juntaran de a dos para negociar (se formaron cien parejas) y luego reportaran si habían logrado un acuerdo y cuál había sido el precio de compra y de venta.
Lo que intentaba registrar el ejercicio no era el resultado numérico de cada negociación, sino cómo cada uno ingresaba en ese espacio a negociar. Para determinar esto, los profesores les preguntaban antes de que se sentaran a comprar y a vender si tenían un objetivo. Muchos decían que no, pero los que sí tenían uno debían dejarlo registrado en cifras en un formulario.
Procesada la información, la dinámica mostró que los que se ponían objetivos lograban resultados cincuenta por ciento mejores que los que no lo hacían: los compradores con objetivos compraban más barato, y los vendedores con objetivos vendían más caro. Pero lo más interesante era que los que se ponían objetivos más grandes lograban resultados aún mayores.
Por ejemplo, dentro del universo de los que se ponían objetivos, el que pensaba que podía comprar a 1000 dólares, compraba a 1050, 1000 o 900. El que pensaba que podía vender a 100 dólares, vendía a 110, 100 o 95. Pero, curiosamente, los que pensaban que podían vender a 1000 dólares, vendían a 1000. Y los que pensaban que iban a poder comprar a 100, lo hacían a ese precio. Los que se ponían un objetivo grande, conseguían hasta un 1000 por ciento más que los que no. Más allá de lo que está detrás en términos de teoría de la negociación, lo interesante de este ejercicio es que la manera en que pensamos define el resultado que logramos.
La pregunta respecto de la escasez o la abundancia se resuelve aquí. Si pensamos que vivimos en un mundo de escasez, esto impacta en nuestra capacidad de lograr un resultado. Lo contrario sucede si confiamos en que vivimos en un mundo de abundancia.
Aconsejar a emprendedores es una de las actividades que más me llenan en la vida, y por suerte me toca hacerlo seguido. Con ellos suelo hacer un ejercicio vinculado con este tema que me resulta muy estimulante. Cuando me dicen que su necesidad es crecer, les pregunto por la cantidad de vendedores con que cuentan. Supongamos que me dicen tres. Enseguida les pido que se pregunten qué pasaría si tuvieran treinta vendedores. En general me responden que es imposible por una cuestión de capital, contexto y costos, entre otros factores. El problema es que, cuando indago un poco más, ellos mismos reconocen que nunca se habían planteado una meta de esa magnitud: siempre que pensaban en aumentar la fuerza de ventas lo hacían en una proporción del diez o el veinte por ciento.
Concebir un mundo de abundancia es pensar en un factor de diez respecto de la realidad actual. ¿Qué pasaría si fuese diez veces más grande, si tuviera diez veces más vendedores, diez veces más superficie?
Concebir un mundo de abundancia es pensar en un factor de diez respecto de la realidad actual. ¿Qué pasaría si fuese diez veces más grande, si tuviera diez veces más vendedores, diez veces más superficie? Proyectar estos números no significa que vayan a convertirse en realidad automáticamente, pero si jamás pensamos en esas proporciones, es imposible que algún día se concreten.
Siempre me gustó el esquí. De chico entrenaba bastante. Recuerdo que tenía un entrenador que me decía todo el tiempo: "¡Flexioná las rodillas!". Yo lo hacía, pero él seguía insistiendo. Un día le dije:
—¡¿Pero no ves que las estoy flexionando?!
Él me respondió:
—Cuando sientas que las estás flexionando exageradamente, recién entonces vas a estar haciéndolo de una forma moderada".
Pensar en un mundo de abundancia es entender de alguna manera eso: que, cuando sentimos que nos estamos zarpando con algo, tal vez apenas estemos comenzando a hacerlo a una dimensión modesta.
Esta noción es aplicable a cualquier persona y a cualquier ámbito de la vida. La invitación, sin ánimos de convertirme en un gurú de autoayuda, es a animarnos a soñar en grande como primer paso para luego ejecutar un plan operativo. Por más que suene trillado, es la única manera de que las ideas puedan convertirse en realidad.
Hay que proyectar e imaginar hacia adelante. Esto es fundamental: si no soñamos, nadie lo hará por nosotros. Muchos que avanzan sin un norte creen que en algún momento surgirá esa idea brillante sobre el futuro de sus propias vidas, pero nunca le dedican un minuto a pensarla.
Muchos que avanzan sin un norte creen que en algún momento surgirá esa idea brillante sobre el futuro de sus propias vidas, pero nunca le dedican un minuto a pensarla.
Cuando trabajo sobre la idea de soñar no puedo evitar detenerme en Julio Verne. Este autor francés, considerado uno de los padres de la ciencia ficción moderna, escribió libros que quedaron en la memoria de generaciones, incluida la mía. Libros como Viaje al centro de la Tierra, De la Tierra a la Luna, Veinte mil leguas de viaje submarino o La vuelta al mundo en ochenta días nos transportaron a mundos maravillosos, pero también proyectaron ideas que luego se convirtieron en realidad.
En sus sueños convertidos en literatura, Verne anticipó muchos avances de la ciencia. Y algunos de los científicos o aventureros que lograron innovaciones históricas admitieron que fueron influenciados, de una u otra manera, por este autor del siglo XIX. Sus ideas indujeron a otros a aspirar alto y no cejar en la consecución de sus metas. El submarino y los satélites artificiales figuran en sus textos. También es increíble cómo, casi cien años antes, fue capaz de anticipar muchos detalles de la llegada del hombre a la Luna.
En De la Tierra a la Luna, de 1865, Verne ubica un telescopio muy cerca de donde luego, en la realidad, se instaló uno; envía al espacio animales como paso inicial, tal como pasó con la perra Laika, el primer ser vivo en traspasar la atmósfera. También anticipa otras cuestiones más técnicas: la nave del autor tiene un sistema de refrigeración de circuito cerrado, lleva alimentos concentrados y posee cohetes secundarios para corregir la trayectoria, todos elementos del Apolo 11, que alunizó en 1969. Y anticipa la invención de los tanques de guerra, los misiles teledirigidos, los alambrados electrificados, el cine sonoro, los rascacielos, así como la contaminación, la conquista de los polos y hasta la teleconferencia, que él bautizó "fototelefoto".
Para soñar, de todas maneras, no hace falta ser escritor. Rosario Quispe es una mujer de la comunidad kolla que vive en la Puna, a la que me tocó conocer cuando fui jurado del premio Abanderados, un proyecto televisivo que recompensa a personas destacadas en la acción solidaria. Quispe preside la Fundación Warmi, que alienta el desarrollo comunitario en esa zona árida y con muchas limitaciones del norte argentino. Su principal aspiración es mantener y fortalecer a la comunidad local. Y lo está logrando: gracias a microcréditos para proyectos productivos, emprendimientos de turismo y pequeñas empresas sociales, entre otras iniciativas, seis mil familias tienen la oportunidad de progresar.
Uno de los desafíos con los que se encontró Quispe fue contener la emigración de la juventud: quienes terminaban el secundario indefectiblemente huían de su lugar de origen. Rosario se animó a soñar, y soñó con una universidad en la Puna. La idea parecía delirante, pero Quispe la mantuvo. Al principio (creó la fundación en 1995), el foco estuvo en las necesidades más básicas, pero unos quince años después reflotó esa idea.
Con el acompañamiento de la Red Solidaria, el apoyo de algunas empresas y el compromiso de difusión de figuras como Soledad Pastorutti y Facundo Arana, la meta apareció más cerca. A 3760 metros de altura, en plena Puna jujeña, el 14 de marzo de 2012 nació el Centro Universitario Warmi Huasi Yachana, la primera universidad kolla del país. "Hace veinte años que sueño con que los que vayan a esta universidad cambien de verdad a esta puna", declaró ese año Quispe. Con su fuerza, estoy convencido de que también podrá cumplir con este objetivo.
No soñar es ponerse límites falsos, algo que todos hacemos en algún momento de nuestras vidas. Recuerdo una historia que sucedió en el Brasil: la protagonista, una niña de 6 años llamada Beatriz Martins, un día iba en auto con su padre, rumbo a la casa de un amigo. En el camino, pasaron cerca de una favela y, mientras el auto se hallaba detenido por el semáforo, ella observó que muchos chicos de su misma edad, con ropa sucia y rasgada, se acercaban a los autos para pedir caramelos. Le preguntó a su papá "por qué" pasaba eso y entonces escuchó su primera explicación sobre la desigualdad social. El padre le dijo que no podían ocuparse de todos los chicos pero que podían darles unos caramelos que tenían en el auto. Ella, molesta con lo que había visto, no aceptó la explicación como justificación y pensó que sí podían hacer algo por todos.
¿Pero cómo podría una niña de 6 años articular una estrategia para ayudar? Bueno, dentro de su capacidad y su alcance, tuvo una idea. Se acordó de que en el Brasil es normal que las personas den caramelos como cambio en vez de un pequeño valor en monedas, o también como cortesía en restaurantes y bares. Decidió guardar todos los caramelos que ganaba en estos lugares, pero también en fiestas de cumpleaños o de amigos. Su objetivo era sumar el máximo de caramelos que pudiera durante un año y regalárselos a todos los niños de aquella villa en Navidad.
Su padre, Ricardo, obviamente quedó sorprendido de cómo él, el grande, había pensado en chico, y su hija, la chica, había pensado en grande. Su hija le había dado una lección de abundancia frente a su visión de escasez. Por eso decidió seguirla. Comunicó el proyecto de su hija a sus vecinos, clientes, amigos y familia, pidiéndoles ayuda para recolectar los dulces y caramelos. Esa navidad (la del año 2006) regalaron dulces a aproximadamente seiscientos niños de aquella comunidad. Ni Bia, ni su padre lo supieron en ese momento, pero habían fundado una ONG, que más adelante se llamaría O Olhar de Bia (La Mirada de Bia).
A partir de este pequeño gesto, todo se multiplicó. Al año siguiente ayudaron a más niños, no solo con caramelos, sino con muchas otras donaciones. En diciembre de 2013 entregaron casi veintitrés mil artículos, incluyendo alimentos, juguetes, electrónicos, ropa y libros. Desde que Bia vio el mundo con los lentes de la abundancia, cerca de cien mil personas han recibido algo de su organización.
Los límites falsos son, claramente, un enorme riesgo de nuestros modelos mentales. Recuerdo que, cuando empezamos con Officenet, el tope de facturación para una compañía de materiales para oficina en la Argentina lo tenía una empresa llamada Librería del Profesional y estaba en los cinco millones de dólares. Cuando fuimos a los proveedores, les dijimos que íbamos a llegar a los cien millones de dólares, y muchos se reían.
Logramos finalmente un número muy cercano al sueño y pudimos redefinir la industria en la región. Con esa satisfacción, tuve la oportunidad de encontrarme con una persona que había comenzado el mismo tipo de empresa y al mismo tiempo en Boston, Estados Unidos. Recuerdo que cuando le conté, orgulloso, que habíamos llegado a los cien millones, él no mostró sorpresa. Y pasó exactamente al revés cuando yo le hice esa misma pregunta. "Nosotros facturamos 10.000 millones de dólares", me contó. Y la diferencia no era una cuestión de mercado. Que él estuviese en los Estados Unidos y nosotros en la Argentina no tenía nada que ver; de hecho, había muchas otras empresas similares en Boston que facturaban bastante menos que nosotros. La diferencia era la forma en que él y yo veíamos la realidad.
Salí de ahí diciéndome: "Pienso en chiquito". Es que, más allá de los números, lo importante son las metas que nos proponemos y, en función de eso, cómo empezamos a trabajar para lograrlas. Muchas veces ese horizonte parece demasiado lejano, pero es la mejor manera de verdaderamente emprender nuestra vida.
Soñar es lo que da sentido, aunque al final no se logre el objetivo. Cuando medito sobre estos temas no puedo evitar pensar en Leonardo Da Vinci. Aunque en su época era considerado un excelso artista, no creo que haya entendido su posterior influencia sobre la humanidad. Para varios especialistas, es uno de los hombres más fascinantes de la historia, capaz de aportar belleza al mundo y, al mismo tiempo, de innovar en términos de tecnología. Fue anatomista, arquitecto, artista, botánico, científico, escritor, escultor, filósofo, ingeniero, inventor, músico, poeta y urbanista. Un verdadero emprendedor de la vida.
Todo esto, por supuesto, lo decimos a la luz de la historia. Es como sucede con un futbolista como Lionel Messi, por ejemplo: la dimensión de su capacidad la vamos a tener con el paso del tiempo, seguramente cuando hayan pasado algunos años de su retiro.
De Leonardo Da Vinci se dice que es uno de los más grandes pintores de todos los tiempos y, a la vez, una persona con una habilidad difícil de igualar en una diversidad extraordinaria de campos. Pero lo que me pregunto es: ¿se habrá dado cuenta de esto?, ¿hasta qué punto encontró satisfacción en su emprender?, ¿habrá pensado en algún momento que todo eso no tenía sentido?
Por supuesto que es imposible responder a estos interrogantes, pero estoy seguro de que era una persona muy consciente de su intensidad. Su incesante búsqueda de conocimiento y de belleza necesariamente tiene que haberle dado un sentido. Lo mismo sucede con sus inventos.
Como Julio Verne, Da Vinci fue capaz de dibujar una serie de artefactos que se convertirían en realidad siglos después. La bicicleta, la escafandra, el helicóptero, el paracaídas y hasta el automóvil aparecieron en algunos de sus diseños.
Aunque no logró verlos funcionando, creo firmemente que los sueños llenaron a Da Vinci. Y tal vez haya sido ese espíritu de crear más allá de las trabas tecnológicas lo que lo llevó tan lejos.
Da Vinci emprendió su vida y olvidó esos anteojos o modelos mentales del "no se puede". Se animó a pensar que, aunque la internet o la electricidad estaban bien lejos, había nacido en un mundo de abundancia. Da Vinci fue un genio que primero se animó a soñar.
* Uno de los grandes dilemas para quien quiere emprender su vida es si vive en un mundo de abundancia o uno de escasez. La manera en que pensamos esta dicotomía define los resultados que podemos lograr.
* Concebir un mundo de abundancia es pensar en un factor de diez respecto de la realidad actual.
* Pensar en un mundo de abundancia es entender que cuando sentimos que nos estamos zarpando con algo, tal vez apenas estemos comenzando a hacerlo a una dimensión modesta.
* Hay que proyectar e imaginar hacia adelante. Esto es fundamental: si no soñamos, nadie lo hará por nosotros.
* No soñar es ponerse límites falsos, algo que todos hacemos en algún momento de nuestras vidas, y los límites falsos son, claramente, un enorme riesgo de nuestros modelos mentales.
* Lo importante son las metas que nos proponemos y, en función de eso, cómo empezamos a trabajar para lograrlas. Muchas veces ese horizonte parece demasiado lejano, pero es la mejor manera de verdaderamente emprender nuestra vida.
* Soñar es lo que da sentido, aunque al final no se logre el objetivo.
* Para vivir en un mundo de abundancia hay que abandonar el modelo mental del "no se puede".
# El hombre que aprendió a aprender
Heath White era el hombre perfecto. O, al menos, era lo que creía este piloto de avión y agente del FBI oriundo de la ciudad texana de Waskom, en los Estados Unidos. Simplemente estaba enfocado en buscar la perfección. Desde chico sus calificaciones habían sido sobresalientes, se graduó como el mejor de su generación en la United States Navy Strike Fighter Tactics Instructor Program (Programa de Instrucción de Combate Táctico de la Marina de los Estados Unidos), más conocida como Academia Top Gun, y se había convertido en un destacado agente del FBI y, también, en un excelente emprendedor. Como si eso fuese poco, además fue maratonista de elite.
Estaba felizmente casado con Jennifer, con quien tenía una hija. La vida de Heath era ideal, como siempre la había soñado. Eso lo convencía de que poseía una suerte de autoridad moral para hablar y explicar qué era la perfección y cómo se conseguía. Parecía tener la fórmula y sabía cómo aplicarla. Estaba lleno de sí mismo, lo sabía todo.
Pero un día algo ocurrió. Tuvo una discusión con su esposa que terminó con una frase contundente: "Abortá". Se acababan de enterar de que Jennifer estaba embarazada nuevamente y de que su segunda hija estaba afectada por el síndrome de Down. Para Heath, que creía saber de perfección, era una situación inaceptable. ¿Por qué tendría él que lidiar con eso? Sin embargo, su esposa no estaba dispuesta ni siquiera a evaluar su pedido, incluso si eso significaba el fin de su matrimonio.
En el instante en que vio a su hija se sintió un ignorante y supo que algo en él tenía que cambiar. Pidió disculpas, aceptó su equivocación y, con humildad y amor, prefirió dejar de ser un sabelotodo y, de una vez por todas, dedicarse a aprender.
Así fue como nació Paisley, y así fue también como Heath, que había estado emocionalmente distanciado de su familia durante todo el embarazo, comprendió que hasta ese momento no había entendido absolutamente nada, que todo lo que él creía saber sobre perfección, sobre estándares, sobre la vida, estaba errado. En el instante en que vio a su hija se sintió un ignorante y supo que algo en él tenía que cambiar. Pidió disculpas, aceptó su equivocación y, con humildad y amor, prefirió dejar de ser un sabelotodo y, de una vez por todas, dedicarse a aprender.
Su vida cambió radicalmente. Su hija le enseñó todo otra vez. Recibió una nueva "educación" en tan solo unos pocos meses. Se convirtió en un incansable activista por la inclusión de las personas con discapacidad, en especial por la de los niños con síndrome de Down, tratando de explicarle al mundo cómo vaciarse de preconceptos para poder entonces comenzar a aprender de ellos. Hasta la actualidad, él y Paisley corren maratones juntos por todos los Estados Unidos, orgullosos por haber descubierto el verdadero camino a la perfección: entender que no existe. Comprender que todo se trata de aprender de manera constante.
Un sabelotodo es quien no quiere expandir su conocimiento, salir de su zona de confort; es el que piensa que ya no necesita aprender más y, por lo tanto, decide no traspasar las fronteras de sus posibilidades para no admitir que no sabe.
Esta es una historia real que me impactó mucho, y por la que siempre me he sentido interpelado, porque suelo ser una persona con un alto grado de ansiedad y me cuesta entender que para aprender lo diferente sea necesario frenar, escuchar y, sobre todo, escucharse.
Como en la historia de Heath, la cuestión es si queremos ser sabelotodos o aprendices. Y este es uno de los grandes temas que debemos tener en cuenta a la hora de emprender nuestro futuro. En esta dicotomía, un sabelotodo es quien no quiere expandir su conocimiento, salir de su zona de confort; es el que piensa que ya no necesita aprender más y, por lo tanto, decide no traspasar las fronteras de sus posibilidades para no admitir que no sabe. Un sabelotodo es una persona con mucho miedo a equivocarse.
La actitud del continuo aprendiz, en cambio, es siempre buscar y desafiarse. Es una persona dispuesta a correr más riegos, que no teme fracasar y ve al error como parte de un proceso de aprendizaje. Así, empuja los límites de sus propias posibilidades y se enfoca más en aprender que en saber.
Todas las personas tenemos una zona de confort que está compuesta por esas cosas que nos salen naturalmente, sin pensar demasiado. Desde cuestiones cotidianas, como cocinar, andar en bicicleta o manejar un auto, hasta algunas más complejas que se aprenden con el tiempo, a partir de la educación académica o profesional, o de los conocimientos que se adquieren en el desempeño de algunas tareas u oficios.
En el otro extremo está la zona de pánico, que incluye aquellas cosas sobre las que preferimos no hablar. Lo que haríamos ante el secuestro de un hijo o la forma que elegiríamos para morir, por poner dos ejemplos.
En el medio, está la zona de tensión, de strech, donde nos topamos con cosas que no conocemos. Cuando aprendemos estamos fuera de nuestra zona de confort pero tampoco llegamos a la de pánico. Para ser un aprendiz hay que tener una zona de tensión grande, y estar dispuesto a cierta incertidumbre. El problema de los sabelotodos es que tienen una zona de tensión muy chiquita y pasan rápidamente al pánico.
Los aprendices no tienen problemas en reconocer que no saben hacer algo, porque están seguros de que ese es el primer paso para incorporarlo.
Por eso es que este dilema refleja la capacidad que tiene una persona de declararse ignorante. Los aprendices no tienen problemas en reconocer que no saben hacer algo, porque están seguros de que ese es el primer paso para incorporarlo.
Si no nos declaramos ignorantes ante determinadas realidades, es como si nos pusiéramos un balde en la cabeza a propósito: chocaríamos constantemente con todo lo que nos rodeara. El problema es que a muchos, en especial a los que les va relativamente bien en lo que hacen, se los valora por lo que en teoría saben y no por lo que pueden incorporar.
En las empresas esto sucede muchísimo. Las personas se frustran y dicen: "A mí me contrataron por lo que sé". Pero la realidad es que se elige a las personas no necesariamente por lo que saben, sino por su capacidad para hacer las preguntas adecuadas para llegar a una solución: para aprender a aprender. Esto es algo difícil de entender para un sabelotodo.
En mi anterior libro, El 5% (que escribí junto con Julián Weich), cuento la historia de Cascos Verdes, una ONG que enseña temas ecológicos a adultos con algún tipo de discapacidad intelectual para que luego ellos sean educadores ambientales en organizaciones. El proyecto es realmente fantástico, porque también participan universidades que les dan a los participantes un diploma, con todo lo que eso significa para ellos y para sus familias. Además, Cascos Verdes logra que luego encuentren una salida laboral concreta, lo que impacta positivamente en las organizaciones, las cuales reciben conocimiento concreto sobre un tema tan importante como el medioambiental.
Una iniciativa como la de esta ONG rompe muchos de nuestros esquemas y prejuicios. Las personas aprenden y luego difunden ese conocimiento: el sistema es tan sencillo como enternecedor, y definitivamente descalabra a un sabelotodo convencional.
Javier Ureta, su fundador, nos contó que todo comenzó cuando se dio cuenta de que, al pasar tiempo con Juan, el hermano con síndrome de Down de un amigo, entendía las cosas simples y necesarias de la vida. "Es él quien me está enseñando, no al revés", le dijo Javier a su madre antes de emprender ese maravilloso proyecto social que ayuda a muchísimas familias y organizaciones.
Javier definitivamente es un aprendiz que supo encontrar en el otro la posibilidad de aprender. Esto, que parece tan evidente, muchas veces queda solapado. Elegimos quedarnos en nuestra zona de confort, en donde todo parece más fácil.
La ficción también ofrece muchas historias inspiradoras en este sentido. En la película La increíble vida de Walter Mitty, Ben Stiller hace de un aburrido oficinista que sueña con una vida intensa. Determinadas circunstancias lo sacan de su encierro y a partir de eso empieza a cambiar positivamente, logrando objetivos y conociendo nuevas realidades. Aunque, como en toda película, las situaciones son un poco extremas (el personaje pelea contra un tiburón y escapa por poco de la erupción de un volcán), la conclusión es la misma: para aprender hay que salir de la comodidad.
Para aprender hay que salir de la comodidad.
Esta ficción sirve también para entender que la actitud de aprendiz no siempre está vinculada con la noción de conocimiento técnico. Muchos se muestran muy humildes sobre lo que saben en términos educativos, pero eligen siempre caminos conservadores para sus vidas. Deciden quedarse en aquello en lo que están, aunque su sueño sea otro. No emprenden su futuro. Son sabelotodos, aunque eso que saben es sólo un metro cuadrado que en realidad les aburre.
Esto sucede desde el comienzo de la humanidad, como lo registra el profesor y mitólogo estadounidense Joseph Campbell. En su obra más conocida, El héroe de las mil caras, analiza una cantidad de relatos que pertenecen a las mitologías de diversas culturas, encontrando una serie de patrones.
Esos rasgos comunes de diferentes historias forman lo que se conoce en el campo de la literatura como "el camino del héroe". Según Campbell, este camino está compuesto por una serie de etapas: una aparente estabilidad; un llamado a la aventura; la manifestación de una crisis en la que cae el protagonista; el descubrimiento de un lado oscuro que integran sus propios demonios y miedos; el enfrentamiento con el mundo externo (que en general se manifiesta con un viaje); y, por último, la vuelta a una estabilidad más alta que la primera, y que puede significar el principio de un nuevo proceso de aprendizaje.
El esquema es bastante sencillo (crisis, caída y regreso triunfal) y está presente en la mayoría de la obras literarias del mundo. Hay algunas diferencias, por supuesto, pero esa estructura puede encontrarse en los primeros relatos de la humanidad, en obras de Shakespeare y en una película de 2013 como La increíble vida de Walter Mitty.
Sin embargo, este esquema trasciende lo puramente ficcional. Campbell descubre que los contadores de historias utilizan un recurso que de alguna manera todos conocemos, aunque no siempre nos animemos a avalar: que en la crisis siempre hay una oportunidad de salir fortalecidos.
En el fondo se trata de responder al interrogante de cuán comprometidos estamos en nuestra vida a aprender. Qué tan amplia es nuestra zona de tensión. Me pasa a mí personalmente, que muchas veces no me animo a enfrentarme a esos miedos o al lado oscuro del que habla Campbell.
Muchos de los desafíos con los que nos cruzamos parecen precipicios, pero en realidad son pendientes para subir. Con esfuerzo, sí, pero con un resultado positivo: después quedamos a mayor altura.
Muchos de los desafíos con los que nos cruzamos parecen precipicios, pero en realidad son pendientes para subir. Con esfuerzo, sí, pero con un resultado positivo: después quedamos a mayor altura.
Por eso es que pienso que el dilema aprendiz-sabelotodo es el más profundo de todos; además, nos interpela siempre. Podemos comprometernos todos los días a declararnos ignorantes cuando algo no está saliendo como quisiéramos.
Albert Einstein decía que la definición de locura es hacer siempre lo mismo esperando un resultado distinto. Y la esencia de ser un aprendiz es saber que, si repetimos una acción, lo que sucederá no va a ser diferente. Tomar otro camino nos permite conocer algo nuevo. Y eso vale en cualquier circunstancia personal o profesional.
En mi libro Pasión por emprender conté que, cuando comenzamos con Officenet, yo venía de haber visto a las mejores empresas del rubro en los Estados Unidos. Las habíamos llamado con mi socio, Santiago Bilinkis, para ver cómo funcionaban y les preguntamos de todo: cuántas cajas entraban en una camioneta, cuántas resmas vendían por día, cómo eran los llamados al cliente. Todo.
Cuando volví a la Argentina con ese conocimiento adquirido, asigné a cobranzas a una persona que se había sumado. Se lo expliqué así:
—El sistema de cobranzas funciona así porque yo lo vi en los Estados Unidos. En la factura imprimimos: "Mandar cheques a Vieytes 1690". Te mandan los cheques y vos los cargás en el sistema.
—Listo —me dijo.
Enseguida empezamos a vender y logramos muchas operaciones. Pero al mes esa persona vino y me preguntó si habíamos dado bien la dirección, porque no entraban los pagos. Le contesté:
—Esto yo lo vi en Estados Unidos. Al área de cobranzas llegan los cheques por correo. Vos, tranquila.
Como seguía sin llegar el dinero, ella me insistía. Pero yo le pedía que fuéramos pacientes. Un día, mientras caminaba por la avenida 9 de Julio, me crucé con una persona que llevaba una caja de Officenet. Emocionado al ver por primera vez nuestro producto en la calle, me acerqué rápidamente y, con naturalidad, le pregunté qué tal era la empresa. Me contestó con ganas:
—¡Son muy buenos! Te entregan rapidísimo, tienen un catálogo espectacular con fotos, te atienden muy bien y lo mejor de todo es... ¡que nunca te vienen a cobrar!
Cuando volví a la oficina, admití que no había estado escuchando. Yo pensaba que la tenía muy clara y, sin embargo, no había sido capaz de ver un problema que nos hubiera fundido tarde o temprano. Ese oficinista al que me crucé por la calle me permitió detectar algo que estaba enfrente de mi nariz y que no era capaz de ver.
En la actualidad, en el área de cobranzas de una empresa así, más del veinte por ciento del personal recorre la ciudad en motos para que se cumplan los pagos. Pero eso podemos verlo solo cuando lo vemos. Y lo vemos cuando tenemos puestos unos anteojos más enfocados en aprender que en saber.
Entender esto impacta profundamente en nuestras vidas. En definitiva, se relaciona con cómo vemos el mundo. Los que llegan lejos son los que aprenden de una manera más rápida que los demás. Necesitamos una voracidad combinada con humildad: querer llegar lejos a partir de objetivos enormes, pero reconociendo que hay cosas que debemos aprender.
Vivimos un momento en el que esto es particularmente importante. En la actualidad todas las organizaciones necesitan crear e innovar si quieren sobrevivir, y eso solo es posible con personas intensas que sean capaces de aprender.
El ritmo del cambio aumentó de manera exponencial y algunas habilidades aprendidas en la educación formal de ninguna manera son suficientes para enfrentar a los desafíos que vienen.
El ritmo del cambio aumentó de manera exponencial y algunas habilidades aprendidas en la educación formal de ninguna manera son suficientes para enfrentar los desafíos que vienen. En el libro The New Workforce Challenge, Andrés Hatum (profesor del IAE Business School y de la Nyenrode Business University de Holanda) asegura que, para adaptarse a estos cambios, la clave es la capacidad de aprender, desaprender y renovarse de modo constante.
Sin duda los empleos han pasado a ser más complejos desde el punto de vista del conocimiento, y determinadas aptitudes muy útiles hoy pueden no serlo mañana. Un estudio de Carl Frey y Michael Osborne, de la Universidad de Oxford, indica que el cuarenta y siete por ciento de los empleos más relevantes de los Estados Unidos podrán ser reemplazados por máquinas en los próximos veinte años.
El dato asusta un poco, pero nos dice algo sobre esas personas que creen tener "la vida hecha" a partir de una determinada ocupación. La realidad es que estamos en un mundo en el que tener una actitud de aprendiz es cada vez más necesario.
En un contexto de incertidumbre, no estar tan seguro de lo que sucede y de lo que hay que hacer es una ventaja. Es momento de volver a observar las cosas y adoptar una mirada reflexiva. Por eso es tan importante considerar a los demás. Un sabelotodo intentará imponer su perspectiva antes que escuchar las de otros, y eso es muy peligroso para poder emprender nuestro futuro.
La realidad es que todas las formas de ver una realidad tienen puntos positivos y negativos, y ser consciente de esto es fundamental en circunstancias difíciles de la vida personal y profesional.
Por eso es que el aprendiz no se considera una persona superior a otras y no le interesa el privilegio de que los otros hagan lo que él dice. Ni siquiera cuando tiene grandes responsabilidades o es un líder.
La decisión de ser aprendiz o sabelotodo se toma todo el tiempo. Por eso es tan difícil. En mi caso, sé que hay dos actitudes que me permiten romper la estructura y aprender lo nuevo: la curiosidad y la humildad.
La curiosidad es muy importante. Yo agradezco mi pasión por el entrepreneurship porque me permite conocer nuevas realidades constantemente. Participé en proyectos de materiales de oficina, consultoría en desarrollo humano, gastronomía, comercio electrónico, café, videojuegos, por nombrar algunos. En todos los casos, tuve que aprender sobre realidades y condiciones de industrias muy distintas y casi siempre con proyección internacional, lo que implica conocer además cuestiones culturales y legales particulares de cada país. De todas maneras, no hace falta ser emprendedor para desarrollar la curiosidad. En toda actividad que emprendamos, buscar conocer más de la realidad y del entorno es un mecanismo muy poderoso para lograr lo que queremos.
La otra cualidad muy importante es la humildad. Cuando empecé con mis columnas en el programa de radio de Andy Kusnetzoff, Perros de la calle, llegaba con todo armado para hablar exclusivamente de lo que había preparado. Pero, en la dinámica del aire, Andy y su equipo me llevaban a distintos lados. En algunos casos no hablábamos nada de lo que había previsto, mientras que otros días la conversación sobre el tema se extendía el doble.
Si yo no estoy dispuesto a adaptarme a lo que sucede en esos momentos intensos de radio, pierde el programa, se perjudican los oyentes y el mensaje que quiero dar queda en la nada. Estoy lejos de ser un especialista en la radio y estar en un programa así me permite aprender mucho.
"Uno debe ser tan humilde como el polvo para descubrir la verdad". Mahatma Gandhi
Mahatma Gandhi decía: "Uno debe ser tan humilde como el polvo para descubrir la verdad". Él encarnó esta frase en su propia historia. Y con esa humildad le demostró al mundo que la guerra no es el único camino para hacer una revolución. Gandhi fue uno de los grandes artífices de la independencia de la India gracias a sus protestas pacíficas y sus huelgas de hambre. Como otras pocas personas, logró un objetivo geopolítico importante sin armas.
Lo que se propuso Gandhi es siempre aprender del otro, y con esa concepción cambió el eje de la discusión. Fue un luchador diferente, que no necesitaba gritar ni ser violento para expresar su posición o conseguir lo que se proponía. Con humildad y actitud de aprendiz, logró una gesta que quedó en la historia.
* Hay un solo camino a la perfección: entender que ella no existe. Comprender que se trata de aprender de manera constante.
* Un sabelotodo es quien no quiere expandir su conocimiento, salir de su zona de confort; es el que piensa que ya no necesita aprender más y, por lo tanto, decide no traspasar las fronteras de sus posibilidades para no admitir que no sabe.
* El aprendiz es una persona dispuesta a correr más riegos, no teme fracasar y ve el error como parte de un proceso de aprendizaje. Empuja los límites de sus propias posibilidades y se enfoca más en aprender que en saber.
* El problema es que a muchos, en especial a los que les va relativamente bien en lo que hacen, se los valora por lo que en teoría saben y no por lo que pueden incorporar.
* Hay que responder el interrogante de cuán comprometidos estamos en nuestra vida a aprender.
* Los que llegan lejos son los que aprenden de una manera más rápida que los demás. Es necesaria voracidad combinada con humildad: querer llegar lejos a partir de objetivos enormes, pero reconociendo que hay cosas que debemos aprender.
* En la actualidad todas las organizaciones necesitan crear e innovar si quieren sobrevivir, y eso solo es posible con personas intensas que sean capaces de aprender.
* Para adaptarse a un mundo en constante cambio, la clave es la capacidad de aprender, desaprender y renovarse de modo constante.
* El aprendiz no se considera una persona superior a otras y no le interesa el privilegio de que los otros hagan lo que él dice. Ni siquiera cuando tiene grandes responsabilidades o es un líder.
* La curiosidad y la humildad son dos cualidades fundamentales en el camino del aprendiz.
# "Lo importante era el equipo"
En la primavera de 1972, un equipo de rugby tuvo que poner a prueba su capacidad para trabajar en conjunto. No se trataba de obtener un resultado concreto o ganar una gran final, sino de algo mucho más importante que eso: sobrevivir.
Es una historia conocida en todo el mundo. El equipo de ese año del club Old Christians, del Uruguay, probablemente nunca hubiera podido vencer a los míticos All Blacks. En cambio, lograron una de las proezas más recordadas del siglo XX.
El 13 de octubre de 1972, el avión que los conducía de Mendoza a Chile se estrelló a unos 3500 metros de altura, en plena cordillera de los Andes. En el accidente murieron trece personas de las cuarenta a bordo, entre tripulación, el equipo, familiares de los jugadores y otros pasajeros.
Los que sobrevivieron quedaron aislados en la montaña, entre la nieve y casi sin provisiones. Las condiciones eran tan duras que las autoridades dejaron de buscarlos y solo catorce finalmente fueron rescatados.
Durante setenta y dos días se refugiaron en los restos del avión mientras buscaban alternativas para escapar. "Nunca fuimos tan buenos trabajando en equipo como en los Andes", explicó Fernando "Nando" Parrado, uno de los sobrevivientes.
Las circunstancias los obligaron a tomar en conjunto decisiones extremas para mantenerse con vida. Gracias a esa dinámica, pudieron esperar a que las condiciones meteorológicas mejoraran para buscar ayuda. El propio Parrado y Roberto Canessa, otro de los integrantes del equipo, hicieron posible el rescate al emprender la caminata de diez días que les permitió conseguir auxilio. "El objetivo nuestro era sobrevivir... Todo el instinto, la fuerza, la inteligencia, el trabajo en equipo, se pusieron en un solo objetivo: salir de ahí por nosotros mismos, porque oímos por la radio que nadie nos iba a rescatar", explicó más tarde Parrado.
La historia de este equipo es tal vez una de las demostraciones más extremas de trabajo en conjunto que conozcamos. No es casualidad que haya libros, charlas y hasta una película de Hollywood sobre la historia de este grupo que decidió pensar como equipo aun en las condiciones más adversas.
En una sociedad muy enfocada en el éxito individual, cambiar el eje es una de las claves para emprender nuestro futuro. Es imposible llegar a lo que aspiramos sin otras personas.
Su supervivencia es la prueba más fuerte de la importancia de trascender la mirada personal. En una sociedad muy enfocada en el éxito individual, cambiar el eje es una de las claves para emprender nuestro futuro. Es imposible llegar a lo que aspiramos sin otras personas.
Es por eso que otro de los grandes dilemas de nuestro camino es el del héroe-equipo. Dejar de pensar solo en lo personal y proyectarnos en términos de conjunto es la única manera de conseguir lo que nos proponemos, de ser verdaderamente libres. Es que, al coordinarnos con el otro, llegamos a resultados mejores que cuando solo pensamos en lo individual.
Los logros personales siempre dependen de otros. Aprendemos en comunidad y el sistema educativo refuerza esa idea en todas las instancias. El poderoso Alejandro Magno, uno de los personajes más trascendentes de la historia, destacaba siempre la influencia de su maestro, un tal Aristóteles.
De la misma manera en que nada de lo que logró Alejandro habría sido posible sin la enseñanza de otra persona, tampoco nosotros podríamos cumplir nuestros objetivos sin ayuda. Pensemos simplemente en el sencillo acto de lavarnos la cara a la mañana. Detrás de la canilla hay por lo menos una obra de ingeniería para el agua corriente y un arquitecto que conectó ese sistema con nuestra vivienda.
Gracias a que estamos rodeados de otros que nos complementan, podemos ofrecer lo más valioso de nosotros y, a la vez, recibir lo mejor de los otros.
Esto va más allá de lo cotidiano y tiene una raíz filosófica. La vida de una persona se realiza en plenitud cuando sucede en medio de una comunidad. Gracias a que estamos rodeados de otros que nos complementan, podemos ofrecer lo más valioso de nosotros y, a la vez, recibir lo mejor de los otros.
En una lógica de corto plazo, puede pensarse que lo mejor es tomar todo del otro sin dar nada a cambio. Sin embargo, en el largo plazo esto desintegra la cooperación comunitaria y genera serios problemas. No hace falta profundizar demasiado para entender que muchos de los déficits sociales de la actualidad nacen a partir de este hecho. En cambio, cuando interactuamos positivamente nos potenciamos como individuos.
Estas nociones, que parecen tan básicas, muchas veces quedan olvidadas en la carrera por lograr el éxito personal. Muchos de los que aspiran a ser grandes líderes empresariales o políticos piensan que con la ambición es suficiente.
La realidad es que, cuando uno aprende más sobre este tipo de referentes, se da cuenta de que una de sus principales cualidades es la capacidad de armar buenos equipos; por ejemplo, algunos de los grandes emprendedores del sector tecnológico que me tocó conocer personalmente, como Bill Gates, fundador de Microsoft, o Michael Dell, creador de la fábrica de computadoras que lleva su apellido. Detrás de estos aparentes héroes individuales había equipos impresionantes. Con esto no quiero decir que había grandes mentes que trabajaban aisladas, sino que la mentalidad de cada uno de los integrantes trascendía a la individual por el solo hecho de vincularse en un contexto estimulante de intercambio.
Este tipo de concepción mental de equipo es la única manera de conseguir grandes resultados. Y en el deporte encontramos claros ejemplos en este sentido.
En el Mundial de Suecia de 1958 fueron dos las grandes figuras individuales. Uno marcó trece goles y logró el récord personal en una Copa del Mundo. El otro convirtió seis tantos, menos de la mitad. Si hiciéramos una encuesta internacional solo con esos datos, probablemente muchos elegirían ser el de los trece goles. Con nombres propios, en cambio, los porcentajes serían distintos: el de los trece goles se llama Just Fontaine, mientras que el otro crack responde al nombre de Pelé. En el mundo del fútbol, Fontaine es un gran ex jugador francés, dueño de un récord impactante. Pelé, en cambio, es uno de los más grandes futbolistas de la historia. El origen de esa divergencia, que también se vincula con el nivel de reconocimiento internacional, está en los logros en términos de equipo.
En ese Mundial, Francia llegó a semifinales, que perdió 5-2 con el posterior campeón: Brasil. En ese partido, Pelé hizo tres goles, mientras que Fontaine convirtió uno. En la final, el equipo brasileño se consagraría campeón al vencer por 5-2 a Suecia. Francia, en tanto, ocupó la tercera posición, en lo que se convirtió en el mejor registro hasta el Mundial de 1998, cuando los galos lograron ser campeones del mundo.
Cuando le preguntaron a Fontaine si prefería el tercer puesto o los trece goles, el gran goleador no dudó: "¡El tercer puesto! Al final del partido con Alemania me levantaron en andas durante treinta segundos por el récord. Y se acabó. Lo importante era el equipo".
Aunque Fontaine podría haber elegido ese hito que lo mantiene en la memoria histórica del fútbol, prefiere el logro colectivo. La elección del francés, que parece natural, no es la más usual: muchas veces los procesos basados solo en lo individual llevan a la estupidez colectiva.
Estar pensando en mi objetivo personal puede hacerme elegir a Fontaine en vez de a Pelé, que es el único futbolista en la historia en ganar tres mundiales como jugador. La capacidad de priorizar el objetivo común aun a pesar de que esto aparentemente perjudique nuestro mérito individual es una de las cosas que define a las personas que son capaces de lograr resultados extraordinarios.
Como Canessa y Parrado, que eligieron ponerse al servicio del otro y caminar durante diez días por las montañas en vez de quedarse en la relativa seguridad del avión. No especularon, se lanzaron por lo que creían el beneficio grupal a largo plazo, aun a costa de poner en riesgo sus vidas en el corto. Ese sacrificio personal de ambos se convirtió en el éxito colectivo: la supervivencia. Si se hubiesen quedado, nadie los habría rescatado.
Lo paradójico es que, mientras que muchos declaman la importancia de los equipos, son pocos los que verdaderamente impulsan en sus vidas esta noción.
Lo paradójico es que, mientras que muchos declaman la importancia de los equipos, son pocos los que verdaderamente impulsan en sus vidas esta noción. Muchas organizaciones, por ejemplo, generan sistemas de premiaciones en pos de resultados que en realidad terminan alentando desastres internos. En una consultoría que realicé para una cadena de panaderías me encontré con una propuesta de premios que estaba generando un problema. En distribución, el bonus llegaba cuando bajaban el costo total por kilo de pan distribuido, o sea, cuando producían la mayor cantidad de pan y facturas con el menor costo posible; para ventas, esa recompensa se otorgaba obviamente cuanto más se vendía.
El problema aparecía en los feriados: mientras que los de distribución no querían distribuir mucha cantidad porque, por ser feriado, debían pagar el doble el costo del jornal y, por ende, el costo por kilo distribuido, los de ventas perdían una gran oportunidad por el alto consumo de pan y facturas en días no laborables (la gente se queda en casa y come más pan en su desayuno y su merienda). Así era como desde ventas querían vender lo máximo posible y desde distribución distribuir, en ese feriado, lo menos posible. ¡Que locura! Cada uno tenía su meta y quería optimizarla para ser recompensado. Estaban buscando el objetivo individual cuando el objetivo colectivo era claramente otro.
La solución al problema no es sencilla. Algunas compañías promedian: la mitad del bonus depende de lo que hace uno, mientras que el otro cincuenta por ciento llega a partir de los resultados generales. Las experiencias en este caso tampoco son buenas, ya que la mayoría elige priorizar el esfuerzo individual porque es la variable que siente que pueden controlar.
Es como si un arquero de un equipo de fútbol prefiriese terminar un partido empatado 0 a 0 por haber cumplido estrictamente con su misión individual, en vez de ganarlo 4 a 3. Un sinsentido desde el punto de vista racional.
Para romper con este dilema es necesario ver el bosque en vez del árbol, algo que trasciende al mundo de las corporaciones o los emprendedores. Es que muchas veces es necesario relegar el objetivo personal de corto plazo para priorizar algo superior.
En el proceso emprendedor en Axialent, me tocó enfrentarme muy directamente con el dilema héroe-equipo. Cuando conseguimos el financiamiento necesario, nos reunimos mi socio y yo para discutir los últimos detalles, entre los que estaba el monto de nuestros sueldos como directores de la compañía.
En ese contexto, él planteó una situación que me descolocó:
—Mirá, Andy, creo que yo debería ganar más que vos...
Asombrado, le dije:
—Me parece que lo más lógico es que sea mitad y mitad, ¿por qué creés que debería ser diferente?
—Y... es lógico. Porque yo tengo una ex esposa y tengo más gastos que vos debido a esa situación. Perdí un juicio por alimentos y acordé legalmente pagarle a mi ex esposa un monto mensual que sugiero descontar de lo que vos y yo recibimos por mes.
En ese momento pensé que se trataba de una broma, pero el planteo era muy en serio. Recuerdo que me enojé y no quería escuchar más razones. Estuve a punto de abrirme del proyecto, lo que hubiera sido un gran error por todo lo que aprendí después. Finalmente, él propuso sentarnos y analizar las cosas como equipo. Llegamos a un acuerdo en el que él ganaría más, pero en el momento de aumentar los sueldos yo sería el primero en beneficiarme; y, si nos iba mal y debíamos reducir nuestros salarios, él lo haría primero.
En esas circunstancias entendí que mi estructura mental no me dejaba ver íntegramente al equipo de trabajo y sus circunstancias. Estaba priorizando los objetivos de un subsistema (el económico de corto plazo) y había perdido los objetivos de máxima. Para que el sistema funcionara yo debía ceder, al igual que él, porque las metas del equipo deben ser siempre la prioridad. De hecho, a los seis meses de ese arreglo ambos estábamos cobrando lo mismo.
A veces no nos damos cuenta, pero en nuestra vida familiar, de amigos, e incluso de pareja, razonamos como individualidades que buscan que sus conveniencias se adapten al equipo y no que el equipo se adapte a lo que aspiran todos. Si no pensamos constantemente en conjunto, podremos alcanzar algunos objetivos personales esporádicos, pero creamos algo que no es sustentable en el tiempo. La semántica indica que el sacrilegio es dejar algo mayor por algo menor, mientras que el sacrificio es dejar algo menor por algo mayor. Está claro que el camino está más vinculado a este segundo término. Más allá de los significados, la pregunta es si estamos priorizando la parte o el todo. Si podemos ver la película en lugar de solo una foto.
En la familia, con los amigos, en el trabajo: siempre es necesario poner los objetivos personales al servicio de la agenda colectiva. Y eso solo se logra dialogando con una mirada de conjunto.
Repito, esto, que tiene una faceta que parece técnica, es un desafío para todo lo que realizamos. En la familia, con los amigos, en el trabajo: siempre es necesario poner los objetivos personales al servicio de la agenda colectiva. Y eso solo se logra dialogando con una mirada de conjunto.
Se trata de negociar para arribar a acuerdos, como con mi socio. En una buena negociación, uno necesita saber quién es el otro, qué es lo que lo mueve o lo motiva, y qué podría uno ofrecerle que le interese. Lo mismo sucede en el equipo: el otro tiene que aparecer en nuestro esquema mental.
En el mundo que me resulta más cercano, el de los emprendimientos, esto comienza a entenderse y, gracias a ello, se rompe, por ejemplo, la estructura del jefe como mandamás absoluto. En 2013 estuve en San Francisco, Estados Unidos, y tuve la oportunidad de charlar con algunos de los directivos encargados del diseño de las culturas organizacionales de las principales empresas del mundo.
Me llamó la atención la cantidad de veces que oí repetir la frase "libertad y responsabilidad" para definir la relación con las personas que trabajan en las organizaciones. De hecho, Reed Hastings (cofundador de Netflix) las utilizó para definir la cultura organizacional de su compañía.
Este concepto no es nuevo. Lo revolucionario es que por primera vez se lo aplica con un verdadero convencimiento de sus beneficios. Aunque no necesariamente lo expliciten, las organizaciones se están moviendo hacia un modelo en el que se promueve a emprendedores más que a empleados tradicionales. Se arman grupos de personas con alto grado de dinamismo, iniciativa, autonomía, independencia y, a la vez, responsabilidad. Nacen así equipos de trabajo que no cumplen con pautas fijas dentro de estructuras preestablecidas: están enfocados en alcanzar objetivos dentro de marcos estratégicos bien definidos. Es una manera de pensar en términos de conjunto más que en individuos concretos que sirven para un fin.
En esta misma línea, Netflix comenzó un proceso de flexibilización que puede llegar a cambiar los paradigmas de lo que conocemos como vacaciones en las compañías. La organización ya tenía una política laxa en cuanto a horarios, porque priorizaba el trabajo por objetivos. La idea era que cada uno, con mentalidad de equipo, administrara su tiempo para alcanzar las metas.
A pesar de tener este modelo con los horarios, mantenían un esquema tradicional de cantidad de días de vacaciones por antigüedad de cada empleado. Pero, luego de un reclamo interno, empezaron a preguntarse por qué no usar el mismo modelo de los horarios de trabajo. Entonces decidieron que cada empleado eligiera cuánto tiempo y en qué momento del año tomarse las vacaciones.
Esto generó polémica, pero la respuesta fue inteligente y escapó a la idea de individualidad: "No todo tiene que tener una política concreta para que funcione bien. Nosotros no tenemos una política sobre la vestimenta y la gente no viene desnuda a trabajar. Saben administrar la libertad que les damos". Eso es una mentalidad de conjunto.
Los héroes individuales no existen: los que triunfan son los equipos.
"Detrás de un hombre hábil siempre hay otros hombres hábiles", dice un viejo proverbio chino. Por eso es que en los proyectos de empresas son necesarios talentos que se enfoquen en las distintas áreas de negocio, desde logística hasta marketing y limpieza. Si el proyecto genera resultados excelentes es porque detrás hay un equipo de primer nivel que tiene libertad para ejercer y crecer. Lo mismo en la vida.
Ninguna persona es el único determinante del éxito de nada. Los héroes individuales no existen: los que triunfan son los equipos. Siempre tuve la filosofía de que un emprendedor de nivel "A" desea para su equipo gente que califique como "A+"; en cambio, un emprendedor "B" busca gente de nivel "C".
Desde que empecé a emprender siempre busqué personas más capaces que yo. ¡Y encontré muchas! Donde había talento, lo quería. Después vería cómo aprovecharlo. Cuando un emprendedor cuenta con un grupo que no es solo la sumatoria de personas sino un equipo en serio, se producen situaciones que parecen mágicas. Es como en esas grandes duplas del básquet en las que uno tira el pase sin mirar al otro porque sabe exactamente dónde está.
En el proceso de formar un superequipo hay varias claves, que van desde la selección de sus integrantes hasta las relaciones interpersonales en la marcha diaria de la empresa. Pero todas ellas tienen un denominador y objetivo común: un grupo de personas se convierte en un equipo cuando sus integrantes piensan como iguales. Cuando el equipo está bien armado, todo fluye como si no hubiera obstáculos. Sin duda que estos existen, pero los buenos equipos los saben superar porque desarrollan una suerte de inteligencia emocional que les permite siempre mantener el temple y el control de la situación.
En este sentido, no puedo evitar recordar otra anécdota deportiva que ilustra el dilema héroe-equipo. El domingo 9 de diciembre de 2012, en el partido en el que Lionel Messi superó la marca histórica de cantidad de goles en un año calendario, ocurrió un hecho que solo quedará en el recuerdo de los fanáticos memoriosos: el pase para la emblemática anotación fue un "taco" de Andrés Iniesta, un toque de espaldas, aun cuando estaba de frente al arco con la oportunidad de rematar. Un pase que buscaba la mayor eficiencia de una acción. Si hubiera sido gol de Iniesta, habría sido simplemente uno más. Haciendo el pase no fue solo un gol: fue un récord para otro miembro de su equipo (Messi) y una contribución para elevar el mito de una generación de jugadores.
La elección más eficiente para la organización que integra era dejar pasar su oportunidad personal para facilitar la de alguien más en pos de un bien grupal superior. Así lo hizo Iniesta.
Detrás de ese pequeño gesto se esconde el éxito del equipo catalán y el de cualquiera que busque alcanzar un modelo sostenible en el tiempo: la capacidad de las individualidades para priorizar aquellas decisiones que beneficien en primer lugar al conjunto. O sea, la valoración continua y natural del sistema sobre los subsistemas.
A pesar de que este concepto puede resultar evidente si se lo analiza desde un punto de vista teórico, no lo es tanto desde la práctica. Ya sea por egos, por carencia de incentivos, por desconexión de los integrantes o por falta de liderazgo, existe una gran dificultad a la hora de afianzar una cultura cooperativa en términos de interacción. La consecuencia es siempre la misma: se perjudican todos.
El colapso siempre es inminente cuando no se logra autogestionar ni calibrar criterios compartidos y aceptados de valoración de prioridades.
Sin una verdadera concepción de la relevancia de un entorno de colaboración podremos alcanzar esporádicamente algunos objetivos, pero será un modelo insostenible en el tiempo. El colapso siempre es inminente cuando no se logra autogestionar ni calibrar criterios compartidos y aceptados de valoración de prioridades.
Estos conceptos, que pueden parecer pensados para las grandes corporaciones, son fundamentales para nuestra vida. El entorno cultural actual y nuestro propio ego suelen pedir que nos rindamos a la idea de héroe. "Yo hago mi camino, yo peleo mis batallas".
La realidad es bien distinta. Cada una de las grandes proezas de la historia de la humanidad, desde las campañas de Alejandro Magno hasta la supervivencia de los uruguayos en los Andes, cada uno de los miles de proyectos solidarios que existen en el mundo, se dieron gracias a un conjunto de personas que fueron más allá de sí mismas: un equipo.
* En una sociedad muy enfocada en el éxito individual, cambiar el eje es una de las claves para emprender el futuro. Es imposible llegar a lo que aspiramos sin otras personas.
* Los logros personales siempre dependen de otros.
* La vida de una persona se realiza en plenitud cuando sucede en medio de una comunidad.
* La capacidad de priorizar el objetivo común, aun a pesar de que esto aparentemente perjudique nuestro mérito individual, es una de las cosas que define a las personas que son capaces de lograr resultados extraordinarios.
* Si no pensamos constantemente en conjunto, podremos alcanzar algunos objetivos personales esporádicos, pero crearemos algo que no es sustentable en el tiempo.
* Ninguna persona es el único determinante del éxito de nada. Los héroes individuales no existen.
* Ya sea por egos, por carencia de incentivos, por desconexión de los integrantes o por falta de liderazgo, existe una gran dificultad a la hora de afianzar una cultura cooperativa en términos de interacción.
* El entorno cultural actual y nuestro propio ego suelen pedir que nos rindamos a la idea de héroe.
* Cada una de las grandes proezas de la historia de la humanidad se dio gracias a un conjunto de personas que fueron más allá de sí mismas.
# El cincel del poderoso
Es una historia más que conocida que, en 1976, Steve Jobs fundó Apple, en conjunto con Steve Wozniak; que, en 1985, Jobs fue despedido de esa misma compañía tal vez no lo sea tanto. Sin embargo, como cualquiera que conoce del tema ya sabe, la historia estuvo lejos de terminar ahí. En 1997 Jobs fue recontratado por Apple y asumió como CEO para convertir el sueño de esos dos emprendedores en la empresa que cambió la historia de la tecnología.
Como contó el propio Jobs en distintas ocasiones, su salida de Apple fue dolorosa: el proyecto más importante de su vida había crecido hasta considerar prescindible a uno de sus creadores. Es más: el directorio de la empresa lo llamaba "incontrolable y soberbio", algo que también afectaba su prestigio profesional a la hora de encarar nuevos rumbos.
Jobs, sin embargo, no se detuvo. "En ese momento no lo vi, pero que me echaran de Apple fue lo mejor que me pudo haber pasado. Había cambiado el peso del éxito por la ligereza de ser de nuevo un principiante, menos seguro de las cosas. Y eso me liberó para entrar en uno de los períodos más creativos de mi historia", contó en su famoso discurso en la ceremonia de graduación de la Universidad de Stanford en 2005.
En los siguientes doce años creó dos empresas, Next y Pixar. La famosa Pixar redefinió la industria de la animación, mientras que Next fue comprada por Apple. Y a partir de esa transacción a Jobs le llegó una oportunidad que no buscaba: asumir como el número uno de la compañía que lo había echado.
La empresa de computadoras de California ya era un gigante de la tecnología, pero vivía uno de sus peores momentos. Windows 95, de Microsoft, era un éxito en ventas en un momento clave para el sector, por la consolidación de internet a partir de la extensión de su uso doméstico.
Jobs asumió el desafío y a los pocos años impulsó el desarrollo del iPod, el iPhone y el iPad, tres dispositivos que marcaron el pase de la tecnología a una fase móvil. Además, se convirtió en uno de los líderes más brillantes de los últimos cincuenta años, por su visión.
Su historia, por más repetida que sea, siempre resulta inspiradora y creo que es especialmente clara para iluminar otro de los dilemas centrales del camino de cualquier persona: el de inocente-poderoso. Este concepto implica aceptar la responsabilidad frente a cualquier desafío. Significa renunciar a la idea de que podemos ser inocentes respecto de las cosas que nos pasan para pasar a ser poderosos, capaces de vernos como protagonistas de nuestras propias vidas y de dirigirlas en la dirección que deseamos, como paso inicial a poder liderarlas.
Así razonó Jobs, y, en vez de focalizarse en el dolor de su despido y patalear, avanzó. Y cuando la vida le presentó la oportunidad de rehacerse desde la adversidad, no se escondió. Sin resentimientos ni venganzas, asumió el desafío como propio y llevó a Apple a la excelencia en innovación.
Superar el dilema inocente-poderoso es contarnos la historia de lo que nos pasa en primera persona.
Superar el dilema inocente-poderoso es contarnos la historia de lo que nos pasa en primera persona. Es la diferencia entre que Jobs diga "me despidieron injustamente" y "yo no logré generar la confianza en los accionistas para permanecer en Apple y seguir liderándola". La diferencia es sutil pero fundamental. La primera aseveración se expresa en tercera persona ("ellos"), mientras que la segunda lo hace en primera ("yo"). La primera supone que para que algo cambie el que debe cambiar es el otro y, por lo tanto, somos inocentes. En la segunda, tomamos la responsabilidad en primera persona. Eso es ser poderoso. Como una vez me dijo mi socio Fred Kofman, el costo de la inocencia es la impotencia y el precio de ser poderoso es la responsabilidad.
Una vez me dijo mi socio Fred Kofman que el costo de la inocencia es la impotencia y el precio de ser poderoso es la responsabilidad.
Aceptar los desafíos no es necesariamente cargarnos de culpa. No somos responsables de nuestras circunstancias sino de cómo las enfrentamos. Por eso nos toca entender cuál es la situación y qué es lo que podemos cambiar. Debemos dirigir nuestros esfuerzos hacia aquello que podemos modificar.
La importancia de esta actitud es tal que puede entenderse en dos ejes: el de inocente-poderoso (que trataré ahora) y el de protagonista-víctima (que desarrollaré en el capítulo que sigue). Son dos caras de la misma moneda, y profundizar en ambas resulta clave a la hora de emprender nuestra vida e influye en todo.
Un ejemplo extraído de la cotidianidad: la excusa más usada cuando alguien llega tarde a una reunión es el tránsito. Sin embargo, la realidad es que se podría cambiar el foco de la demora y decir otra verdad: que esa persona no salió con un tiempo capaz de contemplar el flujo de autos. Entre esas dos respuestas posibles a una demora, "no llegué por el tránsito" y "salí tarde de casa", hay una diferencia fundamental: la segunda se refiere a una porción de la realidad que sí puedo controlar; la primera, a una que es un inmodificable.
La actitud ante este problema de apariencia trivial esconde una cuestión que se puede llevar a los contextos más trascendentales de la vida de una persona. Es dónde está la energía cuando explicamos las cosas que nos pasan. Si nuestro esfuerzo depende de agentes externos invariables, lo que ocurre alrededor de nosotros nos controla. No podemos hacer más que lamentarnos sobre la injusticia del mundo. Y eso afecta directamente a nuestra libertad.
La alternativa es poner la energía en nosotros. Formular la realidad en primera persona para tener más poder sobre lo que nos ocurre y, en consecuencia, más responsabilidad. No necesariamente originamos lo que pasa alrededor de nosotros, pero sí podemos preguntarnos cómo reaccionar frente a eso.
Por ejemplo, muchos dirigentes de instituciones democráticas justifican sus deficiencias a partir de la herencia de su predecesor en el cargo. Cuando se postularon como alternativa: ¿no estaban dispuestos a asumir los problemas? ¿Para qué decidieron presentarse, entonces?
Repito: de la misma manera en que el costo de la inocencia es la impotencia, el precio del empoderamiento es la responsabilidad. Podemos no ser culpables de lo que pasa (de lo que hizo el dirigente anterior, para seguir con el caso), pero sí deberíamos ser responsables de responder al desafío.
La actitud de inocente no es exclusiva de los negocios o la política. De hecho, es algo muy presente en la vida de cualquier chico que elige decir "me saqué un 10" o "me bocharon", en vez de "el profesor me puso un 10" y "me saqué un 1".
Me pasa a veces cuando asesoro a inversores y hablamos de grandes emprendimientos. En ocasiones aparecen esos proyectos que valen la pena y algunos me dicen que prefieren esperar: que el impacto de la crisis internacional todavía no se ha ido, o que no parece ser el momento adecuado.
En estos casos no se trata de negar la realidad, sino de asumirla como un contexto dado a la hora de tomar decisiones. Esto puede suceder también en una pelea familiar o en un encuentro de amigos. Y depende de la mirada: si está fuera o dentro de mí.
El único interrogante relevante es qué es lo que podemos hacer para influir en el contexto.
Por eso, en dónde está el foco a la hora de contar el propio relato de nuestra vida es una de las preguntas más importantes que debemos hacernos. Las historias del tránsito o de la herencia política pueden ser ciertas, pero la pregunta es para qué sirven. Por eso creo que el único interrogante relevante es qué es lo que podemos hacer para influir en el contexto.
El problema está ahí afuera y necesitamos hacernos cargo de lo posible. Cuando fundé mi segunda compañía, Axialent, me pasó algo que me paró frente a esta disyuntiva. Como se trataba de una consultora internacional, debía mudarme a los Estados Unidos para desarrollarla.
Radicarse en otro país siempre es algo muy fuerte, por eso, apenas conseguimos inversores, comencé el proceso de mudanza. Tramité la visa de trabajo, organicé mis asuntos en la Argentina y, cuando estaba en el aeropuerto para volar hacia allá, recibí un llamado en el que me decían que los inversores que creía tener asegurados ya no estaban.
Mirando el avión que estaba por tomarme me dije: "Esto no puede ser verdad. ¿Cómo pueden estar haciéndome esto a mí? Es injusto. Me tendrían que haber avisado antes de los trámites."
Tardé semanas en entender que los inversores deciden invertir y arrepentirse cuando quieren. Y que no importaba qué decidieran ellos ni si eso era justo o no: yo debía pensar qué hacer con esa situación. En ese momento pude ver claramente que todas las preguntas que no tenían que ver conmigo habían sido una pérdida de tiempo. Si no me hacía cargo de la situación, no iba a llegar a ningún lado.
Esto es válido en cada circunstancia y cada momento de nuestra vida. Si hay algo que no nos gusta, lo mejor es hacer algo, en vez de quejarnos. El músico Bob Dylan dijo una vez: "Un héroe es aquel que entiende el grado de responsabilidad que viene con su libertad."
Además de ser un intérprete notable, Dylan es uno de los referentes culturales más influyentes de los Estados Unidos, hogar de grandes movimientos fundamentales. En los sesenta, por ejemplo, ese joven de Minnesota les puso música a las protestas contra la Guerra de Vietnam y a favor de los derechos civiles que se convirtieron en puntales para transformaciones posteriores.
Algunos podrían decir que no es mucho lo que puede hacer un músico para cambiar una época, pero la realidad es que las canciones "Blowing in the Wind" (Soplando en el viento) y "The Times Are Changing" (Los tiempos están cambiando) se convirtieron en himnos de algunos movimientos.
En la primera de esas canciones escribió Dylan: "¿Cuántos años puede la gente existir antes de que le sea permitida la libertad?". Al hacerse responsable de un estado de las cosas, Dylan ofrece una oportunidad para la reflexión a partir de una canción que millones de personas recuerdan de memoria.
Hacerse cargo no necesariamente significa ser exitoso. Jobs podría no haber recibido una segunda oportunidad en Apple y nosotros podemos llegar tarde a la reunión porque se nos pinchó una goma. Lo importante es que podemos hacernos responsables de la realidad en busca de nuestro objetivo de vida.
Dylan dice que aquel que es responsable de su libertad es un héroe. La verdad es que ya nuestra condición de personas nos hace capaces de responder ante el entorno. Y desde ahí es que necesitamos focalizar en lo que podemos modificar para sacar lo mejor de cada situación.
En su best-seller titulado Los siete hábitos de las personas altamente efectivas, Stephen Covey habla de que hay dos áreas que debemos reconocer para ser proactivos. La primera es la zona de preocupación, la cual está llena de variables tal vez importantes para nosotros pero que están fuera de nuestro alcance. La segunda, mientras tanto, es el área de influencia, en donde sí podemos actuar.
Un ejemplo claro está en la producción agropecuaria. Los hombres de campo necesitan de condiciones meteorológicas favorables, que son variables que pertenecen a la zona de preocupación. Al mismo tiempo, tienen la posibilidad de actuar ante las circunstancias a través de su zona de influencia, como cuando utilizan sistemas de riego en épocas de sequía.
Para Covey es fundamental siempre esforzarnos para trabajar en aquellas cosas que están bajo nuestro control. Y advierte que el riesgo de invertir nuestro tiempo en lo que no se puede cambiar puede hacernos desatender aquello en lo que sí podemos influir.
Muchas personas, por ejemplo, sostienen que gran parte de sus problemas es producto de lo que llaman "mala suerte". Intrigado por esto, el académico inglés Richard Wiseman investigó el fenómeno durante diez años, tras los cuales publicó el libro El factor suerte, en donde demostró que la fortuna tal como la entendemos no existe.
La suerte no es un lugar mágico o el resultado de la casualidad: los pensamientos y comportamientos de las personas "con suerte" son responsables de gran parte de lo que les ocurre.
La suerte no es un lugar mágico o el resultado de la casualidad: los pensamientos y comportamientos de las personas "con suerte" son responsables de gran parte de lo que les ocurre. La investigación reveló que los afortunados cultivan cuatro actitudes básicas: detectar oportunidades que se dan por casualidad; tomar decisiones a partir de la intuición; proyectar profecías autocumplidas a través de expectativas positivas; y adoptar una actitud resiliente que transforma la "mala suerte" en "buena suerte".
Otros estudios revelan cuestiones parecidas, como que ser afortunado o no depende de la percepción negativa o positiva sobre lo que a uno le pasa. Por ejemplo, se estudió que los atletas que ganan una medalla de bronce en realidad son más felices que los que ganan una de plata. Y la razón tiene que ver con la forma en que interpretan su desempeño: los que salieron segundos piensan que si hubieran hecho algo un poco mejor habrían llegado al oro; los medallistas de bronce, en cambio, se centran en la idea de que, si hubieran fallado un poco, se habrían quedado sin nada.
La diferencia radica en una cuestión de perspectiva frente a lo sucedido: las personas que creen ser afortunadas encuentran el lado positivo de escenarios negativos. La ciencia demostró así que gran parte de lo que nosotros llamamos suerte no es algo externo. Tener noción de esto no solo nos ayuda a entender por qué nos pasan las cosas que nos pasan, sino que representa la posibilidad de cambiar: tomar el control de nuestras vidas sin acusar a la suerte mágica.
Ante un desafío, por más dura que sea la realidad, siempre tenemos la posibilidad de mostrar lo mejor que tenemos.
Más allá de nuestra actitud, por supuesto que muchas veces nos encontraremos con escenarios negativos que no tienen nada que ver con nosotros. Los terremotos y otras catástrofes naturales son injustas, dolorosas y escapan del control del hombre. Pero cómo se los afronta sí es responsabilidad de la comunidad.
Ante un desafío, por más dura que sea la realidad, siempre tenemos la posibilidad de mostrar lo mejor que tenemos. Los ejemplos de acciones contundentes contra la adversidad son muchísimos y no reconocen edad. Como la historia de Dylan Siegel, un chico de apenas 6 años que se sintió muy tocado cuando supo que su mejor amigo, Jonah Pournazarian, de 7 años, estaba luchando contra una enfermedad rara y grave en el hígado.
Cuando Siegel se enteró de que no había una cura para ese mal, quiso hacer algo por ese chico con el que había compartido tantas horas de juegos. Su padre le sugirió que pusiera un puesto de limonada para recaudar dinero para investigación, pero él tenía una mejor idea: escribir un libro. Así nació The Chocolate Bar Book, una obra de dieciséis páginas, escrita y dibujada a mano, que cuenta las cosas que les gusta hacer a los dos amigos. El libro salió a la venta en la feria de libro de la escuela y en una hora recaudó cinco mil dólares.
La noticia se difundió por todo el mundo y, hasta hoy, el proyecto "barra de chocolate" (una expresión que usan los dos amigos para nombrar aquello que les apasiona) ha recaudado setecientos cincuenta mil dólares. Ese dinero fue donado íntegramente al fondo de investigación de la Universidad de Florida, donde trabaja el médico especialista que cuida a Pournazarian y busca una cura o un mejor tratamiento para esa rara enfermedad.
Con ejemplos como estos podemos entender que para enfrentar las condiciones adversas del entorno no es necesario ser presidente de un país ni millonario. En la India, por ejemplo, un hombre se hizo conocido como "el que movió una montaña" por una historia que tomó veintidós años en completarse.
Dashrath Manjhi vivía en el pequeño pueblo de Gahlour, en Bihar, situado a más de cincuenta kilómetros de la ciudad más cercana, en donde estaban los profesionales y las instituciones básicas. Sin autopistas ni autos de alta velocidad, esa distancia se convirtió en fatal en 1960: la esposa de Dashrath tuvo una urgencia y falleció antes de llegar al hospital. Después de ese episodio, Dashrath decidió que nadie más sufriría la pérdida de un ser querido por no conseguir la ayuda médica necesaria a tiempo. Como el camino rodeaba una montaña que separaba al pueblo de la ciudad, comenzó a tallar y allanar un túnel.
Con un cincel, un martillo y una pala, esculpió incansablemente a lo largo de veintidós años. Así consiguió crear un camino alternativo por la montaña que redujo la distancia a la ciudad a quince kilómetros. Hoy personas de más de sesenta pueblos utilizan a diario esa carretera artesanal.
Descreído de las instituciones gubernamentales, Dashrath les cambió la vida a muchos chicos que lograron evitar un camino peligroso para ir a la escuela. Con su propuesta también redujo el tiempo para trámites y otras cuestiones administrativas.
En 2007, a los 80 años, Dashrath murió como consecuencia de un cáncer. "Lo que hice está ahí para que todos lo vean. Cuando Dios está contigo, nada puede detenerte", dijo una vez.
Esta es una de esas historias extremas e increíbles que nos inspiran. El mundo está lleno de estas personas y son pocas las que salen del anonimato. Lo que todas tienen en común es el convencimiento respecto de la propia capacidad para influir en el entorno. La realidad necesita de estos protagonistas que, como Dashrath, toman un cincel para esculpir su propia libertad.
* Debemos elegir entre ser inocentes o poderosos. El costo de la primera opción es la impotencia, el precio de la segunda, la responsabilidad
* Aceptar los desafíos no es necesariamente cargarnos de culpa, es dirigir nuestros esfuerzos hacia aquello que podemos modificar.
* Si nuestro esfuerzo depende de agentes externos invariables, lo que ocurre alrededor de nosotros nos controla. No podemos hacer más que lamentarnos sobre la injusticia del mundo. Y eso afecta directamente nuestra libertad.
* Hay que enfocar la energía en primera persona. No necesariamente originamos lo que pasa alrededor de nosotros, pero sí podemos preguntarnos cómo reaccionar frente a eso.
* En dónde está el foco a la hora de contar el propio relato de nuestra vida es una de las preguntas más importantes que debemos hacernos.
* Hacerse cargo no necesariamente significa ser exitoso. Lo importante es que podemos hacernos responsables de la realidad en busca de nuestro objetivo de vida.
* Ante un desafío, por más dura que sea la realidad, siempre tenemos la posibilidad de mostrar lo mejor que tenemos.
# La oportunidad de ser protagonista
Imaginémonos nacer sin dedos, con solo muñones como manos. ¿Cómo sería vivir así? El promedio de las personas se detiene en las cosas que no podrían hacer si esa fuese su situación. ¿De cuánto es esa lista? ¿Cinco, diez, treinta actividades? La primera vez que me hice esa pregunta contabilicé más de cincuenta, entre ellas, no poder jugar al tenis, abrir una botella de vino o enviar un mensaje de texto. Me imaginé la escena como una catástrofe que me imposibilitaría hacer muchas de las cosas que disfruto. Claramente fue una proyección de impotencia. Me puse en la piel de una persona con esa condición y de inmediato me victimicé. Me focalicé solo en lo que no podría hacer, en los dedos, que para el ejercicio eran lo único que no tenía y que no podía cambiar.
Pero solo me di cuenta de eso cuando me contaron la historia de Annette Gabbedey. Ella efectivamente nació sin dedos, y de manera paradójica (o no), trabaja haciendo una tarea que hubiese dicho que es imposible para una persona en esas circunstancias: es una joyera excepcional, y se destaca en especial haciendo anillos.
De hecho Annette se transformó en una de las más talentosas diseñadoras de joyas de Gran Bretaña. No usa instrumento especial alguno para ayudarse en su trabajo y constantemente se pregunta cómo puede ser que gente con dedos haga joyas, ya que, de acuerdo con su percepción, los dedos son una gran interferencia en el trabajo de crear pequeñas y delicadas piezas. Tanto es así que, cuando alguien le pregunta cómo logra crear y manejarse en las tareas cotidianas, ella les contesta: "¿Cómo puede ser que ustedes puedan hacer todo con dedos?".
Con el apoyo de la familia, que nunca la trató como diferente o especial, logró superarse. De hecho, no ve la falta de dedos como un desafío extra; de acuerdo con su percepción, sus manos son lo que son. Esa visión la decidió a estudiar con los mayores expertos en joyas de Londres en el Holts Academy of Jewellery. En la actualidad, algunas de sus obras se venden a más de cuarenta mil dólares.
Annette tenía todos los elementos para convertirse en una "víctima" de su condición, para paralizarse ante el desafío de vivir en un mundo que está pensado para hacer casi todo con las manos, pero entendió que no podía cambiar esa realidad, y mucho menos la suya. Entonces eligió centrarse en lo que sí podía hacer. Eso la potenció y le permitió transformarse en lo que siempre había soñado. Eligió ser protagonista, tomar el control, convirtiéndose en una persona libre de su supuesta "limitación". Todo se reduce a una forma de ver lo que ocurre y a una elección consciente.
Ahora imaginémonos otra situación: estamos por alcanzar la edad jubilatoria, cuando de repente alguien nos dice que no vamos a poder hacerlo. Y no solo eso, sino que vamos a tener que seguir trabajando muchas más horas, con muchas más responsabilidades, hasta el fin de nuestros días. ¿Qué sentiríamos? Con seguridad, que somos víctimas de algún complot contra nuestro bienestar. Y si además de eso nos dijeran que no podemos volver a nuestra casa ni visitar más a nuestra familia ni a nuestros amigos (¡ah, me olvidaba!: me faltó aclarar que tampoco nos pagarían), probablemente comenzaríamos a pensar que es una condena irreal.
Sin embargo, esto le ocurrió a alguien que ya tenía su retiro planeado. De hecho, una pequeña habitación lo esperaba en Flores. Él tenía decidido que, apenas terminara su función jerárquica en la Arquidiócesis de Buenos Aires, viviría en Álvarez Condarco 751, en ese mítico barrio de la ciudad. Ya le habían acomodado su cuarto en la planta baja, porque él había pedido no "estar arriba de nadie". En esa residencia para sacerdotes ancianos, llamada Hogar San José, estaban listos para la llegada de Jorge Bergoglio.
Las cosas empezarían a cambiar en febrero de 2013, con la renuncia de Benedicto XVI a su rol de Papa. Como cardenal, Bergoglio fue convocado a participar del cónclave para elegir a un sucesor al máximo cargo de la Iglesia Católica. Aunque pocos lo consideraban como candidato, el 13 de marzo de 2013 fue elegido. En sus primeras palabras al resto de los cardenales dijo: "Soy un pecador, pero acepto".
Bergoglio pensaba que pasaría el resto de sus días asistiendo espiritualmente a sacerdotes de distintas parroquias. Ya no influiría sobre la feligresía porteña como cuando estaba a cargo de la Arquidiócesis de Buenos Aires, pero, activo y de buena salud, también podía ser importante en ese hogar de Flores, el barrio en donde él había crecido.
Las circunstancias, por supuesto, resultaron diferentes. El papa Francisco quedó a cargo de unos mil millones de fieles que forman parte de la Iglesia Católica, además, de tener un rol de relevancia mundial que va más allá de lo religioso.
Bergoglio imaginaba un retiro tranquilo, pero le tocó una función que, según admitió, no esperaba y a la que pudo haber renunciado sin que nadie lo supiera, resguardado en el secreto del cónclave. Hay que ser sinceros, a pesar de lo maravilloso que pueda ser, ese rol conlleva también un peso muy difícil de cargar. Podría haber elegido vivir el resto de su vida en paz, pero eligió otra cosa: aprovechar la oportunidad de ser protagonista.
Asumir el rol de protagonista es elegir ser el director de la propia película (la propia vida), cualesquiera sean las circunstancias externas. Comprender que el entorno condiciona nuestras acciones, pero que podemos elegir cómo actuar. Y saber que eso puede a su vez impactar en la vida de otros.
Asumió el desafío e impulsó una fuerte reforma en la Iglesia. Primero, poniendo el foco en los pobres; luego, cambiando muchos organismos y procesos internos. Si a una institución religiosa se la mide por cantidad de fieles, su gestión es un éxito: más personas visitan el Vaticano y frecuentan las iglesias. Si se la mide por su influencia mundial, también ha tenido impacto: los más importantes líderes del planeta destacan su mirada.
Más allá de las circunstancias, Bergoglio eligió. Y ese es el punto que quiero destacar, ya que, como vengo afirmando, los dilemas de la vida se superan ejerciendo esa capacidad. Asumir el control de nuestro destino para enfrentar los desafíos en dirección a un futuro que nosotros queremos, aun con obstáculos, como en el caso de Annette Gabbedey, o desvíos, como en el caso del Papa.
Asumir el rol de protagonista es elegir ser el director de la propia película (la propia vida), cualesquiera sean las circunstancias externas. Comprender que el entorno condiciona nuestras acciones, pero que podemos elegir cómo actuar. Y saber que eso puede a su vez impactar en la vida de otros.
Como escribía en el capítulo anterior, muchas personas sienten que dependen de variables que en realidad están fuera de su alcance. Entonces eligen ser víctimas de problemas coyunturales de todo tipo, que van desde la macroeconomía hasta la "mala energía" que sintieron antes de esa gran reunión.
Cuando vivimos la vida en el rol de víctima, en el que las cosas "nos pasan", nos invaden sentimientos muy negativos: resignación, enojo y resentimiento.
Cuando vivimos la vida en el rol de víctima, en el que las cosas "nos pasan", nos invaden sentimientos muy negativos: resignación, enojo y resentimiento. En cambio, cuando verdaderamente asumimos el protagonismo, lo que sentimos es un enorme sentido de responsabilidad, que por lo general se traduce en solidaridad y empatía.
Sigmund Freud decía: "La mayoría de la gente no quiere ser libre, porque la libertad implica responsabilidad. Y muchos le temen a esa idea". La historia del propio Freud está muy relacionada con el dilema protagonista-víctima. Médico de profesión y enfocado en la neurología, comenzó a especializarse en el tratamiento de desórdenes mentales y nerviosos inmediatamente después de terminar la universidad.
Incómodo con las conclusiones de una parte de la ciencia de ese momento, comenzó a desarrollar sus propios conceptos al estudiar la mente inconsciente, lo que lo llevó a generar su teoría de la personalidad, que le valió ser considerado el padre del psicoanálisis y un icono del conocimiento del siglo XX. Freud no solo engendró la clínica psicoterapéutica, sino que cambió el enfoque de muchas realidades culturales o sociológicas. Para muchos es referencia obligada en cuestiones vinculadas con la religión, la sexualidad, la locura y las etnias. Innovó en cada uno de los campos del pensamiento en los que incursionó para mejorar aquello que lo incomodaba. Se hizo cargo de lo que quería cambiar. El ejemplo de su vida puede ser una invitación para a pensar en qué espacios de nuestra vida se nos aparece este dilema víctima-protagonista.
A veces los relatos de víctimas resultan muy convenientes para no hacerse cargo de las situaciones, y por momentos la Argentina suele incentivar esa forma de ver la realidad.
A veces los relatos de víctimas resultan muy convenientes para no hacerse cargo de las situaciones, y por momentos la Argentina suele incentivar esa forma de ver la realidad. Con entornos no siempre muy estables, asumir una mirada del "no se puede" es mucho más sencillo que en otros países en los que los cambios de grandes variables son más escasos.
La pregunta, sin embargo, es qué podemos hacer al respecto. Y en ese sentido no hay mejor enfoque que el que recuerda que es imposible ser parte de la solución si uno no se siente parte del problema. Aquí aparece el dilema en su máxima expresión: si simplemente somos víctimas de lo que pasa, no podemos asumir lo que hace falta para modificar la realidad.
Hay una frase que resume esto mismo: "Es mejor prender una vela que maldecir las tinieblas". Siempre es más útil querer hacer un aporte contra la crisis que lamentarla. Esto es muy claro, por ejemplo, con algunas cuestiones del contexto económico: involucrarse de alguna manera en el sector público es mucho más efectivo que criticar desde el sillón a los políticos. Y eso no necesariamente significa aspirar a ser diputado o intendente.
La historia de un gran emprendedor de Detroit es elocuente en ese sentido. Hace un poco más de siete años, esa gran ciudad de los Estados Unidos era una de las más ricas del país. Pero la recesión de 2008 y los cambios en la industria automotriz dejaron a esa urbe industrial devastada económicamente. El impacto fue tal que la municipalidad se declaró en bancarrota, con deudas por más de 18.000 millones de dólares.
La capital del motor ya venía en caída libre desde los noventa y, tras la crisis, la tasa de desempleo se disparó hasta el dieciséis por ciento, el doble que la media nacional. Entre 2000 y 2010 la ciudad experimentó la emigración de un cuarto de sus habitantes y hoy hay partes de la ciudad convertidas en barrios fantasmas.
¿Qué ocurre cuando las personas abandonan un lugar? Hay menos ciudadanos pagando impuestos, lo que reduce los ingresos fiscales del sector público y deriva, tarde o temprano, en un ajuste. Si la tendencia continúa, el agujero puede llegar a ser muy profundo.
En la actualidad la calidad de los servicios municipales de Detroit está en rojo. Los transportes públicos tardan en pasar un promedio de cuarenta y cinco minutos y cuando llegan están tan llenos que muchos no tienen cómo subir. La municipalidad no tiene fondos ni personal para cuidar de los parques públicos de la ciudad. Muchos están abandonados y sin mantenimiento. Los bomberos, por poner otro ejemplo, tienen órdenes de no utilizar las escaleras de sus camiones a menos que sea imprescindible para salvar vidas. A pesar de todo, las buenas ideas siempre aparecen, como la de Andy Didorosi y su compañía de autobuses. Este emprendedor se volvió empresario en 2012, cuando la ciudad paralizó la construcción del metro ligero M-1 que debía conectar a la población del suburbio con el centro.
Didorosi sabía que la gente de la zona donde iba a pasar el tren necesitaba una forma alternativa de llegar del punto A al punto B, así que decidió comprar seis autobuses, equiparlos con rastreadores electrónicos GPS y crear la Detroit Bus Company.
La propuesta es sencilla y tecnológica. Los colectivos no tienen paradas fijas y hacen caminos distintos todos los días. Para saber por dónde está o por dónde pasará el colectivo, el usuario puede usar una aplicación de su teléfono que muestra la localización exacta del vehículo.
La empresa es privada, pero se desarrolló a partir de un concepto social. El servicio busca ser una alternativa para los barrios castigados por la cancelación del proyecto de metro y no pretende competir con el sistema de transporte de la ciudad. En paralelo, sin embargo, Didorosi está intentando algo que la ciudad necesita aún más.
Este emprendedor detectó que muchos niños no pueden llegar de manera segura a unos cuarenta programas extraescolares (cursos de capacitación, técnicos y de refuerzo) que se ofrecen en solo dos barrios del sudoeste de Detroit. La realidad es que muchas calles están vacías y las grandes líneas solo pasan por las avenidas importantes, obligando a esos chicos a atravesar barrios desiertos hasta las paradas.
Gracias a la Detroit Bus Company, muchos de ellos ya no están solos. Los colectivos de Didorosi se mueven constantemente por la zona con un conductor adulto que cuida de los niños. Cada uno de ellos puede llevar a 1.100 chicos a partir de un acuerdo entre la empresa y las escuelas llamado Youth Transit Alliance.
Según el emprendedor, si los niños asisten a estos programas extracurriculares, es más probable que se gradúen, vayan a la universidad y, con sus trabajos, vuelvan a traer valor a sus barrios y a la ciudad. Didorosi le encontró una vuelta a su camino profesional y, en el trayecto, impactó en su comunidad.
Su historia dice que no hay límites cuando pensamos en grande. En la misma Detroit otra iniciativa explica bien lo que es asumir la vida desde el protagonismo a pesar de un contexto de crisis. Joshua Smith, un chico de 12 años, no entendía por qué lo llevaban a jugar a un parque lejos de su casa teniendo otro a unas pocas cuadras. Su madre le explicó entonces que el parque más cercano estaba descuidado porque la municipalidad no tenía dinero para su mantenimiento.
Joshua recordaba haber leído un libro sobre la experiencia de unos niños que recaudaron dinero para una acción comunitaria, así que, con la ayuda de sus padres, creó un puesto en el frente de su casa para vender limonada durante una semana. El dinero recaudado sería donado a la ciudad de Detroit, en concreto para el mantenimiento de parques.
Cuando la idea se difundió, decenas de personas comenzaron a hacer fila en la puerta de la casa de Joshua para probar su limonada y ayudar a la ciudad. Su iniciativa apareció en los principales medios de la región y las donaciones empezaron a llegar de todas partes del país.
Los chicos suelen tener una mirada mucho más optimista y entusiasta ante la realidad que los adultos. Son capaces de contarse las historias del contexto de una manera simple y proponente.
Joshua pronto agregó a su puesto pochoclos y jugos de frutas. Conmovidos, voluntarios de la cercana ciudad de Birmingham se ofrecieron a cortar el pasto de los dos parques cercanos a su casa. El objetivo de la campaña era recaudar mil dólares al final de una semana, pero el pequeño Joshua hizo más. La venta de sus productos recaudó tres mil seiscientos dólares. Además, la empresa Playworld Systems anunció la donación de cincuenta mil dólares en estructuras para el área de juegos de la plaza. "Aunque seas pequeño, puedes hacer grandes cosas", les dijo Joshua Smith, un verdadero protagonista, a los medios que lo entrevistaron.
Los chicos suelen tener una mirada mucho más optimista y entusiasta ante la realidad que los adultos. Son capaces de contarse las historias del contexto de una manera simple y proponente. Joshua se preguntó cómo ayudar y propuso una salida. Entendió que la manera en que uno se involucra en la historia influye en el resultado.
Y esto se da todo el tiempo, en todo el mundo. En la Argentina sabemos que a veces se escriben guiones de víctima fabulosos; no por nada hemos visto nacer el tango. Sin embargo, también tenemos historias de protagonistas increíbles. En 1995 Juan Carr pensó que el país necesitaba una comunión entre quienes tuviesen una necesidad determinada y todos aquellos dispuestos a ofrecer ayuda. Una idea simple que luego conformaría la Red Solidaria.
El mecanismo comenzaba cuando se enteraban de que alguien necesitaba algo. Entonces salían a buscarlo por todos lados, muchas veces apoyados por los medios de comunicación. Por eso el crecimiento de la Red Solidaria, que fue enorme, siempre dependió de la voluntad de participación de la gente.
Así asumieron las necesidades más disímiles. Desde educación hasta chicos perdidos; desde pueblos originarios hasta trasplantes. Frente a cada problema aparecían nuevas ideas, nuevas herramientas, nuevas soluciones. En entornos complicados, fueron protagonistas y sumaron a otros que encontraban caminos.
La premisa es actitudinal, ya que los miembros de la Red Solidaria no se definen como integrantes de una ONG (de hecho no tienen personería jurídica), sino que se describen como parte de un hecho cultural. El concepto es tan sencillo como provocador: son personas enfocadas en el prójimo, que jamás se instalan en el lugar de víctimas.
Hoy la Red Solidaria trabaja con más de cincuenta organizaciones e instituciones, además de interactuar con doscientos nodos del país en donde se lucha contra el hambre y la pobreza. Una de las pruebas más contundentes de su fuerza se vio en la crisis de 2001, que colocó a muchos en situaciones extremas; en esa oportunidad, el aporte solidario de la Red resultó fundamental. Enfocaron los esfuerzos en lo que ellos llamaron "el hambre más urgente" y lograron instalar en el espacio público el tema de la contención nutricional y la asistencia integral a menores de cinco años y embarazadas; incluso ayudaron a que fuera aprobada una ley al respecto. Fueron protagonistas y poderosos, interesados en emprender, ya no el futuro propio, sino también el del resto de la sociedad.
* Los dilemas de la vida se superan ejerciendo la capacidad de asumir el control de nuestro destino para enfrentar los desafíos en dirección a un futuro que nosotros queremos, aun con obstáculos.
* Muchas personas sienten que dependen de variables que en realidad están fuera de su alcance. Entonces eligen ser víctimas de problemas sin solución.
* Cuando vivimos la vida en el rol de víctima nos invaden la resignación, el enojo y el resentimiento.
* Cuando verdaderamente asumimos el protagonismo, lo que sentimos es un enorme sentido de responsabilidad, que por lo general se traduce en solidaridad y empatía.
* A veces los relatos de víctimas resultan muy convenientes para no hacerse cargo de las situaciones.
* Es imposible ser parte de la solución si uno no se siente parte del problema. Si simplemente somos víctimas de lo que pasa, no podemos asumir lo que hace falta para modificar la realidad.
# Las imágenes del futuro
Impactado por las visitas de los dos primeros fantasmas, Ebenezer Scrooge esperaba la llegada del tercero. En las últimas horas, su mirada había cambiado. El terco avaro que odiaba las celebraciones y sólo pensaba en el dinero ya había visto su pasado: la transición de niño feliz a hombre codicioso y poco querido. Además, había vislumbrado cómo otros celebraban la Navidad a pesar de las dificultades económicas y el dolor por la enfermedad de un ser querido. Fue el tercer fantasma, sin embargo, el que lo transformó para siempre.
El Espíritu del Futuro le mostró el dolor de lo que vendría. Vio cómo fallecía el pequeño Tim, el hijo de uno de sus empleados, y también observó la alegría entre la gente por la muerte de un hombre que tenía varios deudores. Finalmente, el espíritu navideño le mostró a Scrooge su tumba, y él entendió que las sonrisas en la ciudad eran por su ausencia. Las imágenes de su futuro terminaron de convencerlo. Eso no era lo que quería para el resto de sus días. Entonces Scrooge se convirtió en un hombre de bien que ayudaba al resto de las personas y terminó siendo conocido por su solidaridad.
Estos párrafos son una adaptación del libro Cuento de Navidad, de Charles Dickens, un clásico que ha sido narrado a generaciones desde hace casi dos siglos. En general, este relato vuelve a revivirse en épocas navideñas, para expresar el valor de compartir. También es muy utilizado como historia con moraleja contra la avaricia y hasta algunos lo consideran una crítica al capitalismo salvaje. A mí, en particular, me parece una gran metáfora de lo que llamo "las fotos del propio futuro".
Hasta el paso del último de los fantasmas, Scrooge no se había puesto a pensar en cómo quería que fuese el resto de sus días, ni mucho menos en cómo lo recordarían. Este drástico sacudón producido por el encuentro con fantasmas le permitió ver lo que vendría y a partir de eso pudo hacerse algunas preguntas: ¿quiero yo este futuro para mí?, ¿hacia dónde estoy yendo?, ¿tiene que ver eso que viene con lo que aspiro?
Aunque es cierto que en determinados momentos estamos tan inmersos en la corriente que un buen susto nos viene bien, no hace falta que se nos aparezcan fantasmas para decidir emprender nuestra vida. Se trata simplemente de hacernos esas preguntas y empezar a contestarlas.
Soy un convencido de que hay muchas cosas que pueden pensarse con tiempo. Muchas personas suelen fluir o vivir puramente de su intuición, cuando en realidad necesitan planificar alguna parte de sus vidas.
A cualquier edad hay margen para pensar en el futuro y proyectar lo que verdaderamente queremos. Para hacerlo, propongo un ejercicio: pensemos en cuatro o cinco aspectos de nuestra propia vida. Por ejemplo: familiar, profesional, económico, y amistad. Ahora, imaginemos la "foto" de cómo nos gustaría estar en esos aspectos dentro de diez años. La idea es hacernos mentalmente la imagen de nuestra vida por venir y después pensar en cómo conseguirla. Esas fotos no pueden prever todo, aunque sí definen hacia dónde y cómo queremos avanzar. Es sencillo y parece obvio, pero son pocos los que hacen este ejercicio transformador.
Es cierto que las fotos pueden cambiar. Y mucho. No puedo evitar pensar en Jorge Bergoglio, que esperaba un retiro tranquilo y fuera del foco público antes de convertirse en el papa Francisco. Por eso es que las fotos no son perfectas, pero sirven para emprender la vida y, en definitiva, ser felices.
Soy un convencido de que hay muchas cosas que pueden pensarse con tiempo. Muchas personas suelen fluir o vivir puramente de su intuición, cuando en realidad necesitan planificar alguna parte de sus vidas.
La clave está en ver la brecha que existe entre cómo sería nuestro futuro si seguimos haciendo las cosas tal y como las hacemos hoy, y lo que tendríamos que hacer para acercarnos a la foto que realmente queremos.
Por eso, dejemos por un momento al costado la intuición, siempre necesaria, y abrámosle la puerta a la planificación. Tomemos conciencia de nuestra propia realidad y elijamos para dónde queremos ir. ¿Cuál es el futuro al que aspiramos? ¿Cómo podemos alcanzarlo?
Para trazar ese plan hacia adelante no es posible pensar en una sola foto. Por eso, como decía antes, suelo proponer por lo menos cuatro dimensiones: familia, amigos, vida profesional y economía personal. También pueden agregarse otras, como la vivienda, la salud o la dimensión espiritual a partir de intereses o caminos más personales.
Trazar ese lugar al que aspiramos nos ayuda a entender qué tan lejos estamos de él. Hecho ese proceso, el próximo paso es ver qué hay que hacer distinto para lograr esa foto: proponernos un objetivo desafiante pero posible de cumplir. La clave está en ver la brecha que existe entre cómo sería nuestro futuro si seguimos haciendo las cosas tal y como las hacemos hoy, y lo que tendríamos que hacer para acercarnos a la foto que realmente queremos.
La imagen no es solo una expresión de deseos. Es un desafío actual que tiene que interpelarnos: ¿qué pasa si seguimos por esta vía libremente?, ¿llegamos a ese objetivo que deseamos?
La imagen no es solo una expresión de deseos. Es un desafío actual que tiene que interpelarnos: ¿qué pasa si seguimos por esta vía libremente?, ¿llegamos a ese objetivo que deseamos? Hay personas que pueden fluir y se sienten felices. El interrogante es si esa intuición los lleva en el mediano plazo adonde quieren ir. Es muy importante saber que, con un poco de estrategia, la tendencia puede cambiar hacia el camino buscado.
La primera vez que hablé de este tema con una audiencia masiva fue en Perros de la calle (el programa de radio Metro en donde tengo una columna de emprendedores), un día en el que yo había preparado otro material, pero, a partir de una charla personal con Andy Kusnetzoff, él me sugirió que contara esta idea al aire.
La repercusión fue espectacular. Para empezar, todos los que estábamos en el estudio nos abrimos y contamos aquellas fotos en las que estábamos "flojos". Entre los oyentes el impacto fue aún mayor. Muchos me escribieron, compartieron en Facebook y dispararon preguntas. Ese zumbido de la gente hablando sobre esto y el impulso de Andy a que tratemos este tema ayudaron a convencerme de que este libro podía ser muy útil.
La idea de las fotos es central en el camino hacia la vida que deseamos, pero no significa que vayamos a llegar rápidamente a destino. Charles Darwin, el científico que cambió la historia de la genética, escribió su obra cumbre, El origen de las especies, cuando tenía 50 años, en una época, el siglo XIX, en la que esa edad representaba mucho más que ahora.
El libro, que convirtió a la teoría de la evolución en una parte fundamental del conocimiento, llegó luego de una larga cadena de investigaciones. Uno de los procesos de observación claves se dio durante el viaje de cinco años en los que recorrió buena parte del planeta y pasó por el sur argentino. Darwin ya era un académico que estaba cerca de los grandes pensadores de la biología de la época, pero necesitaba dejar su propia huella. Por eso decidió subirse al barco HMS Beagle y ser la "pata naturalista" de esa travesía que comandaba el capitán Robert Fitz Roy.
Darwin pensó que para en verdad hacer su aporte a la ciencia debía estar cerca de realidades a las que otros no tenían acceso. Si él seguía en Gran Bretaña, su mirada probablemente sería parecida a la de los demás. Si en cinco años quería ser un investigador con ideas propias, necesitaba un viaje como el que emprendió en esa mítica embarcación.
En la interpretación libre que hago de su historia, me lo imagino haciéndose una foto mental de su objetivo y del camino para llegar a él. Es que la vida le fue sumando desafíos y conocimientos hasta que al final, más de veinte años después de su recorrida por el mundo, escribió El origen de las especies.
Pensar las imágenes y dar un paso hacia ellas, como hizo Darwin, es estratégico. Eso no significa que se vaya a llegar a hacerlas realidad en cinco años. Pero, si nos encaminamos, comenzaremos a sentir los efectos positivos, porque avanzar aporta a nuestro día a día.
Las fotos de las cuatro dimensiones (familia, amigos, profesión, economía personal) pueden convertirse en una evaluación del estado actual de nuestra vida a la vez que una proyección. Si observamos lo que nos sucede y a lo que aspiramos, empezaremos a entender qué es lo que nos está faltando.
Proyectar a veces da miedo, porque muestra la brecha con la realidad, pero definitivamente es la forma de encarar la vida.
Este ejercicio de las fotos debe ser un espacio para permitirnos soñar. Proyectar a veces da miedo, porque muestra la brecha con la realidad, pero definitivamente es la forma de encarar la vida. En ese sentido este recurso brinda una fórmula muy interesante: las fotos, menos lo que somos en la actualidad, muestran cuánto nos falta.
La pregunta para iniciar el proceso puede ser en cuál área sentimos que estamos flojos; luego tenemos que animarnos a proponernos un objetivo desafiante; no se trata de planificar cada paso, sino solo encauzar un poco el barco para no estancarnos y pensar qué es lo que verdaderamente deseamos.
La proyección hacia el futuro nos permite también no volver adonde estuvimos antes o donde estamos hoy. A partir de mirar la propia realidad podemos entender que la actual no es la foto que deseamos. Y que es momento de cambiar.
En algunos casos basta con estar dispuestos a una transformación: decirnos que, si aparece la oportunidad, la tomaremos. Estudios indican que el ochenta por ciento del cambio psicológico ocurre entre el momento en que la persona decide tratarse y la primera sesión. Haber admitido el problema y comenzar una terapia ya impacta fuertemente en nuestras vidas. Lo mismo sucede con estas imágenes.
Para imaginarse estas fotos no hace falta ser joven. Ray Kroc tenía 50 años y era vendedor de máquinas para hacer malteadas cuando vio un restaurante de hamburguesas que tenía un modelo diferente. Pensó que allí había una oportunidad y decidió embarcarse a desarrollar una franquicia a la que no le cambió el nombre original familiar: McDonald's. Antes de ese emprendimiento, Kroc ya tenía un recorrido, pero con una visión clara cambió para siempre al sector gastronómico mundial. Creo que su historia es una prueba de que es posible movilizar un cambio a cualquier edad y que las riendas de la vida las tiene uno. Así son los emprendedores en general: una combinación de pasión y planificación.
Con las ganas no es suficiente para encarar nuestro futuro; por eso, de la misma manera en que un plan de negocios potencia un proyecto, las cuatro fotos también pueden hacer lo mismo con lo que aspiramos.
Con las ganas no es suficiente para encarar nuestro futuro; por eso, de la misma manera en que un plan de negocios potencia un proyecto, las cuatro fotos también pueden hacer lo mismo con lo que aspiramos.
La comparación es interesante. El plan de negocios es un documento que explica el entorno de un proyecto (competencia y otras variables) y expresa el compromiso que asume el equipo emprendedor. Esa herramienta, en principio tan técnica, permite entender los desafíos que debe enfrentar el entrepreneur para implementar con éxito su proyecto. Así sucede con las cuatro fotos, que pueden ser el puntapié inicial para un buen "plan de negocios de la vida".
Las imágenes de nuestro futuro hablan, además, sobre ámbitos fundamentales. Gracias a ellas podemos determinar, por ejemplo, a qué personas queremos ver menos y a quiénes queremos ver más cuando el tiempo escasea.
En la dimensión financiera, en tanto, nos permite ponernos metas. Podemos determinar el número que nos gustaría ganar para estar tranquilos desde lo económico. Y enfrentarnos con esa cifra nos permite preguntarnos si es posible llegar a lo que queremos con la tendencia actual. También es útil en el camino profesional: si nuestra foto ideal es con un gorro de cocinero y nuestro trabajo actual es en un estudio de abogados, probablemente sea el momento de un cambio. Hay que intervenir en la realidad aunque eso no signifique dejar todo de inmediato: comenzar un curso de cocina, por ejemplo, es un primer paso.
Podemos proyectar fotos en ámbitos como la salud o hasta en lo espiritual. Mantener durante los próximos cinco o diez años el peso recomendado es una desafiante y positiva premisa para nuestra salud. Para una imagen espiritual, en tanto, la primera medida puede ser dedicar un tiempo para por lo menos pensar en estos temas. Con la vivienda, nuestra imaginación puede ser más precisa. Si hay un jardín y una pileta es más probable que tengamos que empezar a pensar en vivir afuera de la ciudad, con todo lo que implica esa decisión. Lo mismo aplica para las amistades: ¿con quiénes nos vemos pasando tiempo y con quiénes no?, ¿nos vemos con menos amigos o con más?
Las fotos pueden ser una radiografía de la actualidad y un proceso que nos interpela: ya no podemos hacernos los distraídos cuando el camino que tenemos que tomar es diferente del que estamos recorriendo.
La gran ventaja de diferenciar las dimensiones es que entendemos que en algunas podemos estar muy bien pero que en otras hay una distancia grande con lo deseado. Lo que aparece muchas veces es una sensación clara: de esta forma, con este camino, es imposible llegar a donde aspiramos.
Las fotos pueden ser una radiografía de la actualidad y un proceso que nos interpela: ya no podemos hacernos los distraídos cuando el camino que tenemos que tomar es diferente del que estamos recorriendo. Un diagnóstico así nos conmina a preguntarnos si es el momento de cambiar.
Aunque no sean sencillos, los cambios son posibles. Henry Ford, pionero de la industria automotriz, decía: "Si crees que es imposible, estás en lo cierto". Las imágenes de nuestro futuro pueden convertirse en una profecía autocumplida positiva, una visión de futuro que nos activa en el presente.
Necesitamos invertir tiempo para llegar adonde queremos. Y no necesariamente transformar todo en simultáneo: algunas fotos pueden tener una nitidez impecable, mientras que otras pueden estar todavía en blanco y negro. Uno decide, pero la clave es justamente esa: optar. Y, a partir de esa opción, aunque sea arrancar, porque eso ya empieza a moldear el futuro.
Cuando hablo de estos temas, muchos mencionan una realidad de varios países latinoamericanos entre los que está la Argentina: el largo plazo. "¿Cómo voy a pensar mi vida a cinco o diez años si acá no sabemos lo que va a pasar mañana?", me preguntan. Creo que en esa preocupación, que puede ser genuina, se manifiesta una suerte de boicot interno para no avanzar. Primero porque, como escribía en el capítulo anterior, nuestras acciones son capaces de impactar en la realidad. Y segundo, porque la falta de certezas a veces trae aparejadas oportunidades.
Esto es algo de lo que suelo hablar con los emprendedores. Si nos enfocamos solo en los aspectos negativos del contexto, perdemos de manera automática la capacidad de explorar las ventajas. Y, en la Argentina y el resto de Latinoamérica, los desafíos son directamente proporcionales a las oportunidades que surgen de ellos.
Cuando estaba en la universidad acudí a una charla como parte de un seminario sobre emprendimientos exitosos. En aquella oportunidad uno de los oradores fue el fundador de la empresa San Miguel (principal productora y distribuidora de limones en el mundo), Fernando Orís de Roa. Durante su exposición dijo una frase muy interesante que me marcó: "Mientras en los Estados Unidos y en Europa todos buscan crear la gran idea, en países en desarrollo como los nuestros lo que hace falta es buscar viejas ideas e implementarlas mejor que los demás. ¡Por eso estamos en el paraíso!".
La idea del paraíso es sumamente provocadora, pero también lo es esta concepción centrada más en moverse que en encerrarse a pensar. Peter Drucker, uno de los más importante gurús del management, decía: "Por una idea pago cinco centavos; por una implementación, ¡pago una fortuna!".
La imagen sirve solo como motivador. El valor no está necesariamente en lo que proyectamos, sino en los pasos que damos hacia su concreción.
Lo mismo podría decirse de una foto de nuestro futuro: la imagen sirve solo como motivador. El valor no está necesariamente en lo que proyectamos, sino en los pasos que damos hacia su concreción. Darwin sabía que quería viajar y salir de su zona de confort, pero es probable que nunca se haya hecho una foto mental de lo que podía encontrarse en la Patagonia.
A veces cometemos el error de trazar una imagen tan acabada que la realidad luego nos desilusiona. En mi caso, muchas veces en mi vida estuve tan obsesionado por la foto final que me olvidé de disfrutar el camino. Perdí espontaneidad en busca de una planificación excesiva, algo que trato constantemente de mejorar.
Enamorarnos de lo que proyectamos puede ser peligroso. Es cierto que nos permite lograr la convicción necesaria para defender e impulsar nuestros proyectos, pero el entusiasmo no debe dominarnos, solo potenciarnos. Cuando no utilizamos bien las fotos, aparece otro riesgo: planificar cosas que en realidad no nos harán verdaderamente felices. Esto sucede mucho con aquellas ideas que imprimimos en nuestra vida en la búsqueda de aceptación social. Casarnos antes de determinada edad o pensar que la foto de nosotros con un hijo significa perder completamente la libertad pueden ser dos ejemplos.
También sucede con aquellos que eligen apostar a un proyecto propio por una suerte de idealización de la vida de los emprendedores, generalmente provocada por la contraproyección de lo que les molesta del trabajo actual. Agobiados por la rigidez de horarios, los jefes exigentes o las responsabilidades desmedidas, todos aspectos poco populares de los trabajos en relación de dependencia, proyectamos en el emprender todo lo que soñamos para nuestra vida: libertad, flexibilidad horaria y control de nuestro propio destino.
Si bien gran parte de esa ilusión puede ser cierta, detrás de ella se esconde una trampa: la libertad emprendedora solo se puede alcanzar si se hace una genuina elección de ese estilo de vida. Emprender por cualquier otra razón que no sea el goce por emprender termina por generar una situación exponencialmente peor que aquella de la que se quería escapar en un principio.
Los humanos soñamos, somos seres capaces de proyectarnos en el futuro, y esta capacidad de abstracción es uno de los beneficios de nuestra inteligencia.
Este es uno de los principales riesgos de proyectar. La realidad, sin embargo, es que, de otra manera, es imposible llegar a donde se desea. Los humanos soñamos, somos seres capaces de proyectarnos en el futuro, y esta capacidad de abstracción es uno de los beneficios de nuestra inteligencia.
El cineasta George Lucas dijo una vez: "Los sueños son sumamente importantes. Nada se hace sin que antes se imagine". Sus palabras resuenan de otra manera si pensamos en todo lo que hizo Lucas por los fanáticos de las buenas historias. Con la serie de películas de La Guerra de las Galaxias, este director estadounidense revolucionó la industria cinematográfica en la década de 1970. Sus historias no solo son joyas narrativas, sino que convirtieron los efectos especiales en lo que hoy representan: recursos capaces de inventar cualquier realidad de una forma creíble.
"Los sueños son sumamente importantes. Nada se hace sin que antes se imagine", dice George Lucas.
Aunque también cocreó a Indiana Jones y dirigió o produjo filmes que están en la historia del cine, el mayor aporte de Lucas probablemente sea la traducción visual de esas historias que suceden en una galaxia "muy, muy lejana". La capacidad imaginativa del director permitió que se hicieran estas películas, que combinan humanos con extraterrestres y otros seres en contextos insólitos.
Como él mismo explicó, eso fue posible por su capacidad de crear una historia más allá de las limitaciones en cuanto a efectos especiales. Lucas soñó la historia y desarrolló todo lo que hacía falta para hacerla realidad. Dibujó sus fotos y completó el camino para que se convirtieran en película.
La capacidad de los cineastas de crear mundos posibles es un gran motivador para verdaderamente pensar lo que soñamos para nuestra vida. Los caminos, por supuesto, serán distintos: nosotros no podemos usar efectos especiales. En nuestro caso, cómo lograr lo que queremos será una tarea ardua, pero ya es una ventaja contar con un norte.
Las fotos de nuestro futuro se conectan directamente con encontrar nuestra pasión, eso que hace a nuestro corazón cantar, como escribía al principio del libro. En mi caso, cuando entendí que la máquina humana en la que me convertí había llegado a un lugar que no me satisfacía, empecé a trabajar con las imágenes.
Me di cuenta de que las dimensiones que me importaban no eran solo profesionales y monetarias, y que debía pensar en otras fotos sobre las que quería trabajar. Descubrí que rodearme de las personas indicadas era fundamental, y que el modo en que hacíamos las cosas también lo era: mis valores le daban sentido y significado a lo que hacía.
Soy un convencido de que, para que la vida se convierta en emprendimiento, las cuatro fotos son muy útiles. Pero eso no es suficiente para llegar a la plenitud: ese futuro y ese camino necesitan de un sentido.
* A cualquier edad hay margen para pensar en el futuro y proyectar lo que verdaderamente queremos.
* Existen técnicas para hacerlo. Pensar cuatro fotos de nuestro futuro en diferentes áreas de la vida y en cómo llegar a ellas es una.
* Muchas personas suelen fluir o vivir puramente de su intuición, cuando en realidad necesitan planificar alguna parte de sus vidas.
* Para trazar ese plan hacia adelante no es posible pensar en una sola foto. Por eso suelo proponer por lo menos cuatro dimensiones: familia, amigos, vida profesional y economía personal.
* Imaginar el lugar al que aspiramos nos ayuda a entender cuán lejos estamos de él. La imagen no es solo una expresión de deseos. Es un desafío actual que tiene que interpelarnos: ¿qué pasa si seguimos por esta vía libremente?, ¿llegamos a ese objetivo que deseamos?
* Proyectar a veces da miedo, porque muestra la brecha con la realidad, pero definitivamente es la forma de encarar la vida.
* Estudios indican que el ochenta por ciento del cambio psicológico ocurre entre el momento en que la persona decide tratarse y la primera sesión. Haber admitido el problema y comenzar una terapia ya impacta fuertemente en nuestras vidas. Lo mismo sucede con estas imágenes.
* La imagen sirve solo como motivador. El valor no está necesariamente en lo que proyectamos, sino en los pasos que damos hacia esa concreción.
* Para que la vida se convierta en emprendimiento, las cuatro fotos son muy útiles. Pero eso no es suficiente para llegar a la plenitud: ese futuro y ese camino necesitan de un sentido.
# Un propósito para la libertad
El prisionero 119.104 caminaba entre las piedras y los charcos del terreno del campo de concentración. En ese momento era difícil reconocer al prestigioso profesional de Viena: ahora era uno más de los tantos miles que vivían con trescientos gramos de pan y un litro de sopa aguada por jornada. Los días parecían iguales y, más allá de algunos cambios de sede, había pasado los últimos años en ese contexto de muerte.
Era un día de viento helado y una persona que caminaba a su lado le susurró algo sobre su esposa. La frase le trajo al prisionero la imagen de ella y esa idea le cambió el ánimo. En unos pocos minutos entendió algo que luego escribiría: "Comprendí cómo el hombre, desposeído de todo en este mundo, todavía puede conocer la felicidad (aunque sea solo momentáneamente) si contempla al ser querido".
Esa idea transformadora lo ayudó a sobrevivir. Lo que había descubierto, además, le permitió colaborar con otros que lo escuchaban. En el contexto más despojado de humanidad encontró al amor, y desde ahí propuso algo que se convertiría en el eje de una escuela de la psicología muy influyente en la vida de millones. Así lo expresó: "Me atrevería a decir que no hay nada en el mundo capaz de ayudarnos a sobrevivir, aun en las peores condiciones, como el hecho de saber que la vida tiene un sentido".
Aunque el camino esté claro a la hora de emprender nuestra vida, las dificultades indudablemente llegarán. Para vencerlas, necesitamos contar con un propósito que supere el obstáculo en cuestión y permita ver el "para qué" de lo que hacemos.
Viktor Frankl postuló de esta manera algo que se transformó en un puntal de una parte del pensamiento contemporáneo: la importancia del sentido. Encontrar un porqué espiritual para lo que hacemos es esencial para llegar a donde queremos en plenitud.
Aunque el camino esté claro a la hora de emprender nuestra vida, las dificultades indudablemente llegarán. Para vencerlas, necesitamos contar con un propósito que supere el obstáculo en cuestión y permita ver el "para qué" de lo que hacemos.
Al entrar al campo de concentración, Viktor Frankl perdió a su familia y todo lo que había logrado con el esfuerzo de su trabajo. Se encontraba privado de su libertad, en un entorno de extremo control físico y emocional; entonces decidió que tenía dos caminos: resignarse y dejarse morir o encontrar un sentido y transformarse en protagonista de lo mucho o poco que le quedara de vida.
Eligió ser protagonista, y su historia es un fascinante relato de lo que puede lograr un hombre convencido de la fuerza de su actitud. Sobrevivió gracias al propósito que había encontrado, que incluía también dejar un legado a la humanidad. En el peor escenario pensó algo que inspiraría a personas de todas las culturas y que excede a su libro El hombre en busca de sentido, una obra fundamental del siglo XX.
Emprender la vida significa ponernos objetivos y planear una estrategia para cumplirlos. Pero también es entender para qué hacemos eso.
Nuestras acciones pueden ir más allá de lo que generan en el plano material. Esto es una cuestión fundamental en lo profesional, pero también en el resto de los ámbitos. Emprender la vida significa ponernos objetivos y planear una estrategia para cumplirlos. Pero también es entender para qué hacemos eso.
Cuando queremos que pasen cosas concretas y tangibles en nuestras vidas, estamos trabajando sobre el mundo material. Para sentirnos más plenos, sin embargo, necesitamos del mundo espiritual. Entender cuál es nuestro propósito con eso que hacemos. Para qué queremos hacerlo. El gran desafío en la vida es la integración del mundo material y el espiritual. No sirve solo centrarnos en un propósito espiritual si después no tenemos forma de realizarlo en el mundo material.
Si lo único que tenemos planeado es, por poner un caso, observar la naturaleza de las montañas, lo más probable es que no podamos hacerlo por mucho tiempo sin dinero. Necesitamos complementarlo con algo del mundo material. ¿Podemos, por ejemplo, ser guías de escalada y así generar un ingreso que nos permita hacer eso que soñamos?
Lo mismo sucede si no tenemos en cuenta lo espiritual. El mundo material por sí solo no alcanza para llenarnos. Cuando me asocié para armar Axialent, una consultora en la que lo humano es fundamental, recuerdo que Fred, mi socio, me preguntó cuál era mi propósito en la vida. Jamás lo había pensado y no dormí una semana preparando una respuesta.
Identificar el propio propósito es un ejercicio muy profundo. ¿Cuál es nuestro don, nuestro regalo al mundo? Eso que estamos dispuestos a ofrecer a los demás. Aquello que no cejaríamos en hacer aun sabiendo que fracasaremos. Si lo hacemos con la única condición de triunfar, ese no es un propósito espiritual.
Si al emprender solo pensamos en hacer una empresa y venderla, como yo hice en un momento, estamos dependiendo del éxito. En cambio, si lo que sentimos es el anhelo de crear algo que nos trascienda y estamos dispuestos a equivocarnos, es muy probable que allí haya una verdadera pasión por emprender.
Nos hemos convertido en una sociedad que se esfuerza más por ocultar sus intentos frustrados que por compartir la experiencia obtenida de ellos.
La cuestión del fracaso es fundamental cuando hablamos de sentido. En la Argentina este fenómeno está estigmatizado de tal modo que nos hemos convertido en una sociedad que se esfuerza más por ocultar sus intentos frustrados que por compartir la experiencia obtenida de ellos. Colectivamente resaltamos nuestras falencias pero individualmente nos cuesta asumir la falta de éxito.
La negación, la vergüenza de asumir que se intentó pero no se logró, es uno de los motivos por los que muchos emprendedores pierden oportunidades increíbles de aprendizaje. Es una extraña manía que "castiga" lo que es natural. Todos amamos, todos sufrimos, todos reímos, lloramos, y todos, también, fracasamos. Aceptar la naturalidad de los fenómenos es comenzar a entender su lógica y su virtud.
El fracaso no es una opción: es un hecho frente al cual debemos tomar posición; además, nos permite elegir entre la humillación o el aprendizaje. Una misma situación puede hundirnos o potenciarnos.
El fracaso no es una opción: es un hecho frente al cual debemos tomar posición; además, nos permite elegir entre la humillación o el aprendizaje. Una misma situación puede hundirnos o potenciarnos.
En muchas culturas los fracasos son considerados un capital. En los Estados Unidos, por ejemplo, los emprendimientos truncos siempre son incluidos en el currículum: se los considera parte de la experiencia. Y eso es lo que son.
Muchos son los que intentan y fracasan. Algunos aprenden de esa derrota y vuelven a intentar. Estos son, por lo general, los que triunfan. No por estar predestinados, sino por una mezcla de humildad y astucia: la humildad de reconocer que no pudieron, y la astucia de ver que esa situación es ante todo una oportunidad para mejorar y no una herramienta para autoflagelarse.
El dramaturgo Samuel Beckett escribió: "Da igual. Prueba otra vez. Fracasa otra vez. Fracasa mejor". Y de eso se trata, de avanzar. De hacerlo a pesar de lo inevitable, de tomar lo ineludible para aprender y hacerlo mejor, siempre siendo sincero con las propias limitaciones.
La realidad es que existen dos tipos de personas: las que alguna vez fracasaron y las que todavía no lo admitieron. Es mentira que todo el tiempo fracasamos o que somos constantemente exitosos. Por eso es tan importante encontrar un sentido que trascienda cada logro particular. El fracaso nos deja expuestos, nos desafía y nos presenta dos opciones: el desaliento o el impulso.
J.K. Rowling, la autora de Harry Potter, dio un discurso en Harvard en el que explicó muy bien esta realidad. Antes de alcanzar la fama con la saga del joven mago, era una madre divorciada que vivía con una pensión del Estado para desempleados. Ella se refiere a sí misma como "el mayor fracaso que podía haber", y atribuye gran parte de su éxito a ese momento que vivía.
"Al aceptar mi fracaso en todo, dejé de pretender ser lo que no era y comencé a dirigir todas mis energías para terminar el único trabajo que me interesaba", J. K. Rowling.
"Al aceptar mi fracaso en todo, dejé de pretender ser lo que no era y comencé a dirigir todas mis energías para terminar el único trabajo que me interesaba. Si yo hubiera tenido éxito real en cualquier otra cosa, nunca habría encontrado la determinación de ser exitosa en el área a la que yo realmente pertenecía. Mi mayor temor de la vida se había cumplido, el fracaso total, pero yo aún seguía viva y tenía una hija pequeña, y me sentía libre de trabajar en una gran idea", contó.
Ese momento adverso le permitió enfocarse en aquello a lo que en verdad aspiraba. No estaba mareada por el éxito, eso le allanó el camino. Cuando yo sentí el vacío de no saber cuál era mi propósito, no sabía por dónde empezar. Si un aparente éxito, la venta de un proyecto, me había dejado con tantas dudas, ¿qué pasaría ante una derrota contundente?
Eso me movió y comencé a buscar un sentido hasta definirlo: "Crear vehículos y organizaciones que puedan trascenderme a mí, primero, pero que después puedan generar un espacio para que otros puedan efectivamente expresarse".
El sentido es un arnés espiritual que nos permite sostenernos en condiciones positivas o adversas. Es una brújula para todo. Tener un para qué nos vuelve plenos y nos permite evaluarnos.
Me llevó mucho tiempo pensarlo y es un desafío diario entender si continúo alineado con eso que escribí. Pero es fundamental. El sentido es un arnés espiritual que nos permite sostenernos en condiciones positivas o adversas. Es una brújula para todo. Tener un para qué nos vuelve plenos y nos permite evaluarnos. ¿Esto, a lo que vamos a dedicarle tanto tiempo, está alineado con lo que verdaderamente queremos?
Un propósito es un sostén para atravesar frustraciones, dificultades. Frankl encontró uno que, además de permitirle sobrevivir en las peores condiciones, lo motivó a cambiar su entorno. Una simple visión del "para qué" marcó la diferencia en lo que hizo. Encontró una idea (e invitó a otros a encontrarla) por la cual comprometer todos sus esfuerzos, sin importar los fracasos intermedios.
El propósito es un aprendizaje intransferible y personal; por eso es tan importante hacer el esfuerzo de encontrarlo. La invitación es a buscarlo desde dos perspectivas diferentes.
La primera de ellas es la profesional. Necesitamos descubrir un propósito que sintamos casi trascendente: qué es lo que queremos y tenemos para ofrecer al mundo. Un sentido que motorice nuestros proyectos. Sin un verdadero propósito, no hay posibilidades de éxito real. Hay que descubrir qué es lo que buscamos con lo que hacemos. El proceso probablemente sea largo; sin embargo, necesitamos encontrar una mirada que vaya más allá de los resultados. Tenemos que identificar algo por lo que valga la pena fracasar. Algo por lo que esforzarnos sin que nos importe el desenlace. Encontrar un camino tan gratificante que no nos importe nada más, ni siquiera la derrota.
La segunda perspectiva desde donde analizar el sentido está relacionada con el propósito personal. En mi caso, como ya conté, se trata de ese cinco por ciento que decidí dedicarles a otros a partir de que descubrí que con tan solo una fracción de mi tiempo podía cambiar la totalidad del tiempo de otra persona.
Para mi sorpresa, ninguna otra actividad que haya realizado me resultó tan rentable en términos de lo ganado en relación con lo invertido. Hay gente que dedica toda su vida y su energía a emprendimientos sociales, pero no todos tenemos esa capacidad. Lo que sí tenemos todos en potencia es la capacidad y, por qué no, la responsabilidad de ayudar a emprender a los que sí la tienen. Todos podemos aportar el cinco por ciento de nuestro tiempo. Es cierto, sólo con nuestro porcentaje no va a alcanzar para cambiar el mundo, pero seguramente sí para cambiar el mundo de alguien más. No existe ni existirá negocio más rentable.
Ese camino que hice me ayudó a descubrir muchos aspectos de mí mismo que tenía ocultos, y también a darles un sentido diferente a mis propósitos personales. Lo que también me convirtió (al menos es lo que creo) en un mejor profesional.
Esto fue así a tal grado que comencé a pensar cómo esa manera de entender la vida desde lo personal podía además cruzarse directamente con lo profesional. Cómo, desde mi lugar de emprendedor, podía implementar esta idea del cinco por ciento.
Entendí entonces que mi historia me planteaba un nuevo propósito: ayudar a generar un entorno para que otros pudieran emprender mejor. Más allá de los resultados finales, no temo fracasar en el intento, porque no hay manera de que lo haga, ya que disfruto del camino.
El desafío de vivir cada momento de nuestra vida sin pensar en el resultado en términos de éxito es una fuente de alegría profunda.
Hay una historia que siempre me pareció motivadora en este sentido. Es la de un niño llamado Iñaki, que escuchó hablar de una Isla de los Inventos: un lugar maravilloso y único, una porción de tierra secreta en la que se reunían los grandes sabios del mundo para aprender e inventar juntos. Su acceso estaba totalmente restringido. Para poder pertenecer a aquel selecto club era necesario haber realizado algún gran aporte para la humanidad, y solo entonces se podía recibir una invitación única y especial con instrucciones para llegar a la isla.
Al principio, Iñaki quiso encontrar la ubicación del lugar en viejos libros de geografía. Como no tuvo suerte, les preguntó a marineros de mucha experiencia, pero ninguno lo supo guiar. Entonces pensó que el único camino sería a través del método tradicional: un gran invento.
Iñaki pasó sus años de juventud estudiando e inventando. Convertía cada nueva idea en un proyecto y empezó a convocar a más personas a que lo ayudaran. Pronto conoció a otros jóvenes, brillantes inventores también, a los que les contó los secretos y las maravillas de la Isla de los Inventos.
También ellos soñaban con que llegara "la carta", como ellos llamaban a la invitación. Con el paso del tiempo, la decepción por no recibirla dio paso a una colaboración y ayuda todavía mayores: si querían llegar a la isla, necesitaban increíbles máquinas y aparatos pensados entre todos.
La casa de Iñaki, en donde se reunían, ya era un gran almacén de dispositivos de altísima calidad. Así sus invenciones empezaron a ser conocidas por todo el mundo. El impacto de esas ideas se convirtió en planetario, pero ni siquiera entonces recibieron la invitación para unirse al club.
Los inventores no se desanimaron. Siguieron aprendiendo e inventando cada día y, para conseguir más y mejores ideas, acudían a los jóvenes de más talento, ampliando el grupo de aspirantes a ingresar en la isla.
Mucho tiempo después, Iñaki, ya anciano, hablaba con un joven muy brillante a quien había escrito para que se uniera a su casa. Le contó el gran secreto de la Isla de los Inventos, y de cómo estaba seguro de que algún día recibirían la carta.
Entonces el joven inventor lo interrumpió sorprendido: "¿Cómo? ¿Pero no es esta la verdadera Isla de los Inventos? ¿No es su carta la auténtica invitación?". Y, anciano como era, Iñaki miró a su alrededor para darse cuenta de que su sueño se había hecho realidad en su propia casa, y de que no existía otra, ni mejor, Isla de los Inventos que la que él mismo había creado. Y se sintió feliz al comprender que siempre había estado allí.
Iñaki siempre supo cuál era su propósito. Había encontrado un motor que lo impulsaba, que lo comprometía a ser cada vez mejor. Ese sentido lo movió siempre, pero, para descubrir lo que realmente sucedía, tuvo que detenerse a reflexionar.
Los invito a que se tomen su tiempo para seguir intentando descubrir un motor trascendente. Un propósito: "su" propósito.
La propuesta de este libro es movilizar a hacer esa reflexión. Primero, para descubrir cómo miramos y, luego, para asumir el protagonismo en la propia historia, para abandonar la posición de inocentes e ir más allá. En ese camino hay que entender cuáles son las limitaciones que nos autoimponemos y visualizar las imágenes de nuestro futuro para lograr objetivos. Se trata de pensar qué es eso que buscamos y en esa planificación llegar al para qué: al sentido.
Me gustaría que quienes estén recorriendo estas líneas no piensen simplemente en cerrar el libro y sumarlo a la lista de leídos. La invitación es a que se tomen su tiempo para seguir intentando descubrir un motor trascendente. Un propósito: "su" propósito. Es lo único que les va a permitir alcanzar la verdadera libertad. Y, seamos sinceros, si llegaron hasta este punto, es porque su camino de búsqueda de algún modo ya comenzó... que este sea solo un escalón en esa gran aventura.
* Encontrar un porqué espiritual para lo que hacemos es esencial para llegar a donde queremos en plenitud.
* Emprender la vida significa fijarnos objetivos y planear una estrategia para cumplirlos. Pero también es entender para qué hacemos eso.
* El sentido nos lleva a elegir hacer lo que hacemos aunque sepamos de antemano que fracasaremos en ese intento.
* El sentido es un arnés espiritual que nos permite sostenernos en condiciones positivas o adversas. Es una brújula para todo. Tener un para qué nos vuelve plenos y nos permite evaluarnos.
* El propósito es un aprendizaje intransferible y personal; por eso es tan importante hacer el esfuerzo de encontrarlo.
* El desafío de vivir cada momento de nuestra vida sin pensar en el resultado en términos de éxito es una fuente de alegría profunda.
* El camino es descubrir cómo miramos, asumir el protagonismo en la propia historia, abandonar la posición de inocentes e ir más allá. Entender cuáles son las limitaciones que nos autoimponemos y visualizar las imágenes de nuestro futuro para lograr objetivos. Se trata de pensar qué es eso que buscamos y en esa planificación llegar al para qué: al sentido.
ANDY FREIRE
Licenciado en Economía por la Universidad de San Andrés y con un OPM de la Harvard Business School, es emprendedor en los ámbitos empresarial y social. Cofundó y lideró Officenet, una compañía que revolucionó la industria de distribución de material de oficina en Latinoamérica. Más tarde cofundó Axialent, una consultora que ayuda a las mayores empresas del mundo a alinear su cultura organizacional. Luego, hizo lo propio con Restorando y Quasar Ventures. Fue reconocido como Líder Global del Mañana en 2000 por el Foro Económico Mundial, Emprendedor del año de Latinoamérica en 2001 por la Fundación Endeavor, y World Young Business Achiever en 2002. Fue nombrado en 2008 uno de los Cien Líderes Globales del Mundo por el Foro Económico Mundial en Davos, Suiza. Es miembro del Directorio Consejero Global de la Harvard Business School y uno de los cuatro jueces globales del Dell Business Excellence Award. Sus columnas sobre emprendimiento social y empresarial se difunden por radio y televisión. Es autor de los libros Pasión por emprender (Aguilar, 2004), 50 claves para emprendedores (Aguilar, 2006) y, con Julián Weich, El 5% de tu tiempo para cambiar el 100% de la vida de alguien que lo necesita (Aguilar, 2013).
@andyfreire
© Andy Freire, 2014
© De esta edición:
Aguilar, Altea, Taurus, Alfaguara, S. A. de Ediciones, 2014
Av. Leandro N. Alem 720 (1001) Ciudad Autónoma de Buenos Aires
eISBN: 978-987-04-3655-3
Diseño de cubierta: Zkysky Estudio de Diseño
Fotografía del autor: Alejandra López
Primera edición digital: septiembre de 2014
Conversión a formato digital: CE
Freire, Andy
¡Libre! : el camino emprendedor como filosofía de vida. - 1a ed. - Ciudad Autónoma de Buenos Aires : Aguilar, Altea, Taurus, Alfaguara, 2014.
EBook
eISBN978-987-04-3655-3
1. Autoayuda. I. Título
CDD 158.1
Todos los derechos reservados. Esta publicación no puede ser reproducida, ni en todo ni en parte, ni registrada en, o transmitida por, un sistema de recuperación de información, en ninguna forma, ni por ningún medio, sea mecánico, fotoquímico, electrónico, magnético, electroóptico, por fotocopia, o cualquier otro, sin el permiso previo por escrito de la editorial.
|
{
"redpajama_set_name": "RedPajamaBook"
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| 2,210
|
Q: STM32F0 Crashes from literal string declaration I literally feel like I'm going crazy! I'm trying to write an exceptionally simple program that can request a list of local WiFi networks using an ESP8266 and the AT+CWLAP command. The issue doesn't lie in the UART or ESP8266 side however.
I've written a function that can send a string through UART to the ESP8266. If however I try and call this function and pass a literal string, for example: U_TxStr("Hello"), it causes the entire microcontroller to hang in the "CopyDataInit" startup ASM code section. I've tried adding a hard fault handler that I found online but this hasn't helped at all as the program doesn't even manage to get here!
If instead, I initialize a character array with a string, e.g: char str[16] = "Hello", and pass str as a pointer to the U_TxStr function, the program works fine and there are no issues. What could the issue be here? It feels like the microcontroller is failing to copy the string out of flash and into RAM (onto the stack?) causing it to just hang at initialization, does this sound right and how can I fix it?
I'm using CooCox and an STM32F0 Discovery board
Full code listing:
#include <stm32f0xx_gpio.h>
#include <stm32f0xx_rcc.h>
#include <stm32f0xx_usart.h>
#include <stm32f0xx_misc.h>
#include <string.h>
#define U_TX GPIO_Pin_2
#define U_RX GPIO_Pin_3
#define U_TXPS GPIO_PinSource2
#define U_RXPS GPIO_PinSource3
#define U_AF GPIO_AF_1
#define U_GPIO GPIOA
#define U_CHAN0 GPIO_Pin_0
#define U_CHAN1 GPIO_Pin_1
#define U_UIRQ USART2_IRQn
#define U_USART USART2
#define U_UBUFSIZ 512
char ubuf[U_UBUFSIZ] = {0};
volatile uint8_t devchan = 0;
volatile uint16_t dcnt = 0;
volatile uint32_t msec = 0, tlast = 0;
GPIO_InitTypeDef G;
USART_InitTypeDef U;
NVIC_InitTypeDef N;
void SysTick_Handler(void){
msec++;
}
volatile uint32_t f = 0;
static void hard_fault_handler_c(unsigned int * hardfault_args)
{
unsigned int stacked_r0;
unsigned int stacked_r1;
unsigned int stacked_r2;
unsigned int stacked_r3;
unsigned int stacked_r12;
unsigned int stacked_lr;
unsigned int stacked_pc;
unsigned int stacked_psr;
stacked_r0 = ((unsigned long) hardfault_args[0]);
stacked_r1 = ((unsigned long) hardfault_args[1]);
stacked_r2 = ((unsigned long) hardfault_args[2]);
stacked_r3 = ((unsigned long) hardfault_args[3]);
stacked_r12 = ((unsigned long) hardfault_args[4]);
stacked_lr = ((unsigned long) hardfault_args[5]);
stacked_pc = ((unsigned long) hardfault_args[6]);
stacked_psr = ((unsigned long) hardfault_args[7]);
for(;;);
}
void HardFault_Handler(void)
{
asm volatile(
"movs r0, #4\t\n"
"mov r1, lr\t\n"
"tst r0, r1\t\n" /* Check EXC_RETURN[2] */
"beq 1f\t\n"
"mrs r0, psp\t\n"
"ldr r1,=hard_fault_handler_c\t\n"
"bx r1\t\n"
"1:mrs r0,msp\t\n"
"ldr r1,=hard_fault_handler_c\t\n"
: /* no output */
: /* no input */
: "r0" /* clobber */
);
}
void USART2_IRQHandler(void){
uint8_t data;
if(USART_GetITStatus(U_USART, USART_IT_RXNE) != RESET){
USART_ClearITPendingBit(U_USART, USART_IT_RXNE);
data = USART_ReceiveData(U_USART);
if(dcnt<U_UBUFSIZ) ubuf[dcnt++] = data;
tlast = msec;
}
}
void U_TxByte(const char d){
USART_SendData(U_USART, d);
while(USART_GetFlagStatus(U_USART, USART_FLAG_TXE) == RESET);
}
void U_TxStr(const char *s){
while(*s){
U_TxByte(*s);
s++;
}
}
void U_WaitStr(uint32_t t){
while((msec-tlast)<t);
}
void U_ClrBuf(void){
memset(ubuf, 0, U_UBUFSIZ*sizeof(char));
dcnt = 0;
}
int main(void)
{
RCC_DeInit();
RCC_AHBPeriphClockCmd(RCC_AHBPeriph_GPIOA, ENABLE);
RCC_APB1PeriphClockCmd(RCC_APB1Periph_USART2, ENABLE);
G.GPIO_Pin = U_TX | U_RX;
G.GPIO_Mode = GPIO_Mode_AF;
G.GPIO_OType = GPIO_OType_PP;
G.GPIO_PuPd = GPIO_PuPd_UP;
G.GPIO_Speed = GPIO_Speed_Level_1;
GPIO_Init(U_GPIO, &G);
GPIO_PinAFConfig(U_GPIO, U_TXPS, U_AF);
GPIO_PinAFConfig(U_GPIO, U_RXPS, U_AF);
G.GPIO_Pin = U_CHAN0 | U_CHAN1;
G.GPIO_Mode = GPIO_Mode_IN;
G.GPIO_OType = GPIO_OType_PP;
G.GPIO_PuPd = GPIO_PuPd_UP;
G.GPIO_Speed = GPIO_Speed_Level_1;
GPIO_Init(U_GPIO, &G);
if(GPIO_ReadInputDataBit(U_GPIO, U_CHAN0)) devchan += 1;
if(GPIO_ReadInputDataBit(U_GPIO, U_CHAN1)) devchan += 2;
N.NVIC_IRQChannel = U_UIRQ;
N.NVIC_IRQChannelPriority = 1;
N.NVIC_IRQChannelCmd = ENABLE;
NVIC_Init(&N);
USART_DeInit(U_USART);
U.USART_BaudRate = 115200;
U.USART_HardwareFlowControl = USART_HardwareFlowControl_None;
U.USART_Mode = USART_Mode_Rx | USART_Mode_Tx;
U.USART_Parity = USART_Parity_No;
U.USART_StopBits = USART_StopBits_1;
U.USART_WordLength = USART_WordLength_8b;
USART_Init(U_USART, &U);
USART_ClearITPendingBit(U_USART, USART_IT_RXNE);
USART_ITConfig(U_USART, USART_IT_RXNE, ENABLE);
USART_Cmd(U_USART, ENABLE);
SysTick_Config(SystemCoreClock/1000);
//Works
/*char str[12] = "AT+CWLAP\r\n";
U_ClrBuf();
U_TxStr(str);
U_WaitStr(500);*/
//Breaks
/*U_ClrBuf();
U_TxStr("AT+CWLAP\r\n");
U_WaitStr(500);*/
while(1)
{
}
}
Edit: For reference, I've tried a different board and get the same issue. Globally declaring the char arrays makes no difference either :(
Update: So I decided to give all of the available toolchains a go (just in case) - GCC Arm 4.8 to 5 and strangly, compiling with 4.8 does not give this issue! I'm yet to compare produced assemblies but it's strange that the issue seems to come with later GCC revisions.
A:
STM32F0
Which has a Cortex M0 core.
Cortex M0 is sensitive to mis-alignment. Your problem sounds a lot like there is just a missing alignment statement in the linker skript, causing one version of the program to fail while trying to copy the data segement from flash to RAM.
Both sides must be 4-byte aligned for the usual startup copy code to work.
Your working program is slightly different in code or data size, masking the problem.
|
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| 8,682
|
{"url":"https:\/\/math.stackexchange.com\/questions\/681444\/strong-and-weak-equivalence-of-c-extensions-by-compacts","text":"# Strong and weak equivalence of $C^*$-extensions by compacts\n\nLet $A$ be a $C^*$-algebra. An extension of $A$ by the compact operators $K$ is an embedding $\\epsilon$ of $A$ into the Calkin algebra $B(H)\/K$.\n\nTwo embeddings $\\epsilon_1$ and $\\epsilon_2$ are weakly equivalent if $\\;u \\epsilon_1 (\\cdot)u^* = \\epsilon_2(\\cdot)$ for some unitary $u \\in B(H)\/K$ and strongly equivalent if $u$ has a unitary lift to $B(H)$.\n\nQuestion Apparently weak equivalence classes are strictly larger in general.\n\n\u2022 Is there an obvious $K$-theoretic reason for this? In particular, does the unitary group of the Calkin algebra has something to do with this?\n\n\u2022 Strong and weak equivalence are the same for abelian $A$. What makes abelian algebras special here?","date":"2019-09-17 23:18:34","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 1, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.7925946712493896, \"perplexity\": 193.4810198215978}, \"config\": {\"markdown_headings\": true, \"markdown_code\": false, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 20, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2019-39\/segments\/1568514573124.40\/warc\/CC-MAIN-20190917223332-20190918005332-00354.warc.gz\"}"}
| null | null |
Q: Dynamic table with an option to delete row I have a table with an option to add a new row with data from user and delete button (of course, it deletes particular row). It seems to kind of work, BUT I have a problem that a button works after second click.
I have a counter i in my function Add(), which count rows +1 (it is to add an ID in a first column to next added row). When deleting a row I need to change i in every higher row (i--). And after that when I add a new row, its ID is wrong (it should be +1 to a previous one but it is the same).
Also note that when I call my Delete() function from console it works just fine.
$("#add_btn").click(function(){Add();});
var D;
var A;
var B;
var B;
var i=1;
function Add()
{
D=$("#dropdown").val();
A=$("#A").val();
B=$("#B").val();
C=$("#C").val();
$("#myTable2").append(`
<tr id="row`+i+`">
<td class="clm1" id="id`+i+`">`+i+`.</td>
<td class="clm2">`+D+`</td>
<td class="clm3">`+A+`</td>
<td class="clm4">`+B+`</td>
<td class="clm5">`+B+`</td>
<td class="clm6" id="btn`+i+`"><input type="button" class="delete" id='delete`+i+`' value="x"></td>
</tr>`);
$("#delete"+i).click(function() {Delete(i);});
n=i;
i++;
}
function Delete(id)
{
var j;
i--;
$("#row"+id+"").remove();
for(j=id; j<n; j++)
{
a=Number(j)+1;
$("#id"+a).html(j+".");
$("#id"+a).prop("id", "id"+j);
$("#btn"+a).html(`<input type="button" class="delete" id='delete`+j+`' value="x">`);
$("#delete"+a).click(function(){Delete(j);});
$("#btn"+a).prop("id", "btn"+j);
$("#row"+a).prop("id", "row"+j);
}
}
#container
{
background-color: lightsteelblue;
height:300px;
width:600px;
margin-left: auto;
margin-right: auto;
font-size:9px;
}
.tableContainer{
height:auto;
width:416px;
border: solid black 1px;
}
#myTablecontainer
{
width:100%;
background-color: navy;
border: solid lightgray 1px;
border-bottom: none;
border-top: none;
}
#myTable
{
width:400px;
height:auto;
max-height: 150px;
border-collapse: collapse;
background-color: navy;
}
#myTable tr
{
width:100%;
}
.MyTableHeadings
{
font-weight: bold;
text-align: center;
background-color: navy;
color:white;
border-left: solid red 1px;
padding-left: 5px;
padding-right: 5px;
}
#myTable tr .clm1
{
border-left: none;
}
.scrollContent
{
height:auto;
max-height: 300px;
width:416px;
overflow-y:auto;
background-color: navy;
}
#myTable2
{
width:400px;
height:auto;
max-height: 150px;
border: solid lightgray 1px;
border-collapse: collapse;
}
#myTable2 tr{
width:100%;
}
#myTable2 tr:nth-child(even)
{
background-color: lightgray;
}
#myTable2 tr:nth-child(odd)
{
background-color: lightslategrey;
}
#myTable2 td
{
text-align: center;
padding-left: 5px;
padding-right: 5px;
}
.clm1{
width:10%;
}
.clm2
{
width: 25%;
}
.clm3
{
width: 15%;
}
.clm4
{
width:20%;
}
.clm5
{
width:20%;
}
#myTable2 tr .clm6
{
text-align: left;
width: 10%;
}
<body>
<div id="container">
<fieldset>
<legend>Dane</legend>
Dropdown
<select
name="drp"
id="dropdown"
style="width:90px;"
>
<option value="0"></option>
<option value="1">1 </option>
<option value="2">2</option>
</select>
<br>
A
<input type="text" id="A">
<br>
B
<input type="text" id="B">
<br>
C
<input type="text" id="C">
<input type="button" value='Add' id='add_btn'/>
</fieldset>
<div id="tableContainer" class="tableContainer">
<div id="myTablecontainer">
<table id="myTable" >
<tr>
<th class='MyTableHeadings clm1'> ID</th>
<th class='MyTableHeadings clm2'>H1</th>
<th class='MyTableHeadings clm3'> H2</th>
<th class='MyTableHeadings clm4'>H3</th>
<th class='MyTableHeadings clm5'>H4</th>
<th class='MyTableHeadings clm6'>Delete</th>
</tr>
</table>
</div>
<div class="scrollContent">
<table id="myTable2">
</table>
</div>
</div>
</div>
</body>
<script src="https://cdnjs.cloudflare.com/ajax/libs/jquery/3.3.1/jquery.min.js"></script>
A: The issue is because your first click adds the event handler and on second click the event handler executes. This also has the unwanted side-effect of adding more and more event handlers on subsequent clicks.
To fix the problem and improve the logic use a delegated event handler. That way you can traverse the DOM to find the related tr using closest(). This in turn means you can remove all the incremental id attribute ugliness.
There's a couple of other things to note here. Firstly, while you're using template literals you're missing the point of them as you're concatenating values. Use the ${} syntax to inject values instead. You are also declaring the B variable twice; remove one.
With all that said, try this:
$("#add_btn").click(Add);
$('#myTable2').on('click', '.delete', function() {
$(this).closest('tr').remove();
});
var D, A, B, i = 1;
function Add() {
D = $("#dropdown").val();
A = $("#A").val();
B = $("#B").val();
C = $("#C").val();
$("#myTable2").append(`
<tr>
<td class="clm1">${i}.</td>
<td class="clm2">${D}</td>
<td class="clm3">${A}</td>
<td class="clm4">${B}</td>
<td class="clm5">${B}</td>
<td class="clm6"><input type="button" class="delete" value="x"></td>
</tr>`);
i++;
}
#container {
background-color: lightsteelblue;
height: 300px;
width: 600px;
margin-left: auto;
margin-right: auto;
font-size: 9px;
}
.tableContainer {
height: auto;
width: 416px;
border: solid black 1px;
}
#myTablecontainer {
width: 100%;
background-color: navy;
border: solid lightgray 1px;
border-bottom: none;
border-top: none;
}
#myTable {
width: 400px;
height: auto;
max-height: 150px;
border-collapse: collapse;
background-color: navy;
}
#myTable tr {
width: 100%;
}
.MyTableHeadings {
font-weight: bold;
text-align: center;
background-color: navy;
color: white;
border-left: solid red 1px;
padding-left: 5px;
padding-right: 5px;
}
#myTable tr .clm1 {
border-left: none;
}
.scrollContent {
height: auto;
max-height: 300px;
width: 416px;
overflow-y: auto;
background-color: navy;
}
#myTable2 {
width: 400px;
height: auto;
max-height: 150px;
border: solid lightgray 1px;
border-collapse: collapse;
}
#myTable2 tr {
width: 100%;
}
#myTable2 tr:nth-child(even) {
background-color: lightgray;
}
#myTable2 tr:nth-child(odd) {
background-color: lightslategrey;
}
#myTable2 td {
text-align: center;
padding-left: 5px;
padding-right: 5px;
}
.clm1 {
width: 10%;
}
.clm2 {
width: 25%;
}
.clm3 {
width: 15%;
}
.clm4 {
width: 20%;
}
.clm5 {
width: 20%;
}
#myTable2 tr .clm6 {
text-align: left;
width: 10%;
}
<div id="container">
<fieldset>
<legend>Dane</legend>
Dropdown
<select name="drp" id="dropdown" style="width:90px;">
<option value="0"></option>
<option value="1">1 </option>
<option value="2">2</option>
</select><br>
A <input type="text" id="A"><br>
B <input type="text" id="B"><br>
C <input type="text" id="C">
<input type="button" value='Add' id='add_btn' />
</fieldset>
<div id="tableContainer" class="tableContainer">
<div id="myTablecontainer">
<table id="myTable">
<tr>
<th class="MyTableHeadings clm1">ID</th>
<th class="MyTableHeadings clm2">H1</th>
<th class="MyTableHeadings clm3">H2</th>
<th class="MyTableHeadings clm4">H3</th>
<th class="MyTableHeadings clm5">H4</th>
<th class="MyTableHeadings clm6">Delete</th>
</tr>
</table>
</div>
<div class="scrollContent">
<table id="myTable2"></table>
</div>
</div>
</div>
<script src="https://cdnjs.cloudflare.com/ajax/libs/jquery/3.3.1/jquery.min.js"></script>
|
{
"redpajama_set_name": "RedPajamaStackExchange"
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| 7,974
|
higher terrain. Most of the higher terrain in the Brecon Beacons therefore appears to have escaped significant glacial erosion during both phases of ice-flow due to cold-based ice or low basal ice velocities beneath a local ice cap. Landforms previously interpreted as cirques in fact have v-shaped profiles and lack evidence of major over-deepening. They are interpreted to have been formed primarily by processes other than glacial erosion. The overall impact of glaciation in the Brecon Beacons appears to be limited primarily to the time when the area was over-run by the Welsh Ice Cap and the influence of local glaciation has been minimal. This study has two main implications for landscape evolution in mountain ranges that lie at the periphery of former ice sheets. First, due to the presence of cold-based ice or low basal ice velocities beneath a local ice cap it may be possible to find fragmentary traces of pre-LGM ice flow. Second, the pattern of glacial lineations in and around the Brecon Beacons indicates that peripheral mountain ranges may have deflected ice flow at the LGM, resulting in low basal ice flow velocities and possible frozen-bed conditions over higher terrain which consequently resulted in ineffective glacial erosion within the mountains themselves.
|
{
"redpajama_set_name": "RedPajamaC4"
}
| 5,953
|
Q: Is there any advantage of using MERGE over TRUNCATE/DELETE followed by INSERT INTO SELECT? I've this code, code #1:
MERGE sales.category t
USING sales.category_staging s
ON (s.category_id = t.category_id)
WHEN MATCHED
THEN UPDATE SET
t.category_name = s.category_name,
t.amount = s.amount
WHEN NOT MATCHED BY TARGET
THEN INSERT (category_id, category_name, amount)
VALUES (s.category_id, s.category_name, s.amount)
WHEN NOT MATCHED BY SOURCE
THEN DELETE;
I can use this instead, Code #2:
TRUNCATE TABLE sales.category
INSERT INTO sales.category
SELECT * FROM category_staging
Or I can use this instead, code #3:
DELETE FROM sales.category
INSERT INTO sales.category
SELECT * FROM category_staging
Is there any performance/non-performance advantage of using code #1?
|
{
"redpajama_set_name": "RedPajamaStackExchange"
}
| 3,723
|
mobile gold processing plants,Small Portable Gold Process Plant - 911 MetallurgistMar 25, 2018 . This arrangement and flowsheet of a Mini Portable Gold Processing Plant permits several mineral . Buy Mobile gold processing plant.mobile gold processing plants,Gold Processing Plant | Mineral Processing Solutions | APTThese plants range from Groundbreaker size (RG30 to RG100B), in mobile gold processing plants (RG30-T), through to large-scale placer mining operations.mobile gold ore processing plant, mobile ore beneficiation, mobile .One of the most serious problems confronting the mining industry today is how to profitably begin the small scale milling of ores from mines where insufficient ore.
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Portable placer gold processing plants for alluvial mining, screen deck classifying jigs for . Well suited for production and exploration - stationary or mobile.
|
{
"redpajama_set_name": "RedPajamaC4"
}
| 330
|
Invest in Freedom
Why Are Gunshot Wounds Being Counted as Covid Deaths in Palm Beach County?
reopenfl.org was the first to break this story
See Full Report Here
MEDICAL EXAMINER RECORD REVEALS PATIENTS WHO DIED WITH COVID, NOT FROM COVID
As of July 17, 2020 the Palm Beach County Medical Examiner's Office reported a total of 580 deaths in the county, 79 fewer than the 659 reported by local media. But that's not the only discrepancy.
Shockingly, 8 of the 580 patients had no Covid-19 complications at all listed as their cause of death or even a contributing cause of death. Those 8 patients died from events such as a gunshot wound to the head, hip fracture, congestive heart failure, or Parkinson's disease yet all 8 patients were included on the list of Covid-19 deaths by the Palm Beach County Medical Examiner.
Another 78 cases have a primary cause of death that is not related to Covid-19. These patients only have a "contributory" cause of death listed as Covid-19. "Contributory" causes are those that did not directly cause the death of the patient. Those 78 patients had a direct cause of death such as congestive heart failure, kidney cancer, blunt head trauma, and metastatic pancreatic cancer and were also counted as Covid-19 deaths.
The Centers for Disease Control and Prevention document, Guidance for Certifying Deaths Due to Coronavirus Disease 2019, published in April 2020, provides official guidance to death certifiers on the proper way to report deaths on death certificates. The guidance specifies that a patient's "cause of death" is "the conditions that led to the immediate cause of death" and that the cause should "be reported in a logical sequence" starting from the underlying cause of death and ending with the immediate cause of death.
A patient's "contributory cause of death," on the other hand, is an illness that contributes to a death, but is not a part of the sequence that led to the immediate cause of death, the CDC reports.
Despite this CDC guidance making a clear distinction between a patient's cause of a death and a contributing cause, the CDC published a webinar that directs physicians and other death certifiers to mark both types of death as a Covid-19 death. The webinar, with the same title as the guidance document, states that a Covid-19 provisional death count "includes deaths with Covid-19 as the underlying cause or contributing cause."
It is not clear why the webinar guidance gives the instructions to count patient deaths that were not caused by Covid-19 as a Covid-19 death or why the Palm Beach County Medical Examiner's Office has marked deaths such as "blunt head trauma" as a Covid-19 death.
The CDC's website defines "provisional data" as preliminary data that may not yet be complete.
https://www.cdc.gov/nchs/data/nvss/vsrg/vsrg03-508.pdf
https://emergency.cdc.gov/coca/calls/2020/callinfo_041620.asp
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What Renesmee From The Twilight Saga: Breaking Dawn Looks Like Now
By Nicole Moore/April 6, 2021 9:49 pm EST
In the 2011 film The Twilight Saga: Breaking Dawn – Part 1, Bella Swan (Kristen Stewart) and her vampire beau Edward Cullen (Robert Pattinson) finally tie the knot. At first, they experience post-marital bliss and have a romantic honeymoon on a private island owned by the Cullens. However, their trip is cut short when Bella discovers she somehow managed to get pregnant with a vampire-human hybrid. Due to the nature of the pregnancy, the 18-year-old gives birth to a full-term baby in less than a month and names her Renesmee.
Things get even more complicated in 2012's Breaking Dawn – Part 2 when Bella's former love interest Jacob Black (Taylor Lautner) imprints on her infant daughter, meaning the Quileute shape-shifter will have a romantic relationship with her when she fully matures at the age of 7. The Volturi coven is also under the impression that Renesmee is a dangerous immortal child and travels to Forks, Washington, to murder her before she can do any damage. However, they soon realize their mistake and spare her life.
Mackenzie Foy was just 9 years old when she was cast to play Renesmee. To best translate the character's rapid aging from the page to the screen, the filmmakers decided to use body doubles and "superimpose[d] Mackenzie Foy's face on the three other actresses' bodies in the scenes where she is at varying ages/sizes," as reported by Cafe Mom. Here's how she looks like now, close to a decade after Breaking Dawn — Part 2's release.
The 'Breaking Dawn' actress looks quite different since she played Renesmee
Pascal Le Segretain/Getty Images
While audiences did catch a glimpse of an adult version of Renesmee with Foy's face at the end of Breaking Dawn — Part 2, fans of the franchise still may find it shocking to see what the actress looks like now. After all, she joined the Twilight cast over a decade ago. Following Breaking Dawn — Part 2's premiere in 2012, Foy has had starring roles in quite a few films, including The Conjuring, Interstellar, and The Nutcracker and the Four Realms. Most recently, she played Jo Green in the Disney film Black Beauty. In November 2020, Foy spoke to Hollywood Life to promote the movie, which is based on Anna Sewell's 1877 novel. During the interview, she mentioned that she has a strong appreciation for the Twilight film series.
"I mean I was nine when all of that started so looking back at it, it is really just... I see that I was really, really lucky to be a part of something like that and how unique of an experience that was... The memories I have from that film I will have forever," said the 20-year-old.
Not only is Foy an incredible actress, but she is also quite popular on social media. She currently has over 1.6 million Instagram followers, many of whom presumably wanted to see the little girl from Twilight all grown up.
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Q: How do I make boost::serialization work with std::shared_ptr? This question has been asked here and a few other places but the answers don't really seem to address the latest Boost library.
To illustrate the issue, suppose we want to serialize a class containing a shared pointer (std::shared_ptr), along with a static load function that will build the class from a file and a save function that will store the instance to a file:
#include <boost/archive/text_iarchive.hpp>
#include <boost/archive/text_oarchive.hpp>
#include <boost/serialization/shared_ptr.hpp>
#include <fstream>
#include <memory>
#include <vector>
class A
{
public:
std::shared_ptr<int> v;
void A::Save(char * const filename);
static A * const Load(char * const filename);
//////////////////////////////////
// Boost Serialization:
//
private:
friend class boost::serialization::access;
template<class Archive> void serialize(Archive & ar, const unsigned int file_version)
{
ar & v;
}
};
// save the world to a file:
void A::Save(char * const filename)
{
// create and open a character archive for output
std::ofstream ofs(filename);
// save data to archive
{
boost::archive::text_oarchive oa(ofs);
// write the pointer to file
oa << this;
}
}
// load world from file
A * const A::Load(char * const filename)
{
A * a;
// create and open an archive for input
std::ifstream ifs(filename);
boost::archive::text_iarchive ia(ifs);
// read class pointer from archive
ia >> a;
return a;
}
int main()
{
}
The above code generates a long list of errors starting with c:\local\boost_1_54_0\boost\serialization\access.hpp(118): error C2039: 'serialize' : is not a member of 'std::shared_ptr<_Ty>', which as far as I understand shouldn't be true given that I have loaded the boost shared_ptr serialization library which ostensibly supports std::shared_ptr. What am I missing here?
NOTE: As far as I understand, my assumption that boost/serialization/shared_ptr.hpp defined a serialize function for std::shared_ptr was wrong, hence the correct answer to this question is probably that I'd either have to define my own serialize functions for std::shared_ptr or convert to boost::shared_ptr
A: This is the best answer I have been able to come up with myself. If someone has something better to say on this I will accept that as an answer instead.
The boost/serialization/shared_ptr.hpp header that boost ships with is not support for std::shared_ptr but for boost::shared_ptr. If you want to make serialization work with shared pointer objects without bootlegging your own serialization code then you will need to convert your std::shared_ptr objects to boost::shared_ptr objects and live with the consequences.
My misunderstanding was that I thought that boost/serialization/shared_ptr.hpp defined a serialize method for std::shared_ptr. I was wrong.
A: No, std::shared_ptr and boost::shared_ptr are unrelated class templates.
Boost.Serizalization doesn't support std::shared_ptr out of the box, but you can add such a support in your application - just take a look at <boost/serialization/shared_ptr.hpp> header.
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{"url":"http:\/\/www.maths.manchester.ac.uk\/~tv\/Seminar\/2012-2013\/shonkwiler-extra.html","text":"# Manchester Geometry Seminar 2012\/2013\n\nEXTRA MEETING: Tuesday 11 December 2012. The Frank Adams Room (Room 1.212), the Alan Turing Building. 1pm\n\n## The Dirichlet-to-Neumann Map for Differential Forms Clayton Shonkwiler (University of Georgia)\n\nclayton@math.uga.edu\n\nThe classical Dirichlet-to-Neumann map is an operator on functions on the boundary of a Riemannian manifold which arises in the problem of Electrical Impedance Tomography. I will discuss a generalization of this operator to differential forms which synthesizes all previous approaches and describe how it can be used to recover geometric and topological information about the manifold. This is joint work with Vladimir Sharafutdinov.","date":"2018-07-16 10:48:36","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 1, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.44525837898254395, \"perplexity\": 932.461337299874}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2018-30\/segments\/1531676589251.7\/warc\/CC-MAIN-20180716095945-20180716115945-00252.warc.gz\"}"}
| null | null |
Alpha Lyncis (Elvashak, 40 Lyncis) é uma estrela na direção da Lynx. Possui uma ascensão reta de 09h 21m 03.46s e uma declinação de +34° 23′ 33.1″. Sua magnitude aparente é igual a 3.14. Considerando sua distância de 222 anos-luz em relação à Terra, sua magnitude absoluta é igual a −1.02. Pertence à classe espectral K7IIIvar.
Ver também
Designação de Bayer
Designação de Flamsteed
Catálogo Henry Draper
Catálogo Hipparcos
Estrelas
Objetos de Bayer
Constelação de Lynx
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{"url":"https:\/\/mailman.ntg.nl\/pipermail\/ntg-context\/2016\/086137.html","text":"# [NTG-context] Different colors in LaTeX and ConTeXt\n\nHans Hagen pragma at wxs.nl\nTue Jul 12 14:29:20 CEST 2016\n\n```On 7\/12\/2016 1:53 PM, Henri Menke wrote:\n> Dear list,\n>\n> I wanted to draw some nice pictures using TikZ and pgfplots, but then I\n> noticed that the colors of the ticks in my pgfplots graph were unusually\n> bright and it looked very weird. So I set up a test\n>\n>> \\usemodule[tikz]\n>> \\starttext\n>> \\starttikzpicture\n>> \\draw[help lines,very thick] (0,0) -- (1,0);\n>> \\stoptikzpicture\n>>\n>> \\externalfigure[test-crop]\n>> \\stoptext\n>\n> where I produced test-crop.pdf from the following plain TeX sample,\n> which I also typeset with LuaTeX 0.95 (to make sure it's not a LuaTeX\n> regression).\n>\n>> \\input luatex85.sty\n>> \\input tikz\n>> \\tikzpicture\n>> \\draw[help lines,very thick] (0,0) -- (1,0);\n>> \\endtikzpicture\n>> \\bye\n>\n> Attached you find the output of the ConTeXt example and you can see that\n> the color of the upper line (the one produced with TikZ inside ConTeXt)\n> has a much brighter color than the one produced with plain TeX.\n>\n> I'm using ConTeXt MkIV distributed with TL 2016.\n>\n> How can I adjust the colors in ConTeXt to match the ones produced by\n> plain TeX? I need the adjustment in that direction, because I also have\n> old images produced with plain TeX\/LaTeX that I'd like to seamlessly\n> integrate in my ConTeXt documents.\n\nyou need to figure out the default definitions in tikz then (i suppose\n'help lines' is related to some color)\n\n-----------------------------------------------------------------","date":"2021-11-28 07:49:53","metadata":"{\"extraction_info\": {\"found_math\": false, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.9938151836395264, \"perplexity\": 7420.625405316397}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2021-49\/segments\/1637964358480.10\/warc\/CC-MAIN-20211128073830-20211128103830-00559.warc.gz\"}"}
| null | null |
As it happened: megastorm Sandy day one
Photo: Tourists take photos of a ruined apartment block in New York City after superstorm Sandy on Nov 1, 2012. (ABC News: Erin Parke)
Photo: Members of the Army National Guard deliver emergency drinking water to the Hoboken Homeless Shelter to aid victims from Hurricane Sandy on October 31, 2012 in Hoboken, New Jersey. (AFP: Michael Bocchieri)
Photo: Customers wait in line for fuel at a petrol station in Brooklyn, New York, on November 9, 2012. Hurricane Sandy left a trail of destruction and despair in the US Northeast, but it also exposed a surprising fault line in the ability of petrol stations to keep fuel flowing. New York City mayor Michael Bloomberg ordered the emergency rationing of fuel due to the severe shortage caused by the storm. (Reuters: Brendan McDermid )
Photo: Boats are strewn among buildings on the waterfront after superstorm Sandy battered Sea Bright, New Jersey, on October 31, 2012. (AFP: Mario Tama)
Photo: President Barack Obama checks out damage to Seaside Heights in New Jersey onboard Marine One on October 31, 2012. Mr Obama is touring the area to see the devastation from superstorm Sandy. Read the story (AFP: Doug Mills)
Photo: US president Barack Obama comforts superstorm Sandy victim Dana Vanzant as he visits a neighbourhood in Brigantine, New Jersey on October 31, 2012. Read the story
Photo: New York City youngsters get in the Halloween spirit on the Upper West Side on October 31, 2012, despite the city's official Halloween parade being cancelled due to damage from the superstorm Sandy. The parade, which normally fills Greenwich Village, has been cancelled for the first time in almost 40 years. (ABC News: Erin Parke)
Photo: US president Barack Obama speaks with victims of superstorm Sandy at a shelter in Brigantine, New Jersey on October 31, 2012. Read the story
Photo: Residents look over the remains of burned homes in the Rockaways section of New York, October 30, 2012. Hurricane Sandy battered the U.S. East Coast on Monday with fierce winds and driving rain, as the monster storm shut down transportation, shuttered businesses and left hundreds of thousands without power. (Reuters: Keith Bedford)
Photo: Taxis sit in a flooded lot after superstorm Sandy on October 30, 2012 in Hoboken, New Jersey. (Getty Images/AFP: Michael Bocchieri)
Photo: The John B. Caddell, a 700-tonne tanker, washed up on the shore of Staten Island in New York during a storm surge caused by Hurricane Sandy, October 30, 2012. (AFP: Mehdi Taamallah)
Photo: Fishing huts destroyed by Hurricane Sandy are seen on an island near Fire Island, New York, October 30, 2012. (Reuters: Lucas Jackson)
Photo: Homes sit smouldering in the Breezy Point neighbourhood in Queens, New York City, October 30, 2012. Over 50 homes were reportedly destroyed in fires in the wake of Hurricane Sandy. (AFP: Spencer Platt)
Photo: People search through the burnt remains of homes destroyed in the Breezy Point neighbourhood in Queens, New York City, October 30, 2012. (AFP: Spencer Platt)
Photo: A firefighter helps a woman from a truck after she was evacuated in the aftermath of Hurricane Sandy. Little Ferry, New Jersey, October 30, 2012. (AFP: Andrew Burton)
Photo: People view one of many homes badly damaged by Hurricane Sandy is pictured in the Cosey Beach neighbourhood of East Haven, Connecticut, October 30, 2012. (Reuters: Michelle McLoughlin)
Photo: Aerial photograph of the New Jersey coast in the aftermath of Hurricane Sandy, October 30, 2012. (AFP: Erik Swanson, US Coast Guard)
Photo: A statue is seen among homes devastated by fire and the effects of Hurricane Sandy at the Breezy Point section of the Queens borough of New York, October 30, 2012. (Reuters: Shannon Stapleton)
Photo: A damaged car sits in the remains of a house in the Rockaways section of New York in the aftermath of Hurricane Sandy, October 30, 2012. (Reuters: Keith Bedford)
Photo: A sporting goods and camping store displays its message to residents in the aftermath of Hurricane Sandy on October 30, 2012 in Huntington Station, New York. (AFP: Bruce Bennett)
Photo: A resident walks down a street covered in beach sand due to flooding from Hurricane Sandy on October 30, 2012 in Long Beach, New York. (AFP: Mike Stobe)
Photo: Emergency personnel rescue a resident from floodwaters brought on by Hurricane Sandy in Little Ferry, New Jersey on October 30, 2012. (Reuters: Adam Hunger)
Photo: Republican presidential nominee Mitt Romney loads relief supplies for people affected by superstorm Sandy at a relief campaign event in Kettering, Ohio on October 30, 2012. (Reuters: Brian Snyder )
Photo: A man walks from his home which is surrounded by swollen seas after the Sandy storm surge in Bellport, New York. (Reuters: Lucas Jackson)
Photo: The New York skyline is without power on October 30, 2012, after superstorm Sandy. (Flickr: Lauren Farmer)
Photo: Jolito Ortiz helps sweep water out of his friend's apartment on the Lower East side of New York after flooding caused by superstorm Sandy on October 30, 2012. (AFP: Andrew Burton)
Photo: Cars float in a flooded subterranean basement following Hurricane Sandy on October 30, 2012 in the financial district of New York, United States. (AFP: Andrew Burton)
Photo: Tourists shield themselves from driving rain in Times Square as Hurricane Sandy makes its approach in New York, October 29, 2012. (Reuters: Andrew Kelly)
Photo: A flooded street in the Dumbo section of Brooklyn as the city awakens to the effects of Hurricane Sandy on October 30, 2012 in New York. (AFP: Spencer Platt)
Photo: Floodwaters caused by former hurricane Sandy rush into the Carey Tunnel (previously the Brooklyn Battery Tunnel), in the financial district of New York City, on October 29, 2012. (AFP: Andrew Burton)
Photo: Flood waters brought on by Hurricane Sandy over run cars in New York's lower east side on October 29, 2012. (Reuters: Brendan McDermid)
Photo: Homes devastated by fire and Hurricane Sandy at the Breezy Point section of the Queens borough of New York October 30, 2012. (Reuters: Shannon Stapleton)
Photo: A blacked-out New York City skyline is seen on October 29, 2012 as Hurricane Sandy made landfall in the north-eastern United States. (Reuters: Gary He)
Photo: Paramedics evacuated patients from New York University Hospital after it lost power and a back-up generator as Superstorm Sandy lashed the city. (Reuters: Andrew Kelly)
Photo: A fire fighter works to clean up damage caused by former hurricane Sandy in New York City on October 29, 2012. (AFP: Andrew Burton)
Photo: Firefighters help evacuate workers from the Consolidated Edison power plant in New York on October 29, 2012. (Reuters: Brendan McDermid)
Photo: Floodwaters from former Hurricane Sandy rush into an underground carpark in the financial district of New York City on October 29, 2012. (AFP: Andrew Burton)
Photo: New York residents make use of a Red Cross shelter in Hampton Bays, New York, as former hurricane Sandy moves over the US east coast on October 29, 2012. (Reuters: Lucas Jackson)
Photo: Darkness engulfs the lower Manhattan skyline in New York City during a precautionary power outage due to former hurricane Sandy on October 29, 2012. (Reuters: Keith Bedford)
Photo: An emergency worker walks toward floodwaters in Manhattan, New York City as former Hurricane Sandy moves over the US east coast on October 29, 2012. (AFP: Michael Heiman)
Photo: Floodwaters rush through Lower Manhattan, New York City, as former Hurricane Sandy crosses the US east coast on October 29, 2012. (Twitter: @Occuweather)
Photo: Floodwaters gush into the Hoboken underground railway station in New Jersey as former hurricane Sandy moves over US east coast on October 29, 2012. (Port Authority of NY and NJ)
Photo: A construction vehicle drives through heavy floodwaters in Brooklyn, New York City, as the super storm system Sandy heads north on the US east coast on October 29, 2012. (Reuters: Gary He)
Photo: The tall ship Bounty is seen submerged in the Atlantic Ocean off the coast of North Carolina during a US Coast Guard rescue. (US Coast Guard)
Photo: Floodwaters from former hurricane Sandy cover the Brooklyn waterfront in New York City on October 29, 2012. (Reuters: Keith Bedford)
Photo: Storm surf kicked up by the high winds from Hurricane Sandy floods through a home in Southampton, New York on October 29, 2012. (Reuters: Lucas Jackson)
Photo: Members of the Freeport Fire Department respond to a house fire down a flooded street in Freeport, New York on October 29, 2012. Hurricane Sandy had strengthened and was bearing down on the US east coast. Read the story (Reuters: Shannon Stapleton)
Photo: A car drives on a flooded street in Atlantic City, New Jersey, as Hurricane Sandy approaches on October 29, 2012. Most of Atlantic City was flooded as the Hurricane moved over the US east coast. (AFP: Mario Tama)
Photo: An apartment building in New York City is stripped bare after its facade was torn down by winds from Hurricane Sandy on October 29, 2012. (Twitter: Meg Robertson)
Photo: A woman is evacuated as she goes into labour in Hampton Bays, New York, as Hurricane Sandy approaches on October 29, 2012. (Reuters: Lucas Jackson)
Photo: A crew member from the replica tall ship HMS Bounty arrives at a North Carolina airport after being rescued from the Atlantic Ocean by US Coast Guard during Hurricane Sandy on October 29, 2012. (Reuters/US Coast Guard)
Photo: Waves crash over a group of friends in Milford, Connecticut, as Hurricane Sandy approaches the US east coast on October 29, 2012. (Reuters: Michelle McLoughlin)
Photo: Police and firefighters guard a scaffolding in the process of collapsing due to Hurricane Sandy in New York City on October 29, 2012. Read the story (AFP: Andrew Burton)
Photo: John Edgecombe II, who is homeless, shelters from the rain and wind in a bus stop in Washington, DC, as Hurricane Sandy approaches on October 29, 2012. (AFP: Brendan Smialowski)
Photo: Evacuees sit out the storm in Lewes, Delaware, as Hurricane Sandy approaches the US east coast on October 29, 2012 (AFP: Alex Wong)
Photo: A commuter uses an umbrella as it rains at Times Square in New York on October 29, 2012. Hurricane Sandy was strengthening and the centre of the storm was forecast to move across the east coast of the US. Read the story (Reuters: Adrees Latif)
Photo: A car drives through water Southampton, New York on October 29, 2012. Hurricane Sandy has strengthened and is bearing down on the US east coast. Read the story. (Reuters: Lucas Jackson)
Photo: Sandbags guard a building in Washington DC, on October 29, 2012 as Hurricane Sandy approaches. (ABC News: Erin Parke)
Photo: Trees felled by Hurricane Sandy are pictured in Boston on October 29, 2012. The super storm was hitting the east coast of the United States, forcing hundreds of thousands of people to evacuate. Read the story (ABC: Louie Eroglu)
Photo: A man walks through floodwaters caused by Hurricane Sandy in Cape May, New Jersey on October 29, 2012. (AFP: Mark Wilson)
Photo: A crane on top of a New York apartment block buckles as strong winds from Hurricane Sandy lash the US east coast on October 30, 2012. (Reuters)
Photo: A sailboat smashes onto rocks after breaking free from its mooring on City Island in New York on October 29, 2012. Hurricane Sandy's winds picked up speed as the storm made its way towards the east coast. (AFP: Don Emmert)
Photo: Hurricane Sandy is seen on the east coast of the United States in this NASA handout satellite image on October 29, 2012. (Reuters: NASA)
Photo: Con Edison workers use sandbags to cover up power vaults in New York on October 28, 2012. (Reuters: Carlo Allergi)
Photo: Beachgoers along the oceanfront get soaked by an incoming wave as Hurricane Sandy begins to arrive in Virginia Beach, Virginia, on October 28, 2012. (Reuters: Rich-Joseph Facun)
Photo: Sand blows on the beach ahead of Hurricane Sandy on October 28, 2012 in Atlantic City, New Jersey. (AFP: Mario Tama)
Photo: The back entrance to the New York Stock Exchange is sand bagged as Hurricane Sandy approaches on October 28, 2012. (Reuters: Carlo Allegri )
Photo: Shoppers queue for supplies as Hurricane Sandy approaches New York (courtesy Kirra Cheers)
Photo: United States president Barack Obama asks a question during a Federal Emergency Management Agency (FEMA) briefing about Hurricane Sandy in Washington on October 28, 2012. (Reuters: Johnathan Ernst)
Photo: Construction workers carry boards of wood to protect the air vents on the New York subway system from Hurricane Sandy on October 28, 2012. (AFP: Andrew Burton)
Photo: People try to get through packed aisles at a supermarket in New York as they prepare for the arrival of Hurricane Sandy on October 28, 2012. (AFP: Timothy A Clary)
Photo: The Long Island Railroad announces the imminent suspension of its service as New York prepares for the arrival of Hurricane Sandy on October 28, 2012. Read the story (AFP: Bruce Bennett)
Photo: Residents fill sand bags as Hurricane Sandy approaches on October 28, 2012 in Long Beach, New York.
(Getty/AFP: Mike Stobe)
Photo: New York City Mayor Michael Bloomberg speaks to members of the media at Seward Park High School on October 28, 2012. (Getty Images/AFP: Andrew Button)
Gallery: Hurricane Sandy hits US east coast
Related Story: Election campaign sidelined by Sandy
Map: United States
At least 13 people were killed in the United States and Canada as the megastorm Sandy slammed into the US east coast today.
New York City and Atlantic City were among the worst-hit areas as Sandy roared ashore, bringing with it a huge storm surge.
Follow our live blog for updates (All times AEDT):
Large parts of lower Manhattan are flooded, with widespread power cuts and electrical fires.
America's oldest nuclear power plant is on alert after floodwaters damaged its cooling system.
Most of Atlantic City is under water.
A crane has toppled over in high winds and is hanging off a 90-storey skyscraper near Times Square.
There are fears of widespread flooding along Long Island Sound.
New York's 911 system has been inundated with 10,000 calls every half hour.
The storm's wind field stretched from the Canadian border to South Carolina.
7:10pm: NRL Star Johnathan Thurston is one of the Australians caught up in the storm.
Thurston has been holidaying in New York and told ABC North Queensland the situation was pretty tense.
"I think everyone's shitting bricks just quietly."
He says the storm has put a "bit of a dampener" on his holiday, but they have been having fun until now.
"At this stage it looks like we will be staying in New York an extra couple of nights than planned, but it could be worse, we could be stuck somewhere else, we are New York City so that's alright."
6:07pm: More than 100 firefighters have been battling a blaze that broke out in Breezy Point, Queens - a small beach community that has been severely affected by flooding.
NBC New York has tweeted a photo of the blaze.
5:39pm: The US Coast Guard has tweeted this photo of the replica ship HMS Bounty, which sank in 18-foot seas.
The Coast Guard rescued 14 crew in a dramatic helicopter rescue, but one woman died and the captain is still missing.
5:18pm: Surging seawater has flooded seven New York subway tunnels and six bus garages.
Metropolitan Transportation Authority chairman Joseph Lhota calls it "the worst disaster for city transport in a century".
"The New York City subway system is 108 years old, but it has never faced a disaster as devastating as what we experienced last night."
Read Mr Lhota's full statement.
4:53pm: This just in from the photo desk:
4:40pm: The US election has been pushed aside by Sandy, but an uncomfortable political question emerges. Which candidate stands to lose or gain ground?
Dr Michael Ondaatje from the United States Studies Centre discusses the political implications of the disaster.
Video: Political ramifications of superstorm Sandy (ABC News)
4:24pm: Greg Carbin from the US Storm Prediction Centre created this animation showing Superstorm Sandy's landfall through the measure of surface pressure over 23 hours starting from Sunday evening.
External Link: Animation shows Sandy's landfall and sprawling impact
4:13pm: Watch ABC and YouTube videos showing the damage caused by Superstorm Sandy.
4:01pm: Check out this CBS News footage of floodwaters surging through the Brooklyn Battery Tunnel in New York City.
One of the Con Ed workers pulled from the floodwater, Angelo Amato, told Reuters he was part of a crew who had offered to work through the storm.
"This is what happens when you volunteer."
3:07pm: On Twitter, New Jersey's governor Chris Christie says he might have to cancel Halloween.
"If conditions are not safe on Wednesday for Trick or Treating, I will sign an Executive Order rescheduling #Halloween."
3:05pm: Former ABC journalist Sarah Caddick says memories of Irene led many New Yorkers to stay put during Hurricane Sandy. Here's her story from earlier.
2:50pm: How does Sandy compare to other recent massive storms?
2:46pm: The death toll is rising and is now at 13: Local officials in New York, New Jersey, Maryland, Pennsylvania, West Virginia and North Carolina reported 12 dead from the massive storm system, and Toronto police said a Canadian woman was killed by flying debris.
2:37pm: A Twitter account which appears to be run by US power company Con Edison is saying the Reuters report about workers being trapped in a Con Ed power plant is false. The account is @ConEdison.
2:22pm: Reuters is now reporting that the Nine Mile One nuclear reactor in upstate New York has been shut down. It was not clear if the outage was related to Superstorm Sandy.
2:08pm: JUST IN: America's oldest nuclear power plant is on alert after floodwater hit its water intakes.
The alert at the Oyster Creek plant in New Jersey is the second lowest of four levels which can be defined by the US Nuclear Regulatory Commission.
Read the Commission's statement here.
2:02pm: Snapshot of the storm's impact (Reuters):
High winds and flooding hit hundreds of kilometres of Atlantic coastline while heavy snows were forecast farther inland as the centre of the storm marched westward.
The storm's wind field stretched from the Canadian border to South Carolina, and from West Virginia to a point in the Atlantic Ocean about halfway between the United States and Bermuda, easily one of the largest ever seen.
More than 3 million customers were already without power by early evening and more than 1 million people were subject to evacuation orders. Many communities have been swamped by flood waters.
1:55pm: The ABC's Michael Maher is on the banks of the Hudson River in Manhattan.
"I'm watching the water just progressively come further up the street towards me. I'm about five feet away from lapping water at the moment.
"I'd say it's probably about three feet [deep] a little further in front of me.
"It's certainly quite a frightening sight. This is the route that I walk every morning to go for a run along the Hudson and I've never seen it like this before. I've been standing here for about half an hour and in that time the water has come up this street into the centre of Manhattan by about 10 feet. So it is gradually coming into the centre of the island."
More than a million people are now confirmed to be without power in the state of New York alone.
1:45pm: The storm is now weakening as it heads inland. Also, it now appears that earlier reports of the New York Stock Exchange trading floor being flooded are actually untrue.
1:42pm: 19 workers are trapped after an explosion at a Consolidated Edison power station on the east side of Manhattan, Reuters reports.
This video shows the explosion at the plant on the East River.
External Link: Consolidated Edison power station explosion (YouTube: TrillianMedia)
1:38pm: Photo: Water pours into an underground carpark in Manhattan's financial district.
Photo: Floodwaters from former Hurricane Sandy rush into an underground car park in the financial district of New York City on October 29, 2012. (AFP: Andrew Burton)
1:35pm: We've now got reports of at least 10 storm-related deaths: 5 in New York; 2 in New Jersey; 1 in Connecticut; 1 in West Virginia; 1 off the coast.
1:09pm: More from the Mayor Bloomberg press conference:
He told New Yorkers: "We will get through this like we always do."
"The worst of the weather has come. The city is feeling the impacts. At the battery we have seen record surge levels. There are extra ordinary levels of water in Lower Manhattan."
Mr Bloomberg says one of the city's main hospitals is being evacuated due to power outages.
"One thing we had not counted on was New York University Hospital's back-up power has stopped working," he said.
He says the 911 system is receiving something like 10,000 phone calls per half hour.
"Much of this is driven by non-emergency calls. Please, please, please do not call 911 if it's not a life threatening emergency," he said.
He says there are a lot of fires being caused by downed power lines.
"Stay away from windows, close the drapes, if water is coming into your home go to the highest area," he said.
Video: Mayor Michael Bloomberg on the situation in New York (ABC News)
1:01pm: BREAKING: Bloomberg says the worst of the weather has now passed New York and winds should be below gale force within the next few hours. He says the worst of the storm surge will soon be over.
12:57pm: BREAKING: Mayor Bloomberg is talking now: "an extraordinary" amount of water in lower Manhattan; widespread power outages; patients being evacuated from NY University Hospital after power failures; large amounts of fires caused by electrical faults. He says the 911 system is receiving 10,000 calls per half-hour. More to come.
12:56pm: We're standing by for a live press conference from New York mayor Michael Bloomberg.
12:51pm: JUST IN: US emergency officials have issued a warning for residents around Long Island Sound.
Officials say the worst of the high tide and storm surge is expected to hit in the next hour or so and people are being told to get to higher ground if they still can.
Those who are now trapped in their homes are advised to stay where they are.
"Stay away from windows. Ride this thing out. Do not try to walk through it, do not try and swim through it," an official said.
"If your house is surrounded by water right now, move to a higher level of the house."
12:49am: BREAKING: AFP is reporting that two people have been killed after a tree fell onto their car in New Jersey, according to an emergency management official.
12:45pm: In New York City right now:
All tunnels and bridges in and out of Manhattan are reported to be closed.
There are reports that the trading floor at the New York Stock Exchange is under 1 metre of water
There are photos of water flooding into subway stations and into the construction site at Ground Zero.
12:29pm: More video from New York: this clip shows flooding at the corners of Broad and William Street.
External Link: Flooding in Manhattan (YouTube/TimPool)
12:15pm: This dramatic video just in: Watch the moment a giant crane buckled as high winds hit New York City earlier today. The crane was erected on a 306-metre skyscraper under construction near Times Square. Warning: contains strong language.
External Link: The moment the crane buckled on NYC apartment block (Elboriqua4u2c)
12:10pm: Here's a round-up of coverage on social media so far.
12:08pm: It's now clear that the Hudson and East rivers have burst their banks in New York, causing widespread flooding in lower Manhattan. There are also reports of hundreds of guests being evacuated from a hotel near the site of the crane collapse.
11:35am: BREAKING: The Wall Street Journal says at least five people have been killed in storm-related incidents in New York.
Social media is alive with pictures showing what users say is the flooding in lower New York City; the photos show cars floating in the streets. High tide is expected within 20 minutes.
Photo: Floodwaters rush through Lower Manhattan, New York City (Twitter: @Occuweather)
11:30am: Craig McMurtrie updates ABC News 24 on the situation as night falls in Washington DC.
Video: Craig McMurtrie reports from Washington (ABC News)
11:24am: Photo: A bulldozer drives through floodwaters in Brooklyn.
Photo: A construction vehicle drives through heavy floodwaters in Brooklyn, New York City. (Reuters: Gary He)
11:16am: New York's Fire Department says a man has been killed after a tree fell on his house in Queens.
11:09am: There are reports of widespread blackouts in New York City. This from the New York Times:
"Around 7pm the torch at the top of the Statue of Liberty, which shone all through thick daytime fog, driving rain and an early nightfall, went black.
"Soon after, lights began blinking out in buildings all over Lower Manhattan, and two flashes that looked like explosions lighted the sky above New Jersey."
11:06am: BREAKING: The US National Hurricane Centre says former hurricane Sandy has made landfall along the New Jersey coast.
11:00am: Residents outside New York City say they have been told they are "on their own" until daylight.
Linda Floyd told ABC News 24 her family was riding it out at home in the town of Maplewood in New Jersey.
"It's very dark. Winds here are shaking the homes. There are many trees down all throughout our town. Most of our town is without power," she said.
"I have a very handy Australian husband so we have a generator hooked up."
Ms Floyd says Mapletown is a commuter town about 18 miles from New York City.
"Were right in the think of the storm at the moment. There are trees down everywhere that are causing damage to homes, to garages, to powerlines," she said.
"There is a river running through our town that will flood."
She says officials have told residents "they are on their own until daylight".
10:57am: The New York Times is reporting that cars are floating in floodwaters on Wall Street in lower Manhattan.
"As the evening high tide was drawing closer, there were reports of flooding in several low-lying areas around the five boroughs, places that had not in recent memory experienced flooding," the Times blog reports.
10:56am: DFAT has updated its travel warning telling Australians to monitor media in the US and adhere to all warnings from officials.
The New York Fire Department says there are no injuries or people trapped at the site of the 8th Avenue Manhattan apartment building collapse.
10:52am: Send us your photos and videos of Hurricane Sandy.
10:51am: Some images from the US. Night has now fallen on the east coast as Sandy roars ashore.
10:42am: RECAP:.
The eye of the storm is about to hit land.
Lower Manhattan is flooding.
The worst of the high tide and storm surge is reportedly still to come.
10:39am: JUST IN: Twitter user @MegRobertson uploaded this picture of the apartment building which has collapsed in Manhattan.
10:37am: Lisa Millar spoke to evacuees waiting the storm out in Delaware, which is expected to bear the brunt of Sandy's fury:
Video: Lisa Millar reports from hurricane evacuation centre (ABC News)
10:31am: Atlantic City's public safety director says "most of the city is underwater" and parts of the city's famous boardwalk are breaking up.
Emily Previti from the Atlantic City Press Office described the scene from Atlantic City:
"It's frightening to be outside. The weather is something that most people here have never felt or seen before," she said.
"Individual property owners who are trying to hunker down... I can only imagine they're feeling very frantic."
10:21am: BREAKING: Atlantic City's public safety director says "most of the city is underwater".
On the latest weather report on ABC News24: Hurricane Sandy has now been downgraded to a "post-tropical cyclone".
10:16am: BREAKING: Wall Street is now without power.
Kristi Maroc, an Australian in New York, is at the scene of the four-storey building collapse in Manhattan:
"The front of building's gone. It looks like a doll's house, like if you've move the front off the building you can see straight into the apartment," she said.
"I'm on 8th Avenue. I'm just standing in the doorway of the building. At the moment haven't seen any ambulances. There's cranes holding up the front of the building. There's pieces of the building falling off."
Video: Kristi Maroc describes the scene of the four-storey building collapse in Manhattan (ABC News)
10:12am: The ABC's Ben Knight is in the path of the storm in the Delaware town of Rehoboth Beach.
He is at the high school, which is doubling as a Red Cross emergency shelter.
He says people are quite calm inside but are very nervous about what is coming.
"We've got trees that are bending over. We've got horizontal rain as the gusts come through. If this is a taste of what's to come it does it appear it's going to be a very serious storm."
10:08am: BREAKING: US media is now reporting that water is flooding into the streets of lower Manhattan as the storm surge arrives.
10:04am: BREAKING: US National Hurricane Centre says Sandy will make landfall in about one hour.
10:02am: The US National Hurricane Centre says the hurricane is approximately 45 kilometres south-east of Cape May in New Jersey and is travelling west-north-west at 44kph.
There are reports a weather buoy off the coast of New Jersey has measured a wave 29 feet high.
9:59am: BREAKING: The New York Fire Department (@FDNY) says it is on the scene of a "multiple dwelling building collapse. The location is given as "92 8th Avenue"
9:52am: Australian Justine Bell spoke to ABC News Breakfast for a second morning as she bunkered down in New York City.
Video: Justine Bell speaks to ABC News Breakfast (ABC News)
Watch Justine's video from yesterday morning here.
9:47am: Former ABC journalist Minsi Chung is living in New York and says the intensity of the winds and heavy rain has picked up in the past couple of hours.
9:42am: Barack Obama and Mitt Romney have put the brakes on campaigning as Sandy hits. Read how the storm has shredded both men's plans just eight days from polling day.
9:33am: The New York Stock Exchange is now likely stay closed for a second day (Tuesday NY time).
9:30am: The US Coast Guard says it has found a missing crew member "unresponsive" off the North Carolina coast after the HMS Bounty sank overnight.
The search is continuing for the captain who is also missing.
Watch video of the rescue of 14 crew members from the replica tall ship here.
9:18am: North America correspondent Lisa Millar is reporting from an evacuation centre in Delaware, where 200 people are taking shelter.
She says many people were ordered out of their homes and told they had to be at the evacuation centre and off the roads by 3:00pm (local time), before conditions became too dangerous to be outside.
Millar says there have been several medical emergencies at the centre but there are doctors, nurses and military officials also sheltering at there.
"It's getting dark. It's coming into night time. We're not feeling the full brunt of it yet. It's going to last many hours and it's going to be a long night," she said.
9:17am: New York mayor Michael Bloomberg has warned residents to stay away from the buckled crane which is dangling precariously above apartment blocks.
"Why it happened at this point nobody knows. You don't need to have somebody going out there to find out why, you don't need to lose a life," he said.
9:12am: Qantas has just announced that it has cancelled today's flights to LA and New York; the flight numbers are QF 107 and QF 108.
9:10am: There's now YouTube video of the crane which has toppled over on a 90-storey high rise near Times Square, NYC.
External Link: Crane collapses in New York City (YouTube: Chris Gower)
9:05am: The US Coast Guard has released video of the rescue of 14 crew members from the HMS Bounty replica tall ship. Two crew are still missing.
External Link: Rescue of HMS Bounty during Hurricane Sandy (YouTube/USCGImagery)
9:00am: The state of emergency currently extends across nine states. They are: Connecticut; Delaware; Maryland; New Jersey; New York; Pennsylvania; Rhode Island; Virginia; West Virginia.
8:47am: New York Mayor Michael Bloomberg has just given a press conference.
He told New Yorkers that the worst of the storm was about to hit the city and said the time for evacuation had now passed.
"As everybody knows we're already seeing significant impacts from the storm and the worst of it is about to hit. I think we have done all we can to prepare.
"Now as the storm intensifies the most important thing I can say is if you're in your home or somewhere safe where you can remain, stay there. The time for relocation or evacuation is over. Conditions outside are dangerous and they're only going to get worse in the hours ahead."
Video: New York mayor Michael Bloomberg talks to reporters this morning (ABC News)
In other key developments this morning:
President Barack Obama has warned there could be fatalities from the massive storm, and has declared emergencies in nine states.
Up to 750,000 people are without power in New York and New Jersey and seaside communities have already started flooding as the storm nears the coast.
Sandy is likely to make landfall near Atlantic City, New Jersey, in a few hours.
New York has been shut down, with almost 400,000 residents ordered to evacuate, the Stock Exchange closed, and public transport and flights cancelled.
A crane on the top of a 90-storey New York apartment block has buckled over in the gale-force winds.
10,000 flights have been cancelled.
Both Barack Obama and Mitt Romney have cancelled campaign events, just eight days out from the presidential election.
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Topics: storm-event, storm-disaster, disasters-and-accidents, united-states
Gallery: Sandy in photos
View our editor's choice of photos as Hurricane Sandy hits the US east coast.
Map: Trail of destruction
See the scale and spread of Sandy's trail of destruction.
See how Hurricane Sandy compares to the previous destructive storms Irene, Katrina and Yasi.
Video: All Sandy updates
See all our video updates on the damage caused by Superstorm Sandy.
Sandy on social media
See Hurricane Sandy through the photos and updates being posted on social media outlets.
Sandy: Key links
National Hurricane Centre: Sandy advisories
NYC Evacuation Zone Finder
NY & NJ Port Authority Alerts
Alerts from NYC Mayor's office
Alerts from Governor Andrew Cuomo's office
Sandy: Around the web
NYT: Live updates
Guardian live blog
NYT readers' photos
Infographic: US wind map
The Atlantic: Sandy photos
The Weather Channel live Sandy coverage
Sandy tweets: BBC News list
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Ride With Jim Pace As He Jams Gears In A Small Block, Former John Surtees Can-Am Lola T70 – CRANK IT UP!
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Awesome In-Car Video: Watch A Wingless Sprint Car Pull Huge Wheelies Off the Corners Of A Dirt Track!
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Q: How to serialize mutiple querysets in django rest framework? I have two models that area related to each other. One represents a project and the other one represents the field/area that the project bnelongs to.
I have a view that looks like this:
class ProjetosArea(generics.ListAPIView):
lookup_field = 'id'
serializer_class = ProjetosPreviaSerializer
pagination_class = ProjectPagination
def get_queryset(self):
area_id = self.kwargs['id']
area = AreaConhecimento.objects.get(id=area_id)
projetos = Projeto.objects.filter(area_conhecimento=area_id)
queryset = [area, projetos]
return queryset
I want to write a serializer for this view that looks like this:
{
"area": {---fields of the area---},
"projects": [---The projects that belongs to that area---]
}
How would write a serializer for this? The queryset is a list with the area and the projects belonging to that area
A: This get_queryset doesn't look right. The idea is to return a single queryset there to perform permissions check etc in there. You should not return two resources like that.
Although if you need it - the code is just a tool. Do with it whatever you need.
I'd suggest to keep get_queryset as it is and overwrite list method instead as that's what you really want to do. Because you are returning two resources, it needs to know how to handle them.
From example I deduct that area_conhecimento is area pk. So something like that should work.
class ProjetosArea(generics.ListAPIView):
lookup_field = 'area_conhecimento'
serializer_class = ProjetosAreaSerializer
pagination_class = ProjectPagination
def list(self, request, *args, **kwargs):
qs = self.filter_queryset(self.get_queryset())
area = qs.first().area_conhecimento
# you will have to adjust it for pagination
serializer = self.get_serializer({
'projects': qs,
'area': area
})
return Response(serializer.data)
And just the serializers are as simple as it gets.
from rest_framework import serializers
class AreaConhecimentoSerializer(serializers.ModelSerializer):
class Meta:
model = AreaConhecimento
fields = '__all__'
class ProjetoSerializer(serializers.ModelSerializer):
class Meta:
model = Projeto
fields = '__all__'
class ProjetosAreaSerializer(serializers.Serializer):
area = AreaConhecimentoSerializer(read_only=True)
projects = ProjetoSerializer(many=True, read_only=True)
But your real problem is that you actually want to get area and its projects. So just do it. You said it yourself The projects that belongs to that area.
class AreaRetrieveAPIView(RetrieveAPIView):
serializer_class = AreaSerializer
pagination_class = AreaPagination
class ProjetoSerializer(serializers.ModelSerializer):
class Meta:
model = Projeto
fields = '__all__'
class AreaSerializer(serializers.ModelSerializer):
projeto = ProjetoSerializer(many=True, read_only=True)
class Meta:
model = AreaConhecimento
fields = '__all__'
and it will return
{
"area": {
"projects": [---The projects that belongs to that area---],
---fields of the area---
},
}
|
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"redpajama_set_name": "RedPajamaStackExchange"
}
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{"url":"https:\/\/engineering.stackexchange.com\/questions\/47810\/what-is-the-difference-between-max-shear-stress-at-neutral-axis-in-bending-and-m","text":"# What is the difference between max shear stress at neutral axis in bending and max shear stress from Mohr's Circle?\n\nThe maximum shear stress which we get from the equation: $$\\frac{VQ}{It}$$ (for instance, the maximum shear stress at the neutral axis for a rectangular beam cross section, fixed at one end and tranverse loaded on the other can be thought of as: $$\\frac{3V}{2A}$$), while the maximum shear stress which we get from the Mohr's Circle (i.e. $$\\frac{principal_{max} - principal_{min}}{2}$$), so what is the difference between these two values? These both are maximum values of the shear as learned at the university level, so it is slightly confusing. Is former absolute while the latter is maximum?\n\nAre these two shear stresses supposed to occur at the same location or different?\n\nThe Mohr circle is a tool that helps visualize the stress state in a location in the structure. The way I interpret it is that each point in the Mohr circle represents the stresses at a rotated coordinate system. (For the 2D case) in two of the orientations (the principal directions), there is no shear stress, while in the 45 degrees to those planes the maximum shear stress is observed (with non zero normal stresses in the general case).\n\nThe maximum shear stress in the bending of a rectangular beam is the maximum shear stress along the cross-section in a specific coordinate system which one axis is along the beam, another parallel to the transverse forces. For each point along the crosssection of the beam its possible to draw a Mohr's circle.\n\nIn the pure bending case of a symmetric beam (maybe in the asymetric also) the maximum shear stress of the neutral axis coincides with the maximum shear stress from the Mohr's circle. The reason is that there are no normal stresses.\n\nAt any other point above and below the neutral axis, the maximum shear stress obtained by the Mohr's circle is different to the shear stress calculated by the $$\\frac{VQ}{It}$$ equation. (I would hazard a guess that the maximum shear stress as obtained by the Mohr's circle is maximum at the furthest points from the neutral axis and their magnitude is greater than $$\\frac{3V}{2A}$$, because yielding and failure usually initiates at the edges of the cross-section.)\n\n\u2022 So, while trying to calculate the maximum von misses stress at a cross section of beam subjected to bending for beam sizing, I will take into account the maximum bending stress. Now, to incorporate the maximum shear stress, should I take the one at the neutral axis or the max one along the cross section which results from the Mohr's circle? Oct 21, 2021 at 18:54\n\u2022 I expect that the max von mises stress will occur at the edges. The reason is that the yielding and failure starts away from the edges (away from the neutral axis).\n\u2013\u00a0NMech\nOct 21, 2021 at 20:17\n\u2022 @NMech, I'm trying to understand how transverse work. Is there transverse shear during pure bending? From the formula VQ\/IT equation, there shouldn't since V = 0, backed up by looking at the derivation of the formula where transverse seems to originate from a difference in normal stresses causes by a difference in bending moment; m + dM. In the case of pure bending, there is no dM - so it would make sense that transverse would be zero at that point. It's hard to picture 'physically'. What do you think?\n\u2013\u00a0Erik\nOct 22, 2021 at 0:21\n\u2022 Even at the middle section of the four point test (which is in pure bending) there is shear. It's not the same shear as the one induced by the transverse forces, but its due to the different magnitudes of stresses (and forces) on each layer of the beam. It is more akin to viscous shear, rather that the transverse shear of a pair of kitchen shears.\n\u2013\u00a0NMech\nOct 22, 2021 at 7:19\n\u2022 @NMech, regarding the the second last paragraph you wrote in your answer, so it means that the non-zero principal stresses still exists at the neutral axis? Namely, double of the shear stress that we are seeing at the neutral axis? Is it correct? Oct 22, 2021 at 19:34\n\n$$f = \\dfrac {VQ}{Ib}$$ is the \"shear flow\" in the flexural beam element caused by the applied load, and its intensity varies along the beam as the internal shear force $$V$$ varies.\n\n\u2022 The shear stress is always starting from zero at the free surface because shear occurs at the interface of sliding elements as shown below:\n\nMohr's Circle is used to find the stresses on an inclined plane of an axially loaded member as depicted below:\n\nSo, \"No\", the two types of shear stress (due to flexural and due to axial load) are completely different matters.\n\n\u2022 I just want to use the maximum possible value of the von-mises stress (which depends on the max value of bending stress and shear stress along a cross section) in order to size the beam. Now, what should be done? Oct 21, 2021 at 19:13\n\u2022 Then the shear flow is the clear cut choice using the maximum internal shear force.\n\u2013\u00a0r13\nOct 21, 2021 at 19:21\n\u2022 Please read the last paragraph that @NMech wrote in his answer. I guess he doesn't agree with what you say. Oct 21, 2021 at 19:24\n\u2022 Why would the shear stress be zero at the free surface but not the normal stress? Oct 21, 2021 at 19:41\n\u2022 I've deleted my previous comments as they are no longer valid after the revision of the answer.\n\u2013\u00a0r13\nOct 22, 2021 at 22:57","date":"2023-03-23 14:35:40","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 7, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.782447874546051, \"perplexity\": 436.5458091058744}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2023-14\/segments\/1679296945168.36\/warc\/CC-MAIN-20230323132026-20230323162026-00565.warc.gz\"}"}
| null | null |
Q: Android with genymotion I have installed both Virtual Box and genymotion and virtual device.
When I start virtual device Nexus-S it gives me this error:
Unable to start Genymotion virtual device.
Unable to initialize OpenGl renderer library.
Check if the video card support OpenGL 2.0
In Ubuntu
how can I make it run now?
Please Help
A: Sorry to tell you that geny motion cant run without graphic memory and opengl.
I think you doesn't have graphic card or opengl so it will not work till you doesn't have these things
:)
A: try to download the lower android version loke sony xperia s
or any other mobile of android 2.3 version
It'll work.
A: Download genymotion from website Genymotion
After that, you can install type this below command.
cd ~/Downloads/
chmod +x genymotion-2.1.0_x64.bin
./genymotion-2.1.0_x64.bin
PS: This is guide for Ubuntu Users.
|
{
"redpajama_set_name": "RedPajamaStackExchange"
}
| 376
|
<?php
namespace Goteo\Controller {
use Goteo\Core\View,
Goteo\Model\Project,
Goteo\Core\Redirection,
Goteo\Library\WallFriends,
Goteo\Core\Error;
class Widget extends \Goteo\Core\Controller {
public function project ($id) {
$project = Project::getMedium($id, LANG);
if (! $project instanceof Project) {
throw new Redirection('/', Redirection::TEMPORARY);
}
return new View('view/widget/project.html.php', array('project' => $project, 'global' => true));
throw new Redirection('/fail', Redirection::TEMPORARY);
}
public function wof ($id, $width = 608, $all_avatars = 1) {
if($wof = new WallFriends($id,$all_avatars)) {
echo $wof->html($width, true);
}
else {
throw new Error(Error::NOT_FOUND);
}
}
}
}
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 8,365
|
Q: Time alert problem - Android I develop app for time alerting ( for example when you need to drink medicine - it repeats at time intervals ). How can I implement that service runs forever in background ? Is that possible at all ?
A: Use AlarmManager, as it is designed for your use case -- your code being executed at scheduled times.
A: It sounds like you need to create a Service.
Some details here
|
{
"redpajama_set_name": "RedPajamaStackExchange"
}
| 1,408
|
"Вълната" () е френски късометражен ням филм от 1891 година, заснет от изобретателят и режисьор Етиен-Жул Маре. Той е първият в историята известен френски филм.
Външни препратки
Източници
Френски експериментални филми
Филми от 1891 година
|
{
"redpajama_set_name": "RedPajamaWikipedia"
}
| 1,318
|
## THE PENGUIN BOOK OF MODERN SPEECHES
### Edited by Brian MacArthur
PENGUIN BOOKS
## Contents
_Introduction_
Theodore Roosevelt _'The doctrine of the strenuous life' (1899)_
Sir Henry Campbell-Bannerman _'Methods of barbarism' (1901)_
Keir Hardie _'Socialism'_ (1901)
Joseph Chamberlain _'I believe in a British Empire and I do not believe in a Little England'_ (1903)
F. E. Smith (Lord Birkenhead) _'I warn the Government'_ (1906)
Theodore Roosevelt _'The men with the muck-rakes'_ (1906)
Emmeline Pankhurst _'The plight of women'_ (1908)
David Lloyd George _'The People's Budget'_ (1909)
David Lloyd George _'We are in for rough weather'_ (1909)
Theodore Roosevelt _'The new nationalism'_ (1910)
Emmeline Pankhurst _'Freedom or death'_ (1913)
Edward Carson _'Ulster is asking to be let alone'_ (1914)
David Lloyd George _'The great pinnacle of sacrifice'_ (1914)
Patrick Pearse _'Ireland unfree shall never be at peace'_ (1915)
Mahatma Gandhi _'There is no salvation for India'_ (1916)
Proclamation of the Irish Republic _'Ireland summons her children to the flag'_ (1916)
Roger Casement _'In Ireland alone, in this twentieth century, is loyalty held to be a crime'_ (1916)
Woodrow Wilson _'The world must be made safe for democracy'_ (1917)
V. I. Lenin _'A new phase in the history of Russia begins'_ (1917)
Leon Trotsky _'The dustbin of history'_ (1917)
Leon Trotsky _'We need an army'_ (1918)
Eugene V. Debs _'While there is a lower class, I am in it'_ (1918)
David Lloyd George _'A fit country for heroes to live in'_ (1918)
Henry Cabot Lodge _'American I was born'_ (1919)
Woodrow Wilson, _'Man will see the truth'_ (1919)
Alfred E. Smith _'A man as low and mean as I can picture'_ (1919)
George V _'The eyes of the whole Empire are on Ireland today'_ (1921)
Mahatma Gandhi _'Non-violence is the first article of my faith'_ (1922)
A. J. Balfour _'A message to every land where the Jewish race is scattered'_ (1922)
Stanley Baldwin _'The sounds of England'_ (1924)
Clarence Darrow _'The life of the Negro race has been a life of tragedy'_ (1926)
Nicola Sacco and Bartolomeo Vanzetti _'I am never be guilty, never'_ (1927)
Herbert Hoover _'Rugged individualism'_ (1928)
Oswald Mosley _'The nation has to be mobilized'_ (1930)
Ramsay MacDonald _'We are not on trial'_ (1930)
Joseph Stalin _'Either we do it – or they crush us'_ (1931)
Philip Snowden _'Bolshevism run mad'_ (1931)
Adolf Hitler _'An indomitable aggressive spirit'_ (1932)
Stanley Baldwin _'The bomber will always get through'_ (1932)
Franklin Delano Roosevelt _'The only thing we have to fear is fear itself'_ (1933)
Adolf Hitler _'The supreme justiciar of the German people'_ (1934)
Oswald Mosley _'England again dares to be great'_ (1935)
La Pasionaria (Dolores Ibárruri) _'They shall not pass'_ (1936)
Franklin Delano Roosevelt _'The forces of selfishness and of lust for power met their match'_ (1936)
Winston Churchill _'The locust years'_ (1936)
Stanley Baldwin _'I shall always trust the instincts of our democratic people'_ (1936)
Chaim Weizmann _'The Jews carry Palestine in their hearts'_ (1936)
Edward VIII _'I have determined to renounce the Throne'_ (1936)
Stanley Baldwin _'The House today is a theatre which is being watched by the whole world'_ (1936)
Edward VIII _'God Save the King'_ (1936)
Leon Trotsky _'I stake my life'_ (1937)
Martin Niemöller _'The oppression is growing'_ (1937)
Adolf Hitler _'My patience is now at an end'_ (1938)
Neville Chamberlain _'Peace for our time'_ (1938)
Duff Cooper _'My head erect'_ (1938)
Winston Churchill _'A total and unmitigated defeat'_ (1938)
Neville Chamberlain _'Is this an attempt to dominate the world by force?'_ (1939)
Neville Chamberlain _'This country is at war with Germany'_ (1939)
Leo Amery _'In the name of God, go'_ (1940)
David Lloyd George _'Sacrifice the seals of office'_ (1940)
Winston Churchill _'I have nothing to offer but blood, toil, tears and sweat'_ (1940)
Winston Churchill _'Be ye men of valour'_ (1940)
Winston Churchill _'This was their finest hour'_ (1940)
Charles de Gaulle _'The flame of French resistance'_ (1940)
J. B. Priestley _'This little steamer'_ (1940)
Franklin Delano Roosevelt _'The arsenal of democracy'_ (1940)
Franklin Delano Roosevelt _'The four freedoms'_ (1941)
Joseph Stalin _'A grave danger hangs over our country'_ (1941)
Franklin Delano Roosevelt _'A date which will live in infamy'_ (1941)
Reinhard Heydrich _'The final solution'_ (1942)
General Bernard Montgomery _'We will stand and fight here'_ (1942)
Chaim Rumkowski _'Give me your children'_ (1942)
Éamon de Valera _'The vision of such an Ireland'_ (1943)
General George Patton _'That son of a bitch Patton again'_ (1943–4)
Bishop George Bell _'Obliteration is not a justifiable act of war'_ (1944)
J. Robert Oppenheimer _'Our deep moral dependence'_ (1945)
Winston Churchill _The 'iron curtain'_ (1946)
Bernard Baruch _'A choice between the quick and the dead'_ (1946)
Jawaharlal Nehru _'The noble mansion of free India'_ (1947)
Jawaharlal Nehru _'The light has gone out of our lives'_ (1948)
Joseph McCarthy _'I have in my hand...'_ (1950)
William Faulkner _'The agony and the sweat'_ (1950)
Aneurin Bevan _'There is only one hope for mankind'_ (1951)
Adlai Stevenson _'Let's talk sense to the American people'_ (1952)
Kwame Nkrumah _'The motion of destiny'_ (1953)
Fidel Castro _'History will absolve me'_ (1953)
Bertrand Russell _'Shall we choose death?'_ (1954)
Martin Luther King _'There comes a time when people get tired'_ (1955)
Nikita Khrushchev _'We must abolish the cult of the individual'_ (1956)
Aneurin Bevan _'We have to act up to different standards'_ (1956)
Aneurin Bevan _'Naked into the conference chamber'_ (1957)
Enoch Powell _'Hola Camp'_ (1959)
Aneurin Bevan _'An ugly society, a vulgar society, a meretricious society'_ (1959)
Harold Macmillan _'The wind of change'_ (1960)
Eugene McCarthy _'Do not reject this man'_ (1960)
John F. Kennedy _'A new frontier'_ (1960)
John F. Kennedy _'The torch has been passed to a new generation of Americans'_ (1961)
Gideon Hausner _'That man was Eichmann'_ (1961)
Hugh Gaitskell _'We will fight, fight and fight again'_ (1961)
Iain Macleod _'The brotherhood of man'_ (1961)
Douglas MacArthur _'Duty – Honour – Country'_ (1962)
Hugh Gaitskell _'The end of a thousand years of history'_ (1962)
John F. Kennedy _'Ich bin ein Berliner'_ (1963)
Nigel Birch _'Never glad confident morning again'_ (1963)
Martin Luther King _'I have a dream'_ (1963)
Harold Wilson _'The white heat of technology'_ (1963)
Lyndon B. Johnson _'Let us continue'_ (1963)
Nelson Mandela _'An ideal for which I am prepared to die'_ (1964)
Lyndon B. Johnson _'The Great Society'_ (1964)
Barry Goldwater _'Extremism in defence of liberty is no vice'_ (1964)
Ronald Reagan _'A time for choosing'_ (1964)
Malcolm X _'More African than American'_ (1965)
Lyndon B. Johnson _'We shall overcome'_ (1965)
Roy Jenkins _'This is the goal'_ (1966)
Robert Kennedy _'A tiny ripple of hope'_ (1966)
Eugene McCarthy _'The decent opinion of mankind'_ (1967)
Melina Mercouri _'We will be free'_ (1968)
Lyndon B. Johnson _'I shall not seek nor will I accept nomination as your president'_ (1968)
Enoch Powell _'I seem to see "the River Tiber foaming with much blood" '_ (1968)
Richard Nixon _'The time has come for an honest government'_ (1968)
Betty Friedan _'A woman's civil right'_ (1969)
Edward Heath _'Millions will rejoice'_ (1971)
Richard Nixon _'Au revoir'_ (1974)
Sir Keith Joseph _'Our human stock is threatened'_ (1974)
Margaret Thatcher _'Let me give you my vision'_ (1975)
Chaim Herzog _'Hate, ignorance and evil'_ (1975)
Michael Foot _'The red flame of Socialist courage'_ (1976)
Alexander Solzhenitsyn _'What is the joy about?'_ (1978)
Roy Jenkins _'Home Thoughts from Abroad'_ (1979)
Edward Kennedy _'The dream shall never die'_ (1980)
Michael Heseltine _'We are reaping the whirlwind of all our yesterdays'_ (1981)
Margaret Thatcher _'The Falklands Factor'_ (1982)
Robert Runcie _'Our neighbours are indeed like us'_ (1982)
Neil Kinnock _'I warn you'_ (1983)
Pope John Paul II _'We do not want a Poland which costs us nothing'_ (1983)
Denis Healey _'The great she-elephant, she who must be obeyed'_ (1984)
Prince Charles _'A monstrous carbuncle'_ (1984)
Ronald Reagan _'Let us make a vow to the dead'_ (1984)
Neil Kinnock _'You can't play politics with people's jobs'_ (1985)
Ronald Reagan _'The future doesn't belong to the fainthearted'_ (1986)
Neil Kinnock _'Why am I the first Kinnock in a thousand generations to be able to get to university?'_ (1987)
Edward Kennedy _'Now is the time'_ (1988)
Jesse Jackson _'Keep hope alive'_ (1988)
Margaret Thatcher _'The frontiers of the State'_ (1988)
Václav Havel _'A contaminated moral environment'_
Nelson Mandela _'Our march to freedom is irreversible'_ (1990)
Sir Geoffrey Howe _'A conflict of loyalty'_ (1990)
Aung San Suu Kyi _'Freedom from fear'_ (1990)
Tony Benn _'I cannot hand away powers lent to me'_ (1991)
Salman Rushdie _'What is my single life worth?'_ (1991)
Queen Elizabeth II _'Annus horribilis'_ (1992)
Bill Clinton _'If Martin Luther King were to reappear'_ (1993)
Nelson Mandela _'Let freedom reign'_ (1994)
Elie Wiesel _'Listen to the silent screams'_ (1995)
Earl Spencer _'The most hunted person of the modern age'_ (1997)
Tony Blair _'A beacon to the world'_ (1997)
Michael Portillo _'The causes of defeat'_
Boris Yeltsin _'May they rest in peace'_ (1998)
Bill Clinton _'This has hurt too many innocent people'_ (1998)
Bill Clinton _'I have sinned'_ (1998)
Bill Clinton _'I am profoundly sorry'_ (1998)
Tony Blair _'The kaleidoscope has been shaken'_ (2001)
George W. Bush _'An axis of evil'_ (2002)
Tony Blair _'At our best when at our boldest'_ (2002)
Robin Cook _'With a heavy heart I resign from the government'_ (2003)
Tony Blair _'The possibility... of terrorist groups in possession of_ WMD... _is now, in my judgement, a real and present danger'_ (2003)
Colonel Tim Collins _'There are some who are alive at this moment who will not be alive shortly'_ (2003)
David Grossman _'Turn to the Palestinian people'_ (2006)
Barack Obama _'A more perfect union'_ (2008)
Barack Obama _'Yes we can'_ (2008)
_Acknowledgements_
PENGUIN BOOKS
##### THE PENGUIN BOOK OF MODERN SPEECHES
Brian MacArthur was founder editor of _Today_ and _The Times Higher Education Supplement_ , and editor of the _Western Morning News_. He was deputy editor of the _Sunday Times_ and executive editor of _The Times_. He has written _Surviving the Sword: Prisoners of the Japanese_ _1942_ – _1945_. He has been interested in the power of oratory since first hearing Aneurin Bevan on the hustings in 1956 and has edited _The Penguin Book of Historic Speeches_ and _The Penguin Book of Twentieth-Century Protest_.
Brian MacArthur lives in Norfolk and London and has two daughters.
For Maureen Waller
##
Each time a man stands up for an ideal, or acts to improve the lot of others, or strikes out against injustice, he sends forth a tiny ripple of hope, and crossing each other from a million different centres of energy and daring, those ripples build a current that can sweep down the mightiest walls of oppression and resistance.
Robert Kennedy, 1966
## Introduction
Oratory is always a declining art. Every generation judges contemporary speakers unfavourably against the giants of the past. At the end of the twentieth century, the speeches of the British prime minister Tony Blair were criticized (by the Tory _Daily Telegraph_ ) as being like the voice-overs in advertisements, depending on beguiling images rather than having coherent meaning in their own right. It accused Blair of using phrases not sentences. Matthew Parris, the outstanding parliamentary reporter of his generation, asked in _The Times_ if there was no way of steering Blair clear of visionary, salvationist nouns.
Similar complaints were made eighty years earlier about Lloyd George who now stands out as one of the greatest of lyrical orators. Yet an Everyman anthology of oratory published in the 1920s complained that oratory had given way to 'talk'. The change, according to the editor, could be seen in the natural colloquial style of Lloyd George compared with the oratorical styles of Lord Rosebery or Winston Churchill. That allegedly colloquial style, with which Lloyd George summoned the nation to 'the great pinnacle of sacrifice pointing like a rugged finger to heaven', now strikes us not as talk but as magnificent oratory and we complain about the dull, colloquial style of George Bush or John Major or the often messianic style of Blair.
Lloyd George himself made the same complaint when he wrote a short introduction to a collection of his speeches in 1929, arguing that the conditions of modern speaking were not conducive to the preparation of speeches that survived the controversy to which they were addressed. He was, nevertheless, an optimist. Acknowledging that first the school boards and the popular press and then the cheap entertainment offered by film, gramophone and broadcasting had been accused of destroying oratory, he pointed out that the Labour Party, the most powerful party in the state, had been created by spoken appeals from myriads of platforms.
'Broadcasting will give new life and sway to speech-making. Controversy may be ruled out yet awhile by timid counsels. In the end it will force its way to the disc. A sporting nation, which is also a political people, will insist on seeing the ball kicked in one of its favourite games. When that time comes, the style of oratory may be altered to the exigencies of the machine; but the true orator will adapt his art to the occasion, and the spoken word will be more potent than ever.'
As Franklin D. Roosevelt and Winston Churchill were to show by their mastery of the wireless, Lloyd George was right. Since then, orators have adapted not only to radio but also to the very different demands of television – which has magnified the power of oratory. Speeches can now be broadcast live round the world, as on such memorable occasions as John F. Kennedy during the Cuban missile crisis, Nelson Mandela on leaving jail after twenty-seven years or Earl Spencer delivering his philippic over the catafalque of his sister, Diana, Princess of Wales, a speech that probably had the largest audience in history. Yet still the complaint is made that oratory is a declining art. According to Peggy Noonan, author of some of Ronald Reagan's most memorable oratory, the irony of modern speeches is that as our ability to disseminate them has exploded their quality has declined.
'Why? Lots of reasons, including that we as a nation no longer learn the rhythms of public utterance from Shakespeare and the Bible. When young Lincoln was sprawled in front of the fireplace reading _Julius Caesar_ – "The abuse of greatness is, when it disjoins remorse from power" – he was, unconsciously, learning to be a poet. You say, "That was Lincoln, not the common man." But the common man was flocking to the docks to get the latest instalment of Dickens off the ship from England.
'The modern egalitarian impulse has made politicians leery of flaunting high rhetoric; attempts to reach, to find the right if esoteric quote or allusion seem pretentious. They don't really know what "the common man" thinks any more; they forget that we've all had at least some education and a number of us read on our own and read certain classics in junior high and high school. The guy at the gas station read _Call of the Wild_ when he was fourteen, and sometimes thinks about it. Moreover, he has imagination. Politicians forget. They go in for the lowest common denominator – like a newscaster.'
Any contemporary observer who relishes great oratory and who observes American presidential elections or British general elections cannot but agree with Noonan's thesis. Where are the visions and where the words that inspire men and women to greater things and make them vote with enthusiasm, even passion? Both President Clinton and Tony Blair were significant improvements on their immediate predecessors but the verdict still seems to stand. The springs of oratory are drying up, it seems, as churches become deserted, the study of Latin and Greek declines, and schools fail to give students the thorough grounding in their literary and religious heritage that was once taken for granted and which inspired the great orators.
Or are they? Perhaps Noonan despairs too soon – and also ignores the evidence of her own work, shown in this anthology by her speeches for Reagan after the _Challenger_ disaster and at Pointe du Hoc in Normandy. She herself, moreover, supplies the answer to the complaint that speeches today are prepared only for the 'sound bites' demanded by television. Speeches have always had sound bites or memorable phrases. 'With malice towards none. With charity towards all' (Lincoln); 'You shall not crucify mankind upon a cross of gold' (Bryan); 'He has not a single redeeming defect' (Disraeli on Gladstone) – all were nineteenth-century sound bites as surely as 'The only thing we have to fear is fear itself' or 'Ask not what your country can do for you' were memorable sound bites from the twentieth century.
Even as Noonan was writing her book, moreover, Vaclav Havel, the playwright-president of Czechoslovakia, was eloquently celebrating the joy of a nation freed from Soviet tyranny – and without the help of a speechwriter. Whether it is Nelson Mandela in South Africa, Ronald Reagan or Margaret Thatcher, Edward Kennedy or Jesse Jackson, Boris Yeltsin or Elie Wiesel, Neil Kinnock or Tony Blair, the speeches made over the past thirty years collected in this anthology demonstrate that oratory still helps to overcome tyranny, defy despair, or to articulate the hopes and dreams of millions and change the world. Global television meanwhile ensures that speeches are heard by millions rather than the hundreds or thousands of the early twentieth century.
Oratory still flourishes but the style of oratory is always changing. Nineteenth-century orators might speak on only three great occasions a year. They would think about a speech for a fortnight and then spend several days polishing its phrases and committing the speech to memory (as Churchill often did a century later). Gladstone was the first British speaker to break with that tradition. During the Midlothian campaign he addressed several audiences at great length in less than a fortnight – and was attacked for departing from the dignity and decorum appropriate to a former prime minister.
When Lloyd George was at his peak, and speakers made at least a score of speeches a year outside parliament, he noted that addresses had become as a matter of course largely improvisations: 'The meticulous care with which words were chosen and sentences were framed and adorned and afterwards rooted in the memory has thus necessarily become a thing of the past.' That change was an undoubted advantage for audiences, Lloyd George thought. In ninety-nine cases out of a hundred, lengthy prepared orations were 'boring, dreary, and wholly ineffective'. A perfectly phrased but badly delivered speech might be a dazzling essay, but it was not oratory.
So what is oratory? Quoting approvingly the maxim that oratory was the harlot of the arts, the British prime minister Stanley Baldwin pointed out that to tell the truth needed no art at all. God help the man who tries to think on it, he said. The gift of rhetoric had been responsible for more bloodshed than all the guns and explosives ever invented:
'If we look back only over the last century, was there anything more responsible for the French Revolution than the literary rhetoric of Rousseau, fanned by the verbal rhetoric of Robespierre and others, just as the Russian Revolution was due to the rhetoric of Kerensky – flatulent rhetoric which filled the bellies of his people with the east wind? That appalling twopenny-ha'penny gift of fluency, with the addition of a certain amount of training and of imagination in word-spinning, is the kind of rhetoric which stirs the emotions of the ignorant mob and sets it moving. It is because such forces can be set in motion by rhetoric that I have no regard for it but a positive horror.'
When circumstances required, Baldwin was himself capable of the telling, destructive phrase, as he showed when he condemned Britain's two main press proprietors for 'seeking power without responsibility, the prerogative of the harlot throughout the ages'. That positive horror nevertheless inspired Baldwin's own prosaic speaking style (which was unequally matched to the oratorical power of his German adversary Adolf Hitler). As seen by their opponents (if not by their followers, who were obviously uplifted by their speeches), the Baldwin thesis of the orator's destructive power is notably demonstrated within this anthology by Lenin, Stalin, Fidel Castro and Joseph McCarthy. Yet no orator of the twentieth century better illustrates that destructive power of oratory against which Baldwin warned than Hitler, undoubtedly the greatest speaker of the century. Churchill, the other main contender, roused a willing nation to war. Hitler changed a nation by his oratory.
As his biographer Alan Bullock explains, speech was the essential medium of Hitler's power not only over his audiences but his own temperament. He set out his creed in _Mein Kampf_ : 'The force which ever set in motion the great historical avalanches of religious and political movements is the magic power of the spoken word. The broad masses of a population are more amenable to the appeal of rhetoric than to any other force.' As for the orator: 'He will always follow the lead of the great mass in such a way that from the living emotion of his hearers the apt word that he needs will be suggested to him and in its turn this will go straight to the hearts of his hearers.'
That magic, hypnotic power is shown at its most effective in this anthology by Hitler's speech to the Düsseldorf Industry Club in 1932. When Hitler arrived, his reception from the West German industrialists was cool and reserved. Yet he spoke for two and a half hours without pause and made one of the best speeches of his life, setting out all his stock ideas brilliantly dressed up for his audience of businessmen. At the end they rose and cheered him wildly. Contributions from German industry started flowing into the Nazi treasury. Hitler by that one speech had won an important victory. That was the (relatively) emollient Hitler. The frightening and destructive power of his oratory, palpable even in translation, is shown in the extracts from the two other speeches in this collection.
Yet although the power of Hitler's speeches roused Germany to barbarity, and made Baldwin's case, most of the speeches in this anthology demonstrate the power of oratory for good rather than evil. They articulate dreams, offer hope, stir hearts and minds, and offer their audiences visions of a better world. The phrases by which they are remembered, whether the summons to the 'strenuous life' of Theodore Roosevelt or to the 'new frontier' of John F. Kennedy or the 'I have a dream' of Martin Luther King, sounded the trumpet for constructive action; and the defining principle of this anthology, beyond significance or eloquence, is that it selects speeches that sent forth the 'ripples of hope' that Robert Kennedy so memorably offered to South African students in 1966.
Those ripples of hope were sent forth by Emmeline Pankhurst and Betty Friedan for women's freedom; by Patrick Pearse, Roger Casement, Mahatma Gandhi, Fidel Castro and Nelson Mandela to nations and races that were oppressed; by John F. Kennedy and Harold Wilson and Margaret Thatcher and Ronald Reagan – in their different causes – to dispossessed constituencies that yearned for power. Few speeches sent forth more ripples of hope than those of Franklin D. Roosevelt – or of Winston Churchill when he mobilized the English language for war.
There are also destructive speeches. Leo Amery and Lloyd George destroyed Neville Chamberlain by their speeches in the Norway debate in the House of Commons in 1940. By his speech on race (the most elegantly constructed and most difficult to edit in this anthology), Enoch Powell barred his path to the highest office of state which, if that speech had not been made, would sooner or later have been his to command. On paper, Sir Geoffrey Howe made a rather plodding speech when he resigned as foreign secretary, but its very restraint, only barely concealing the inner fury and frustration of a man who had been so often slighted, initiated the downfall of Margaret Thatcher.
So much care is still given to speeches by contemporary politicians, moreover, that it is obvious that they still think oratory matters. An individual politician like Roy Jenkins spent as much time in solitary preparation of a speech as Lloyd George. That care was put into Jenkins's Dimbleby Lecture and that lecture led to the creation of a new British political party, the Social Democrats. As Peggy Noonan explains, hours and often weeks were spent preparing major speeches by Ronald Reagan. Draft after draft of a speech would be submitted to Mrs Thatcher into the early hours of the morning until she was satisfied that every nuance of what she wanted to say was covered.
If any vindication of the power of modern oratory is required, there is a splendid account by Noonan of the making of Reagan's Pointe du Hoc speech in Normandy in 1984. The speech was important for Reagan. Not only was he addressing the citizens of Europe, but the speech was being broadcast live by all the American networks and an extract was wanted for the Reagan film at the Republican convention. Make it like the Gettysburg Address, she was told. Make people cry.
Noonan describes how she constructed the speech – first the big, emotional words and images, then the placing of Pointe du Hoc in time and space, then what happened in 1944 (mostly to stop the children chewing their Rice Krispies and make them reflect on the greatness of their grandfathers) and so on. As the speech was prepared, there was a White House battle between literature (Noonan) and the National Security Council which wanted a statement about the Soviets. Noonan held her ground, reasoning that if she held off the bureaucrats they would have to scribble in their insert about the Soviets on the plane and they wouldn't have time to take something out. That was what happened.
The main question posed by the moving Pointe du Hoc speech is whether it was a speech by Ronald Reagan or by Peggy Noonan. It was, obviously, written by Noonan. But it was delivered by Reagan and it was his characteristic delivery of the words she wrote that worked the alchemy on the speech and made people weep. However brilliant the words, it is also the manner of delivery, the sincerity of the speaker, that makes a speech great.
Although many of the speeches in this anthology – for instance, Sir Roger Casement and Churchill – read as well as great literature, one objection to an anthology of speeches is that it inevitably presents oratory as literature, when in fact speeches are made to be heard. Speeches succeed, according to Lloyd George, by a combination of word, voice and gesture in moving their audiences to the action the orator desires. The nobler the action, the more exalted the orator. Yet many of the most effective speeches are quite unreadable in cold print and certainly unsuitable for an anthology. What Lord Morley said, in a discussion of Gladstone's Midlothian speeches, still rings true today: 'The statesman who makes or dominates a crisis, who has to rouse and mould the mind of senate or nation, has something else to think about than the production of literary masterpieces.'
That is particularly true of the British House of Commons where the outstanding speakers rarely use notes except for their perorations, and explains why several brilliant oratorical triumphs – Iain Macleod forging his reputation by demolishing Aneurin Bevan, Michael Foot at bay before the barracking Tories as he defended the Callaghan government against the no-confidence motion that brought Thatcher to power, John Biffen on monetary policy or Margaret Thatcher on her resignation – make no appearance in this anthology. Many British MPs remember those speeches as the best they ever heard in the Commons but the interruptions to Commons speeches destroys their flow. They do not read as well as they were heard. Most speeches in translation suffer from the same defect, which is why both Chairman Mao and Mikhail Gorbachev are absent from this anthology. Communist-speak was also deeply uneloquent.
Nor can an anthology capture the spell cast at the moment of delivery by the greatest speakers. That must be left to the imagination, though we can still capture some of their magic from contemporary accounts of their varying styles.
There is Patrick Pearse, speaking for Ireland: 'Calm and deliberate, in soft yet thrilling accents, his oration was almost sublime. Here was no rhetoric, no mathematical oratory; it was the soul of a patriot breathing words of love and devotion, of hope and truth and courage, no threnody but a paean of triumph such as might have come from out of the tomb by which we were.'
There is Lloyd George, as described by A. J. P. Taylor: 'Lloyd George spoke with his audience, not to them, and snapped up phrases as they were thrown at him. "Ninepence for fourpence" was the result of one such interruption; making Germany pay to the last farthing, the less happy result of another. Lloyd George gave a music hall turn, worthy of Harry Lauder or George Robey, the prime minister of mirth.'
There is Stalin: 'When Stalin speaks with his knowing, comfortable smile, pointing with his forefinger, he does not, like other orators, make a breach between himself and his audience; he does not stand commandingly on the platform while they sit below him, but very soon an alliance, an intimacy is established between him and his listeners. They, being made of the same stuff, are susceptible to the arguments, and both laugh merrily at the same simple stories.'
There is Hitler: 'He would lash himself to a pitch of near hysteria in which he would scream and spit out his resentment – men groaned or hissed, women sobbed involuntarily, caught up in the spell of powerful emotions of hatred and exaltation, from which all restraint had been removed.'
There is Bevan, as described by Michael Foot: 'Bevan wrought an alchemy before our eyes. He could mix fire with ice. He could evoke dreams and the boldest aspirations, yet the purpose always was to use the motive force thus generated to help forward the business in hand. He unleashed the imagination yet still wanted it tethered to the earth where the immediate enemy must be fought. "Oh! the brave music of a distant drum!" was a quotation he scornfully applied to those who wanted to escape from awkward present conflicts altogether... Few speakers who have been called orators have indulged less in rhetoric and rodomontade. At his best he was never strident... He hated grandiloquence; instead the bulk of his speeches was an intricate, intellectual elaboration, interspersed with paradox and irony... He presented arguments emotionally and emotions argumentatively.'
More recently there is Neil Kinnock, who was described as daring to believe that oratory still had a part to play in British politics. 'Mr Kinnock does not just deliver a speech with his voice: he dances it with his feet and choreographs it with his body... His timing is as good as that of any stand-up comic; he uses gesture as well as any serious actor; and, seldom still for a moment, his whole mobile demeanour suggests someone whose natural allegiance is just as much to the sports field as to the public platform.'
Kinnock also had the ability to ignore his speechwriters. His 'Why am I the first Kinnock in a thousand generations' speech of 1987 was a series of notes jotted down in the back of his car. When he rose to speak, he glanced at his notes and extemporized the words. Clinton did the same with his powerful Memphis speech in 1994. Clinton and Blair used speechwriters but still wrote many sections of their speeches themselves. Where Blair represented a new phenomenon, as did Lloyd George earlier in the century, was that his speeches were written primarily not for his immediate audience but for the millions who would watch the sound bites deliberately crafted for the television news bulletins.
The sense of drama that still attends a major speech is captured well by Peggy Noonan. 'A speech is a soliloquy,' she says, 'one man on a bare stage with a big spotlight. He will tell us who he is and what he wants and how he will get it and what it means that he wants it and what it will mean when he does or does not get it, and...
'He looks up at us in the balconies and clears his throat. "Ladies and gentlemen..." We lean forward, hungry to hear. Now it will be said, now we will hear the thing we long for. A speech is part theatre and part political declaration; it is personal communication between a leader and his people; it is art, and all art is a paradox, being at once a thing of great power and great delicacy. A speech is poetry: cadence, rhythm, imagery, sweep! A speech reminds us that words, like children, have the power to make dance the dullest beanbag of a heart... Speeches are important because they are one of the great constants of our political history. They have been not only the way we measure public men, they have been how we tell each other who we are... They count. They more than count, they shape what happens.'
The drama that Noonan describes still attends the great political set-piece speeches and shows that oratory is not a declining art, even though some of the political leaders of the West are not natural orators, even though television places more emphasis on moving images than moving words.
Amidst the lazy illiteracy of so much modern speech, eloquent words still have power to pierce through all the banal platitudes and make audiences stop and think and sometimes even wonder. Our political leaders still search for the writers who can gild their prosaic visions (as was shown in 1992 again when Bush summoned Noonan back to add to his speeches the eloquence he so signally lacked himself). Political leaders still achieve power by the quality of their speeches; and we still need heroes who can articulate our hopes and dreams and who can say what in our hearts we want to hear.
My own introduction to great oratory occurred when Aneurin Bevan addressed a by-election meeting in Chester Corn Exchange after the Suez crisis. He wielded wit, invective and sarcasm against hecklers, as did Quintin Hogg (later Lord Hailsham) the following night. I was hooked. That style may seem to have passed in an era when audiences prefer their politics on television rather than the hustings, but it has been kept alive by the speakers represented in this anthology. The drama of Earl Spencer's speech at Princess Diana's funeral was so palpable that the listeners outside Westminster Abbey started to applaud, prompting the mourners within the Abbey to join in – and that sense of drama arose when Tony Blair or Bill Clinton stepped up to make great speeches and still arises today when Barack Obama rises to speak. In the twenty-first century it is drama that television covets and therefore nourishes. A good speech still makes headlines; and memorable speeches are posted on the Internet for all to read.
My hope is that this anthology will be an inspiration to those in politics who seek to change the world and who wish to speak with the eloquence displayed throughout this book.
## Theodore Roosevelt
Chicago, 10 April 1899
#### 'The doctrine of the strenuous life'
> _Theodore Roosevelt (1856–1919) was still a child growing up in a philistine society when he decided to turn himself into a man of action. He built up his skinny body by dogged exercise and sought continually to prove his manliness. After Harvard he spent two tough years on a cattle ranch in Dakota. He boxed, wrestled and swam, and always carried a revolver._
>
> _At the turn of the century he was an influential Republican in New York and he became assistant secretary to the navy in 1897. He first won national fame as a colonel of the 'Rough Riders' in Cuba during the Spanish–American war of 1898. A year later, when this speech was given at the Appomattox Day celebration of the Hamilton Club, he became governor of New York._
>
> _This speech, made (as he put it) as 'the twentieth century looms before us big with the fate of many nations' and preaching the virtues of the 'strenuous life' of action, swelled the reputation that swept him into the vice-presidency in the election of 1900 and then, after the assassination of President McKinley, into the presidency._
I wish to preach not the doctrine of ignoble ease but the doctrine of the strenuous life; the life of toil and effort; of labour and strife; to preach that highest form of success which comes not to the man who desires mere easy peace but to the man who does not shrink from danger, from hardship, or from bitter toil, and who out of these wins the splendid ultimate triumph.
A life of ignoble ease, a life of that peace which springs merely from lack either of desire or of power to strive after great things, is as little worthy of a nation as of an individual...
We do not admire the man of timid peace. We admire the man who embodies victorious effort; the man who never wrongs his neighbour; who is prompt to help a friend; but who has those virile qualities necessary to win in the stern strife of actual life. It is hard to fail; but it is worse never to have tried to succeed. In this life we get nothing save by effort. Freedom from effort in the present, merely means that there has been stored up effort in the past. A man can be freed from the necessity of work only by the fact that he or his fathers before him have worked to good purpose. If the freedom thus purchased is used aright, and the man still does actual work, though of a different kind, whether as a writer or a General, whether in the field of politics or in the field of exploration and adventure, he shows he deserves his good fortune. But if he treats this period of freedom from the need of actual labour as a period not of preparation but of mere enjoyment, he shows that he is simply a cumberer on the earth's surface; and he surely unfits himself to hold his own with his fellows if the need to do so should again arise. A mere life of ease is not in the end a satisfactory life, and above all it is a life which ultimately unfits those who follow it for serious work in the world.
As it is with the individual so it is with the nation. It is a base untruth to say that happy is the nation that has no history. Thrice happy is the nation that has a glorious history. Far better it is to dare mighty things, to win glorious triumphs, even though checquered by failure, than to take rank with those poor spirits who neither enjoy much nor suffer much because they live in the grey twilight that knows neither victory nor defeat. If in 1861 the men who loved the Union had believed that peace was the end of all things and war and strife a worst of all things, and had acted up to their belief, we would have saved hundreds of thousands of lives, we would have saved hundreds of millions of dollars. Moreover, besides saving all the blood and treasure we then lavished, we would have prevented the heartbreak of many women, the dissolution of many homes; and we would have spared the country those months of gloom and shame when it seemed as if our armies marched only to defeat We could have avoided all this suffering, simply by shrinking from strife. And if we had thus avoided it we would have shown that we were weaklings and that we were unfit to stand among the great nations of the earth. Thank God for the iron in the blood of our fathers, the men who upheld the wisdom of Lincoln and bore sword or rifle in the armies of Grant! Let us, the children of the men who proved themselves equal to the mighty days – let us, the children of the men who carried the great Civil War to a triumphant conclusion, praise the God of our fathers that the ignoble counsels of peace were rejected, that the suffering and loss, the blackness of sorrow and despair, were unflinchingly faced, and the years of strife endured; for in the end the slave was freed, the Union restored, and the mighty American Republic placed once more as a helmeted queen among nations...
The timid man, the lazy man, the man who distrusts his country, the overcivilized man, who has lost the great fighting, masterful virtues, the ignorant man and the man of dull mind, whose soul is incapable of feeling the mighty lift that thrills 'stern men with empires in their brains' – all these, of course, shrink from seeing the nation undertake its new duties; shrink from seeing us build a navy and army adequate to our needs; shrink from seeing us do our share of the world's work by bringing order out of chaos in the great, fair tropic islands from which the valour of our soldiers and sailors has driven the Spanish flag. These are the men who fear the strenuous life, who fear the only national life which is really worth leading. They believe in that cloistered life which saps the hardy virtues in a nation, as it saps them in the individual; or else they are wedded to that base spirit of gain and greed which recognizes in commercialism the be-all and end-all of national life, instead of realizing that, though an indispensable element, it is after all but one of the many elements that go to make up true national greatness. No country can long endure if its foundations are not laid deep in the material prosperity which comes from thrift, from business energy and enterprise, from hard, unsparing effort in the fields of industrial activity; but neither was any nation ever yet truly great if it relied upon material prosperity alone.
I preach to you, then, my countrymen, that our country calls not for the life of ease, but for the life of strenuous endeavour. The twentieth century looms before us big with the fate of many nations. If we stand idly by, if we seek merely swollen, slothful ease, and ignoble peace, if we shrink from the hard contests where men must win at hazard of their lives and at the risk of all they hold dear, then the bolder and stronger peoples will pass us by and will win for themselves the domination of the world. Let us therefore boldly face the life of strife, resolute to do our duty well and manfully; resolute to uphold righteousness by deed and by word; resolute to be both honest and brave, to serve high ideals, yet to use practical methods. Above all, let us shrink from no strife, moral or physical, within or without the nation, provided we are certain that the strife is justified; for it is only through strife, through hard and dangerous endeavour, that we shall ultimately win the goal of true national greatness.
•
## Sir Henry Campbell-Bannerman
Stirling, 26 October 1901
#### 'Methods of barbarism'
> _The leader of the Liberal Party, Sir Henry Campbell-Bannerman (1836–1908), who had represented Stirling since 1868 and served in Gladstone's Cabinet, was denounced as a traitor when he condemned the setting up of Boer concentration camps as 'methods of barbarism' during Britain's war with the Boers._
The cardinal fact upon which the whole problem turns is that this is of the nature of a civil war. We are not fighting with a foreign foe whom we are to thrash and overcome and vanquish and punish, and then abandon him and turn our back upon him. These men are to be our neighbours – nay, they are to be our fellow-citizens. Whatever be their faults, whatever be their offences in the present or in the past against us, if we are to stay in South Africa at all, they will be there; and not only so, but they are indistinguishable from the great majority of our own citizens in our own colonies... Now anyone who rightly appreciates these facts, what will he say are to be our objects in the war which we have undertaken in South Africa? The first ought to be to impose upon our antagonists our military superiority. But the second is to impress upon them our ultimate and essential friendliness towards them...
Are the elements to be found for a settlement in the conditions to which you have now reduced South Africa?
The whole country in the two belligerent States outside the mining towns is a howling wilderness. The farms are burned, the country is wasted; the flocks and herds are either butchered or driven off; the mills are destroyed; furniture and implements of agriculture are smashed. These things are what I have termed methods of barbarism. I adhere to the phrase. I cannot improve upon it. If these are not the methods of barbarism, what methods does barbarism employ?... In time of war, things are not done in a rosewater sort of way; but the universal treatment of a whole country in this way, and the sweeping of women and children into camps is a process for which I venture to say nothing can furnish justification. When the war is happily ended and we set about the Constitution of this Arcadia, the fifty thousand prisoners of war will, of course, return to what by some sort of irony we may perhaps be permitted to call their home. These are the materials for your new self-government. They will meet the hundred thousand women and children or the survivors of them. There will not be many children at the present rate. They will meet them, and in what sort of mind towards the British Empire will these men be when the husband meets the wife and hears her story, when the brother meets the sister, when the father asks in vain for his child?...
Hitherto I have spoken of the belligerent States. Now, what of the old Colony of the Cape? To what condition has the statesmanship of the Government brought it?... The Constitution is suspended... Martial law, which is in other words no law, nothing but the arbitrary rule of soldiers, who know nothing of law, prevails from end to end of the country. We have reason to fear that martial law is but a form of undeclared war upon the Dutch population. With all the ordinary guarantees of civil rights suspended, no man is safe in property, in liberty or in life. The independent Press is silenced. So severe are the restrictions on news, that we have only partial information; but we have enough to know that hundreds of men, not Dutch only, but many British, have been arrested, thrown into gaol, deported to a distance from their homes, tried and condemned by these military tribunals on the evidence, it may be, of spiteful neighbours or political opponents. Why, with what indignation would we denounce such proceedings in other countries... Have these Ministers of ours not learned that it is not by the suppression of civil rights, not by harshness, not by coercion and force in any form, that a free people can be kept quiet and contented?...
The Government... have revived old enmities and created new ones, they have sown seeds of lasting discord, and when they, by-and-by, lay down in discredit their responsibilities, they will leave a new Ireland in the Southern Seas to be a weakness and a difficulty to the Empire... How true are the words of Mr Burke in his famous speech on the conciliation of the American colonies... Mr Burke in this great speech urged a further objection to force – he was objecting to applying force in any case of this kind – and that was that you impair the object by your very endeavour to preserve it. The thing you fought for is not the thing you recover, but depreciated, small, wasted and consumed in the contest. You may preserve your authority in South Africa, but it will be depreciated, and lessened, and wasted, and consumed. Is it too late even now to hope for counsels of moderation and a statesmanship which shall revert to the great traditions which have bound Great Britain and her Colonies together?
> _Campbell-Bannerman's phrase 'methods of barbarism' went round the world and reached the Boers on the battlefield. When he became prime minister in 1906, the Boers trusted him and agreed to work in a spirit of reconciliation with Britain when he conferred self-government on the Transvaal and the Orange River Colony._
•
## Keir Hardie
House of Commons, 23 April 1901
#### 'Socialism'
> _James Keir Hardie (1856–1915), who began work at the age of seven, became the first Independent Labour MP when he was elected for West Ham in 1892. A century later, he remains Labour's acknowledged folk hero. Hardie, a pacifist, supporter of the temperance movement and a fierce champion of the miners, went down the mines himself when he was only ten. He was the first (defeated) Labour candidate in Mid-Lanark in 1888, the main inspiration of the Independent Labour Party and, in 1900, the Labour Representation Committee, which became the Labour Party in 1906._
>
> _When he delivered this protest against capitalism, he had become MP for Merthyr Tydfil, a mining community in South Wales. It was the first complete socialist speech made in the House of Commons._
I make no apology for bringing the question of Socialism before the House of Commons. It has long commanded the attention of the best minds in the country. It is a growing force in the thought of the world, and whether men agree or disagree with it, they have to reckon with it, and may as well begin by understanding it.
I begin by pointing out that the growth of our national wealth instead of bringing comfort to the masses of the people is imposing additional burdens on them. We are told on high authority that some 300 years ago the total wealth of the English nation was 100 millions sterling. At the beginning of the last century it had increased to 2,000 millions, and this year it is estimated to be 13,000 millions. While our population during the last century increased three and a half times, the wealth of the community increased over six times. But one factor in our national life remained with us all through the century, and is with us still, and that is that at the bottom of the social scale there is a mass of poverty and misery equal in magnitude to that which obtained 100 years ago. I submit that the true test of progress is not the accumulation of wealth in the hands of a few, but the elevation of a people as a whole. I admit frankly that a considerable improvement was made in the condition of the working people during the last century. At the beginning of the nineteenth century the nation industrially was sick almost unto death. It was at that time passing from the old system of handicraft, under which every man was his own employer and his own capitalist, and traded direct with his customer, to the factory system which the introduction of machinery brought into existence. During these 100 years the wealth of the nation accumulated, and the condition of the working classes as compared with the early years of the century improved, but I respectfully submit to the House that there was more happiness, more comfort and more independence before machinery began to accumulate wealth.
The high standard of comfort reached by the labouring classes at the end of the last century has not brought them that happiness which obtained in England 300 years ago, when there was no machinery, no large capitalists, no private property in land, as we know it today, and when every person had the right to use the land for the purpose of producing food for himself and his family. I said that an improvement was made during the last century, but I would qualify that statement in this respect – that practically the whole of that improvement was made during the first seventy-five years. During the last quarter of the century the condition of the working classes has been practically stationary. There have been slight increases of wages here and reductions of hours there, but the landlord with his increased rent has more than absorbed any advantage that may have been gained.
We are rapidly approaching a point when the nation will be called upon to decide between an uncontrolled monopoly, conducted for the benefit and in the interests of its principal shareholders, and a monopoly owned, controlled and manipulated by the state in the interests of the nation as a whole. I do not require to go far afield for arguments to support that part of my statement concerning the danger which the aggregation of wealth in a few hands is bringing upon us. This House and the British nation know to their cost the danger which comes from allowing men to grow rich and permitting them to use their wealth to corrupt the press, to silence the pulpit, to degrade our national life, and to bring reproach and shame upon a great people, in order that a few unscrupulous scoundrels might be able to add to their ill-gotten gains. The war in South Africa is a millionaires' war. Our troubles in China are due to the desire of the capitalists to exploit the people of that country as they would fain exploit the people of South Africa. Much of the jealousy and bad blood existing between this country and France is traceable to the fact that we went to war in Egypt to suppress a popular uprising, seeking freedom for the people, in order that the interest of our bondholders might be secured. Socialism, by placing land and the instruments of production in the hands of the community, eliminates only the idle, useless class at both ends of the scale. Half a million of the people of this country benefit by the present system; the remaining millions of toilers and business men do not. The pursuit of wealth corrupts the manhood of men. We are called upon at the beginning of the twentieth century to decide the question propounded in the Sermon on the Mount as to whether we will worship God or Mammon. The present day is a Mammon-worshipping age. Socialism proposes to dethrone the brute-god Mammon and to lift humanity into its place. I beg to submit in this very imperfect fashion the resolution on the Paper, merely promising that the last has not been heard of the Socialist movement either in the country or on the floor of this House, but that, just as sure as Radicalism democratized the system of government politically in the last century, so will Socialism democratize the country industrially during the century upon which we have just entered.
> _Hardie lost his seat in 1915 after opposing Britain's involvement in the First World War, and died the same year. It was his relentless campaigns which forced the government to admit its responsibility for the unemployed._
•
## Joseph Chamberlain
Birmingham, 15 May 1903
#### 'I believe in a British Empire and I do not believe in a Little England'
> _The campaign for tariff reform, memorably advocated by Joseph Chamberlain (1836–1914) in this speech at Birmingham, split the Conservative Party, convulsed the country and eventually handed power for nearly two decades to the Liberals, led by Asquith and Lloyd George._
>
> _Chamberlain, at first a radical Liberal whose opposition to Irish Home Rule in 1886 had split the party and brought down the government, had joined the Tories and now proposed protection, renamed tariff reform, in order to unite the Dominions (such as Canada and South Africa) to the Empire by preferential tariffs._
>
> _He provoked a great sensation. 'The Birmingham speech,' wrote Leo Amery, the Tory politician, was 'a challenge to free trade as direct and provocative as the theses which Luther nailed to the church door at Wittenberg. To many of the younger generation, passionately imperialist by conviction, beginning to be intellectually sceptical about free trade, the speech was a sudden crystallization of all their ideals in an imperious call to action.'_
I cannot look forward without dread to handing over the security and existence of this great Empire to the hands of those who have made common cause with its enemies, who have charged their own countrymen with methods of barbarism, and who apparently have been untouched by that pervading sentiment which I found everywhere where the British flag floats, and which has done so much in recent years to draw us together. I should not require to go to South Africa in order to be convinced that this feeling has obtained deep hold on the minds and hearts of our children beyond the seas. It has had a hard life of it, this feeling of Imperial patriotism. It was checked for a generation by the apathy and the indifference which were the characteristics of our former relations with our Colonies, but it was never extinguished. The embers were still alight, and when in the late war this old country of ours showed that it was still possessed by the spirit of our ancestors, and that it was still prepared to count no sacrifice that was necessary in order to maintain the honour and the interests of the Empire, then you found a response from your children across the seas that astonished the whole world by a proof, an undeniable proof, of affection and regard.
Is it to end there? Are we to sink back into the old policy of selfish isolation which went very far to dry and even to sap the loyalty of our colonial brethren? I do not think so. I think these larger issues touch the people of this country. I think they have awakened to the enormous importance of a creative time like the present, and of taking advantage of the opportunities offered in order to make permanent what has begun so well. Remember, we are a kingdom, an old country. We proceed here on settled lines. We have our quarrels and our disputes, and we pass legislation which may be good or bad; but we know that, whatever changes there may be, at all events the main stream will ultimately reach its appointed destination. That is the result of centuries of constitutional progress and freedom.
But the Empire is not old. The Empire is new – the Empire is in its infancy. Now is the time when we can mould that Empire and when we and those who live with us can decide its future destinies. Just let us consider what that Empire is; I am not going tonight to speak of those hundreds of millions of our Indian and native fellow subjects for whom we have become responsible. I consider for the moment only our relations to that white British population that constitutes the majority in the great self-governing colonies of the Empire. Here in the United Kingdom there are some forty millions of us. Outside there are ten millions of men either directly descended from ancestors who left this country or more probably men who themselves in their youth left this country in order to find their fortunes in our possessions abroad. How long do you suppose that this proportion of population is going to endure? The development of those colonies has been delayed by many reasons – but mainly probably by a more material reason – by the fact that the United States of America has offered a greater attraction to British emigration.
But that has changed. The United States, with all their vast territory, are filling up; and even now we hear of tens of thousands of emigrants leaving the United States in order to take up the fresh and rich lands of our colony in Canada. It seems to me not at all an impossible assumption that before the end of this present century we may find our fellow subjects beyond the seas as numerous as we are at home. I want you to look forward. I want you to consider the infinite importance of this not only to yourselves but to your descendants. Now is the time when you can exert influence. Do you wish that if these ten millions become forty millions they shall still be closely, intimately, affectionately united to you, or do you contemplate the possibility of their being separated, going off each in his own direction, under a separate flag? Think what it means to your power and influence as a country; think what it means to your position among the nations of the world; think what it means to your trade and commerce – I put that last.
What is the meaning of an Empire? What does it mean to us? We have had a little experience. We have had a war, a war in which the majority of our children abroad had no apparent direct interest. We had no hold over them of any kind, and yet at one time during this war, by the voluntary decision of these people, at least 50,000 Colonial soldiers were standing shoulder to shoulder with British troops, displaying a gallantry equal to their own and the keenest intelligence. It is something for a beginning, and if this country were in danger, I mean if we were, as our forefathers were, face to face some day – Heaven forfend – with some great coalition of hostile nations, when we had with our backs to the wall to struggle for our very lives, it is my firm conviction there is nothing within the power of these self-governing colonies they would not do to come to our aid. I believe their whole resources in men and in money would be at the disposal of the Mother Country in such an event. That is something – something which it is wonderful to have achieved, and which it is worth almost any sacrifice to maintain...
I believe in a British Empire, in an Empire which, though it should be its first duty to cultivate friendship with all the nations of the world, should yet, even if alone, be self-sustaining and self-sufficient, able to maintain itself against the competition of all its rivals. And I do not believe in a Little England which shall be separated from all those to whom it would in the natural course look for support and affection, a Little England which would then be dependent absolutely on the mercy of those who envy its present prosperity, and who have shown they are ready to do all in their power to prevent its future union with the British races throughout the world.
> _The tariff reform campaign was a disaster for the Conservative Party. It united the Liberals, lost the Tories the general election of 1906, put the Liberals into power for nearly twenty years, and was a major factor in pushing the Tories into rejecting Lloyd George's 1909 'People's Budget'._
>
> _Chamberlain was struck down by paralysis in 1906 and played no further part in politics._
•
## F. E. Smith (Lord Birkenhead)
House of Commons, 11 March 1906
#### 'I warn the Government'
> _More than a hundred years later, the maiden speech in 1906 by the English barrister F. E. Smith (1872–1930), Conservative MP for Liverpool, Walton (and subsequently Lord Birkenhead), is still considered the most famous ever made in the House of Commons. The main reason was its sheer audacity – Smith, the new MP, dared to tweak the tails of such lions as Lloyd George and Winston Churchill. As his latest biographer, John Campbell, writes: 'He gambled for the highest stake; and won... and in this one dazzling hour wrote his name more indelibly than by any other of his more solemn later actions into the history of Parliament.'_
>
> _The Tories had been routed by the Liberals in the 1906 general election. One reason was the tariff reform campaign espoused by Joseph Chamberlain. Smith was speaking against a Liberal resolution stating that the people of the United Kingdom had demonstrated their 'unqualified fidelity' to the principles and practice of free trade and recording its determination to resist any proposal to create a system of protection._
Unemployment yearly grows chronic over a larger area, while a Parliament of Free Importers celebrates in academic resolutions the economic system which has depopulated rural England, has filled the emigrant steamers with fugitives from these happy shores, and has aggravated the evils of the most revolting slums in Christendom. The progress of tonight's debate makes one profoundly conscious of the constructive shortcomings of the Cobdenism of today. I myself am a perfectly unrepentant member of the Tariff Reform League. I do not know how many members of the league there may be in the House; it may be that a division would show that they are not more numerous than the representatives of the Liberal League. I have, at least, the satisfaction of reflecting that, if tariff reform is found not to be a winning horse, I have not necessarily compromised my political future. I have in hon. and right hon. gentlemen opposite an admirable example of how to cut the painter of a similar league, with the maximum of political advancement, and the minimum of fidelity to a founder. Such a model of chivalrous loyalty is of great value to a young member of Parliament...
The resolution before the House consists of two parts. In the first, we are asked to recognize the merits of what is described on an obscure prescriptive principle as free trade, and, in the second, we are invited to register the proposition that the country gave an unqualified verdict in its favour. The word 'unqualified' is in itself ambiguous, and may have more than one meaning. If we say that a man is an unqualified slave, we mean that his condition can be honestly described as completely servile, and not, merely, as semi-servile. If, on the other hand, we say that a man is an unqualified medical practitioner, or an unqualified under-secretary, we mean that he is not entitled to any particular respect, because he has not passed through the normal period of training, or preparation. It is, on the whole, probable that the word is used in the first sense in the present motion.
But, perhaps, it is necessary to distinguish even further. When hon. gentlemen opposite are successful at the polls, it is probably used in the first sense. In the comparatively few cases in which I and my friends were successful, it is used in the second. Birmingham, under circumstances which will never be effaced from the memory of hon. gentlemen, on whichever side of the House they sit, displayed the rare and beautiful quality of political constancy, and voted in all its divisions for tariff reform. [Laughter.] The result is sneered at, in the spirit of the laughter which we have just heard, as a triumph for Tammanyism, or, more profoundly analysed by an eminent Nonconformist divine, as an instance of that mysterious dispensation, which occasionally permits the ungodly to triumph. Hon. gentlemen opposite are, in fact, very much more successful controversialists than hon. members on this side of the House.
It is far easier, if one is a master of scholarly irony, and of a charming literary style, to describe protection as a 'stinking rotten carcase' than to discuss scientifically whether certain limited proposals are likely to prove protective in their incidence. It is far easier, if one has a strong stomach, to suggest to simple rustics, as the President of the Board of Trade did, that, if the Tories came into power, they would introduce slavery on the hills of Wales. [Mr LLOYD GEORGE: 'I did not say that.']
The right hon. gentleman would, no doubt, be extremely anxious to forget it, if he could; but, anticipating a temporary lapse of memory, I have in my hand the _Manchester Guardian_ of 16 January 1906, which contains a report of his speech. The right hon. gentleman said: 'What would they say to introducing Chinamen at 1s. a day into the Welsh quarries? Slavery on the hills of Wales! Heaven forgive me for the suggestion!' I have no means of judging how heaven will deal with persons who think it decent to make such suggestions. The distinction drawn by the right hon. gentleman is more worthy of the county court than of the Treasury Bench. I express a doubt whether any honest politician will ever acquit the right hon. gentleman of having deliberately given the impression to those he thus addressed that, if the Conservative Party were returned, the hills of Wales would be polluted by conditions of industrial slavery. The alternative construction is that the right hon. gentleman thought it worth his while, in addressing ignorant men ['No'] – in relation to the right hon. gentleman they are ignorant; is that disputed? – to put before ignorant men an abstract and academic statement as to Chinese labour on the hills of Wales. If he did not mean his hearers to draw the false but natural inference, why make any reference to Chinese slavery as a conceivable prospect on the hills of Wales?
Since this House of Commons met, we have heard a great deal about the war. I would suggest to hon. gentlemen, as a humble admirer of their methods, that, if they wish for targets in that matter, they ought to aim, not at the Opposition Benches, but at right hon. gentlemen who sit on the Front Government Bench. Hon. gentlemen opposite should remember that the present Secretary of State for War [Lord (then Mr) Haldane] justly observed that the Boers waged the war, not only with the object of maintaining their independence, but also to undermine our authority in South Africa; and the present Attorney-General [Sir John Lawson Walton] said that the war could be shown to be as just, as it was inevitable, and to have been defensible on the grounds of freedom. The circumstances of which you complain were anterior to the war. While the only panacea which hon. gentlemen opposite can suggest is the employment of broken down artisans in planting trees, and constructing dams against the encroachment of the sea, the Unionist Party need not be discouraged by their reverses at the polls. We will say of the goddess who presides over the polls, as Dryden said of Fortune in general:
> I can enjoy her while she's kind;
>
> But when she dances in the wind,
>
> And shakes her wings, and will not stay,
>
> I puff the prostitute away.
Was the verdict unqualified, having regard to the aggregate number of votes polled on behalf of Liberal members? The votes polled at the last election for Liberal, Labour, and Nationalist candidates were 3,300,000, while those polled for tariff reform candidates and other gentlemen sitting around me were 2,500,000. ['No! Not true!'] I gather that it is suggested that my figures are wrong. ['Yes.'] They very probably are. I took them from the _Liberal Magazine_.
Perhaps the Minister of Education [Mr Birrell] was responsible for them, before he gave up the hecatomb line of business for the Christian toleration and charity department. I venture to suggest to hon. gentlemen opposite, that the figures I have quoted, so far as they are accurate, are not altogether discouraging to those who, for the first time after so many years of blind dogma, have challenged the verdict of the country on the issue of tariff reform. What would hon. gentlemen who represent Ireland say, if it was suggested that they were Cobdenites? Will one of them get up to say that Cobdenism has brought prosperity or success to Ireland, or to guarantee that a representative Irish Parliament would not introduce a general tariff on foreign manufactured articles? The jury who gave this unqualified verdict is unaccountably silent. The spectacle of the Cobdenite hen cackling over a protectionist duckling of her own hatching in Ireland would add a partially compensating element of humour even to the prospect of Home Rule.
The Irish and – I may add – the Indian case for tariff reform were both once and for all conceded by the 'infant community' admission of Adam Smith. Why do we force upon India and Ireland alike a system, of which every honest man knows that – whether it be good or bad for us – it denies to them the right to develop and mature their nascent industries upon the lines in which they themselves most earnestly believe, and in which every country in the world except Great Britain believes? The answer is as short as it is discreditable. We perpetuate this tyranny in order that our Indian and Irish fellow-subjects may be forced to buy from our manufacturers articles which they would otherwise attempt to manufacture for themselves. In other words, we perpetuate in these two cases a compulsory and unilateral trade preference – demonstrably the fruit of selfishness – at the sacrifice of a voluntary and bilateral preference, based deep and strong upon mutual interest and mutual affection.
I have heard the majority on the other side of the House described as the pure fruit of the Cobdenite tree. I should rather say that they were begotten by Chinese slavery out of passive resistance, by a rogue sire out of a dam that roared. I read a short time ago that the Free Church Council claimed among its members as many as two hundred of hon. gentlemen opposite.
The Free Church Council gave thanks publicly for the fact that Providence had inspired the electors with discrimination to vote on the right side. Mr Speaker, I do not, more than another man, mind being cheated at cards; but I find it a little nauseating if my opponent then publicly ascribes his success to the partnership of the Most High. What the future of this Parliament has in store for right hon. and hon. gentlemen opposite I do not know, but I hear that the Government will deny to the Colonial Conference of 1907 free discussion on the subject which the House is now debating, so as to prevent the statement of unpalatable truths. I know that I am the insignificant representative of an insignificant numerical minority in this House, but I venture to warn the Government that the people of this country will neither forget nor forgive a party which, in the heyday of its triumph, denies to the infant Parliament of the Empire one jot or tittle of that ancient liberty of speech which our predecessors in this House vindicated for themselves at the point of the sword.
> _Smith became Attorney-General in 1915 and Lord Chancellor at the age of forty-seven. He appeared for the Crown in the prosecution of Roger Casement and played a major role in the Irish settlement of 1921. He coined the phrase, 'The world continues to offer glittering prizes to those who have stout hearts and sharp swords.'_
•
## Theodore Roosevelt
Washington, DC, 14 April 1906
#### 'The men with the muck-rakes'
> _The strenuous life. Ignoble ease. Theodore Roosevelt had a gift for the striking oratorical phrase. One of his maxims was speak softly and carry a big stick. He also gave a new word to the language when he compared investigative journalists to Bunyan's man with a muck-rake in this speech at the laying of the cornerstone of the office building of the House of Representatives._
We now administer the affairs of a nation in which the extraordinary growth of population has been outstripped by the growth of wealth and the growth in complex interests. The material problems that face us today are not such as they were in Washington's time, but the underlying facts of human nature are the same now as they were then. Under altered external form we war with the same tendencies towards evil that were evident in Washington's time, and are helped by the same tendencies for good.
In Bunyan's _Pilgrim's Progress_ you may recall the description of the Man with the Muck-rake, the man who could look no way but downward, with the muck-rake in his hand; who was offered a celestial crown for his muck-rake, but who would neither look up nor regard the crown he was offered, but continued to rake to himself the filth of the floor.
In _Pilgrim's Progress_ the Man with the Muck-rake is set forth as the example of him whose vision is fixed on carnal instead of on spiritual things. Yet he also typifies the man who in this life consistently refuses to see aught that is lofty, and fixes his eyes with solemn intentness only on that which is vile and debasing. Now, it is very necessary that we should not flinch from seeing what is vile and debasing. There is filth on the floor, and it must be scraped up with the muck-rake; and there are times and places where this service is the most needed of all the services that can be performed. But the man who never does anything else, who never thinks or speaks or writes save of his feats with the muck-rake, speedily becomes, not a help to society, not an incitement to good, but one of the most potent forces for evil.
There are, in the body politic, economic and social, many and grave evils, and there is urgent necessity for the sternest war upon them. There should be relentless exposure of and attack upon every evil man whether politician or business man, every evil practice, whether in politics, in business, or in social life. I hail as a benefactor every writer or speaker, every man who, on the platform, or in book, magazine, or newspaper, with merciless severity makes such attack, provided always that he in his turn remembers that the attack is of use only if it is absolutely truthful. The liar is no whit better than the thief, and if his mendacity takes the form of slander, he may be worse than most thieves. It puts a premium upon knavery untruthfully to attack an honest man, or even with hysterical exaggeration to assail a bad man with untruth. An epidemic of indiscriminate assault upon character does not good, but very great harm. The soul of every scoundrel is gladdened whenever an honest man is assailed, or even when a scoundrel is untruthfully assailed...
My plea is, not for immunity to but for the most unsparing exposure of the politician who betrays his trust, of the big business man who makes or spends his fortune in illegitimate or corrupt ways. There should be a resolute effort to hunt every such man out of the position he has disgraced. Expose the crime, and hunt down the criminal; but remember that even in the case of crime, if it is attacked in sensational, lurid, and untruthful fashion, the attack may do more damage to the public mind than the crime itself. It is because I feel that there should be no rest in the endless war against the forces of evil that I ask that the war be conducted with sanity as well as with resolution. The men with the muck-rakes are often indispensable to the well-being of society; but only if they know when to stop raking the muck, and to look upward to the celestial crown above them, to the crown of worthy endeavour. There are beautiful things above and round about them; and if they gradually grow to feel that the whole world is nothing but muck, their power of usefulness is gone. If the whole picture is painted black there remains no hue whereby to single out the rascals for distinction from their fellows. Such painting finally induces a kind of moral colour-blindness; and people affected by it come to the conclusion that no man is really black, and no man really white, but they are all grey. In other words, they neither believe in the truth of the attack, nor in the honesty of the man who is attacked; they grow as suspicious of the accusation as of the offence; it becomes well-nigh hopeless to stir them either to wrath against wrong-doing or to enthusiasm for what is right; and such a mental attitude in the public gives hope to every knave, and is the despair of honest men.
•
## Emmeline Pankhurst
London, 24 March 1908
#### 'The plight of women'
> _Emmeline Pankhurst (1858–1928), leader of the British suffragettes, formed the Women's Franchise League in 1889, but it was not until 1903 that she was persuaded by her daughter Christabel (1880–1958) to found the more militant Women's Social and Political Union. After meeting Herbert Asquith, the Liberal prime minister, in 1906, she despaired of winning the vote from a Liberal government and began to resort to militant tactics._
>
> _She made this speech at the Portman Rooms in London. A few months later she was arrested after suffragettes tried to 'rush' the House of Commons._
Men politicians are in the habit of talking to women as if there were no issues that affect women. 'The fact is,' they say, 'the home is the place for women. Their interests are the rearing and training of children. These are the things that interest women. Politics have nothing to do with these things, and therefore politics do not concern women.' Yet the laws decide how women are to live in marriage, how their children are to be trained and educated, and what the future of their children is to be. All that is decided by Act of Parliament. Let us take a few of the laws, and see what there is to say about them from the women's point of view.
First of all, let us take the marriage laws. They are made by men for women. Let us consider whether they are equal, whether they are just, whether they are wise. What security of maintenance has the married woman? Many a married woman having given up her economic independence in order to marry, how is she compensated for that loss? What security does she get in that marriage for which she gave up economic independence? Take the case of a woman who has been earning a good income. She is told that she ought to give up her employment when she becomes a wife and a mother. What does she get in return? All that a married man is obliged by law to do for his wife is to provide for her shelter of some kind, food of some kind, and clothing of some kind. It is left to his good pleasure to decide what the shelter shall be, what the food shall be, what the clothing shall be. It is left to him to decide what money shall be spent on the home, and how it shall be spent; the wife has no voice legally in deciding any of these things. She has no legal claim upon any definite portion of his income. If he is a good man, a conscientious man, he does the right thing. If he is not, if he chooses almost to starve his wife, she has no remedy. What he thinks sufficient is what she has to be content with.
I quite agree, in all these illustrations, that the majority of men are considerably better than the law compels them to be, so the majority of women do not suffer as much as they might suffer if men were all as bad as they might be, but since there are some bad men, some unjust men, don't you agree with me that the law ought to be altered so that those men could be dealt with?...
Now let us look at [the woman's] position if she had been very unfortunate in marriage, so unfortunate as to get a bad husband, an immoral husband, a vicious husband, a husband unfit to be the father of little children. We turn to the Divine Court. How is she to get rid of such a man? If a man has got married to a bad wife, and he wants to be rid of her, he has but to prove against her one act of infidelity. But if a woman who is married to a vicious husband wants to get rid of him, not one act nor a thousand acts of infidelity entitle her to a divorce; she must prove either bigamy, desertion, or gross cruelty, in addition to immorality before she can get rid of that man.
Let us consider her position as a mother. We have repeated this so often at our meetings that I think the echo of what we have said must have reached many. By English law no married woman exists as the mother of the child she brings into the world. In the eyes of the law she is not the parent of her child. The child, according to our marriage laws, has only one parent, who can decide the future of the child, who can decide where it shall live, how it shall live, how much shall be spent upon it, how it shall be educated, and what religion it shall profess. That parent is the father.
These are examples of some of the laws that men have made, laws that concern women. I ask you, if women had had the vote, should we have had such laws? If women had had the vote, as men have the vote, we should have had equal laws. We should have had equal laws for divorce, and the law would have said that as nature has given to children two parents, so the law should recognize that they have two parents.
I have spoken to you about the position of the married woman who does not exist legally as a parent, the parent of her own child. In marriage, children have one parent. Out of marriage children have also one parent. That parent is the mother – the unfortunate mother. She alone is responsible for the future of her child; she alone is punished if her child is neglected and suffers from neglect. But let me give you one illustration. I was in Herefordshire during the by-election. While I was there, an unmarried mother was brought before the bench of magistrates charged with having neglected her illegitimate child. She was a domestic servant, and had put the child out to nurse. The magistrates – there were colonels and landowners on that bench – did not ask what wages the mother got; they did not ask who the father was or whether he contributed to the support of the child. They sent that woman to prison for three months for having neglected her child. I ask you women here tonight, if women had had some share in the making of the laws, don't you think they would have found a way of making all fathers of such children equally responsible with the mothers for the welfare of those children?
> _Pankhurst was arrested again in 1909 (when forcible feeding was introduced to deal with the hunger strikes of the suffragettes) at the door of the Commons._
•
## David Lloyd George
London, 30 July 1909
#### 'The People's Budget'
> _The historic budget introduced in 1909 by David Lloyd George (1863–1945) proposed a modest supertax on the very rich and new taxes on land. Its aim, he said, was to wage implacable warfare against poverty and squalor. After the firstnational pension scheme of 1908, he had to provide for old-age pensions and to meet a heavy demand for naval construction. The budget was thrown out by the House of Lords after a momentous national controversy – an action which provoked the conflict between Lords and Commons that eventually led to the Parliament Act of 1911 and curbed the power of the hereditary lords._
>
> _Lloyd George's first full-scale defence of his budget was at Limehouse in London where he addressed an audience of 4,000 at the Edinburgh Castle. The speech provoked tumultuous applause from the audience of cockneys. It also provoked King Edward VII, who dispatched a message to Lloyd George from the royal yacht saying his speech was 'calculated to set class against class and to inflame the passions of the working and lower orders against people who happened to be owners of property'._
>
> _A master of improvised speech, Lloyd George, with his seductive, vibrant voice, was the greatest natural orator in an age of great orators. He spoke with his audiences and not to them. 'My platform is the country,' he said, and he gave his audiences a music-hall turn._
>
> _He mobilized the forces of change outside parliament as only a very few, such as Cobden, Gladstone and Joseph Chamberlain, had done before – but his driving passion was to action more than speech, to put far-reaching measures on the Statute Book and to root out the palpable injustices he saw all around him. He was the true founder of the Welfare State._
A few months ago a meeting was held not far from this hall, in the heart of the city of London, demanding that the government should launch out and run into enormous expenditure on the navy. That meeting ended up with a resolution promising that those who passed that resolution would give financial support to the government in their undertaking. There have been two or three meetings held in the City of London since, attended by the same class of people, but not ending up with a resolution promising to pay. On the contrary, we are spending the money, but they don't pay. What has happened since to alter their tone? Simply that we have sent in the bill. We started our four Dreadnoughts. They cost eight millions of money. We promised them four more; they cost another eight millions. Somebody has got to pay, and these gentlemen say, 'Perfectly true; somebody has got to pay, but we would rather that somebody were somebody else.' We started building; we wanted money to pay for the building; so we sent the hat round. We sent it round amongst the workmen and the miners of Derbyshire and Yorkshire, the weavers of Dumfries, who, like all their countrymen, know the value of money. They all brought in their coppers. We went round Belgravia, but there has been such a howl ever since that it has completely deafened us.
But they say, 'It is not so much the Dreadnoughts we object to, it is the pensions.' If they object to pensions, why did they promise them? They won elections on the strength of their promises. It is true they never carried them out. Deception is always a pretty contemptible vice, but to deceive the poor is the meanest of all crimes. But they say, 'When we promised pensions we meant pensions at the expense of the people for whom they were provided. We simply meant to bring in a bill to compel workmen to contribute to their own pensions.' If that is what they meant, why did they not say so? The budget is introduced not merely for the purpose of raising barren taxes, but taxes that are fertile taxes, taxes that will bring forth fruit – the security of the country which is paramount in the midst of all. The provision for the aged and deserving poor – it was time it was done. It is rather a shame for a rich country like ours – probably the richest country in the world, if not the richest the world has ever seen – that it should allow those who have toiled all their days to end in penury and possibly starvation. It is rather hard that an old workman should have to find his way to the gates of the tomb, bleeding and footsore, through the brambles and thorns of poverty. We cut a new path through it, an easier one, a pleasanter one, through fields of waving corn. We are raising money to pay for the new road, aye, and to widen it, so that 200,000 paupers shall be able to join in the march. There are many in the country blessed by Providence with great wealth, and if there are amongst them men who grudge out of their riches a fair contribution toward the less fortunate of their fellow countrymen, they are shabby rich men. We propose to do more by means of the budget. We are raising money to provide against the evils and the sufferings that follow from unemployment. We are raising money for the purpose of assisting our great friendly societies to provide for the sick and the widows and orphans. We are providing money to enable us to develop the resources of our own land. I do not believe any fair-minded man would challenge the justice and the fairness of the objects which we have in view in raising this money...
Have you been down a coal-mine? I was telling you I went down one the other day. We sank down into a pit half a mile deep. We then walked underneath the mountain, and we did about three-quarters of a mile with rock and shale above us. The earth seemed to be straining – around us and above us – to crush us in. You could see the pit-props bent and twisted and sundered until you saw their fibres split. Sometimes they give way, and then there is mutilation and death. Often a spark ignites, the whole pit is deluged in fire, and the breath of life is scorched out of hundreds of breasts by the consuming fire.
In the very next colliery to the one I descended, just three years ago, three hundred people lost their lives in that way, and yet when the Prime Minister and I knock at the door of these great landlords and say to them, 'Here, you know these poor fellows who have been digging up royalties at the risk of their lives, some of them are old, they have survived the perils of their trade, they are broken, they can earn no more. Won't you give something towards keeping them out of the workhouse?' – they scowl at you. And we say, 'Only a ha'penny, just a copper!' They say, 'You thieves!' And they turn their dogs on to us, and every day you can hear their bark. If this is an indication of the view taken by these great landlords of their responsibility to the people who, at the risk of life, create their wealth, then I say their day of reckoning is at hand.
The other day, at the great Tory meeting held at the Cannon Street Hotel, they had blazoned on the walls, 'We protest against the budget in the name of democracy, liberty, and justice.' Where does the democracy come in this landed system? Where is the justice in all these transactions? We claim that the tax we impose on land is fair, just, and moderate. They go on threatening that if we proceed they will cut down their benefactions and discharge labour. What kind of labour? What is the labour they are going to choose for dismissal? Are they going to threaten to devastate rural England, while feeding themselves and dressing themselves? Are they going to reduce their gamekeepers? That would be sad! The agricultural labourer and the farmer might then have some part of the game which they fatten with their labour. But what would happen to you in the season? No weekend shooting with the Duke of Norfolk for any of us! But that is not the kind of labour that they are going to cut down. They are going to cut down productive labour – builders and gardeners – and they are going to ruin their property so that it shall not be taxed. All I can say is this – the ownership of land is not merely an enjoyment, it is a stewardship. It has been reckoned as such in the past, and if they cease to discharge their functions, the security and defence of the country, looking after the broken in their villages and neighbourhoods – then those functions which are part of the traditional duties attached to the ownership of land and which have given to it its title – if they cease to discharge those functions, the time will come to reconsider the conditions under which land is held in this country. No country, however rich, can permanently afford to have quartered upon its revenue a class which declines to do the duty which it was called upon to perform. And, therefore, it is one of the prime duties of statesmanship to investigate those conditions.
But I do not believe it. They have threatened and menaced like that before. They have seen it is not to their interest to carry out these futile menaces. They are now protesting against paying their fair share of the taxation of the land, and they are doing so by saying: 'You are burdening the community; you are putting burdens upon the people which they cannot bear.' Ah! they are not thinking of themselves. Noble souls! It is not the great dukes they are feeling for; it is the market gardener, it is the builder, and it was, until recently, the small holder. In every debate in the House of Commons they said: 'We are not worrying for ourselves. We can afford it with our broad acres; but just think of the little man who has got a few acres,' and we were so very impressed with this tearful appeal that at last we said, 'We will leave him out.' And I almost expected to see Mr Prettyman jump over the table and say, 'Fall on my neck and embrace me.' Instead of that, he stiffened up, his face wreathed with anger, and he said, 'The budget is more unjust than ever.'
Oh! no. We are placing the burdens on the broad shoulders. Why should I put burdens on the people? I am one of the children of the people. I was brought up amongst them. I know their trials; and God forbid that I should add one grain of trouble to the anxiety which they bear with such patience and fortitude. When the Prime Minister did me the honour of inviting me to take charge of the national exchequer at a time of great difficulty, I made up my mind in framing the budget which was in front of me that at any rate no cupboard should be bared, no lot would be harder to bear. By that test, I challenge them to judge the budget.
•
## David Lloyd George
Caernarvon, 9 December 1909
#### 'We are in for rough weather'
> _Lloyd George made many speeches on his People's Budget. After Limehouse, where he attacked dukes with their leaseholds of ever-increasing value, he spoke in Newcastle, where he said that fully equipped dukes, who cost as much to keep up as two Dreadnoughts, were just as great a terror and lasted longer. 'The question will be asked: "Should 500 men, ordinary men, chosen accidentally from among the unemployed, override the judgement, the deliberate judgement, of millions of people who are engaged in the industry which makes the wealth of the country?" ' At Wolverhampton, he again attacked the hereditary principle._
>
> _At Caernarvon in Wales at the end of the year, there was a superb peroration to his speech, in which he set out his case for the betterment of the people._
These are the taxes, these are our proposals. What do our opponents object to? Where is the Socialism, injustice and wrong? Where is the oppression; where is the unfairness of it? Do they object to what we are spending the money for? They do not complain about our building Dreadnoughts; they want more, except that they want someone else to pay for them. Do they object to pensions? What do they object to? Is it unfair to raise money for these purposes? We are imposing no burdens upon the earnings of any working man. The vast majority – I am sure whole – of the middle class of this country escape additional burdens. We put no burden upon the necessities of life of anyone. We are taxing the surplus. We are taxing the luxuries. If a man has enough after maintaining his wife and family, and can spare something upon whisky and tobacco, why should he not afterwards contribute towards the pensions and defences of the country? No; we are raising money by means that make it no more difficult for men to live, we are raising it for making provision for hundreds of thousands of workmen in the country who have nothing between them and starvation in old age except the charity of the parish. We propose a great scheme in order to set up a fund in this country that will see that no man suffers hunger in the dark days of sickness, breakdown in health, and unemployment which visit so many of us. That is what we are going to do. These schemes for the betterment of the people, we shall get them some day. We cannot get them without effort, and they will not be worth getting without effort. Freedom does not descend like manna from Heaven. It has been won step by step, by tramping the wilderness, fighting enemies, crossing Jordan, and clearing Jebusites out of the land. I do not regret that we cannot obtain these blessings except by fighting. The common people have taken no step that was worth taking without effort, sacrifice and suffering.
I cannot pretend to regret this conflict with which we are now confronted. It is well that democracies should now and again engage in these great struggles for a wider freedom and a higher life. They represent stages in the advance of the people from the bondage of the past to the blessings of the future. Those who dread these political convulsions, who apprehend from them nothing but destruction and danger, have read their history in vain. The race has nothing to fear except from stagnation. Against our will we have been precipitated into this tumult. For all that, we mean to win our way through it to a better time. The people may not secure all they seek, but if they bear themselves manfully they will achieve other ends they dare not even hope for now. Yesterday I visited the old village where I was brought up. I wandered through the woods familiar to my boyhood. There I saw a child gathering sticks for firewood, and I thought of the hours which I spent in the same pleasant and profitable occupation, for I also have been something of a 'backwoodsman'. And there is one experience taught me then which is of use to me today. I learnt as a child that it was little use going into the woods after a period of calm and fine weather, for I generally returned empty-handed; but after a great storm I always came back with an armful. We are in for rough weather. We may be even in for a winter of storms which will rock the forest, break many a withered branch, and leave many a rotten tree torn up by the roots. But when the weather clears, you may depend upon it that there will be something brought within the reach of the people that will give warmth and glow to their grey lives, something that will help to dispel the hunger, the despair, the oppression, and the wrong which now chill so many of their hearts.
•
## Theodore Roosevelt
Osawatomie, Kansas, 1910
#### 'The new nationalism'
> _After becoming president of the United States on the assassination of President McKinley in 1901, Theodore Roosevelt won the election of 1904 with an overwhelming majority, but withdrew from politics in 1908 for a two-year world tour and went big-game hunting in Africa._
>
> _On his return be tried to re-enter politics. The 'New Nationalism' he now preached not only embraced most of the political and social reforms of the moment but also accepted as both 'inevitable and necessary' the concentration of economic power in big corporations. Roosevelt would regulate rather than dissolve them, maintaining instead of destroying their contributions to America's wealth. Big business would be matched by big government._
>
> _This was the programme that he presented in his speech at Osawatomie, Kansas, in August 1910._
We come here today to commemorate one of the epoch-making events of the long struggle for the rights of man, the long struggle for the uplift of humanity. Our country – this great republic – means nothing unless it means the triumph of a real democracy, the triumph of popular government, and, in the long run, of an economic system under which each man shall be guaranteed the opportunity to show the best that there is in him. That is why the history of America is now the central feature of the history of the world; for the world has set its face hopefully towards our democracy; and, O my fellow citizens, each one of you carries on your shoulders not only the burden of doing well for the sake of your own country, but the burden of doing well and seeing that this nation does well for the sake of mankind...
At many stages in the advance of humanity, conflict between the men who possess more than they have earned and the men who have earned more than they possess is the central condition of progress. In our day it appears as the struggle of free men to gain and hold the right of self-government as against the special interests, who twist the methods of free government into machinery for defeating the popular will. At every stage, and under all circumstances, the essence of the struggle is to equalize opportunity, destroy privilege, and give to the life and citizenship of every individual the highest possible value both to himself and to the commonwealth...
Practical equality of opportunity for all citizens, when we achieve it, will have two great results. First, every man will have a fair chance to make of himself all that in him lies; to reach the highest point to which his capacities, unassisted by special privilege of his own and unhampered by the special privilege of others, can carry him, and to get for himself and his family substantially what he has earned. Second, equality of opportunity means that the commonwealth will get from every citizen the highest service of which he is capable. No man who carries the burden of the special privileges of another can give to the commonwealth that service to which it is fairly entitled...
National efficiency has many factors. It is a necessary result of the principle of conservation widely applied. In the end it will determine our failure or success as a Nation. National efficiency has to do, not only with natural resources and with men, but it is equally concerned with institutions. The State must be made efficient for the work which concerns only the people of the State; and the Nation for that which concerns all the people. There must remain no neutral ground to serve as a refuge for lawbreakers, and especially for lawbreakers of great wealth, who can hire the vulpine legal cunning which will teach them how to avoid both jurisdictions. It is a misfortune when the national legislature fails to do its duty in providing a national remedy, so that the only national activity is the purely negative activity of the judiciary in forbidding the state to exercise power in the premises...
The American people are right in demanding that New Nationalism, without which we cannot hope to deal with new problems. The New Nationalism puts the national need before sectional or personal advantage. It is impatient of the utter confusion that results from local legislatures attempting to treat national issues as local issues. It is still more impatient of the impotence which springs from overdivision of governmental powers, the impotence which makes it possible for local selfishness or for legal cunning, hired by wealthy special interests, to bring national activities to a deadlock. This New Nationalism regards the executive power as the steward of the public welfare. It demands of the judiciary that it shall be interested primarily in human welfare rather than in property, just as it demands that the representative body shall represent all the people rather than any one class or section of the people...
The object of government is the welfare of the people. The material progress and prosperity of a nation are desirable chiefly so far as they lead to the moral and material welfare of all citizens. Just in proportion as the average man and woman are honest, capable of sound judgement and high ideals, active in public affairs – but, first of all, sound in their home life, and the father and mother of healthy children whom they bring up well – just so far, and no further, we may count our civilization a success. We must have – I believe we have already – a genuine and permanent moral awakening, without which no wisdom of legislation or administration really means anything; and, on the other hand, we must try to secure the social and economic legislation without which any improvement due to purely moral agitation is necessarily evanescent... No matter how honest and decent we are in our private lives, if we do not have the right kind of law and the right kind of administration of the law, we cannot go forward as a nation. That is imperative; but it must be an addition to, and not a substitution for, the qualities that make up good citizens. In the last analysis, the most important elements in any man's career must be the sum of those qualities which, in the aggregate, we speak of as character. If he has not got it, then no law that the wit of man can devise, no administration of the law by the boldest and strongest executive, will avail to help him. We must have the right kind of character – character that makes a man, first of all, a good man in the home, a good father, a good husband – that makes a man a good neighbour. You must have that, and, then, in addition, you must have the kind of law and the kind of administration of the law which will give to those qualities in the private citizen the best possible chance for development. The prime problem of our nation, is to get the right type of good citizenship, and, to get it, we must have progress, and our public men must be genuinely progressive.
> _After failing to win the Republican nomination against William Taft, the incumbent president, in 1912, Roosevelt stood as an independent progressive candidate. He polled more votes than Taft but split the vote and allowed Woodrow Wilson to win._
•
## Emmeline Pankhurst
Hartford, Connecticut, 13 November 1913
#### 'Freedom or death'
> _Emmeline Pankhurst was convicted of conspiracy in 1912. After her release she and her daughter Christabel assumed full control of the Women's Social and Political Union. She was rearrested in 1913 for incitement to violence and sent to prison under the 'Cat and Mouse Act'. She went on hunger and thirst strike and was released only when her condition became critical. She was then rearrested twelve times but appeared on public platforms on a stretcher._
>
> _On a visit to the United States, where she had made fund-raising tours in 1909 and 1911, she explained in this speech why she was a 'dangerous person' under sentence of penal servitude in a convict prison._
I do not come here as an advocate, because whatever position the suffrage movement may occupy in the United States of America, in England it has passed beyond the realm of advocacy and it has entered into the sphere of practical politics. It has become the subject of revolution and civil war, and so tonight I am not here to advocate woman suffrage. American suffragists can do that very well for themselves. I am here as a soldier who has temporarily left the field of battle in order to explain – it seems strange it should have to be explained – what civil war is like when civil war is waged by women. I am not only here as a soldier temporarily absent from the field of battle; I am here – and that, I think, is the strangest part of my coming – I am here as a person who, according to the law courts of my country, it has been decided, is of no value to the community at all; and I am adjudged because of my life to be a dangerous person, under sentence of penal servitude in a convict prison. So you see there is some special interest in hearing so unusual a person address you. I dare say, in the minds of many of you – you will perhaps forgive me this personal touch – that I do not look either very like a soldier or very like a convict, and yet I am both.
It would take too long to trace the course of militant methods as adopted by women, because it is about eight years since the word militant was first used to describe what we were doing; it is about eight years since the first militant action was taken by women. It was not militant at all, except that it provoked militancy on the part of those who were opposed to it. When women asked questions in political meetings and failed to get answers, they were not doing anything militant. To ask questions at political meetings is an acknowledged right of all people who attend public meetings; certainly in my country, men have always done it, and I hope they do it in America, because it seems to me that if you allow people to enter your legislatures without asking them any questions as to what they are going to do when they get there you are not exercising your citizen rights and your citizen duties as you ought. At any rate in Great Britain it is a custom, a time-honoured one, to ask questions of candidates for Parliament, and ask questions of members of the government. No man was ever put out of a public meeting for asking a question until Votes for Women came on to the political horizon. The first people who were put out of a political meeting for asking questions were women; they were brutally ill-used; they found themselves in jail before twenty-four hours had expired. But instead of the newspapers, which are largely inspired by the politicians, putting militancy and the reproach of militancy, if reproach there is, on the people who had assaulted the women, they actually said it was the women who were militant and very much to blame.
It was not the speakers on the platform who would not answer them who were to blame, or the ushers at the meeting; it was the poor women who had had their bruises and their knocks and scratches, and who were put into prison for doing precisely nothing but holding a protest meeting in the street after it was all over. However, we were called militant for doing that, and we were quite willing to accept the name, because militancy for us is time-honoured; you have the church militant and in the sense of spiritual militancy we were very militant indeed. We were determined to press this question of the enfranchisement of the women to the point where we were no longer to be ignored by the politicians as had been the case for about fifty years, during which time women had patiently used every means open to them to win their political enfranchisement.
Experience will show you that if you really want to get anything done, it is not so much a matter of whether you alienate sympathy; sympathy is a very unsatisfactory thing if it is not practical sympathy. It does not matter to the practical suffragist whether she alienates sympathy that was never of any use to her. What she wants is to get something practical done, and whether it is done out of sympathy or whether it is done out of fear, or whether it is done because you want to be comfortable again and not be worried in this way, doesn't particularly matter so long as you get it. We had enough of sympathy for fifty years; it never brought us anything; and we would rather have an angry man going to the government and saying, my business is interfered with and I won't submit to its being interfered with any longer because you won't give women the vote, than to have a gentleman come on to our platforms year in and year out and talk about his ardent sympathy with woman suffrage.
'Put them in prison,' they said; 'that will stop it.' But it didn't stop it. They put women in prison for long terms of imprisonment, for making a nuisance of themselves – that was the expression when they took petitions in their hands to the door of the House of Commons; and they thought that sending them to prison, giving them a day's imprisonment, would cause them to all settle down again and there would be no further trouble. But it didn't happen so at all: instead of the women giving it up, more women did it, and more and more and more women did it until there were three hundred women at a time, who had not broken a single law, only 'made a nuisance of themselves' as the politicians say.
The whole argument with the anti-suffragists, or even the critical suffragist man, is this: that you can govern human beings without their consent. They have said to us, 'Government rests upon force; the women haven't force, so they must submit.' Well, we are showing them that government does not rest upon force at all; it rests upon consent. As long as women consent to be unjustly governed, they can be; but directly women say: 'We withhold our consent, we will not be governed any longer so long as that government is unjust,' not by the forces of civil war can you govern the very weakest woman. You can kill that woman, but she escapes you then; you cannot govern her. And that is, I think, a most valuable demonstration we have been making to the world.
Now, I want to say to you who think women cannot succeed, we have brought the government of England to this position, that it has to face this alternative; either women are to be killed or women are to have the vote. I ask American men in this meeting, what would you say if in your State you were faced with that alternative, that you must either kill them or give them their citizenship – women, many of whom you respect, women whom you know have lived useful lives, women whom you know, even if you do not know them personally, are animated with the highest motives, women who are in pursuit of liberty and the power to do useful public service? Well, there is only one answer to that alternative; there is only one way out of it, unless you are prepared to put back civilization two or three generations; you must give those women the vote. Now that is the outcome of our civil war.
You won your freedom in America when you had the Revolution, by bloodshed, by sacrificing human life. You won the Civil War by the sacrifice of human life when you decided to emancipate the negro. You have left it to the women in your land, the men of all civilized countries have left it to women, to work out their own salvation. That is the way in which we women of England are doing. Human life for us is sacred, but we say if any life is to be sacrificed it shall be ours; we won't do it ourselves, but we will put the enemy in the position where they will have to choose between giving us freedom or giving us death.
> _During the tour, Emmeline was detained on Ellis Island. On the outbreak of war, the WSPU stopped campaigning. Women secured the vote in 1918, and full suffrage in 1928. Emmeline lived in Canada from 1919 to 1926 when she returned to England, joined the Conservative Party and stood for Whitechapel._
•
## Edward Carson
London, 11 February 1914
#### 'Ulster is asking to be let alone'
> _Edward Carson, born and educated in Dublin, was Unionist MP for Dublin for twenty-six years before becoming MP for a Belfast seat, 1918–21. He was Solicitor-General in the administrations of Salisbury and Balfour. In 1910 he organized British resistance to Irish Home Rule and set up an Ulster Unionist Council in 1911. A year later he established the Ulster Volunteers, a private army of 80,000 men pledged to resist Home Rule._
>
> _He was the most powerful defender of the interests of Ulster in the British House of Commons. As Asquith wrestled with the issue of Home Rule in1914, he had come to accept in some form the temporary exclusion of Ulster. He used the King's speech and the debate on the address to create a conciliatory atmosphere._
>
> _'The event of the afternoon', Asquith wrote on 11 February, 'was Carson's speech. He followed a somewhat arid display by the Impeccable and was really very impressive. I wrote him a line of congratulation.'_
Ulster is not asking for concessions. Ulster is asking to be let alone. When you talk of concessions, what you really mean is, 'We want to lay down what is the minimum of wrong we can do to Ulster.' Let me tell you that the results of two years' delay and the treatment we have received during these two years have made your task and made our task far more difficult. You have driven these men to enter into a covenant for their mutual protection. No doubt you have laughed at their covenant. Have a good laugh at it now. Well, so far as I am concerned, I am not the kind of man who will go over to Ulster one day and say, 'Enter into a covenant', and go over next day and say, 'Break it.' But there is something more. You have insulted them. I do not say the Prime Minister has done so. I would be wrong if I were to say that he has done so. He has treated them seriously, but the large body of his colleagues in the rank and file of his party have taken every opportunity of jeering at these men, of branding them as braggarts and bluffers and cowards, and all the rest of it. Well, do not you see that having done that, these men can never go back, and never will go back, and allow these gibes and insults and sneers to prove true.
The Speech from the Throne talks of the fears of these men. Yes, they have, I think, genuine fears for their civil and religious liberty under the Bill, but do not imagine that that is all that these men are fighting for. They are fighting for a great principle, and a great ideal. They are fighting to stay under the Government which they were invited to come under, under which they have flourished, and under which they are content, and to refuse to come under a Government which they loathe and detest. Men do not make sacrifices or take up the attitude these men in Ulster have taken up on a question of detail or paper safeguards. I am not going to argue whether they are right or wrong in resisting. It would be useless to argue it, because they have thoroughly made up their minds, but I say this: If these men are not morally justified when they are attempted to be driven out of one Government with which they are satisfied, and put under another which they loathe, I do not see how resistance ever can be justified in history at all...
Believe me, whatever way you settle the Irish question, there are only two ways to deal with Ulster. It is for statesmen to say which is the best and right one. She is not a part of the community which can be bought. She will not allow herself to be sold. You must therefore either coerce her if you go on, or you must, in the long run, by showing that good government can come under the Home Rule Bill, try and win her over to the case of the rest of Ireland. You probably can coerce her – though I doubt it. If you do, what will be the disastrous consequences not only to Ulster, but to this country and the Empire? Will my fellow countryman, the Leader of the Nationalist party, have gained anything? I will agree with him – I do not believe he wants to triumph any more than I do. But will he have gained anything if he takes over these people and then applies for what he used to call – at all events his party used to call – the enemies of the people to come in and coerce them into obedience? No, Sir, one false step taken in relation to Ulster will, in my opinion, render for ever impossible a solution of the Irish question. I say this to my Nationalist fellow countrymen, and, indeed, also to the Government: you have never tried to win over Ulster. You have never tried to understand her position. You have never alleged, and can never allege, that this Bill gives her one atom of advantage. Nay, you cannot deny that it takes away many advantages that she has as a constituent part of the United Kingdom. You cannot deny that in the past she had produced the most loyal and law-abiding part of the citizens of Ireland. After all that, for these two years, every time we came before you your only answer to us – the majority of you, at all events – was to insult us, and to make little of us. I say to the leader of the Nationalist party, if you want Ulster, go and take her, or go and win her. You have never wanted her affections; you have wanted her taxes...
•
## David Lloyd George
London, 21 September 1914
#### 'The great pinnacle of sacrifice'
> _Many speeches were made in the autumn of 1914 rallying the British for the war with Germany – but none matched in sheer poetic eloquence this address by Lloyd George, whose war speeches were described as sounding like 'superannuated spells'._
>
> _Although there was a broad consensus about the justice of the war, the one element required to make it acceptable to a liberal society was some kind of broad, humane justification to explain what the war was really about._
>
> _'Lloyd George remained suspiciously silent during the early weeks,' says the British historian Kenneth O. Morgan. 'But in an eloquent address to a massed audience of his Welsh fellow-countrymen at the Queen's Hall, London, he committed himself without reserve to a fight to the finish. He occupied, or claimed to occupy, the highest moral ground. It was, he declared, a war on behalf of liberal principles, a crusade on behalf of the "little five-foot-five nations"..._
>
> _'It was not surprising that a claim that the war was a holy cause, backed up not only by the leaders of all the Christian churches but by all the Liberal pantheon of heroes from Fox to Gladstone, met with an instant response, not least in the smaller nations of Scotland and Wales within Britain itself.'_
This is the story of two little nations. The world owes much to little nations... The greatest art in the world was the work of little nations; the most enduring literature of the world came from little nations; the greatest literature of England came when she was a nation of the size of Belgium fighting a great Empire. The heroic deeds that thrill humanity through generations were the deeds of little nations fighting for their freedom. Yes, and the salvation of mankind came through a little nation. God has chosen little nations as the vessels by which He carries His choicest wines to the lips of humanity, to rejoice their hearts, to exalt their vision, to stimulate and strengthen their faith; and if we had stood by when two little nations were being crushed and broken by the brutal hands of barbarism, our shame would have rung down the everlasting ages.
But Germany insists that this is an attack by a lower civilization upon a higher one. As a matter of fact, the attack was begun by the civilization which calls itself the higher one. I am no apologist for Russia; she has perpetrated deeds of which I have no doubt her best sons are ashamed. What Empire has not? But Germany is the last Empire to point the finger of reproach at Russia. Russia has made sacrifices for freedom – great sacrifices. Do you remember the cry of Bulgaria when she was torn by the most insensate tyranny that Europe has ever seen? Who listened to that cry? The only answer of the 'higher civilization' was that the liberty of the Bulgarian peasants was not worth the life of a single Pomeranian soldier. But the 'rude barbarians' of the North sent their sons by the thousand to die for Bulgarian freedom. What about England? Go to Greece, the Netherlands, Italy, Germany, France – in all those lands I could point out places where the sons of Britain have died for the freedom of those peoples. France has made sacrifices for the freedom of other lands than her own. Can you name a single country in the world for the freedom of which modern Prussia has ever sacrificed a single life? By the test of our faith the highest standard of civilization is the readiness to sacrifice for others.
Have you read the Kaiser's speeches? They are full of the glitter and bluster of German militarism – 'mailed fist' and 'shining armour'. Poor old mailed fist! Its knuckles are getting a little bruised. Poor shining armour! The shine is being knocked out of it. There is the same swagger and boastfulness running through the whole of the speeches. The extract which was given in the _British Weekly_ this week is a very remarkable product as an illustration of the spirit we have to fight. It is the Kaiser's speech to his soldiers on the way to the front:
> Remember that the German people are the chosen of God. On me, the German Emperor, the Spirit of God has descended. I am His sword, His weapon and His Vicegerent. Woe to the disobedient, and death to cowards and unbelievers.
Lunacy is always distressing, but sometimes it is dangerous; and when you get it manifested in the head of the State, and it has become the policy of a great Empire, it is about time that it should be ruthlessly put away. I do not believe he meant all these speeches; it was simply the martial straddle he had acquired. But there were men around him who meant every word of them. This was their religion. Treaties? They tangle the feet of Germany in her advance. Cut them with the sword! Little nations? They hinder the advance of Germany. Trample them in the mire under the German heel. The Russian Slav? He challenges the supremacy of Germany in Europe. Hurl your legions at him and massacre him! Britain? She is a constant menace to the predominance of Germany in the world. Wrest the trident out of her hand. Christianity? Sickly sentimentalism about sacrifice for others! Poor pap for German digestion! We will have a new diet. We will force it upon the world. It will be made in Germany – the diet of blood and iron. What remains? Treaties have gone. The honour of nations has gone. Liberty has gone. What is left? Germany. Germany is left! _'Deutschland über Alles!'_
That is what we are fighting – that claim to predominance of a material, hard civilization which, if it once rules and sways the world, liberty goes, democracy vanishes. And unless Britain and her sons come to the rescue it will be a dark day for humanity.
Have you followed the Prussian Junker and his doings? We are not fighting the German people. The German people are under the heel of this military caste, and it will be a day of rejoicing for the German peasant, artisan and trader when the military caste is broken. You know its pretensions. They give themselves the air of demigods. They walk the pavements, and civilians and their wives are swept into the gutter; they have no right to stand in the way of a great Prussian soldier. Men, women, nations – they all have to go. He thinks all he has to say is, 'We are in a hurry.' That is the answer he gave to Belgium – 'Rapidity of action is Germany's greatest asset,' which means, 'I am in a hurry; clear out of my way.' You know the type of motorist, the terror of the roads, with a sixty-horse-power car, who thinks the roads are made for him, and knocks down anybody who impedes the action of his car by a single mile an hour. The Prussian Junker is the road-hog of Europe. Small nationalities in his way are hurled to the roadside, bleeding and broken. Women and children are crushed under the wheels of his cruel car, and Britain is ordered out of his road. All I can say is this: if the old British spirit is alive in British hearts, that bully will be torn from his seat. Were he to win, it would be the greatest catastrophe that has befallen democracy since the day of the Holy Alliance and its ascendancy.
They think we cannot beat them. It will not be easy. It will be a long job; it will be a terrible war; but in the end we shall march through terror to triumph. We shall need all our qualities – every quality that Britain and its people possess – prudence in counsel, daring in action, tenacity in purpose, courage in defeat, moderation in victory; in all things faith.
It has pleased them to believe and to preach the belief that we are a decadent and degenerate people. They proclaim to the world through their professors that we are a non-heroic nation skulking behind our mahogany counters, whilst we egg on more gallant races to their destruction. This is a description given of us in Germany – 'a timorous, craven nation, trusting to its Fleet'. I think they are beginning to find their mistake out already – and there are half a million young men of Britain who have already registered a vow to their King that they will cross the seas and hurl that insult to British courage against its perpetrators on the battlefields of France and Germany. We want half a million more; and we shall get them.
I envy you young people your opportunity. They have put up the age limit for the Army, but I am sorry to say I have marched a good many years even beyond that. It is a great opportunity, an opportunity that only comes once in many centuries to the children of men. For most generations sacrifice comes in drab and weariness of spirit. It comes to you today, and it comes today to us all, in the form of the glow and thrill of a great movement for liberty, that impels millions throughout Europe to the same noble end. It is a great war for the emancipation of Europe from the thraldom of a military caste which has thrown its shadows upon two generations of men, and is now plunging the world into a welter of bloodshed and death. Some have already given their lives. There are some who have given more than their own lives; they have given the lives of those who are dear to them. I honour their courage, and may God be their comfort and their strength. But their reward is at hand; those who have fallen have died consecrated deaths. They have taken their part in the making of a new Europe – a new world. I can see signs of its coming in the glare of the battlefield.
The people will gain more by this struggle in all lands than they comprehend at the present moment. It is true they will be free of the greatest menace to their freedom. That is not all. There is something infinitely greater and more enduring which is emerging already out of this great conflict – a new patriotism, richer, nobler, and more exalted than the old. I see amongst all classes, high and low, shedding themselves of selfishness, a new recognition that the honour of the country does not depend merely on the maintenance of its glory in the stricken field, but also in protecting its homes from distress. It is bringing a new outlook for all classes. The great flood of luxury and sloth which had submerged the land is receding, and a new Britain is appearing. We can see for the first time the fundamental things that matter in life, and that have been obscured from our vision by the tropical growth of prosperity.
May I tell you in a simple parable what I think this war is doing for us? I know a valley in North Wales, between the mountains and the sea. It is a beautiful valley, snug, comfortable, sheltered by the mountains from all the bitter blasts. But it is very enervating, and I remember how the boys were in the habit of climbing the hill above the village to have a glimpse of the great mountains in the distance, and to be stimulated and freshened by the breezes which came from the hilltops, and by the great spectacle of their grandeur. We have been living in a sheltered valley for generations. We have been too comfortable and too indulgent – many, perhaps, too selfish – and the stem hand of fate has scourged us to an elevation where we can see the great everlasting things that matter for a nation – the great peaks we had forgotten, of Honour, Duty, Patriotism, and, clad in glittering white, the great pinnacle of Sacrifice pointing like a rugged finger to Heaven. We shall descend into the valleys again; but as long as the men and women of this generation last, they will carry in their hearts the image of those great mountain peaks whose foundations are not shaken, though Europe rock and sway in the convulsions of a great war.
> _From the moment of his Queen's Hall speech, Lloyd George challenged Asquith, the prime minister. 'Unconsciously, perhaps even unwillingly, he was offering himself as the man who could run the war better,' says A. J. P. Taylor. Lloyd George became prime minister in 1916 and led Britain to victory._
•
## Patrick Pearse
Dublin, 1 August 1915
#### 'Ireland unfree shall never be at peace'
> _Patrick Pearse (1879–1916) was a founder member of the Irish Volunteers and was inducted into the Irish Republican Brotherhood in 1913. His panegyric at the graveside of O'Donovan Rossa was the apogee of his oratorical career and part of a carefully prepared campaign in the year leading up to the Easter Rising. Rossa, one of the most bitter but also most courageous of the old Fenians, had died after a long illness in America and was to be buried at Glasnevin Cemetery in Dublin. The funeral was arranged as a propaganda exercise and there were hundreds of thousands at Glasnevin._
>
> _It was Pearse's greatest test and he rose to the occasion with a speech which was his masterpiece. In his idealization of Rossa, Pearse sketched himself and heralded the approaching revolution. His peroration was open defiance of the British in Dublin Castle._
>
> _The souvenir of the funeral said: 'Cold, lifeless print cannot convey even an idea of the depth and intensity of feeling in which his words were couched. Calm and deliberate, in soft yet thrilling accents, his oration was almost sublime. Here was no rhetoric, no mathematical oratory; it was the soul of a patriot breathing words of love and devotion, of hope and truth and courage, no threnody, but a paean of triumph such as might have come from out of the tomb by which we were...'_
It has seemed right, before we turn away from this place in which we have laid the mortal remains of O'Donovan Rossa, that one among us should, in the name of all, speak the praise of that valiant man, and endeavour to formulate the thought and the hope that are in us as we stand around his grave. And if there is anything that makes it fitting that I, rather than some other, I rather than one of the grey-haired men who were young with him and shared in his labour and in his suffering, should speak here, it is perhaps that I may be taken as speaking on behalf of a new generation that has been rebaptized in the Fenian faith, and that has accepted the responsibility of carrying out the Fenian programme. I propose to you then that, here by the grave of this unrepentant Fenian, we renew our baptismal vows; that, here by the grave of this unconquered and unconquerable man, we ask of God, each one for himself, such unshakable purpose, such high and gallant courage, such unbreakable strength of soul as belonged to O'Donovan Rossa.
Deliberately here we avow ourselves, as he avowed himself in the dock, Irishmen of one allegiance only. We of the Irish Volunteers, and you others who are associated with us in today's task and duty, are bound together and must stand together henceforth in brotherly union for the achievement of the freedom of Ireland. And we know only one definition of freedom: it is Tone's definition, it is Mitchel's definition, it is Rossa's definition. Let no man blaspheme the cause that the dead generations of Ireland served by giving it any other name and definition than their name and their definition.
We stand at Rossa's grave not in sadness but rather in exaltation of spirit that it has been given to us to come thus into so close a communion with that brave and splendid Gael. Splendid and holy causes are served by men who are themselves splendid and holy. O'Donovan Rossa was splendid in the proud manhood of him, splendid in the heroic grace of him, splendid in the Gaelic strength and clarity and truth of him. And all that splendour and pride and strength was compatible with a humility and a simplicity of devotion to Ireland, to all that was olden and beautiful and Gaelic in Ireland, the holiness and simplicity of patriotism of a Michael O'Clery or of an Eoghan O'Growney. The clear true eyes of this man almost alone in his day visioned Ireland as we of today would surely have her: not free merely, but Gaelic as well; not Gaelic merely, but free as well.
In a closer spiritual communion with him now than ever before or perhaps ever again, in a spiritual communion with those of his day, living and dead, who suffered with him in English prisons, in communion of spirit too with our own dear comrades who suffer in English prisons today, and speaking on their behalf as well as our own, we pledge to Ireland our love, and we pledge to English rule in Ireland our hate. This is a place of peace, sacred to the dead, where men should speak with all charity and with all restraint; but I hold it a Christian thing, as O'Donovan Rossa held it, to hate evil, to hate untruth, to hate oppression, and, hating them, to strive to overthrow them. Our foes are strong and wise and wary but, strong and wise and wary as they are, they cannot undo the miracles of God who ripens in the hearts of young men the seeds sown by the young men of a former generation. And the seeds sown by the young men of '65 and '67 are coming to their miraculous ripening today. Rulers and Defenders of Realms had need to be wary if they would guard against such processes. Life springs from death; and from the graves of patriot men and women spring living nations. The Defenders of this Realm have worked well in secret and in the open. They think that they have pacified Ireland. They think that they have purchased half of us and intimidated the other half. They think that they have foreseen everything, think that they have provided against everything; but the fools, the fools, the fools! – they have left us our Fenian dead, and while Ireland holds these graves, Ireland unfree shall never be at peace.
•
## Mahatma Gandhi
Benares, 4 February 1916
#### 'There is no salvation for India'
> _As a barrister in South Africa from 1907 to 1914, Mohandas Gandhi conducted passive-resistance campaigns of protest at the Transvaal government's discrimination against its Indian minority settlers. He returned to India in 1915 and gradually emerged as leader of the Congress movement._
>
> _In September 1915, Mrs Annie Besant, a remarkable Englishwoman who had made India her home, announced the formation of a Home Rule League. Earlier, in 1892, she started a school in Benares which was expanded into the Hindu University Central College in 1916. An illustrious gathering of notables was there for the opening ceremonies, including the Viceroy and many bejewelled maharajas, maharanis, rajas and high officials in all their dazzling panoply._
>
> _Gandhi addressed the meeting on 4 February. As the audience grew unruly and arguments broke out, it broke up before be could finish. 'India had never heard such a forthright, unvarnished speech,' says Louis Fisher, Gandhi's biographer. 'Gandhi spared no one, least of all those present. In 1916 the ear [of India] began to catch the voice of a man who was courageous and indiscreet, a little man who lived like a poor man and defended the poor to the face of the rich, a holy man in an ashram.'_
Our language is the reflection of ourselves, and if you tell me that our languages are too poor to express the best thought, then I say that the sooner we are wiped out of existence the better for us. Is there a man who dreams that English can ever become the national language of India? ( _Cries of 'Never'._ ) Why this handicap on the nation? Just consider for one moment what an unequal race our lads have to run with every English lad. I had the privilege of a close conversation with some Poona professors. They assured me that every Indian youth, because he reached his knowledge through the English language, lost at least six precious years of life. Multiply that by the number of students turned out by our schools and colleges, and find out for yourselves how many thousand years have been lost to the nation. The charge against us is that we have no initiative. How can we have any if we are to devote the precious years of our life to the mastery of a foreign tongue?...
The only education we receive is English education. Surely we must show something for it. But suppose that we had been receiving during the past fifty years education through our vernaculars, what should we have today? We should have today a free India, we should have our educated men, not as if they were foreigners in their own land but speaking to the heart of the nation; they would be working amongst the poorest of the poor, and whatever they would have gained during the past fifty years would be a heritage for the nation. ( _Applause_...)
His Highness the Maharajah who presided yesterday over our deliberations spoke about the poverty of India... But what did we witness in the great pandal in which the foundation ceremony was performed by the Viceroy. Certainly a most gorgeous show, an exhibition of jewellery which made a splendid feast for the eyes of the greatest jeweller who chose to come from Paris. I compare with the richly bedecked noblemen the millions of the poor. And I feel like saying to these noblemen, 'There is no salvation for India unless you strip yourselves of this jewellery and hold it in trust for your countrymen in India.' ( _'Hear, hear' and applause._ )
Sir, whenever I hear of a great palace rising in any great city of India, be it in British India or be it in India which is ruled by our great chiefs, I become jealous at once, and I say, 'Oh, it is the money that has come from the agriculturists.' Over seventy-five per cent of the population are agriculturists and Mr Higginbotham told us last night in his own felicitous language that they are the men who grow two blades of grass in the place of one. But there cannot be much spirit of self-government about us if we take away or allow others to take away from them almost the whole of the results of their labour. Our salvation can only come through the farmer. Neither the lawyers, nor the doctors, not the rich landlords are going to secure it...
I was talking the other day to a member of the much-abused civil service. I have not very much in common with the members of that service, but I could not help admiring the manner in which he was speaking to me. He said: 'Mr Gandhi, do you for one moment suppose that all we, civil servants, are a bad lot, that we want to oppress the people whom we have come to govern?' 'No,' I said. 'Then if you get an opportunity put in a word for the much-abused civil service?' And I am here to put in that word. Yes, many members of the Indian civil service are most decidedly overbearing; they are tyrannical, at times thoughtless...
But what does that signify? They were gentlemen before they came here, and if they have lost some of the moral fibre, it is a reflection upon ourselves. ( _Cries of 'No'._ ) Just think out for yourselves, if a man who was good yesterday has become bad after having come in contact with me, is he responsible that he has deteriorated or am I? The atmosphere of sycophancy and falsity that surrounds them on their coming to India demoralizes them, as it would many of us. It is well to take the blame sometimes. If we are to receive self-government, we shall have to take it. We shall never be granted self-government. Look at the history of the British Empire and the British nation; freedom-loving as it is, it will not be a party to give freedom to a people who will not take it themselves.
•
## Proclamation of The Irish Republic
The Provisional Government of the Irish Republic to the People of Ireland
Dublin, 24 April 1916
#### 'Ireland summons her children to the flag'
> _The Easter Rising, a rebellion in Dublin on 24–29 April 1916 seeking immediate independence for Ireland, was led by Patrick Pearse and James Connolly of Sinn Féin. The proclamation was mainly the work of Pearse, who proclaimed a provisional government of the Irish Republic, as its president, from the General Post Office which served as the rebel headquarters._
Irishmen and Irishwomen: In the name of God and of the dead generations from which she receives her old tradition of nationhood, Ireland, through us, summons her children to her flag and strikes for her freedom.
Having organized and trained her manhood through her secret revolutionary organization, the Irish Republican Brotherhood, and through her open military organizations, the Irish Volunteers, and the Irish Citizen Army, having patiently perfected her discipline, having resolutely waited for the right moment to reveal itself, she now seizes that moment, and, supported by her exiled children in America and by gallant allies in Europe, but relying in the first on her own strength, she strikes in full confidence of victory.
We declare the right of the people of Ireland to the ownership of Ireland, and to the unfettered control of Irish destinies, to be sovereign and indefeasible. The long usurpation of that right by a foreign people and government has not extinguished the right, nor can it ever be extinguished except by the destruction of the Irish people. In every generation the Irish people have asserted their right to national freedom and sovereignty, six times during the past three hundred years they have asserted it in arms. Standing on that fundamental right and again asserting it in arms in the face of the world, we hereby proclaim the Irish republic as a sovereign independent state, and we pledge our lives and the lives of our comrades-in-arms to the cause of its freedom, of its welfare, and of its exaltation among the nations.
The Irish republic is entitled to, and hereby claims, the allegiance of every Irishman and Irishwoman. The republic guarantees religious and civil liberty, equal rights and equal opportunities to all its citizens, and declares its resolve to pursue the happiness and prosperity of the whole nation and of all its parts, cherishing all the children of the nation equally, and oblivious of the differences carefully fostered by an alien government, which have divided a minority from the majority in the past.
Until our arms have brought the opportune moment for the establishment of a permanent national government, representative of the whole people of Ireland, and elected by the suffrages of all her men and women, the Provisional Government, hereby constituted, will administer the civil and military affairs of the republic in trust for the people. We place the cause of the Irish republic under the protection of the Most High God, whose blessing we invoke upon our arms, and we pray that no one who serves that cause will dishonour it by cowardice, inhumanity, or rapine. In this supreme hour the Irish nation must, by its valour and discipline, and by the readiness of its children to sacrifice themselves for the common good, prove itself worthy of the august destiny to which it is called.
> Signed on behalf of the provisional government,
Thomas J. Clarke, Sean MacDiarmada, Thomas MacDonagh, P. H. Pearse, Eamonn Ceannt, James Connolly, Joseph Plunkett
> _Pearse, Connolly and twelve other rebel leaders were court-martialled and executed. Pearse was shot at 3.30 a.m. on 3 May. In his speech from the dock, eloquent even in the face of death, Pearse told his captors: 'We seem to have lost. We have not lost. To refuse to fight would have been to lose; to fight is to win. We have kept faith with the past and handed on a tradition to the future... You cannot conquer Ireland. You cannot extinguish the Irish passion for freedom. If our deed has not been sufficient to win freedom, then our children will win it by a better deed.'_
•
## Roger Casement
London, 1916
#### 'In Ireland alone, in this twentieth century, is loyalty held to be a crime'
> _On his retirement from the British consular service in 1911, Roger Casement became a fervent Irish nationalist. At the outbreak of the First World War, he sought to recruit Irish prisoners of war for the German army. He went to Berlin to secure German aid for Irish independence but the Germans preferred the British Empire to a free Ireland and considered Casement a nuisance._
>
> _On the eve of the Easter Rising, he travelled to Ireland in a German U-boat to warn that there would be no German aid and that a rising would not succeed. He landed near Tralee but was quickly arrested by the British. He was taken to London and tried for high treason at the Old Bailey by an English Lord Chief Justice and an English jury. He was refused permission to conduct his own case and was allowed to speak only after the jury found him guilty._
>
> _His defiance in the dock and the powerful oratory of his defence explains why, for the Irish, he remains a patriot martyr. The speech has been described (by William Blunt) as the finest document in patriotic literature, finer than anything in Plutarch or elsewhere in Pagan literature. Years later Jawaharlal Nehru, leaderof the Indian movement for independence from the British, said it seemed to point out exactly how a subject nation should feel._
My Lord Chief Justice, as I wish my words to reach a much wider audience than I see before me here, I intend to read all that I propose to say. What I shall read now is something I wrote more than twenty days ago. I may say, my lord, at once, that I protest against the jurisdiction of this court in my case on this charge, and the argument, that I am now going to read, is addressed not to this court, but to my own countrymen.
There is an objection, possibly not good in law, but surely good on moral grounds, against the application to me here of this old English statute, 565 years old, that seeks to deprive an Irishman today of life and honour, not for 'adhering to the King's enemies', but for adhering to his own people.
When this statute was passed, in 1351, what was the state of men's minds on the question of a far higher allegiance – that of a man to God and His kingdom? The law of that day did not permit a man to forsake his Church, or deny his God, save with his life. The 'heretic', then, had the same doom as the 'traitor'.
Today a man may forswear God and His heavenly kingdom, without fear or penalty – all earlier statutes having gone the way of Nero's edicts against the Christians, but that constitutional phantom 'the king' can still dig up from the dungeons and torture-chambers of the Dark Ages a law that takes a man's life and limb for an exercise of conscience.
If true religion rests on love, it is equally true that loyalty rests on love. The law that I am charged under has no parentage in love, and claims the allegiance of today on the ignorance and blindness of the past.
I am being tried, in truth, not by my peers of the live present, but by the fears of the dead past; not by the civilization of the twentieth century, but by the brutality of the fourteenth; not even by a statute framed in the language of the land that tries me, but emitted in the language of an enemy land – so antiquated is the law that must be sought today to slay an Irishman, whose offence is that he puts Ireland first.
Loyalty is a sentiment, not a law. It rests on love, not on restraint. The government of Ireland by England rests on restraint, and not on law; and since it demands no love, it can evoke no loyalty...
Judicial assassination today is reserved only for one race of the king's subjects – for Irishmen, for those who cannot forget their allegiance to the realm of Ireland. The kings of England, as such, had no rights in Ireland up to the time of Henry VIII, save such as rested on compact and mutual obligation entered into between them and certain princes, chiefs, and lords of Ireland. This form of legal right, such as it was, gave no king of England lawful power to impeach an Irishman for high treason under this statute of King Edward III of England until an Irish Act, known as Poyning's Law, the tenth of Henry VII, was passed in 1494 at Drogheda, by the Parliament of the Pale in Ireland, and enacted as law in that part of Ireland. But, if by Poyning's Law an Irishman of the Pale could be indicted for high treason under this Act, he could be indicted in only one way, and before one tribunal – by the laws of the Realm of Ireland and in Ireland. The very law of Poyning, which, I believe, applies this statute of Edward III to Ireland, enacts also for the Irishman's defence 'all these laws by which England claims her liberty'.
And what is the fundamental charter of an Englishman's liberty? That he shall be tried by his peers. With all respect, I assert this court is to me, an Irishman, charged with this offence, a foreign court – this jury is for me, an Irishman, not a jury of my peers to try me on this vital issue, for it is patent to every man of conscience that I have a right, an indefeasible right, if tried at all, under this statute of high treason, to be tried in Ireland, before an Irish court and by an Irish jury. This court, this jury, the public opinion of this country, England, cannot but be prejudiced in varying degrees against me, most of all in time of war. I did not land in England. I landed in Ireland. It was to Ireland I came; to Ireland I wanted to come; and the last place I desired to land was in England.
But for the Attorney-General of England there is only 'England'; there is no Ireland; there is only the law of England, no right of Ireland; the liberty of Ireland and of an Irishman is to be judged by the power of England. Yet for me, the Irish outlaw, there is a land of Ireland, a right of Ireland, and a charter for all Irishmen to appeal to, in the last resort, a charter that even the very statutes of England itself cannot deprive us of – nay more, a charter that Englishmen themselves assert as the fundamental bond of law that connects the two kingdoms. This charge of high treason involves a moral responsibility, as the very terms of the indictment against myself recite, inasmuch as I committed the acts I am charged with to the 'evil example of others in like case'. What was the evil example I set to others in the like case, and who were these others? The 'evil example' charged is that I asserted the right of my own country and the 'others' I appealed to, to aid my endeavour, were my own countrymen. The example was given, not to Englishmen, but to Irishmen, and the 'like case' can never arise in England, but only in Ireland. To Englishmen I set no evil example, for I made no appeal to them. I asked no Englishman to help me. I asked Irishmen to fight for their rights. The 'evil example' was only to other Irishmen, who might come after me, and in 'like case' seek to do as I did. How, then, since neither my example, nor my appeal was addressed to Englishmen, can I be rightfully tried by them?
If I did wrong in making that appeal to Irishmen to join with me in an effort to fight for Ireland, it is by Irishmen, and by them alone, I can be rightfully judged. From this court and its jurisdiction I appeal to those I am alleged to have wronged, and to those I am alleged to have injured by my 'evil example' and claim that they alone are competent to decide my guilt or innocence. If they find me guilty, the statute may affix the penalty, but the statute does not override or annul my right to seek judgement at their hands.
This is so fundamental a right, so natural a right, so obvious a right, that it is clear that the Crown were aware of it when they brought me by force and by stealth from Ireland to this country. It was not I who landed in England, but the Crown who dragged me here, away from my own country to which I had returned with a price upon my head, away from my own countrymen whose loyalty is not in doubt, and safe from the judgement of my peers whose judgement I do not shrink from. I admit no other judgement but theirs. I accept no verdict save at their hands.
I assert from this dock that I am being tried here, not because it is just, but because it is unjust. Place me before a jury of my own countrymen, be it Protestant or Catholic, Unionist or Nationalist, Sinn Féineach or Orangemen, and I shall accept the verdict, and bow to the statute and all its penalties. But I shall accept no meaner finding against me, than that of those, whose loyalty I have endangered by my example, and to whom alone I made appeal. If they adjudge me guilty, then guilty I am. It is not I who am afraid of their verdict – it is the Crown. If this is not so, why fear the test? I fear it not. I demand it as my right.
This is the condemnation of English rule, of English-made law, of English government in Ireland, that it dare not rest on the will of the Irish people, but exists in defiance of their will: that it is a rule, derived not from right, but from conquest.
Conquest, my Lord, gives no title; and, if it exists over the body, it fails over the mind. It can exert no empire over men's reason and judgement and affections; and it is from this law of conquest without title to the reason, judgement, and affection of my own countrymen that I appeal.
I can answer for my own acts and speeches. While one English party was responsible for preaching a doctrine of hatred, designed to bring about civil war in Ireland, the other, and that the party in power, took no active steps to restrain a propaganda that found its advocates in the Army, Navy, and Privy Council – in the House of Parliament, and in the State Church – a propaganda the methods of whose expression were so 'grossly illegal and utterly unconstitutional' that even the Lord Chancellor of England could find only words and no repressive action to apply to them. Since lawlessness sat in high places in England, and laughed at the law as at the custodians of the law, what wonder was it that Irishmen should refuse to accept the verbal protestations of an English Lord Chancellor as a sufficient safeguard for their lives and liberties? I know not how all my colleagues on the Volunteer Committee in Dublin reviewed the growing menace, but those with whom I was in closest cooperation redoubled, in face of these threats from without, our efforts to unite all Irishmen from within. Our appeals were made to Protestant and Unionist as much almost as to Catholic and Nationalist Irishmen. We hoped that, by the exhibition of affection and goodwill on our part toward our political opponents in Ireland, we should yet succeed in winning them from the side of an English party whose sole interest in our country lay in its oppression in the past, and in the present in its degradation to the mean and narrow needs of their political animosities. It is true that they based their actions, so they averred, on 'ears for the empire', and on a very diffuse loyalty that took in all the peoples of the empire, save only the Irish. That blessed word _empire_ that bears so paradoxical resemblance to charity! For if charity begins at home, _empire_ begins in other men's homes, and both may cover a multitude of sins. I, for one, was determined that Ireland was much more to me than _empire_ , and, if charity begins at home, so must loyalty. Since arms were so necessary to make our organization a reality, and to give to the minds of Irishmen, menaced with the most outrageous threats, a sense of security, it was our bounden duty to get arms before all else. I decided, with this end in view, to go to America, with surely a better right to appeal to Irishmen there for help in an hour of great national trial, than those envoys of _empire_ could assert for their weekend descents on Ireland, or their appeals to Germany.
If, as the right honourable gentleman, the present Attorney-General, asserted in a speech at Manchester, Nationalists would neither fight for Home Rule nor pay for it, it was our duty to show him that we knew how to do both. Within a few weeks of my arrival in the United States, the fund that had been opened to secure arms for the Volunteers of Ireland amounted to many thousands of pounds. In every case the money subscribed, whether it came from the purse of the wealthy man, or from the still readier pocket of the poor man, was Irish gold.
We have been told, we have been asked to hope, that after this war Ireland will get Home Rule, as a reward for the lifeblood shed in a cause which, whomever else its success may benefit, can surely not benefit Ireland. And what will Home Rule be in return for what its vague promise has taken, and still hopes to take away from Ireland? It is not necessary to climb the painful stairs of Irish History – that treadmill of a nation, whose labours are as vain for her own uplifting as the convict's exertions are for his redemption, to review the long list of British promises made only to be broken – of Irish hopes, raised only to be dashed to the ground. Home Rule, when it comes, if come it does, will find an Ireland drained of all that is vital to its very existence unless it be that unquenchable hope we build on the graves of the dead. We are told that if Irishmen go by the thousand to die, not for Ireland, but for Flanders, for Belgium, for a patch of sand in the deserts of Mesopotamia, or a rocky trench on the heights of Gallipoli, they are winning self-government for Ireland. But if they dare to lay down their lives on their native soil, if they dare to dream even that freedom can be won only at home by men resolved to fight for it there, then they are traitors to their country, and their dream and their deaths are phases of a dishonourable phantasy.
But history is not so recorded in other lands. In Ireland alone, in this twentieth century, is loyalty held to be a crime. If loyalty be something less than love and more than law, then we have had enough of such loyalty for Ireland and Irishmen. If we are to be indicted as criminals, to be shot as murderers, to be imprisoned as convicts, because our offence is that we love Ireland more than we value our lives, then I do not know what virtue resides in any offer of self-government held out to brave men on such terms. Self-government is our right, a thing born in us at birth, a thing no more to be doled out to us, or withheld from us, by another people than the right to life itself – than the right to feel the sun, or smell the flowers, or to love our kind. It is only from the convict these things are withheld, for crime committed and proven – and Ireland, that has wronged no man, has injured no land, that has sought no dominion over others – Ireland is being treated today among the nations of the world as if she were a convicted criminal. If it be treason to fight against such an unnatural fate as this, then I am proud to be a rebel, and shall cling to my 'rebellion' with the last drop of my blood. If there be no right of rebellion against the state of things that no savage tribe would endure without resistance, then I am sure that it is better for men to fight and die without right than to live in such a state of right as this. Where all your rights have become only an accumulated wrong, where men must beg with bated breath for leave to subsist in their own land, to think their own thoughts, to sing their own songs, to gather the fruits of their own labours, and, even while they beg, to see things inexorably withdrawn from them – then, surely, it is a braver, a saner and truer thing to be a rebel, in act and in deed, against such circumstances as these, than to tamely accept it, as the natural lot of men.
> _Casement was condemned to death and hanged. His so-called Black Diaries containing homosexual passages were circulated by British agents to discredit him and discourage any movement for a reprieve. Thanks to Casement, Sinn Féin got the credit for the Easter Rising – and the independence of Ireland triumphed when he was hanged._
•
## Woodrow Wilson
Washington, DC, 2 April 1917
#### 'The world must be made safe for democracy'
> _When the First World War broke out, Woodrow Wilson immediately issued a proclamation of neutrality. Yet real neutrality was impossible for a nation so powerful as America, especially after the_ Lusitania _with her 1,198 passengers, including 128 Americans, was sunk by a German torpedo in 1915. American opinion was appalled._
>
> _Wilson sent strong notes of protest to Berlin and made a memorable speech in which he proclaimed: 'There is no such thing as a man being too proud to fight. There is no such thing as a nation being so right that it does not need to convince others by force that it is right.'_
>
> _In 1916 Wilson was re-elected president by a slender majority. He directed a note to the belligerent governments offering an honourable excuse to start negotiations. After this tactic failed, be delivered an address to Congress on 'Peace without victory'. The announcement that Germany was resorting to unrestricted submarine warfare – that all Allied or neutral vessels in the Atlantic would be torpedoed without warning – abruptly destroyed Wilson's dream._
>
> _One month after his second inaugural address, he went before a joint session of Congress to ask for a declaration that a state of war existed between Germany and the United States – and got what he wanted by a nearly unanimous vote on_ 6 _April, Good Friday._
With a profound sense of the solemn and even tragical character of the step I am taking and of the grave responsibilities which it involves, but in unhesitating obedience to what I deem my constitutional duty, I advise that the Congress declare the recent course of the imperial German government to be in fact nothing less than war against the government and people of the United States; that it formally accept the status of belligerent which has thus been thrust upon it; and that it take immediate steps not only to put the country in a more thorough state of defence, but also to exert all its power and employ all its resources to bring the government of the German Empire to terms and end the war...
We are accepting this challenge of hostile purpose because we know that in such a government, following such methods, we can never have a friend; and that in the presence of its organized power, always lying in wait to accomplish we know not what purpose, there can be no assured security for the democratic governments of the world. We are now about to accept the gage of battle with this natural foe to liberty and shall, if necessary, spend the whole force of the nation to check and nullify its pretensions and its power. We are glad, now that we see the facts with no veil of false pretence about them, to fight thus for the ultimate peace of the world and for the liberation of its peoples, the German peoples included: for the rights of nations great and small and the privilege of men everywhere to choose their way of life and of obedience. The world must be made safe for democracy. Its peace must be planted upon the tested foundations of political liberty. We have no selfish ends to serve. We desire no conquest, no dominion. We seek no indemnities for ourselves, no material compensation for the sacrifices we shall freely make. We are but one of the champions of the rights of mankind. We shall be satisfied when those rights have been made as secure as the faith and the freedom of nations can make them.
Just because we fight without rancour and without selfish object, seeking nothing for ourselves but what we shall wish to share with all free peoples, we shall, I feel confident, conduct our operations as belligerents without passion and ourselves observe with proud punctilio the principles of right and of fair play we profess to be fighting for...
It will be all the easier for us to conduct ourselves as belligerents in a high spirit of right and fairness because we act without animus, not in enmity toward a people or with the desire to bring any injury or disadvantage upon them, but only in armed opposition to an irresponsible government which has thrown aside all considerations of humanity and of right and is running amuck. We are, let me say again, the sincere friends of the German people, and shall desire nothing so much as the early re-establishment of intimate relations of mutual advantage between us – however hard it may be for them, for the time being, to believe that this is spoken from our hearts. We have borne with their present government through all these bitter months because of that friendship – exercising a patience and forbearance which would otherwise have been impossible. We shall, happily, still have an opportunity to prove that friendship in our daily attitude and actions toward the millions of men and women of German birth and native sympathy who live amongst us and share our life, and we shall be proud to prove it toward all who are in fact loyal to their neighbours and to the government in the hour of test. They are, most of them, as true and loyal Americans as if they had never known any other fealty or allegiance. They will be prompt to stand with us in rebuking and restraining the few who may be of a different mind and purpose. If there should be disloyalty, it will be dealt with with a firm hand of stern repression; but, if it lifts its head at all, it will lift it only here and there and without countenance except from a lawless and malignant few.
It is a distressing and oppressive duty, gentlemen of the Congress, which I have performed in thus addressing you. There are, it may be, many months of fiery trial and sacrifice ahead of us. It is a fearful thing to lead this great peaceful people into war, into the most terrible and disastrous of all wars, civilization itself seeming to be in the balance. But the right is more precious than peace, and we shall fight for the things which we have always carried nearest our hearts – for democracy, for the right of those who submit to authority to have a voice in their own governments, for the dominion of right by such a concert of free peoples as shall bring peace and safety to all nations and make the world itself at last free. To such a task we can dedicate our lives and our fortunes, everything that we are and everything that we have, with the pride of those who know that the day has come when America is privileged to spend her blood and her might for the principles that gave her birth and happiness and the peace which she has treasured. God helping her, she can do no other.
> _Wilson's address set the United States on a new course; armed neutrality was impracticable and the world must be made safe for democracy. He was rewarded with tumultuous cheers. They were no comfort. 'My message today was a message of death for our young men,' he said afterwards. 'How strange it seems to applaud that.'_
•
## V. I. Lenin
Petrograd, 15 April 1917
#### 'A new phase in the history of Russia begins'
> _After the Russian Revolution of March 1917, Lenin travelled back to Petrograd from Switzerland, passing through Germany in a sealed train provided by the German general staff, who counted on the Bolsheviks spreading disaffection among the Russian soldiers._
>
> _An honour guard of Kronstadt sailors in striped jerseys and red pompon hats met Lenin at the Finland Station. A brass band played the 'Marseillaise'. Lenin was taken to the imperial waiting-room where he addressed a dense crowd and immediately snubbed any hope that the Bolsheviks would close democratic ranks with the Mensheviks. He appealed directly for civil war and international revolution._
> Dear comrades, soldiers, sailors and workers! I am happy to greet in your persons the victorious Russian revolution, and greet you as the vanguard of the worldwide proletarian army... The piratical imperialist war is the beginning of civil war throughout Europe... The hour is not far distant when the peoples will turn their arms against their own capitalist exploiters... The worldwide socialist revolution has already dawned... Germany is seething... Any day now the whole of European capitalism may crash. The Russian revolution accomplished by you has prepared the way and opened a new epoch. Long live the worldwide socialist revolution!
> _As Lenin left the room, an officer on the platform outside saluted him and a detachment of soldiers with bayonets stood to attention. A great roar of a cheer went up from the revolutionary workers and sailors of Petrograd who had come to greet him. The sailors presented arms and their commander reported to Lenin for duty. They wanted him to speak, it was whispered. Lenin walked a few paces and took off his bowler hat._
> I don't know yet whether you agree with the Provisional Government. But I know very well that when they give you sweet speeches and make many promises they are deceiving you and the whole Russian people. The people need peace. The people need bread and land. And they give you war, hunger, no food, and the land remains with the landowners. Sailors, comrades, you must fight for the revolution, fight to the end.
> _Lenin remained in Petrograd until 18 July, when the failure of an abortive Soviet_ coup d'état _forced him to escape again to Finland. He returned to Petrograd on 23 October and from his headquarters in the Smolny Institute led the rising which captured the government offices. The Bolshevik forces went into action on 25 October. The key points in the city were occupied. Members of the provisional government were prisoners or fugitives. That afternoon, Lenin announced to a meeting of the Petrograd Soviet the triumph of 'the workers' and peasants' revolution'._
Comrades, the workers' and peasants' revolution, about the necessity of which the Bolsheviks have always spoken, has been accomplished.
What is the significance of this workers' and peasants' revolution? Its significance is, first of all, that we shall have a Soviet government, our own organ of power, in which the bourgeoisie will have no share whatsoever. The oppressed masses will themselves create a power. The old state apparatus will be shattered to its foundations and a new administrative apparatus set up in the form of the Soviet organizations.
From now on, a new phase in the history of Russia begins, and this, the third Russian revolution, should in the end lead to the victory of socialism.
One of our urgent tasks is to put an immediate end to the war. It is clear to everybody that in order to end this war, which is closely bound up with the present capitalist system, capital itself must be fought.
We shall be helped in this by the world working-class movement, which is already beginning to develop in Italy, Britain and Germany.
The proposal we make to international democracy for a just and immediate peace will everywhere awaken an ardent response among the international proletarian masses. All the secret treaties must be immediately published in order to strengthen the confidence of the proletariat.
Within Russia a huge section of the peasantry have said that they have played long enough with the capitalists, and will now march with the workers. A single decree putting an end to landed proprietorship will win us the confidence of the peasants. The peasants will understand that the salvation of the peasantry lies only in an alliance with the workers. We shall institute genuine workers' control over production.
We have now learned to make a concerted effort. The revolution that has just been accomplished is evidence of this. We possess the strength of mass organization, which will overcome everything and lead the proletariat to the world revolution.
We must now set about building a proletarian socialist state in Russia.
Long live the world socialist revolution! ( _Stormy applause._ )
> _That evening the second All-Russian Congress of Soviets proclaimed the transfer of all power throughout Russia to Soviets of Workers', Soldiers' and Peasants' Deputies. As Lenin stood at the reading-stand, he was greeted by a long-rolling ovation. When it finished, he said simply: 'We shall now proceed to construct the socialist order.' Again there was an overwhelming human roar. The congress adopted decrees on peace and on the land and approved the composition of the Council of People's Commissars – the first workers' and peasants' government._
>
> _Yet the Bolsheviks were massively defeated in the elections that followed. When the Constituent Assembly, the dream of Russia's revolutionaries and liberals for nearly a century, met in January 1918, it was dissolved by force._
>
> _The Bolsheviks seized power and went on, particularly under Lenin's successor Joseph Stalin, to construct one of the worst tyrannies of the twentieth century. 'Lenin and the party, the man and the instrument, were now indissolubly one,' says E. H. Carr. 'The foundations had been laid of the ascendancy in the party of the single leader.'_
•
## Leon Trotsky
St Petersburg, 25 October 1917
#### 'The dustbin of history'
> _Trotsky (1879–1940) was arrested as a revolutionary at the age of eighteen and sent to Siberia, where he escaped to join Lenin in London in 1902. He was back in St Petersburg in 1905, organizing the First Soviet. Again arrested and sent to Siberia, he escaped and spent several years as a revolutionary organizer in central Europe and beyond._
>
> _He returned to Petrograd (ex-St Petersburg) from America in May 1917 and was chairman of the Petrograd Soviet during the October revolution. Trotsky made this speech at the meeting of the Soviet Congress, one of the most often-quoted speeches of the century, when he denounced a resolution for a coalition government of all the Soviet parties, led by the Menshevik leader, Yuli Martov._
What has taken place, is an insurrection, not a conspiracy. An insurrection of the popular masses needs no justification. We have tempered and hardened the revolutionary energy of the Petrograd workers and soldiers. We have openly forged the will of the masses to insurrection, and not conspiracy... Our insurrection has conquered, and now we are told: Renounce your victory; make concessions, compromise. With whom? I ask: With whom ought we to make a compromise? With that pitiful handful who just went out?... Haven't we seen them through and through? There is no longer anybody in Russia who is for them. Are the millions of workers and peasants represented in this Congress, whom they are ready now as always to turn over for a price to the mercies of the bourgeoisie, are they to enter a compromise with these men? No, a compromise is no good here. To those who have left, and to all who tell us to do this, we must say, 'You are pitiful isolated individuals; you are miserable bankrupts; your role is played out. Go where you belong from now on – into the dustbin of history!'
> _In his award-winning account of the Russian Revolution,_ A People's Tragedy, _Orlando Figes describes what happened next: 'In a moment of rage which he must have agonized over for the rest of his life, Martov, an old comrade of Lenin's, shouted: "Then we'll leave!" and walked in silence towards the exit without looking back – into the political wilderness_.'
•
## Leon Trotsky
Moscow, 19 March 1918
#### 'We need an army'
> _On the outbreak of civil war, Trotsky became Commissar for War and created the Red Army, even though he had no military experience. He wrote in_ My Life _: 'The problem was to make a clean sweep of the remains of the old army and in its place to build, under fire, a new army whose plan was not to be discovered in any books.'_
>
> _Trotsky lived for almost two years in an armoured train which served as a mobile headquarters of the new army. By his ferocious energy, his insistence on military authority, his personal exposure in crucial battles and, above all, by stirring his followers to fight by the exaltation of his speeches and manifestos he created an army that finally defeated the Whites._
>
> _One of those speeches was given to the Moscow Soviet of Workers', Soldiers' and Peasants' Deputies._
Comrades! Our Soviet Socialist Republic needs a well-organized army.
In the world situation in which it has been the will of history to place us, amid the conditions of unprecedented difficulty that surround us, conditions that, again, are not of our making, we need to be strong... We say, comrades, that Russia, exhausted and unarmed, will inevitably become the slave of international imperialism united against her if the international proletariat does not save her in time by its support, and if we ourselves do not organize our own defence...
We must arm and fight, so as to ensure the mere possibility of carrying out our programme; and that, if the European proletariat fails to come to our aid in the fatal moment of our tragic lonely struggle, then, by remaining unarmed, we may perish altogether. We were the first to raise the flag of revolt amid this bloody and black night of imperialist war, and it is hard for us, sometimes almost beyond our strength, to fight against the iron ring of enemies that surrounds us. Is it surprising if we are not accomplishing all that we wanted to accomplish?
We need an army, which would give us powerful strength for the inevitable coming struggle with international imperialism. With the aid of this army we shall not only defend ourselves but shall be in a position to help the struggle of the international proletariat.
For there can be no doubt that, the more international imperialism grabs and strangles, the more passionate and terrible will be the wrath of the European worker–soldier who, emerging from the trenches, will find at home, as the result of his inhuman sufferings, his family reduced to poverty and hunger, and his country in a state of economic collapse.
Let those of little faith, yielding to weariness, no longer wish to hear of the revolutionary movement of the proletariat of other countries, of the victory of the world revolution: we declare that the moment of social explosion in all states is inevitably approaching, and we, to whom history has given victory sooner than the rest, with all the possibilities that follow from this, must be ready, at the first thunderclap of the world revolution, to bring armed help to our foreign brothers in revolt.
For proper organization of the army and, in particular for expedient utilization of the specialists, we need revolutionary discipline. We are introducing this with determination at the top, but we need with no less vigour to introduce it down below, arousing a sense of responsibility among the masses. When the people realize that discipline is being introduced now not in order to defend the moneybags of the bourgeoisie, not to restore the land to the landlords, but, on the contrary, in order to consolidate and defend all the conquests made by the revolution, they will approve even the strictest of measures aimed at the establishment of discipline. We must at all costs and at any price implant discipline in the Red Army – not the previous sort, the automatic discipline of the rod, but conscious, collective discipline, based on revolutionary enthusiasm and clear understanding by the workers and peasants of their duty to their own classes.
We shall not be halted by any difficulties. It may be that, in order to bring our cause to triumph and accomplish our great tasks, we shall have for a time to work not eight hours but ten and twelve hours a day. So what? We shall work twice as hard, we shall harness ourselves together, we shall go forward along the road of labour discipline and creative work. We did not say, and we do not say now, that everything will come by itself. No, the difficulties that face us are beyond counting. But we have proved to be richer in spirit, resources and forces than we ourselves had thought we were: and that is no small thing, that is the pledge of victory.
Let us work tirelessly, so that at the moment when the European proletariat rise up, we shall be able to go fully armed to their aid and, together with them, in a combined effort, overthrow for ever the power of capital!...
The Soviet Republic needs an army that will be able to fight and conquer.
It is the responsibility of the Soviet power to make sure that none of the separate institutions or units of the people's army are transformed into centres of counter-revolution, into instruments directed against the workers and peasants. Political control over the entire organization and life of the army will be entrusted to military commissars. The post of military commissar is one of the most responsible and most honourable in the Soviet Republic. The commissar will safeguard the closest internal bond between the Army and the Soviet regime as a whole. The commissar will incarnate the principle of revolutionary duty and indestructible discipline. The commissar will ensure, with the full force of his authority and power, immediate and unquestioning fulfilment of the operational and combat instructions issued by the military leaders.
These are the principles which the Government lays down as the basis for creating the Army: universal and obligatory military training in schools, factories and villages; immediate formation of firm cadres from the most self-sacrificing fighters; bringing in military commissars as guardians of the highest interests of the revolution and of socialism.
In the name of the Socialist Republic, the Council of People's Commissars calls upon all Soviets, all conscious workers and peasants, all honest citizens who are devoted to the people's cause, to redouble their efforts in the great work of safeguarding the independence and freedom of our country.
Liberated Russia will not be enslaved. It will arise and grow strong, it will cast out the beasts of prey, it will live in fraternal unity with the liberated peoples of all lands.
All that is needed is that, in these dark days of calamity affecting the whole people, all true sons of revolutionary Russia shall have no thought, no desire, no commitment but the salvation of our blood-drained homeland.
Let there be no wavering, no doubts! Work, order, perseverance, discipline, self-sacrifice – and we shall triumph!
•
## Eugene V. Debs
Cleveland, Ohio, 14 September 1918
#### 'While there is a lower class, I am in it'
> _Eugene Victor Debs_ _(1855_ – _1926),_ _founder of the American Railway Union, was one of the most attractive men thrown up by the American labour movement. When the ARU instituted a boycott of Pullman trains, the Attorney-General accused the union of acting in restraint of trade and sent troops against its strikers. The strike and boycott collapsed and Debs served six months in prison, where he was converted to socialism._
>
> _He formed the Socialist Party of America in 1900 and stood as a candidate in the presidential elections of 1904, 1908 and 1912 when be polled 900,000 votes in the contest with Wilson, Roosevelt and Taft._
>
> _A bitter opponent of what he thought was a bloody war of the plutocracies in 1914–18, appalled by the campaign against freedom of speech which had shut down the German-language as well as the socialist press and determined to demonstrate what was happening to the constitutional guarantee of free speech, Debs made a speech in Canton denouncing the war._
>
> _At the federal court in Cleveland, he was found guilty of trying to obstruct the Conscription Act. The Wilson administration made sure that such wickedness would never go unpunished by pushing through Espionage and Sedition Acts. Debs remained in prison until Wilson left office, when he was pardoned by President Harding._
>
> _Before sentence was passed, Debs addressed the judge._
Your Honour, years ago I recognized my kinship with all living beings, and I made up my mind that I was not one bit better than the meanest on earth. I said then, and I say now, that while there is a lower class, I am in it, while there is a criminal element, I am of it, and while there is a soul in prison, I am not free...
Standing here this morning, I recall my boyhood. At fourteen I went to work in a railroad shop; at sixteen I was firing a freight engine on a railroad. I remember all the hardships and privations of that earlier day, and from that time until now my heart has been with the working class. I could have been in Congress long ago. I have preferred to go to prison...
I am thinking this morning of the men in the mills and factories; of the men in the mines and on the railroads. I am thinking of the women who for a paltry wage are compelled to work out their barren lives; of the little children who in this system are robbed of their childhood and in their tender years are seized in the remorseless grasp of Mammon and forced into the industrial dungeons, there to feed the monster machines while they themselves are being starved and stunted, body and soul. I see them dwarfed and diseased and their little lives broken and blasted because in this high noon of our twentieth-century Christian civilization money is still so much more important than the flesh and blood of childhood. In very truth gold is god today and rules with pitiless sway in the affairs of men.
In this country – the most favoured beneath the bending skies – we have vast areas of the richest and most fertile soil, material resources in inexhaustible abundance, the most marvellous productive machinery on earth, and millions of eager workers ready to apply their labour to that machinery to produce in abundance for every man, woman, and child – and if there are still vast numbers of our people who are the victims of poverty and whose lives are an unceasing struggle all the way from youth to old age, until at last death comes to their rescue and stills their aching hearts and lulls these hapless victims to dreamless sleep, it is not the fault of the Almighty: it cannot be charged to nature, but it is due entirely to the outgrown social system in which we live, that ought to be abolished not only in the interest of the toiling masses but in the higher interest of all humanity...
I believe, Your Honour, in common with all Socialists, that this nation ought to own and control its own industries. I believe, as all Socialists do, that all things that are jointly needed and used ought to be jointly owned – that industry, the basis of our social life, instead of being the private property of the few and operated for their enrichment, ought to be the common property of all, democratically administered in the interest of all...
I am opposing a social order in which it is possible for one man who does absolutely nothing that is useful to amass a fortune of hundreds of millions of dollars, while millions of men and women who work all the days of their lives secure barely enough for a wretched existence.
This order of things cannot always endure. I have registered my protest against it. I recognize the feebleness of my effort, but fortunately I am not alone. There are multiplied thousands of others who, like myself, have come to realize that before we may truly enjoy the blessings of civilized life, we must reorganize society upon a mutual and cooperative basis; and to this end we have organized a great economic and political movement that spreads over the face of all the earth.
There are today upwards of sixty millions of Socialists, loyal, devoted adherents to this cause, regardless of nationality, race, creed, colour, or sex. They are all making common cause. They are spreading with tireless energy the propaganda of the new social order. They are waiting, watching, and working hopefully through all the hours of the day and the night. They are still in a minority. But they have learned how to be patient and to bide their time. They feel – they know, indeed – that the time is coming, in spite of all opposition, all persecution, when this emancipating gospel will spread among all the peoples, and when this minority will become the triumphant majority and, sweeping into power, inaugurate the greatest social and economic change in history.
In that day we shall have the universal commonwealth – the harmonious cooperation of every nation with every other nation on earth...
Your Honour, I ask no mercy and I plead for no immunity. I realize that finally the right must prevail. I never so clearly comprehended as now the great struggle between the powers of greed and exploitation on the one hand and upon the other the rising hosts of industrial freedom and social justice.
I can see the dawn of the better day for humanity. The people are awakening. In due time they will and must come to their own...
I am now prepared to receive your sentence.
•
## David Lloyd George
Wolverhampton, 24 November 1918
#### 'A fit country for heroes to live in'
> _When the war ended on 11 November 1918, Lloyd George assumed total command. Acclaimed as 'the man who won the war', he was the most dominant British political leader since Cromwell and won an overwhelming triumph at the general election in December 1918._
>
> _Britain had just emerged from a great peril, Lloyd George said in this speech at Wolverhampton within two weeks of the war's ending. But it was not an hour for boasting._
There is, as I never witnessed before, a new comradeship of classes, and I am glad, as an old political fighter – who has been hard hit and has been able to return the blows, always in a spirit of meekness – that we are approaching the new problems in a spirit of comradeship. Let us keep it as long as we can. I have no doubt human nature will prevail yet, but for the moment let us finish the task together, and when we have finished it, then let us play political football. You can afford to do it then. But the work is not over yet – the work of the nation, the work of the people, the work of those who have sacrificed. Let us work together first.
What is our task? To make Britain a fit country for heroes to live in. I am not using the word 'heroes' in any spirit of boastfulness, but in the spirit of humble recognition of the fact. I cannot think what these men have gone through. I have been there at the door of the furnace and witnessed it, but that is not being in it, and I saw them march into the furnace. There are millions of men who will come back. Let us make this a land fit for such men to live in. There is no time to lose. I want us to take advantage of this new spirit. Don't let us waste this victory merely in ringing joybells. Let us make victory the motive power to link the old land up in such measure that it will be nearer the sunshine than ever before, and that at any rate it will lift those who have been living in the dark places to a plateau where they will get the rays of the sun. We cannot undertake that without a new Parliament. Those of you who have been at the front have seen the star shells, how they light up the darkness and illuminate all the obscure places. The Great War has been like a gigantic star shell, flashing all over the land, illuminating the country and showing up the dark, deep places. We have seen places that we have never noticed before, and we mean to put these things right.
What is the first thing the Great War has shown us? The appalling waste of human material in the country. There is hardly any material placed by Providence in this country which is so much wasted as human life and human strength and human intellect – the most precious and irreplaceable material of all. I have previously said something about the figures of the recruiting officers. Those who were in charge of recruiting came to the conclusion that if the people of this country had lived under proper conditions, were properly fed and housed, had lived under healthy conditions – had lived their lives in their full vigour – you could have had a million more men available and fit to put into the army. It is not merely that. When life has not been lost, its vitality has been depressed. There are millions who are below par. You cannot keep even animals in their full vigour unless you give them good conditions. You cannot do it with men and women, and you cannot bring up children under bad conditions. There are millions of men's lives which have been lost as a result of the war, but there are millions more of maimed lives in the sense of undermined constitutions through atrocious social conditions in consequence of the terrors of this Great War. You must put that right. Put it at its lowest – trade, commerce and industry all suffer through it. A vigorous community of strong, healthy men and women is more valuable even from the commercial and industrial point of view than a community which is below par in consequence of bad conditions. Treat it if you like not as a human proposition, but as a business proposition. It is good business to see that the men, the women and the children of this country are brought up and sustained under conditions that will give strength and vigour to their frames, more penetration and endurance to their intelligence, and more spirit and heart than ever to face the problems of life which will always be problems that will require fighting right from the cradle to the tomb. That is the first problem. One of the ways of dealing with that is, of course, to deal with housing conditions. Slums are not fit homes for the men who have won this war or for their children. They are not fit nurseries for the children who are to make an Imperial race, and there must be no patching up. This problem has got to be undertaken in a way never undertaken before, as a great national charge and duty. The housing of the people must be a national concern.
•
## Henry Cabot Lodge
Washington, DC, 12 August 1919
#### 'American I was born'
> _Senator Lodge, Senate majority leader and chairman of the Foreign Relations Committee, was the principal critic of Woodrow Wilson as he attempted to sell the League of Nations to Americans reared on George Washington's warning that the United States should stand aloof from permanent alliances._
>
> _He disliked Wilson, believed that America should play an important role in world affairs, and needed to shape a strategy that all Republicans – both isolationists and internationalists – could accept. He argued, therefore, that the League should be accepted with 'reservations' which, by limiting American obligations, would make it impossible for the League or any of its members to involve the nation in important international commitments without the consent of Congress._
>
> _Lodge's arguments in_ 1919 _, particularly about national sovereignty, werepersuasive twenty-five years later when the United Nations was established. His influence can be especially detected in the veto granted to the great powers in the UN Security Council._
>
> _His speech on 12 August 1919 was Lodge's first statement of his position in the Senate. He prepared for the occasion with great care, delivered the speech devoid of emphasis or accentuation, rarely raised his eyes from his manuscript – but his words unleashed a storm of applause from the galleries and it was minutes before order was restored._
The independence of the United States is not only more precious to ourselves but to the world than any single possession. Look at the United States today. We have made mistakes in the past. We have had shortcomings. We shall make mistakes in the future and fall short of our own best hopes. But none the less is there any country today on the face of the earth which can compare with this in ordered liberty, in peace, and in the largest freedom? I feel that I can say this without being accused of undue boastfulness, for it is the simple fact, and in making this treaty and taking on these obligations all that we do is in a spirit of unselfishness and in a desire for the good of mankind. But it is well to remember that we are dealing with nations every one of which has a direct individual interest to serve, and there is grave danger in an unshared idealism. Contrast the United States with any country on the face of the earth today and ask yourself whether the situation of the United States is not the best to be found. I will go as far as anyone in world service, but the first step to world service is the maintenance of the United States.
You may call me selfish if you will, conservative or reactionary, or use any other harsh adjective you see fit to apply, but an American I was born, an American I have remained all my life. I can never be anything else but an American, and I must think of the United States first, and when I think of the United States first in an arrangement like this I am thinking of what is best for the world, for if the United States fails the best hopes of mankind fail with it. I have never had but one allegiance – I cannot divide it now. I have loved but one flag and I cannot share that devotion and give affection to the mongrel banner invented for a league. Internationalism, illustrated by the Bolshevik and by the men to whom all countries are alike provided they can make money out of them, is to me repulsive. National I must remain, and in that way I like all other Americans can render the amplest service to the world. The United States is the world's best hope, but if you fetter her in the interests and quarrels of other nations, if you tangle her in the intrigues of Europe, you will destroy her power for good and endanger her very existence. Leave her to march freely through the centuries to come as in the years that have gone. Strong, generous, and confident, she has nobly served mankind. Beware how you trifle with your marvellous inheritance, this great land of ordered liberty, for if we stumble and fall freedom and civilization everywhere will go down in ruin.
We are told that we shall 'break the heart of the world' if we do not take this league just as it stands. I fear that the hearts of the vast majority of mankind would beat on strongly and steadily and without any quickening if the league were to perish altogether. If it should be effectively and beneficiently changed the people who would lie awake in sorrow for a single night could be easily gathered in one not very large room but those who would draw a long breath of relief would reach to millions.
We hear much of visions and I trust we shall continue to have visions and dream dreams of a fairer future for the race. But visions are one thing and visionaries are another, and the mechanical appliances of the rhetorician designed to give a picture of a present which does not exist and of a future which no man can predict are as unreal and shortlived as the steam or canvas clouds, the angels suspended on wires and the artificial lights of the stage. They pass with the moment of effect and are shabby and tawdry in the daylight. Let us at least be real. Washington's entire honesty of mind and his fearless look into the face of all facts are qualities which can never go out of fashion and which we should all do well to imitate.
Ideals have been thrust upon us as an argument for the league until the healthy mind which rejects cant revolts from them. Are ideals confined to this deformed experiment upon a noble purpose, tainted, as it is, with bargains and tied to a peace treaty which might have been disposed of long ago to the great benefit of the world if it had not been compelled to carry this rider on its back? 'Post equitem sedet atra cura,' Horace tells us, but no blacker care ever sat behind any rider than we shall find in this covenant of doubtful and disputed interpretation as it now perches upon the treaty of peace.
No doubt many excellent and patriotic people see a coming fulfilment of noble ideals in the words 'league for peace'. We all respect and share these aspirations and desires, but some of us see no hope, but rather defeat, for them in this murky covenant. For we, too, have our ideals, even if we differ from those who have tried to establish a monopoly of idealism. Our first ideal is our country, and we see her in the future, as in the past, giving service to all her people and to the world. Our ideal of the future is that she should continue to render that service of her own free will. She has great problems of her own to solve, very grim and perilous problems, and a right solution, if we can attain to it, would largely benefit mankind. We would have our country strong to resist a peril from the West, as she has flung back the German menace from the East. We would not have our politics distracted and embittered by the dissensions of other lands. We would not have our country's vigour exhausted or her moral force abated, by everlasting meddling and muddling in every quarrel, great and small, which afflicts the world. Our ideal is to make her ever stronger and better and finer, because in that way alone, as we believe, can she be of the greatest service to the world's peace and to the welfare of mankind.
•
## Woodrow Wilson
Pueblo, Colorado, 25 September 1919
#### 'Man will see the truth'
> _When the Senate baulked at the League of Nations covenant, which he had negotiated with the Allied leaders in Paris, Wilson, aged sixty-three, set out on agreat speaking tour through the West to rally the people to him and overcome Senator Lodge. Thirty speeches were planned in twenty days._
>
> _'Worn out by his labours; appalled at what might flow from the repudiation of his handiwork; filled with a prophet's vision and also, unfortunately, with the vanity of Jonah, he refused all compromise,' says Hugh Brogan. 'His eloquence was never greater. He defended the treaty with a passion worthy of a better cause... The choice, he assured them again and again, trying to press home the lessons of his own education, lay between peace with the treaty, faults and all, or war without it.'_
>
> _At Pueblo, Colorado, where this speech was made, he suffered complete nervous exhaustion and collapsed. The tour was cancelled and Wilson returned to the White House, where he suffered a massive stroke. The treaty was defeated in the Senate by a small margin. For the fifteen remaining months of his presidency, Wilson lay inert in the White House, doing nothing, saying nothing._
Again and again, my fellow citizens, mothers who lost their sons in France have come to me and, taking my hand, have shed tears upon it not only, but they had added, 'God bless you, Mr President!' Why, my fellow citizens, should they pray God to bless me? I advised the Congress of the United States to create the situation that led to the death of their sons. I ordered their sons oversea. I consented to their sons being put in the most difficult parts of the battle line, where death was certain, as in the impenetrable difficulties of the forest of Argonne. Why should they weep upon my hand and call down the blessings of God upon me? Because they believe that their boys died for something that vastly transcends any of the immediate and palpable objects of the war. They believe, and they rightly believe, that their sons saved the liberty of the world. They believe that wrapped up with the liberty of the world is the continuous protection of that liberty by the concerted powers of all civilized people. They believe that this sacrifice was made in order that other sons should not be called upon for a similar gift – the gift of life, the gift of all that died – and if we did not see this thing through, if we fulfilled the dearest present wish of Germany and now dissociated ourselves from those alongside whom we fought in the war, would not something of the halo go away from the gun over the mantelpiece, or the sword? Would not the old uniform lose something of its significance? These men were crusaders. They were not going forth to prove the might of the United States. They were going forth to prove the might of justice and right, and all the world accepted them as crusaders, and their transcendent achievement has made all the world believe in America as it believes in no other nation organized in the modern world. There seems to me to stand between us and the rejection or qualification of this treaty the serried ranks of those boys in khaki, not only these boys who came home, but those dear ghosts that still deploy upon the fields of France.
My friends, on last Decoration Day I went to a beautiful hillside near Paris, where was located the cemetery of Suresnes, a cemetery given over to the burial of the American dead. Behind me on the slopes was rank upon rank of living American soldiers, and lying before me upon the levels of the plain was rank upon rank of departed American soldiers. Right by the side of the stand where I spoke there was a little group of French women who had adopted those graves, had made themselves mothers of those dear ghosts by putting flowers every day upon those graves, taking them as their own sons, their own beloved, because they had died in the same cause – France was free and the world was free because America had come! I wish some men in public life who are now opposing the settlement for which these men died could visit such a spot as that. I wish that the thought that comes out of those graves could penetrate their consciousness. I wish that they could feel the moral obligation that rests upon us not to go back on those boys, but to see the thing through, to see it through to the end and make good their redemption of the world. For nothing less depends upon this decision, nothing less than the liberation and salvation of the world...
You will say, 'Is the League an absolute guarantee against war?' No; I do not know any absolute guarantee against the errors of human judgement or the violence of human passion, but I ask you this: if it is not an absolute insurance against war, do you want no insurance at all? Do you want nothing? Do you want not only no probability that war will not recur, but the probability that it will recur? The arrangements of justice do not stand of themselves, my fellow citizens. The arrangements of this treaty are just, but they need the support of the combined power of the great nations of the world. And they will have that support. Now that the mists of this great question have cleared away, I believe that men will see the truth, eye to eye and face to face. There is one thing that the American people always rise to and extend their hand to, and that is the truth of justice and of liberty and of peace. We have accepted that truth and we are going to be led by it, and it is going to lead us, and through us the world, out into pastures of quietness and peace such as the world never dreamed of before.
•
## Alfred E. Smith
New York, 29 October 1919
#### 'A man as low and mean as I can picture'
> _Al Smith, a Roman Catholic who left school at fourteen, was a New York Democrat politician who became governor in 1919. At Tammany Hall he gathered round him a generation of equally remarkable younger men and women, including Harry Hopkins, Frances Perkins, Robert Moses and Franklin Delano Roosevelt, and instituted honest government._
>
> _At the mass meeting in Carnegie Hall at which this speech was made, Smith(1873–1944) made an irreparable break with William Randolph Hearst, the powerful owner of a newspaper chain extending from New York to California and the newspaper baron on whom Citizen Kane was based. Hearst had combined with Tammany Hall to elect the local administration but had been scurrilously attacking the governor for 'starving' children because he refused to reduce the price of milk._
>
> _Smith had expected to debate with Hearst at the meeting called by a citizens' committee but Hearst refused to meet him. Smith's speech therefore meant that he had decided to fight the influence of one of the richest of men, who used his newspapers to wield power._
>
> _He asked for absolute silence and attention. 'I feel that I am here tonight upon a mission as important not only to myself but to this city, to this state and to this country as I could possibly perform.' As he reached his peroration, hedeclared that nearly every paper had commended his administration except the paper that belonged to the man who wanted to tell him what he ought to do. Then he launched his assault on America's most powerful newspaper mogul._
I cannot think of a more contemptible man – my power of imagination fails me to bring into my mind's eye a more despicable man than the man that exploits the poor. Any man that leads you to believe that your lot in life is not all right, any man that conjures up for you a fancied grievance against your government or against the man at the head of it, to help himself, is breeding the seeds of an anarchy and a dissatisfaction more disastrous to the welfare of the community than any other teaching that I can think of, because, at least, the wildest anarchist, the most extreme Socialist, the wildest radical that you can think of, may at least be sincere in his own heart. He may think that it is right when he preaches it. But the man that preaches to the poor of this or of any other community discontent and dissatisfaction to help himself and to make good his side of the argument, and to destroy, as he said himself he would, the Governor of the State, is a man as low and as mean as I can picture... Follow back the history of this man's newspapers since he came to this part of the country, and you will have to read out of his newspapers this remarkable fact: that in this great democracy, in this land of the free and in this home of the brave, there has never been a man elected to office yet that has not been tainted in some way. If the Hearst newspapers were the text books for the children of our schools, they would have to spell out of its every line that no man can be trusted in this country after he is put into public office; that no man thinks enough about it; no man has enough of regard for it; no man has enough of real Christian charity to do the thing right; no man that ever held great public office had enough of respect and regard for his mother and his wife and his children and his friends to be right in office. About that there can be no question, because no public man in this State, from Grover Cleveland right down to today, has ever escaped this fellow. We all know that. The children on the street know it.
Nobody that ever went to the Governor's office went there with a graver sense of the responsibility of that office than I did. What could there possibly be about me that I should be assailed in this reckless manner by this man? I have more reason probably than any man I will meet tonight to have a strong love and a strong devotion for this country, for this State, and for this city. Look at what I have received at its hands: I left school and went to work before I was fifteen years of age. I worked hard, night and day; I worked honestly and conscientiously at every job that I was ever put at, until I went to the Governor's chair in Albany. What can it be? It has got to be jealousy, it has got to be envy, it has got to be hatred, or it has to be something that nobody understands, that makes me come down here, into the city of New York, before this audience, and urge them to organize in this city to stay the danger that comes from these papers, to the end that the health, and welfare, and the comfort of this people, of the people of this State, may be promoted, and we may get rid of this pestilence that walks in the darkness.
> _Smith was governor of New York for a second term from 1923 to 1929. At the 1924 Democratic convention he was beaten for the presidential nomination after 103 ballots. He gained the nomination in 1928 but was beaten by Herbert Hoover._
•
## George V
Belfast, 22 June 1921
#### 'The eyes of the whole Empire are on Ireland today'
> _Under the 1920 Government of Ireland Act there were to be two Home Rule parliaments: one for most of Ireland at Dublin (which Sinn Féin refused to recognize), the other for the six counties of Ulster at Belfast. The act secured the Ulster Unionists from Dublin rule and they grudgingly accepted their own parliament and their own government._
>
> _King George V resolved to open the first North of Ireland parliament himself, in spite of the risk of assassination. Jan Smuts, the South African statesman,drafted a warm plea for civil peace which was accepted by Lloyd George, who was looking for a way out of the Irish imbroglio._
>
> _According to A. J. P. Taylor, George V's initiative 'was perhaps the greatest service performed by a British monarch in modern times'. That view is considered 'sentimental' by the Irish historian R. F. Foster, who argues that Lloyd George's hand was forced by the unpalatable alternative of governing the sixteen counties as a Crown colony under martial law._
Members of the Senate and of the House of Commons – for all who love Ireland, as I do with all my heart, this is a profoundly moving occasion in Irish history. My memories of the Irish people date back to the time when I spent many happy days in Ireland as a midshipman. My affection for the Irish people has been deepened by successive visits since that time, and I have watched with constant sympathy the course of their affairs. I could not have allowed myself to give Ireland by deputy alone my earnest prayers and good wishes in the new era which opens with this ceremony, and I have therefore come in person, as the Head of the Empire, to inaugurate this Parliament on Irish soil. I inaugurate it with deep-felt hope, and I feel assured that you will do your utmost to make it an instrument of happiness and good government for all parts of the community which you represent.
This is a great and critical occasion in the history of the six counties, but not for the six counties alone, for everything which interests them touches Ireland, and everything which touches Ireland finds an echo in the remotest parts of the Empire. Few things are more earnestly desired throughout the English-speaking world than a satisfactory solution of the age-long Irish problems which for generations embarrassed our forefathers, as they now weigh heavily upon us. Most certainly there is no wish nearer my own heart than that every man of Irish birth, whatever be his creed and wherever be his home, should work in loyal cooperation with the free communities on which the British Empire is based.
I am confident that the important matters entrusted to the control and guidance of the Northern Parliament will be managed with wisdom and with moderation, with fairness and due regard to every faith and interest, and with no abatement of that patriotic devotion to the Empire which you proved so gallantly in the Great War. Full partnership in the United Kingdom and religious freedom Ireland has long enjoyed. She now has conferred upon her the duty of dealing with all the essential tasks of domestic legislation and government; and I feel no misgiving as to the spirit in which you who stand here today will carry out the all-important functions entrusted to your care.
My hope is broader still. The eyes of the whole Empire are on Ireland today – that Empire in which so many nations and races have come together in spite of ancient feuds, and in which new nations have come to birth within the lifetime of the youngest in this hall. I am emboldened by that thought to look beyond the sorrow and the anxiety which have clouded of late my vision of Irish affairs. I speak from a full heart when I pray that my coming to Ireland today may prove to be the first step towards an end of strife amongst her people, whatever their race or creed. In that hope I appeal to all Irishmen to pause, to stretch out the hand of forbearance and conciliation, to forgive and to forget, and to join in making for the land which they love a new era of peace, contentment and good will. It is my earnest desire that in Southern Ireland too there may ere long take place a parallel to what is now passing in this hall; that there a similar occasion may present itself and a similar ceremony be performed.
For this the Parliament of the United Kingdom has in the fullest measure provided the powers; for this the Parliament of Ulster is pointing the way. The future lies in the hands of my Irish people themselves. May this historic gathering be the prelude of a day in which the Irish people, North and South, under one Parliament or two, as those Parliaments may themselves decide, shall work together in common love for Ireland upon the sure foundation of mutual justice and respect.
> _The response to the king's speech was immediate. Éamon de Valera, president of the Irish republic, agreed to negotiate and a truce followed on 8 July. Fightingended three days later. Civil war followed in Ireland but the Irish Free State was approved by the British parliament on 5 December 1922._
•
## Mahatma Gandhi
Ahmadabad, 23 March 1922
#### 'Non-violence is the first article of my faith'
> _Gandhi became leader of the Indian National Congress in 1920 and the congress adopted his programme of Satyagraha, non-violent non-cooperation, which he had earlier practised in South Africa. 'I discovered that pursuit of truth did not admit of violence being inflicted on one's opponent,' Gandhi wrote, 'but that he must be weaned from error by patience and sympathy. For what appears to be truth to one may appear to be error to the other. And patience means self-suffering. So the doctrine came to mean vindication of truth, not by the infliction of suffering on the opponent but on one's self.'_
>
> _Supporting the Satyagraha campaign, Gandhi travelled throughout India, often speaking to meetings of more than 100,000 Indians. He was constantly shadowed by the police but it was not until 1922 that he was arrested and charged with sedition for three articles in his magazine_ Young India. _The great trial at Ahmadabad, at which Gandhi pleaded guilty, followed._
>
> _'Men's minds involuntarily turned to another great trial 1,900 years ago when Jesus stood before Pontius Pilate,' said a contemporary Indian account. 'Mr Gandhi's statement was in his best form, terse and lucid, courageous and uncompromising, with just that touch of greatness which elevates it to the level of a masterpiece. Never before was such a prisoner arraigned before a British Court of Justice. Never before were the laws of an all-powerful government so defiantly, yet with such humility, challenged.'_
Non-violence is the first article of my faith. It is the last article of my faith. But I had to make my choice. I had either to submit to a system which I considered has done an irreparable harm to my country or incur the risk of the mad fury of my people bursting forth when they understood the truth from my lips. I know that my people have sometimes gone mad. I am deeply sorry for it; and I am therefore, here, to submit not to a light penalty but to the highest penalty. I do not ask for mercy. I do not plead any extenuating act. I am here, therefore, to invite and submit to the highest penalty that can be inflicted upon me for what in law is a deliberate crime and what appears to me to be the highest duty of a citizen. The only course open to you, Mr Judge, is, as I am just going to say in my statement, either to resign your post or inflict on me the severest penalty if you believe that the system and law you are assisting to administer are good for the people. I do not expect that kind of conversion. But by the time I have finished with my statement you will, perhaps, have a glimpse of what is raging within my breast to run this maddest risk which a sane man can run.
> _Gandhi then read his statement to the court._
I owe it perhaps to the Indian public and to the public in England, to placate which this prosecution is mainly taken up, that I should explain why from a staunch loyalist and cooperator I have become an uncompromising disaffectionist and non-cooperator. To the court too I should say why I plead guilty to the charge of promoting disaffection towards the Government established by law in India.
My public life began in 1893 in South Africa in troubled weather. My first contact with British authority in that country was not of a happy character. I discovered that as a man and an Indian I had no rights. On the contrary I discovered that I had no rights as a man because I was an Indian.
But I was not baffled. I thought that this treatment of Indians was an excrescence upon a system that was intrinsically and mainly good. I gave the Government my voluntary and hearty cooperation, criticizing it fully where I felt it was faulty but never wishing its destruction.
Consequently when the existence of the Empire was threatened in 1899 by the Boer challenge, I offered my services to it, raised a volunteer ambulance corps and served at several actions that took place for the relief of Ladysmith. Similarly in 1906 at the time of the Zulu revolt I raised a stretcher-bearer party and served till the end of the 'rebellion'. On both these occasions I received medals and was even mentioned in despatches. For my work in South Africa I was given by Lord Hardinge a Kaiser-i-Hind Gold Medal. When the war broke out in 1914 between England and Germany I raised a volunteer ambulance corps in London consisting of the then resident Indians in London, chiefly students. Its work was acknowledged by the authorities to be valuable. Lastly in India when a special appeal was made at the War Conference in Delhi in 1917 by Lord Chelmsford for recruits, I struggled at the cost of my health to raise a corps in Kheda and the response was being made when the hostilities ceased and orders were received that no more recruits were wanted. In all these efforts at service I was actuated by the belief that it was possible by such services to gain a status of full equality in the Empire for my countrymen.
The first shock came in the shape of the Rowlatt Act, a law designed to rob the people of all real freedom. I felt called upon to lead an intensive agitation against it. Then followed the Punjab horrors beginning with the massacre at Jallianwala Bagh and culminating in crawling orders, public floggings and other indescribable humiliations. The Punjab crime was white-washed and most culprits went not only unpunished but remained in service and some continued to draw pensions from the Indian revenue, and in some cases were even rewarded. I saw too that not only did the reforms not mark a change of heart, but they were only a method of further draining India of her wealth and of prolonging her servitude.
I came reluctantly to the conclusion that the British connection had made India more helpless than she ever was before, politically and economically. A disarmed India has no power of resistance against any aggressor if she wanted to engage in an armed conflict with him. So much is this the case that some of our best men consider that India must take generations before she can achieve the Dominion status. She has become so poor that she has little power of resisting famines. Before the British advent, India spun and wove in her millions of cottages just the supplement she needed for adding to her meagre agricultural resources. The cottage industry, so vital for India's existence, has been ruined by incredibly heartless and inhuman processes as described by English witnesses.
Little do town-dwellers know how the semi-starved masses of Indians are slowly sinking to lifelessness. Little do they know that their miserable comfort represents the brokerage they get for the work they do for the foreign exploiter, that the profits and the brokerage are sucked from the masses. Little do they realize that the Government established by law in British India is carried on for this exploitation of the masses. No sophistry, no jugglery in figures can explain away the evidence the skeletons in many villages present to the naked eye. I have no doubt whatsoever that both England and the town-dwellers of India will have to answer, if there is a God above, for this crime against humanity which is perhaps unequalled in history. The law itself in this country has been used to serve the foreign exploiter. My unbiased examination of the Punjab Martial Law cases has led me to believe that at least ninety-five per cent of convictions were wholly bad. My experience of political cases in India leads me to the conclusion that in nine out of every ten the condemned men were totally innocent. Their crime consisted in love of their country. In ninety-nine cases out of a hundred, justice has been denied to Indians as against Europeans in the Courts of India. This is not an exaggerated picture. It is the experience of almost every Indian who has had anything to do with such cases. In my opinion the administration of the law is thus prostituted consciously or unconsciously for the benefit of the exploiter.
The greatest misfortune is that Englishmen and their Indian associates in the administration of the country do not know that they are engaged in the crime I have attempted to describe. I am satisfied that many English and Indian officials honestly believe that they are administering one of the best systems devised in the world and that India is making steady though slow progress. They do not know that a subtle but effective system of terrorism and an organized display of force on the one hand and the deprivation of all powers of retaliation or self-defence on the other have emasculated the people and induced in them the habit of simulation. This awful habit has added to the ignorance and the self-deception of the administrators. Section 124-A under which I am happily charged is perhaps the prince among the political sections of the Indian Penal Code designed to suppress the liberty of the citizen. Affection cannot be manufactured or regulated by law. If one has no affection for a person or thing one should be free to give the fullest expression to his disaffection so long as he does not contemplate, promote or incite to violence. But the section under which Mr Banker and I are charged is one under which mere promotion of disaffection is a crime. I have studied some of the cases tried under it, and I know that some of the most loved of India's patriots have been convicted under it. I consider it a privilege, therefore, to be charged under it. I have endeavoured to give in their briefest outline the reasons for my disaffection. I have no personal ill-will against any single administrator, much less can I have any disaffection towards the King's person. But I hold it to be a virtue to be disaffected towards a Government which in its totality has done more harm to India than any previous system. India is less manly under the British rule than she ever was before. Holding such a belief, I consider it to be a sin to have affection for the system. And it has been a precious privilege for me to be able to write what I have in the various articles tendered in evidence against me.
In fact I believe that I have rendered a service to India and England by showing in non-cooperation the way out of the unnatural state in which both are living. In my humble opinion, non-cooperation with evil is as much a duty as is cooperation with good. But in the past, non-cooperation has been deliberately expressed in violence to the evildoer. I am endeavouring to show to my countrymen that violent non-cooperation only multiplies evil and that as evil can only be sustained by violence, withdrawal of support of evil requires complete abstention from violence. Non-violence implies voluntary submission to the penalty for non-cooperation with evil. I am here, therefore, to invite and submit cheerfully to the highest penalty that can be inflicted upon me for what in law is deliberate crime and what appears to me to be the highest duty of a citizen. The only course open to you, the Judge and the Assessors, is either to resign your posts and thus dissociate yourselves from evil if you feel that the law you are called upon to administer is an evil and that in reality I am innocent, or to inflict on me the severest penalty if you believe that the system and the law you are assisting to administer are good for the people of this country and that my activity is therefore injurious to the public weal.
> _After his statement before the court, Gandhi was sentenced to six years' imprisonment and thanked the judge for his courtesy. He was imprisoned again in 1930, 1933 and 1942 when he went on hunger strike as part of his campaign of civil disobedience. He eventually collaborated with the English to gain independence for India which was proclaimed twenty-five years later. A saint to many Hindus, he was assassinated in 1948._
•
## A. J. Balfour
London, 21 June 1922
#### 'A message to every land where the Jewish race is scattered'
> _Arthur Balfour (1848–1930), Conservative prime minister from 1902 to 1906 and Foreign Secretary in the wartime coalitions, considered the Balfour Declaration of 1917 the most worthwhile act of his long political career. Balfour had been interested in the Jewish national movement since his first meeting with Chaim Weizmann, the leader of British Zionism, in 1906. The declaration affirmed British support for the establishment of a Jewish national home in Palestine provided that safeguards could be reached for the rights of its non-Jewish communities. The declaration formed the basis for the League of Nations mandate for Palestine._
>
> _Balfour, according to his niece Blanche Dugdale, thought of the Zionists as guardians of a continuity of religious and racial tradition that made the unassimilated Jew a great conservative force in world politics. He felt strongly about the way the Jewish contribution to culture and religion had for the most part been requited by the Christian world._
>
> _That moral indignation was never put more clearly than to the House ofLords in 1922 after Lord Islington had attacked the acceptance of the mandate by Britain._
My noble friend told us in his speech, and I believe him absolutely, that he has no prejudice against the Jews. I think I may say that I have no prejudice in their favour. But their position and their history, their connection with world religion and with world politics, is absolutely unique. There is no parallel to it, there is nothing approaching to a parallel to it, in any other branch of human history. Here you have a small race originally inhabiting a small country, I think of about the size of Wales or Belgium, at any rate of comparable size to those two, at no time in its history wielding anything that can be described as material power, sometimes crushed in between great Oriental monarchies, its inhabitants deported, then scattered, then driven out of the country altogether into every part of the world, and yet maintaining a continuity of religious and racial tradition of which we have no parallel elsewhere.
That, itself, is sufficiently remarkable, but consider – it is not a pleasant consideration, but it is one that we cannot forget – how they have been treated during long centuries, during centuries which in some parts of the world extend to the minute and the hour in which I am speaking; consider how they have been subjected to tyranny and persecution; consider whether the whole culture of Europe, the whole religious organization of Europe, has not from time to time proved itself guilty of great crimes against this race. I quite understand that some members of the race may have given, doubtless did give, occasion for much ill-will, and I do not know how it could be otherwise, treated as they were; but, if you are going to lay stress on that, do not forget what part they have played in the intellectual, the artistic, the philosophic and scientific development of the world. I say nothing of the economic side of their energies, for on that Christian attention has always been concentrated.
I ask your Lordships to consider the other side of their activities. Nobody who knows what he is talking about will deny that they have at least – and I am putting it more moderately than I could do – rowed all their weight in the boat of scientific, intellectual and artistic progress, and they are doing so to this day. You will find them in every University, in every centre of learning; and at the very moment when they were being persecuted, when some of them, at all events, were being persecuted by the Church, their philosophers were developing thoughts which the great doctors of the Church embodied in their religious system. As it was in the Middle Ages, as it was in earlier times, so it is now. And yet, is there anyone here who feels content with the position of the Jews? They have been able, by this extraordinary tenacity of their race, to maintain this continuity, and they have maintained it without having any Jewish Home.
What has been the result? The result has been that they have been described as parasites on every civilization in whose affairs they have mixed themselves – very useful parasites at times I venture to say. But however that may be, do not your Lordships think that if Christendom, not oblivious of all the wrong it has done, can give a chance, without injury to others, to this race of showing whether it can organize a culture in a Home where it will be secured from oppression, that it is not well to say, if we can do it, that we will do it. And, if we can do it, should we not be doing something material to wash out an ancient stain upon our own civilization if we absorb the Jewish race in friendly and effective fashion in those countries in which they are the citizens? We should then have given them what every other nation has, some place, some local habitation, where they can develop the culture and the traditions which are peculiarly their own.
I could defend – I have endeavoured, and I hope not unsucessfully, to defend – this scheme of the Palestine Mandate from the most material economic view, and from that point of view it is capable of defence. I have endeavoured to defend it from the point of view of the existing population, and I have shown – I hope with some effect – that their prosperity also is intimately bound up with the success of Zionism. But having endeavoured to the best of my ability to maintain those two propositions, I should, indeed, give an inadequate view to your Lordships of my opinions if I sat down without insisting to the utmost of my ability that, beyond and above all this, there is this great ideal at which those who think with me are aiming, and which, I believe, it is within their power to reach.
It may fail. I do not deny that this is an adventure. Are we never to have adventures? Are we never to try new experiments? I hope your Lordships will never sink to that unimaginative depth, and that experiment and adventure will be justified if there is any case or cause for their justification. Surely, it is in order that we may send a message to every land where the Jewish race has been scattered, a message which will tell them that Christendom is not oblivious of their faith, is not unmindful of the service they have rendered to the great religions of the world, and, most of all, to the religion that the majority of your Lordships' House profess, and that we desire to the best of our ability to give them that opportunity of developing, in peace and quietness under British rule, those great gifts which hitherto they have been compelled from the very nature of the case only to bring to fruition in countries which know not their language, and belong not to their race. That is the ideal which I desire to see accomplished, that is the aim which lay at the root of the policy I am trying to defend; and, though it be defensible indeed on every ground, that is the ground which chiefly moves me.
•
## Stanley Baldwin
London, 6 May 1924
#### 'The sounds of England'
> _After serving in the governments of Lloyd George and Bonar Law, Stanley Baldwin (1867–1947) succeeded Law as prime minister in May 1923. He resigned when he failed to get a clear majority in the 1923 election but became prime minister again in 1924._
>
> _Baldwin was the most self-conscious countryman among British prime ministers of the century, according to his biographer Roy Jenkins. The unchanging nature of English rural life was one of his more effective and frequently recurring oratorical themes, reaching its apogee in this speech to the Royal Society of St George._
>
> _This, like many of his other speeches, was prose of a high evocative quality, even though its prophecy was inaccurate in both letter and spirit. 'His romanticnostalgia was wholly genuine, although his dislike of change from the countryside of his boyhood was probably more acute than that of those whose origins and lives were more deeply rooted in it.'_
To me, England is the country, and the country is England. And when I ask myself what I mean by England, when I think of England when I am abroad, England comes to me through my various senses – through the ear, through the eye, and through certain imperishable scents. I will tell you what they are, and there may be those among you who feel as I do.
The sounds of England, the tinkle of the hammer on the anvil in the country smithy, the corncrake on a dewy morning, the sound of the scythe against the whetstone, and the sight of a plough team coming over the brow of a hill, the sight that has been seen in England since England was a land, and may be seen in England long after the Empire has perished and every works in England has ceased to function, for centuries the one eternal sight of England. The wild anemones in the woods in April, the last load at night of hay being drawn down a lane as the twilight comes on, when you can scarcely distinguish the figures of the horses as they take it home to the farm, and above all, most subtle, most penetrating and most moving, the smell of wood smoke coming up in an autumn evening, or the smell of the scutch fires: that wood smoke that our ancestors, tens of thousands of years ago, must have caught on the air when they were coming home with the results of the day's forage, when they were still nomads, and when they were still roaming the forests and the plains of the continent of Europe. These things strike down into the very depths of our nature, and touch chords that go back to the beginning of time and the human race, but they are chords that with every year of our life sound a deeper note in our innermost being.
These are the things that make England, and I grieve for it that they are not the childish inheritance of the majority of the people today in our country. They ought to be the inheritance of every child born into this country, but nothing can be more touching than to see how the working man and woman after generations in the towns will have their tiny bit of garden if they can, will go to gardens if they can, to look at something they have never seen as children, but which their ancestors knew and loved. The love of these things is innate and inherent in our people. It makes for that love of home, one of the strongest features of our race, and it is that that makes our race seek its new home in the Dominions overseas, where they have room to see things like this that they can no more see at home. It is that power of making homes, almost peculiar to our people, and it is one of the sources of their greatness. They go overseas, and they take with them what they learned at home: love of justice, love of truth, and the broad humanity that are so characteristic of English people. It may well be that these traits on which we pride ourselves, which we hope to show and try to show in our own lives, may survive – survive among our people so long as they are a people – and I hope and believe this, that just as today more than fifteen centuries since the last of those great Roman legionaries left England, we still speak of the Roman strength, and the Roman work, and the Roman character, so perhaps in the ten thousandth century, long after the Empires of this world as we know them have fallen and others have risen and fallen, and risen and fallen again, the men who are then on this earth may yet speak of those characteristics which we prize as the characteristics of the English, and that long after, maybe, the name of the country has passed away, wherever men are honourable and upright and persevering, lovers of home, of their brethren, of justice and of humanity, the men in the world of that day may say, 'We still have among us the gifts of that great English race.'
•
## Clarence Darrow
Detroit, 19 May 1926
#### 'The life of the Negro race has been a life of tragedy'
> _More than a hundred clients of Clarence Darrow_ _(1857_ – _1938)_ _were accused of murder but none was executed. For forty years, the Chicago attorney, a militantagnostic, fanatical humanitarian and spokesman for the underdog, dominated hundreds of courtrooms._
>
> _He resigned as general counsel for the Chicago and Northwestern Railway in 1894 to defend Eugene Debs during the Pullman strike. Debs was acquitted and Darrow subsequently became involved in a series of important or sensational cases._
>
> _In 1926 some 60,000 blacks in Chicago lived in overcrowded quarters. They were so crowded that some families had moved to the white districts but were regularly driven out. One was Dr Ossian Sweet, who provided himself with guns and ammunition and fired a volley into the street when a big crowd attacked his home. One white man was killed. Sweet and eleven blacks were arrested and Darrow became lawyer for the defence. The jurors could not agree and were dismissed._
>
> _A month later the state ordered a retrial, making Henry Sweet, the doctor's brother, who had apparently fired the fatal shot, the sole defendant. Darrow's final plea for Sweet, which lasted eight hours, was perhaps the best appeal to a jury of a brilliant career. Sweet was acquitted._
>
> _For Darrow the verdict meant simply that the doctrine that a man's house is his castle applied to blacks as well as whites – probably the first occasion on which that principle had been upheld by a white jury._
We come now to lay this man's case in the hands of a jury of our peers – the first defence and the last defence is the protection of home and life as provided by our law. We are willing to leave it here. I feel, as I look at you, that we will be treated fairly and decently, even understandingly and kindly. You know what this case is. You know why it is. You know that if white men had been fighting their way against coloured men, nobody would ever have dreamed of a prosecution. And you know that from the beginning of this case to the end, up to the time you write your verdict, the prosecution is based on race prejudice and nothing else.
Gentlemen, I feel deeply on this subject; I cannot help it. Let us take a little glance at the history of the Negro race. It seems to me that the story would melt hearts of stone. I was born in America. I could have left it if I had wanted to go away. Some other men, reading about this land of freedom that we brag about on the Fourth of July, came voluntarily to America. These men, the defendants, are here because they could not help it. Their ancestors were captured in the jungles and on the plains of Africa, captured as you capture wild beasts, torn from their homes and their kindred; loaded into slave ships, packed like sardines in a box, half of them dying on the ocean passage; some jumping into the sea in their frenzy, when they had a chance to choose death in place of slavery. They were captured and brought there. They could not help it. They were bought and sold as slaves, to work without pay, because they were black. They were subject to all of this for generations, until finally they were given their liberty, so far as the law goes – and that is only a little way, because, after all, every human being's life in this world is inevitably mixed with every other life and, no matter what laws we pass, no matter what precautions we take, unless the people we meet are kindly and decent and human and liberty-loving then there is no liberty. Freedom comes from human beings, rather than from laws and institutions.
Now, that is their history. These people are the children of slavery. If the race that we belong to owes anything to any human being, or to any power in the universe, they owe it to these black men. Above all other men, they owe an obligation and a duty to these black men that can never be repaid. I never see one of them that I do not feel I ought to pay part of the debt of my race – and if you gentlemen feel as you should feel in this case, your emotions will be like mine.
Gentlemen, you are called into this case by chance. It took us a week to find you, a week of culling out prejudice and hatred. Probably we did not cull it all out at that; but we took the best and the fairest that we could find. It is up to you.
Your verdict means something in this case. It means something more than the fate of this boy. It is not often that a case is submitted to twelve men where the decision may mean a milestone in the history of the human race. But this case does. And I hope and I trust that you have a feeling of responsibility that will make you take it and do your duty as citizens of a great nation, and as members of the human family, which is better still.
Let me say just a parting word for Henry Sweet, who has wellnigh been forgotten. I am serious, but it seems almost like a reflection upon this jury to talk as if I doubted your verdict. What has this boy done? This one boy now that I am culling out from all of the rest, and whose fate is in your hands – can you tell me what he has done? Can I believe myself? Am I standing in a court of justice where twelve men on their oaths are asked to take away the liberty of a boy twenty-one years of age, who has done nothing more than what Henry Sweet has done?
Gentlemen, you may think he shot too quick; you may think he erred in judgement; you may think that Dr Sweet should not have gone there prepared to defend his home. But, what of this case of Henry Sweet? What has he done? I want to put it up to you, each one of you, individually. Dr Sweet was his elder brother. He had helped Henry through school. He loved him. He had taken him into his home. Henry had lived with him and his wife; he had fondled his baby. The doctor had promised Henry the money to go through school. Henry was getting his education, to take his place in the world, gentlemen – and this is a hard job. With his brother's help he has worked his way through college up to the last year. The doctor had bought a home. He feared danger. He moved in with his wife and he asked this boy to go with him. And this boy went to defend his brother, and his brother's wife and his child and his home.
Do you think more of him or less of him for that? I never saw twelve men in my life – and I have looked at a good many faces of a good many juries – I never saw twelve men in my life that, if you could get them to understand a human case, were not true and right.
Should this boy have gone along and helped his brother? Or, should he have stayed away? What would you have done? And yet, gentlemen, here is a boy, and the president of his college came all the way from Ohio to tell you what he thinks of him. His teachers have come here, from Ohio, to tell you what they think of him. The Methodist bishop has come here to tell you what he thinks of him.
So, gentlemen, I am justified in saying that this boy is as kindly, as well disposed, as decent a man as one of you twelve. Do you think he ought to be taken out of his school and sent to the penitentiary? All right, gentlemen, if you think so, do it. It's your job, not mine. If you think so, do it. But if you do, gentlemen, if you should ever look into the face of your own boy, or your own brother, or look into your own heart, you will regret it in sackcloth and ashes. You know, if he committed any offence, it was being loyal and true to his brother whom he loved. I know where you will send him and it will not be to a penitentiary.
I do not believe in the law of hate. I may not be true to my ideals always, but I believe in the law of love, and I believe you can do nothing with hatred. I would like to see a time when man loves his fellow man and forgets his colour or his creed. We will never be civilized until that time comes. I know the Negro race has a long road to go. I believe that the life of the Negro race has been a life of tragedy, of injustice, of oppression. The law has made him equal, but man has not. And, after all, the last analysis is: what has man done? – and not what has the law done? I know there is a long road ahead of him before he can take the place which I believe he should take. I know that before him there is sorrow, tribulation, and death among the blacks, and perhaps the whites. I am sorry. I would do what I could to avert it. I would advise patience; I would advise tolerance; I would advise understanding; I would advise all those things which are necessary for men who live together.
Gentlemen, what do you think of your duty in this case? I have watched day after day these black, tense faces that have crowded this court. These black faces that now are looking to you twelve whites, feeling that the hopes and fears of a race are in your keeping.
This case is about to end, gentlemen. To them, it is life. Not one of their colour sits on this jury. Their fate is in the hands of twelve whites. Their eyes are fixed on you, their hearts go out to you, and their hopes hang on your verdict.
This is all. I ask you, on behalf of this defendant, on behalf of these helpless ones who turn to you, and more than that – on behalf of this great state, and this great city, which must face this problem and face it fairly – I ask you in the name of progress and of the human race, to return a verdict of not guilty in this case!
•
## Nicola Sacco and Bartolomeo Vanzetti
Dedham, Massachusetts, 19 April 1927
#### 'I am never be guilty, never'
> _The United States in 1920 was suffering a violent 'Red scare' and organized labour was protesting at the importation of cheap labour from overseas. On 15 April 1920, the paymaster and the guard of a shoe factory at Milford, Massachusetts, were shot dead and robbed. Nicola Sacco (1891–1927) and Bartolomeo Vanzetti (1888–1927), two Italian immigrants who had become anarchists and also dodged the draft, were arrested and charged with the murders._
>
> _The trial was held in Dedham and they were found guilty. Associates of Sacco and Vanzetti alerted the left throughout the world to what seemed a perversion of justice, especially because of the prejudice of the judge who described them as 'anarchist bastards'. After the men had been in prison for seven years, they were finally told they were to be executed. Their last speeches to Judge Webster Thayer were movingly dignified, perhaps because their English was so imperfect._
[ _Sacco_ :] I am not an orator. It is not very familiar with me the English language, and, as I know, as my friend has told me, my comrade Vanzetti will speak more long, so I thought to give him the chance.
I never know, never heard, even read in history anything so cruel as this court. After seven years prosecuting they still consider us guilty. And these gentle people here are arrayed with us in this court today.
I know the sentence will be between two class, the oppressed class and the rich class, and there will be always collision between one and the other. We fraternize the people with the books, with the literature. You persecute the people, tyrannize over them, and kill them. We try the education of people always. You try to put a path between us and some other nationality that hates each other. That is why I am here today on this bench, for having been the oppressed class. Well, you are the oppressor.
You know it, Judge Thayer – you know all my life, you know why I have been here, and after seven years that you have been persecuting me and my poor wife, and you still today abuse us to death. I would like to tell you my life, but what is the use? You know all about what I say before, and my friend – that is, my comrade – will be talking, because he is more familiar with the language, and I will give him a chance. My comrade, the man kind, the kind man to all the children, you sentence him two times, in the Bridgewater case and the Dedham case, connected with me, and you know he is innocent. You forget all the population that has been with us for seven years, to sympathize and give us all their energy and all their kindness. You do not care for them. Among that peoples and the comrades and the working class there is a big legion of intellectual people which have been with us for seven years, but to not commit the iniquitous sentence, but still the court goes ahead. And I think I thank you all, you peoples, my comrades who have been with me for seven years, with the Sacco–Vanzetti case, and I will give my friend a chance.
I forget one thing which my comrade remember me. As I said before, Judge Thayer know all my life, and he know that I am never be guilty, never – not yesterday nor today nor for ever.
[ _Vanzetti_ :] What I say is that I am innocent, not only of the Braintree crime, but also of the Bridgewater crime. That I am not only innocent of these two crimes, but in all my life I have never stole and I have never killed and I have never spilled blood. That is what I want to say. And it is not all. Not only am I innocent of these two crimes, not only in all my life I have never stole, never killed, never spilled blood, but I have struggled all my life, since I began to reason, to eliminate crime from the earth.
Everybody that knows these two arms knows very well that I did not need to go in between the streets and kill a man to make the money. I can live with my two arms, and live well. But besides that, I can live even without work with my arm for other people. I have had plenty of chance to live independently and to live what the world conceives to be a higher life than not to gain our bread with the sweat of our brow...
What I want to say is this: Everybody ought to understand that the first of the defence has been terrible. My first lawyer did not stick to defend us. He had made no work to collect witnesses and evidence in our favour. The record in the Plymouth court is a pity. I am told that they are almost gone – half lost. So the defence had a tremendous work to do in order to collect some evidence, to collect some testimony to offset and to learn what the testimony of the state has done. And in this consideration it take double time of the state without delay, double time that they delay the case it would have been reasonable, whereas it took less than the state.
Well, I have already say that I am not guilty of these two crimes, but I never commit a crime in my life – I have never steal and I have never kill and I have never spilled blood, and I have fought against the crime, and I have fought and I have sacrificed myself even to eliminate the crimes that the law and the church legitimate and sanctify.
That is what I say: I would not wish to a dog or a snake, to the most low and misfortunate creature of the earth – I would not wish to any of them what I have had to suffer for things that I am not guilty of. But my conviction is that I have suffered for things that I am guilty of. I am suffering because I am a radical, and indeed I am a radical; I have suffered because I was an Italian, and indeed I am an Italian; I have suffered more for my family and for my beloved than for myself; but I am so convinced to be right that if you would execute me two times, and if I could be reborn two other times, I would live again to do what I have done already.
> _Sacco and Vanzetti were electrocuted on_ 23 _August and their execution started riots in London, Paris and Germany. Their case provoked the first serious rebellion against the conservatism of the Republican ascendancy._
•
## Herbert Hoover
New York, 22 October 1928
#### 'Rugged individualism'
> _Herbert Hoover_ _(1874_ – _1964)_ _accumulated a personal fortune as a mining engineer before directing relief work in Europe during and after the First World War. He was Secretary of Commerce under Presidents Harding and Coolidge from 1921, when he speeded the modernization of industry which increased the people's prosperity. He became the Republican candidate in the 1928 presidential election, when he was seen as the only man certain to beat the popular Democrat candidate Al Smith, who had been chosen by the liberal, urban element in the party. Smith's record of progressive social reform as governor of New York compelled Hoover to express the political philosophy that was to dominate Republican thinking in the harsh depression years of his own administration from 1929 to 1933._
>
> _His speech on rugged individualism delivered at the very end of the 1928 campaign ranks as a classic statement of American conservatism_ _(even though his philosophy was found tragically inadequate in the Wall Street crash of_ _1929)_. _He implied that government interference in economic activities must necessarily lead to socialism and insisted that its ultimate effect would be to impair the very basis of liberty and freedom._
After the war, when the Republican Party assumed administration of the country, we were faced with the problem of determination of the very nature of our national life. During one hundred and fifty years we have builded up a form of self-government and a social system which is peculiarly our own. It differs essentially from all others in the world. It is the American system. It is just as definite and positive a political and social system as has ever been developed on earth. It is founded upon a particular conception of self-government in which decentralized local responsibility is the very base. Further than this, it is founded upon the conception that only through ordered liberty, freedom, and equal opportunity to the individual will his initiative and enterprise spur on the march of progress. And in our insistence upon equality of opportunity has our system advanced beyond all the world...
When the war closed, the most vital of all issues both in our own country and throughout the world was whether Governments should continue their wartime ownership and operation of many instrumentalities of production and distribution. We were challenged with a peacetime choice between the American system of rugged individualism and a European philosophy of diametrically opposed doctrines – doctrines of paternalism and state socialism. The acceptance of these ideas would have meant the destruction of self-government through centralization of government. It would have meant the undermining of the individual initiative and enterprise through which our people have grown to unparalleled greatness...
There is, therefore, submitted to the American people a question of fundamental principle. That is, shall we depart from the principles of our American political and economic system, upon which we have advanced beyond all the rest of the world, in order to adopt methods based on principles destructive of its very foundations? And I wish to emphasize the seriousness of these proposals. I wish to make my position clear; for this goes to the very roots of American life and progress...
Bureaucracy is ever desirous of spreading its influence and its power. You cannot extend the mastery of the Government over the daily working life of a people without at the same time making it the master of the people's souls and thoughts. Every expansion of Government in business means that Government in order to protect itself from the political consequences of its errors and wrongs is driven irresistibly without peace to greater and greater control of the nation's press and platform. Free speech does not live many hours after free industry and free commerce die.
It is a false liberalism that interprets itself into the Government operation of commercial business. Every step of bureaucratizing of the business of our country poisons the very roots of liberalism – that is, political equality, free speech, free assembly, free press, and equality of opportunity. It is the road not to more liberty but to less liberty. Liberalism should be found not striving to spread bureaucracy but striving to set bounds to it. True liberalism seeks all legitimate freedom, first in the confident belief that without such freedom the pursuit of all other blessings and benefits is vain. That belief is the foundation of all American progress, political as well as economic.
Liberalism is a force truly of the spirit, a force proceeding from the deep realization that economic freedom cannot be sacrificed if political freedom is to be preserved. Even if governmental conduct of business could give us more efficiency instead of less efficiency, the fundamental objection to it would remain unaltered and unabated. It would destroy political equality. It would increase rather than decrease abuse and corruption. It would stifle initiative and invention. It would undermine the development of leadership. It would cramp and cripple the mental and spiritual energies of our people. It would extinguish equality and opportunity. It would dry up the spirit of liberty and progress. For these reasons primarily it must be resisted. For a hundred and fifty years liberalism has found its true spirit in the American system, not in the European systems...
Our people have the right to know whether we can continue to solve our great problems without abandonment of our American system. I know we can. We have demonstrated that our system is responsive enough to meet any new and intricate development in our economic and business life. We have demonstrated that we can meet any economic problem and still maintain our democracy as master in its own house and that we can at the same time preserve equality of opportunity and individual freedom...
And what have been the results of our American system? Our country has become the land of opportunity to those born without inheritance, not merely because of the wealth of its resources and industry, but because of this freedom of initiative and enterprise. Russia has natural resources equal to ours. Her people are equally industrious, but she has not had the blessing of one hundred and fifty years of our form of government and of our social system.
By adherence to the principles of decentralized self-government, ordered liberty, equal opportunity, and freedom to the individual our American experiment in human welfare has yielded a degree of wellbeing unparalleled in all the world. It has come nearer to the abolition of poverty, to the abolition of fear of want, than humanity has ever reached before.
> _Hoover beat Smith but was reluctant to extend federal power during the Depression and was decisively beaten by Franklin Delano Roosevelt in the 1932 election._
•
## Oswald Mosley
London, 28 May 1930
#### 'The nation has to be mobilized'
> _Oswald Mosley_ _(1896_ – _1980)_ _was one of the most tragic personalities of twentieth-century British politics, a charismatic Labour politician who became a figure of ridicule after he founded the British Union of Fascists, which promoted anti-Semitic and Hitlerite policies in the 1930s._
>
> _Sitting initially in the House of Commons as an independent MP, he joined the Labour Party in 1924 and entered Ramsay MacDonald's government in 1929. Mosley wanted to solve the Depression by stimulating foreign trade and pumping public funds into industrial projects to create jobs._
>
> _The proposals were rejected by the Cabinet. Mosley's resignation speech to parliament was considered as one of the most outstanding oratorical performances of the century. Its admirers included both Lloyd George and Winston Churchill._
We have to face up to this fact, that if men are to be employed on any large scale that employment has to be paid for either by the State or by local authorities. There is a tremendous struggle, an incessant struggle, going on in every Government department to put every penny they can off the taxpayer and on to the ratepayer. What holds up these plans for months is the struggle for these pennies, these minor details. What does it matter? What is the use of shifting the burden from the taxpayer to the ratepayer? What is the use of lifting the burden from the right shoulder to the left? It is the same man who has to carry it, and the economic fact is this, as the Colwyn and every other authoritative inquiry upon the economic side has said, that the burden on the ratepayer is more onerous upon industry than the burden upon the taxpayer. If this burden has to be carried, need we struggle and waste time in deciding whether it is to be carried by the taxpayer or by the ratepayer?...
If you are pursuing a deflation policy, restricting the whole basis of credit, there is some force in what is known as the Treasury view, that it is difficult to raise large loans for such purposes as this.
Given, however, a financial policy of stabilization, that Treasury point of view cannot hold water. It would mean that every single new enterprise is going to put as many men out of employment as it will employ. That is a complete absurdity if you pursue that argument to its logical conclusion. If it is true it means that nothing can ever be done by the Government or by Parliament. It means that no Government has any function or any purpose; it is a policy of complete surrender. It has been said rather curiously, in view of the modesty of my programme, that it is the policy of the 'red flag'. I might reply that what is known as the Treasury view is the policy of the 'white' flag. It is a policy of surrender, of negation, by which any policy can be frustrated and blocked in this country.
Hanging all over that policy is the great conception of conversion. There are two ways of achieving conversion. One through the inherent financial strength of your position, leading to a strengthening of Government credit. The other is by the simple process of deflation to make all industrial investments unprofitable and drive your investor into Government securities because he has no other profitable outlet. But there may be another effect of that policy; that the money goes abroad, and then you get the local effect of that policy suggested by the President of the Board of Trade as the only means of solving our industrial problems, when he said on the 14th May: 'During the past fortnight alone £16,000,000 of new capital has been authorized or raised for overseas investment, and so I trust the process will continue.'
Why? Why is it so right and proper and desirable that capital should go overseas to equip factories to compete against us, to build roads and railways in the Argentine or in Timbuctoo, to provide employment for people in those countries while it is supposed to shake the whole basis of our financial strength if anyone dares to suggest the raising of money by the Government of this country to provide employment for the people of this country? If those views are passed without examination or challenge the position of this country is serious indeed. In conclusion let me say that the situation which faces us is, of course, very serious. Everybody knows that; and perhaps those who have been in office for a short time know it even better. It is not, I confidently believe, irreparable, but I feel this from the depths of my being, that the days of muddling through are over, that this time we cannot muddle through.
This nation has to be mobilized and rallied for a tremendous effort, and who can do that except the Government of the day? If that effort is not made we may soon come to crisis, to a real crisis. I do not fear that so much, for this reason, that in a crisis this nation is always at its best. This people knows how to handle a crisis, it cools their heads and steels their nerves. What I fear much more than a sudden crisis is a long, slow, crumbling through the years until we sink to the level of a Spain, a gradual paralysis beneath which all the vigour and energy of this country will succumb. That is a far more dangerous thing, and far more likely to happen unless some effort is made. If the effort is made how relatively easily can disaster be averted. You have in this country resources, skilled craftsmen among the workers, design and technique among the technicians, unknown and unequalled in any other country in the world. What a fantastic assumption it is that a nation which within the lifetime of everyone has put forth efforts of energy and vigour unequalled in the history of the world, should succumb before an economic situation such as the present. If the situation is to be overcome, if the great powers of this country are to be rallied and mobilized for a great national effort, then the Government and Parliament must give a lead. I beg the Government tonight to give the vital forces of this country the chance that they await. I beg Parliament to give that lead.
> _Mosley carried his fight to the Labour Party conference that autumn but was again defeated by MacDonald. In December he published the_ Mosley Manifesto, _which was backed by seventeen Labour_ MP _s, but he was expelled after founding the progressive socialist New Party._
>
> _Mosley was ruined politically and his ideas were ruined with him. A. J. P. Taylor describes the rejection of Mosley's programme as a decisive, though negative, event in British history, the moment when the British people resolved to stand on the ancient ways._
•
## Ramsay MacDonald
Llandudno, 7 October 1930
#### 'We are not on trial'
> _With Keir Hardie, Ramsay MacDonald_ _(1856_ – _1937)_ _was one of the main founders of the British Labour Party. He became an_ MP _in 1906, led the parliamentary Labour Party from 1911, but opposed the First World War and lost his seat in 1918. On re-election in 1922, he again led the party, briefly formed a minority Labour government in 1924 and was again prime minister from 1929._
>
> _Confronted by prolonged unemployment and a growing budget deficit, MacDonald's government was beset by economic crisis. Feelers were put out by Lloyd George for a coalition government. The annual Labour Party conference in 1930 met not only against this worsening economic background but also on the day after the R101 airship crash in which forty-eight people died, including Lord Thomson, MacDonald's closest friend in politics._
>
> _At the start of his speech, MacDonald paid an emotional tribute to the dead. Then he straightened himself up and launched into a passionate defence of the government and its record._
The Government has fulfilled the confidence that you reposed in it at the last Election. ( _Cheers._ ) I have no apologies – none whatever. I am not one of those who, standing aside, imagine that pettifogging criticism is either helpful or illuminating. Not at all. The plough, my friends, is in the furrow, and the place for you and me is in the furrow dragging the plough. ( _Cheers._ ) We have not fulfilled all our pledges – no. Did you expect us to do so? Our pledges are the pledges of men and women who are Socialists, our pledges are the pledges of men and women who know that this system of society cannot and will not work smoothly, and that the great task of statesmen of vision is to transform that system of society from the 'is' until it has become the 'is to be'; and in the course of that transformation, rightly or wrongly, my creed, and, I think, the creed of the great majority, if not all of my colleagues, has been evolution – evolution applied in precisely the same way as the scientific medical man, the scientific healer, applies his knowledge and his art to the frail and the ailing body. He does not prescribe straightaway the final food, the final exercise, the final standard of life, but being a knowing man, a man with an eye, a man not only with scientific knowledge but psychological knowledge, a man who knows how to lead gently and truly as well as to feed accurately, knowing his problem, knowing that it is not a problem of mathematics, not a problem of material things only, but a problem of mental and psychological things, works out a great policy and goes on with it from stage to stage. The men who remain out may say: 'You have not got to your journey's end,' but the men who remain in say, 'No, we have not, but we are going to get there.' ( _Cheers..._ )
It is not the Labour Government that is on trial; it is Capitalism that is being tried. We told you in those days that the time would come when finance would be more powerful than industry. That day has come. We told you in those days that people would say: 'Trade is all right, but finance is all wrong.' That day has come. We told you in those days that the time would come when the man who went into the workshop and into the factory, and his employer as well, would no longer be in the simple relationship of master and man, but that the master would become impersonal, and that powers that have nothing to do with industry would control industry – the powers of gambling with credit. That day has come...
So, my friends, we are not on trial; it is the system under which we live. It has broken down, not only in this little island, it has broken down in Europe, in Asia, in America; it has broken down everywhere, as it was bound to break down. And the cure, the new path, the new idea is organization – organization which will protect life, not property; organization which may protect property, but protect property in proper relation to life; organization which will see to it that when science discovers and inventors invent, the class that will be crushed down by reason of knowledge shall not be the working class, but the loafing class. That is the policy that we are going to pursue slowly, steadily, persistently, with knowledge, and with our minds working upon a plan. And I appeal to you, my friends, today, with all that is going on outside – I appeal to you to go back on to your Socialist faith. Do not mix that up with pettifogging patching, either of a Poor Law kind or of Relief Work kind. Construction, ideas, architecture, building line upon line, stone upon stone, storey upon storey: it will not be your happiness, it will certainly not be mine, to see that fabric finished. It will not be your happiness, and it will certainly not be mine, to see that every stone laid in sincerity has been well laid. But I think it will be your happiness, as it is mine, to go on convinced that the great foundations are being well laid, that the ennobling plan is being conceived, and that by skilled craftsmen, confident in each other's goodwill and sincerity, the temple will rise and rise and rise until at last it is complete, and the genius of humanity will find within it an appropriate resting place.
> _There was tumultuous applause. A later vote of censure was defeated by 1,800,000 votes to 330,000. A year later after a run on the pound, MacDonald formed a National Government with the Conservatives which the majority of Labour MPs refused to support. MacDonald was condemned as a traitor to socialism. Although he had towered over British politics in the 1920s, his reputation thereafter was doomed._
•
## Joseph Stalin
Moscow, 4 February 1931
#### 'Either we do it – or they crush us'
> _After assisting Lenin in Petrograd, Joseph Stalin (1879–1953) became the Bolsheviks' first Commissar for Nationalities and helped to defend Petrograd during the Civil War. At the party congress in 1923 he seized control of the party machine and manoeuvred to deny power to Trotsky. He succeeded Lenin and created one of the worst dictatorial tyrannies of the century. In 1928 he began his policy of achieving Socialism in One Country through the five-year plans._
>
> _About 1,500 big enterprises were built during the first five-year plan, including the largest power station in Europe; new sectors of industry were established; thousands of kilometres of roads and canals were constructed; and many new cities were built. It was a gigantic achievement, won at appalling cost in human lives._
>
> _Yet although there was mounting strain in the country, Stalin was still unsatisfied with the rate of progress and in this speech to industrial managers he appealed to the spirit of Russian nationalism to goad workers towards the social and economic transformation he sought to impose on the Russians._
>
> _His message was simple – either we do it or the West crushes us; and as his speech turned to the spirit of old Russia his words began to throb with the emotion that was mostly lacking from his lifeless oratory._
It is sometimes asked whether it is not possible to slow down the tempo somewhat, to put a check on the movement. No, comrades, it is not possible! The tempo must not be reduced! On the contrary, we must increase it as much as is within our powers and possibilities. This is dictated to us by our obligations to the workers and peasants of the USSR. This is dictated to us by our obligations to the working class of the whole world.
To slacken the tempo would mean falling behind. And those who fall behind get beaten. But we do not want to be beaten. No, we refuse to be beaten! One feature of the history of old Russia was the continual defeats she suffered because of her backwardness. She was beaten by the Mongol khans. She was beaten by the Turkish beys. She was beaten by the Swedish feudal lords. She was beaten by the Polish and Lithuanian gentry. She was beaten by the British and French capitalists. She was beaten by the Japanese barons. All beat her – because of her backwardness, because of her military backwardness, cultural backwardness, political backwardness, industrial backwardness, agricultural backwardness. They beat her because to do so was profitable and could be done with impunity. You remember the words of the pre-revolutionary poet: 'You are poor and abundant, mighty and impotent, Mother Russia.' Those gentlemen were quite familiar with the verses of the old poet. They beat her, saying: 'You are abundant,' so one can enrich oneself at your expense. They beat her, saying: 'You are poor and impotent,' so you can be beaten and plundered with impunity. Such is the law of the exploiters – to beat the backward and the weak. It is the jungle law of capitalism. You are backward, you are weak – therefore you are wrong; hence you can be beaten and enslaved. You are mighty – therefore you are right; hence we must be wary of you.
That is why we must no longer lag behind.
In the past we had no fatherland, nor could we have had one. But now that we have overthrown capitalism and power is in our hands, in the hands of the people, we have a fatherland, and we will uphold its independence. Do you want our socialist fatherland to be beaten and to lose its independence? If you do not want this, you must put an end to its backwardness in the shortest possible time and develop a genuine Bolshevik tempo in building up its socialist economy. There is no other way. That is why Lenin said on the eve of the October Revolution: 'Either perish, or overtake and outstrip the advanced capitalist countries.'
We are fifty or a hundred years behind the advanced countries. We must make good this distance in ten years. Either we do it, or they crush us.
That is what our obligations to the workers and peasants of the USSR dictate to us.
In ten years at most we must make good the distance that separates us from the advanced capitalist countries. We have all the 'objective' possibilities for this. The only thing lacking is the ability to make proper use of these possibilities. And that depends on us. _Only_ on us! It is time we learned to make use of these possibilities. It is time to put an end to the rotten line of non-interference in production. It is time to adopt a new line, one corresponding to the present period – the line of _interfering in everything_. If you are a factory manager – interfere in all the affairs of the factory, look into everything, let nothing escape you, learn and learn again. Bolsheviks must master technique. It is time Bolsheviks themselves became experts. In the period of reconstruction, technique decides everything. And a business executive who does not want to study technique, who does not want to master technique, is a joke and not an executive.
It is said that it is hard to master technique. That is not true! There are no fortresses that Bolsheviks cannot capture. We have solved a number of most difficult problems. We have overthrown capitalism. We have assumed power. We have built up a huge socialist industry. We have transferred the middle peasants on to the path of socialism. We have already accomplished what is most important from the point of view of construction. What remains to be done is not so much: to study technique, to master science. And when we have done that we shall develop a tempo of which we dare not even dream at present.
And we shall do it if we really want to.
•
## Philip Snowden
London, 17 October 1931
#### 'Bolshevism run mad'
> _The first National Government was formed by the Labour prime minister Ramsay MacDonald in August 1931. Most of the Labour Party went into opposition. The new government took Britain off the Gold Standard and decided to fight a general election against Labour._
>
> _As Labour Chancellor, Philip Snowden (1864–1937) had been forced to introduce deflationary measures to meet the British economic crisis. During the election he made this broadcast speech attacking his party and its new leader Arthur Henderson._
>
> _Snowden's speech was regarded as the most decisive of the election and he was held responsible for preventing Labour's return to power until 1945. He was created a viscount in 1931._
You have been told by a spokesman of the Labour Party this week that the resources of the country are enormous and that we have money enough to go on spending to our hearts' content. This is appalling ignorance or wilful deception. It is true the resources of the country are great; but the fact is that they cannot continue to be mortgaged for current expenditure... The majority of the Labour Government, after agreeing to most of the economies, shirked the responsibility of placing the proposals before Parliament... So the National Government was formed to deal with the situation. By drastic economies, and by heavy taxation spread fairly over the whole population, the Budget has been balanced. I know the economies we have had to make are disagreeable. It has been no pleasure to impose them. They were necessary to prevent a far more serious reduction in working-class conditions. They are far less drastic than reductions which the Labour Government of Australia has been compelled to make, and far less than the economies made in Germany. After the cuts have been made the unemployed in this country are far more generously provided for than in any other country. In America they are left to private charity or to beg or starve. After the reduction in unemployment pay the benefits are now 17 per cent more in value than the Labour Government in 1924 considered adequate, and at a time when there was a Budget surplus of £30,000,000 – not a deficit of £170,000,000... There is no more stern and unbending Free Trader than I am... The Labour Party is not a Free Trade Party... A month ago the Trade Union Council was preparing a tariff policy. When the General Election became imminent they dropped that in order to pose as an anti-tariff party.
Mr Henderson is quoted in the _Daily Herald_ this morning as having said that if he were faced with a large cut in unemployment pay or a 20 per cent revenue tariff as an emergency expedient he was going to try the value of that expedient. Now he is denouncing tariffs as an expedient to raise prices and lower wages...
I hope you have read the Election programme of the Labour Party. It is the most fantastic and impracticable programme ever put before the electors. All the derelict industries are to be taken over by the State, and the taxpayer is to shoulder the losses. The banks and financial houses are to be placed under national ownership and control, which means, I suppose, that they are to be run by a joint committee of the Labour Party and the Trade Union Council. Your investments are to be ordered by some board, and your foreign investments are to be mobilized to finance this madcap policy. This is not Socialism. It is Bolshevism run mad.
•
## Adolf Hitler
Düsseldorf, 27 January 1932
#### 'An indomitable aggressive spirit'
> _By 1932, Adolf Hitler (1889–1945) was within a year of becoming German chancellor. The greatest orator of the twentieth century, albeit allied to its most evil policies, Hitler had discovered his demagogic gifts in open-air tirades against Jews and the Treaty of Versailles after he joined the National Socialist German Workers' Party (the NSDAP, derisively nicknamed 'Nazi') in Munich in 1919. His failed putsch in 1923 won him national fame and imprisonment. While in prison, he wrote_ Mein Kampf, _which preached a doctrine of racial-nationalist struggle for survival, advocated a German empire in Europe and the purging of the 'Jewish bacillus' from national life._
>
> _One of the Nazis' greatest anxieties in 1932 was the financing of the election campaign. After Hitler's speech to the Industry Club at the Park Hotel in Düsseldorf, arranged by Fritz Thyssen, the anxiety was over. It was the first timethat many of the industrialists had met Hitler and his reception was cool and reserved but he spoke for two and a half hours without pause and made one of the best speeches of his life._
In the year 1918, as I considered the position with cool and considered judgement, I was bound to confess: it is an appallingly difficult course to come before the people at such a time and to form for myself a new organization. It is naturally much easier to join one of the existing formations and thence to seek to overcome the inner division of the nation. But is that at all possible when one starts from the existing organizations? Has not every organization in the last resort the spirit, the men who can find satisfaction in its programme and in its struggle? If an organization has continually given way before Marxism and at length one day simply capitulated like a coward, has it not during sixty years been completely filled with a spirit and with men who neither understand the other way nor wish to pursue it? On the contrary, at a period of such confusion, will not the future lie with those who are prepared once more to pass through a sieve the body-politic, which has fallen into such disorder, so that from out of the people a new political leadership can crystallize, which knows how to take the mass of the nation in hand and can avoid the mistakes which led to downfall in the past?
I was naturally forced to say to myself that it would mean an appalling struggle, for I was not so fortunate as to possess an outstanding name; I was only a nameless German soldier, with a very small zinc identification number on my breast. But I came to realize that if a beginning was not made with the smallest cell, if a new body-politic was not thus formed within the nation, a body-politic which could overcome the existing 'ferments of decomposition', then the nation itself as a whole could never rise again. We have indeed in the past had a practical experience of that; it took 150 years before, from the fallen German Reich of ancient days, Prussia arose to fulfil its historic mission as the germ-cell of a new Reich. And believe me, the case is the same in the question of the internal regeneration of a people. Every idea must draw men to itself. Every idea must step out before the nation, must win from the nation the fighters whom it needs, and must tread alone the difficult way with all its necessary consequences that it may one day gain the strength to turn the course of destiny.
Events have proved that this reasoning was right in the end. For though even today there are many in Germany who believe that we National Socialists would not be capable of constructive work – they deceive themselves! If we were not, already today there would be no more bourgeoisie alive in Germany: the question Bolshevism or not Bolshevism would long ago have been decided...
Today that Movement cannot be destroyed: it is there: people must reckon with it, whether they like it or not. ( _Loud applause_.) And I am convinced that for all those who still believe in a future for Germany it is clear what their attitude must be. For here they see before them an organization inspired to the highest degree by national sentiment, constructed on the conception of an absolute authority in the leadership in all spheres, at every stage – the solitary party which amongst its members has completely overcome not only the conception of internationalism but also the idea of democracy, which in its entire organization acknowledges only the principles of Responsibility, Command, and Obedience, and which besides all this for the first time has introduced into the political life of Germany a body numbering millions which is built up on the principle of achievement.
Here is an organization which is filled with an indomitable aggressive spirit, an organization which when a political opponent says 'your behaviour we regard as a provocation' for the first time does not see fit immediately to retire from the scene but brutally enforces its own will and hurls against the opponent the retort, 'We fight today! We fight tomorrow! And if you regard our meeting today as a provocation we shall hold yet another next week – until you have learned that it is no provocation when _German_ Germany also professes its belief!' And when you say 'You must not come into the street' we go into the street in spite of you. And when you say, 'Then we shall kill you', however many sacrifices you force upon us, this young Germany will always continue its marches, and one day it will completely reconquer for the Germans the German street.
And when people cast in our teeth our intolerance, we proudly acknowledge it – yes, we have formed the inexorable decision to destroy Marxism in Germany down to its very last root. And this decision we formed not from any love of brawling: I could easily imagine a life which in itself was fairer than to be hunted through Germany, to be persecuted by countless Government regulations, to stand constantly with one foot in gaol, and to have in the State no right which one can call one's own. I could imagine for myself a fairer destiny than that of fighting a battle which at least at the outset was regarded by all as an insane chimera. Finally I believe that I have the capacity to occupy some post or other in the Social Democratic Party: and one thing is certain: if I had turned my capacity to _this_ service, I should today presumably be fit even to enter the Government. But for me it was a greater decision to choose a way on which I was guided by nothing save my own faith, my indestructible confidence in the natural forces – still assuredly present – of our people, and in its importance which with good leadership would one day necessarily reappear.
And now behind us there lie twelve years of fighting. That fight has not been waged in theory only and in the Party alone turned into practice: we are also ready to wage that fight on the larger scale. I cast my mind back to the time when with six other unknown men I founded this association, when I spoke before eleven, twelve, thirteen, fourteen, twenty, thirty, and fifty persons; when I recall how after a year I had won sixty-four members for the Movement, how our small circle kept on growing, I must confess that that which has today been created, when a stream of millions of our German fellow-countrymen is flowing into our Movement, represents something which is unique in German history. The bourgeois parties have had seventy years to work in; where, I ask you, is the organization which could be compared with ours? Where is the organization which can boast, as ours can, that, at need, it can summon 400,000 men into the street, men who are schooled to blind obedience and are ready to execute any order – provided that it does not violate the law? Where is the organization that in seventy years has achieved what we have achieved in barely twelve years? – and achieved with means which were of so improvised a character that one can hardly avoid a feeling of shame when one confesses to an opponent how poverty-stricken the birth and the growth of this great Movement were in the early days.
Today we stand at the turning-point of Germany's destiny. If the present development continues, Germany will one day of necessity land in Bolshevist chaos, but if this development is broken, then our people must be taken into a school of iron discipline and gradually freed from the prejudices of both camps. A hard schooling, but one we cannot escape!
If one thinks that one can preserve for all time the conceptions of 'bourgeois' and 'proletarian' then one will either preserve the weakness of Germany – which means our downfall – or one ushers in the victory of Bolshevism. If one refuses to surrender those conceptions, then in my judgement a resurrection of the German nation is no longer possible. The chalk line which _Weltanschauungen_ have drawn for peoples in the history of the world already more than once has proved to be the death-line. Either we shall succeed in working out a body-politic hard as iron from this conglomerate of parties, associations, unions, and conceptions of the world, from this pride of rank and madness of class, or else, lacking this internal consolidation, Germany will fall in final ruin.
Even if another batch of twenty emergency decrees is rained down on our people, these will not stay the great line which leads to destruction, but if one day the road be rediscovered which leads upwards, then first of all the German people must be bent straight again. That is a process which none can escape! It is no good to say that the proletarians are alone responsible. No, believe me, our whole German people of all ranks has a full measure of responsibility for our collapse – a measure pressed down and running over – some because they willed it and have consciously sought to bring it about, the others because they looked on and were too weak to stop our downfall. In history the failure to act is weighed as strictly as is the purpose or the deed. Today no one can escape the obligation to complete the regeneration of the German body-politic: every one must show his personal sympathy, must take his place in the common effort.
If I speak to you today it is not to ask for your votes or to induce you on my account to do this or that for the Party. No, I am here to expound a point of view, and I am convinced that the victory of this point of view would mean the only possible starting-point for a German recovery; it is indeed the last item standing to the credit of the German people. I hear it said so often by our opponents, 'You, too, will be unable to master the present crisis.' Supposing, gentlemen, that they are right, what would that mean? It would mean that we should be facing a ghastly period and that we should have to meet it with no other defences than a purely materialistic outlook on every side. And then the distress would, simply in its material aspect, be a thousandfold harder to bear, if one had failed to restore to the people any ideal whatsoever.
People say to me so often: 'You are only the drummer of national Germany.' And supposing that I were only the drummer? It would today be a far more statesmanlike achievement to drum once more into this German people a new faith than gradually to squander the only faith they have. Take the case of a fortress, imagine that it is reduced to extreme privations: as long as the garrison sees a possible salvation, believes in it, hopes for it, so long they can bear the reduced ration. But take from the hearts of men their last belief in the possibility of salvation, in a better future – take that completely from them, and you will see how these men suddenly regard their reduced rations as the most important thing in life. The more you bring it home to their consciousness that they are only objects for men to bargain with, that they are only prisoners of world-politics, the more will they, like all prisoners, concentrate their thoughts on purely material interests.
On the other hand, the more you bring back a people into the sphere of faith, of ideals, the more will it cease to regard material distress as the one and only thing which counts. And the weightiest evidence for the truth of that statement is our own German people. We would not ever forget that the German people waged wars of religion for 150 years with prodigious devotion, that hundreds of thousands of men once left their plot of land, their property, and their belongings simply for an ideal, simply for a conviction. We would never forget that during those 150 years there was no trace of even an ounce of material interests. Then you will understand how mighty is the force of an idea, of an ideal.
Only so can you comprehend how it is that in our Movement today hundreds of thousands of young men are prepared at the risk of their lives to withstand our opponents. I know quite well, gentlemen, that when National Socialists march through the streets and suddenly in the evening there arise a tumult and commotion, then the bourgeois draws back the window-curtain, looks out, and says: Once more my night's rest disturbed: no more sleep for me. Why must the Nazis always be so provocative and run about the place at night?
Gentlemen, if everyone thought like that, then no one's sleep at nights would be disturbed, it is true, but then the bourgeois today could not venture into the street. If everyone thought in that way, if these young folk had no ideal to move them and drive them forward, then certainly they would gladly be rid of these nocturnal fights. But remember that it means sacrifice when today many hundred thousands of SA and SS men of the National Socialist Movement every day have to mount on their lorries, protect meetings, undertake marches, sacrifice themselves night after night and then come back in the grey dawn either to workshop and factory or as unemployed to take the pittance of the dole: it means sacrifice when from the little which they possess they have further to buy their uniforms, their shirts, their badges, yes, and even pay their own fares. Believe me, there is already in all this the force of an ideal – a great ideal!
And if the whole German nation today had the same faith in its vocation as these hundred thousands, if the whole nation possessed this idealism, Germany would stand in the eyes of the world otherwise than she stands now! For our situation in the world in its fatal effects is but the result of our own underestimate of German strength. Only when we have once more changed this fatal valuation of ourselves can Germany take advantage of the political possibilities which, if we look far enough into the future, can place German life once more upon a natural and secure basis – and that means either new living-space and the development of a great internal market or protection of German economic life against the world without the utilization of all the concentrated strength of Germany. The labour resources of our people, the capacities, we have them already: no one can deny that we are industrious. But we must first refashion the political preconditions: without that, industry and capacity, diligence and economy are in the last resort of no avail, for an oppressed nation will not be able to spend on its own welfare even the fruits of its own economy but must sacrifice them on the altar of exactions and tribute.
And so in contrast to our own official Government I cannot see any hope for the resurrection of Germany if we regard the foreign politics of Germany as the primary factor: the primary necessity is the restoration of a sound national German body-politic armed to strike. In order to realize this end I founded thirteen years ago the National Socialist Movement: that Movement I have led during the last twelve years, and I hope that one day it will accomplish this task and that, as the fairest result of its struggle, it will leave behind it a German body-politic completely renewed internally, intolerant of anyone who sins against the nation and its interests, intolerant against anyone who will not acknowledge its vital interests or who opposes them, intolerant and pitiless against anyone who shall attempt once more to destroy or disintegrate this body-politic, and yet ready for friendship and peace with anyone who has a wish for peace and friendship.
> _When Hitler sat down, the audience rose and cheered him wildly. Substantial contributions quickly flowed into the Nazi treasury from heavy industrial companies. Hitler had won an important victory, says his biographer Alan Bullock. German industrialists came to see in him the man who would defend their interests against the threat of Communism and the claims of the trade unions._
•
## Stanley Baldwin
London, 10 November 1932
#### 'The bomber will always get through'
> _By 1932, the year that Hitler came to power, Baldwin had twice been prime minister and was now Lord President of the Council in Ramsay MacDonald's National Government. He had developed a horror of air warfare and bombing, especially after seeing the results of a study by the Committee of Imperial Defence, and believed that the League of Nations should ban the building of new military aircraft. The argument was pursued in Cabinet but inconclusively. Meanwhile President Hoover had also proposed that bombers should be abolished. Yet by the autumn Baldwin had decided that Britain could no longer proceed with unilateral disarmament._
>
> _On 10 November (moved according to his most recent biographers by a 'truly daemonic force'), he delivered a short but sensational speech to the Commons arguing that disarmament by itself would not stop war but that it would reduce the dangers and opportunities of making war – and ending with an appeal to the conscience of the young._
What the world suffers from – and I have said this before – is a sense of fear, a want of confidence, and it is a fear held instinctively and without knowledge very often. But in my view, and I have slowly and deliberately come to this conclusion, there is no one thing more responsible for that fear – I am speaking now of what the Hon. Gentleman the Member for Limehouse (Mr Attlee) called the common people of whom I am chief – there is no greater cause of that fear than the fear of the air. Up to the time of the last war, civilians were exempt from the worst perils of war. They suffered sometimes from hunger, sometimes from the loss of sons and relatives serving in the Army, but now, in addition, they suffer from the fear, not only of being killed themselves, but, what is perhaps worse for a man, the fear of seeing his wife and children killed from the air.
These feelings exist among the ordinary people throughout the whole civilized world, and I doubt if many of those who have that fear realize one or two things with reference to its cause. One is the appalling speed which the air has brought into modern warfare. The speed of air attack, compared with the attack of an army, is as the speed of a motor car to that of a four-in-hand and in the next war you will find that any town which is within reach of an aerodrome can be bombed within the first five minutes of war from the air, to an extent which was inconceivable in the last war, and the question will be, whose morale will be shattered quickest by that preliminary bombing? I think it is well also for the man in the street to realize that there is no power on earth that can protect him from being bombed. Whatever people may tell him, the bomber will always get through, and it is very easy to understand that, if you realize the area of space.
I said that any town within reach of an aerodrome could be bombed. Take any large town you like in this island or on the Continent within such reach. For the defence of that town and its suburbs, you have to split up the air into sectors for defence. Calculate that the bombing aeroplanes will be at least 20,000 feet high in the air, and perhaps higher, and it is a matter of simple mathematical calculation – or I will omit the word 'simple' – that you will have sectors of from ten to hundreds of cubic miles to defend.
Now imagine 100 cubic miles covered with cloud and fog, and you can calculate how many aeroplanes you would have to throw into that to have much chance of catching odd aeroplanes as they fly through it. It cannot be done, and there is no expert in Europe who will say that it can. The only defence is in offence, which means that you have to kill more women and children more quickly than the enemy if you want to save yourselves.
I will not pretend that we are not taking our precautions in this country. We have done it. We have made our investigations, much more quietly and hitherto without any publicity, but, considering the years that are required to make your preparations, any Government of this country in the present circumstances of the world would have been guilty of criminal negligence had they neglected to make their preparations. The same is true of other nations. What more potent cause of fear can there be than this kind of thing that is going on on the Continent? And fear is a very dangerous thing. It is quite true that it may act as a deterrent in people's minds against war, but it is much more likely to act to make them want to increase armaments to protect them against the terrors that they know may be launched against them. We have to remember that aerial warfare is still in its infancy, and its potentialities are incalculable and inconceivable.
As far as the air is concerned, there is, as has been most truly said, no way of complete disarmament except the abolition of flying. Now that, again, is impossible. We have never known mankind go back on a new invention. It might be a good thing for this world, as I have heard some of the most distinguished men in the Air Service say, if man had never learned to fly. But he has learned to fly, and there is no more important question, not only before this House, but before every man, woman and child in Europe, than: 'What are we going to do with this power now we have got it?' I make no excuse for bringing this subject forward tonight to ventilate it in this first Assembly in the world, in the hope that perhaps what is said here may be read in other countries and may be considered and pondered, because on the solution of this question hangs not only, in my view, our civilization, but before that terrible day comes there hangs the lesser question, but a difficult one, of the possible rearmament of Germany with an air force. The two things are inextricably wrapped up together.
As long as the air exists, you cannot get rid of the fear of which I spoke, and which I believe to be the parent of many troubles. One cannot help reflecting that, after the hundreds of millions of years during which the human race has been on this earth, it is only within our generation that we have secured the mastery of the air. I certainly do not know how the youth of the world may feel, but it is not a cheerful thought to the older men that, having got that mastery of the air, we are going to defile the earth from the air as we have defiled the soil during all the years that mankind has been on it. This is a question for the younger men far more than it is for us. They are the men who fly in the air. Future generations will fly in the air more and more.
Few of my colleagues around me here, probably, will see another great war. I do not think that we have seen the last great war, but I do not think there will be one just yet; at any rate, if it does come, we shall be too old to be of use to anyone. What about the younger men? How will they investigate this matter? It is they who will have to fight, and it is they who will have to fight out this bloody issue of war. It is really for them to decide. They are the majority upon the earth, and the matter touches them far more closely. The instrument is in their hands. There are some instruments so terrible that mankind has resolved not to use them. I myself happen to know of at least three inventions, deliberately proposed for use in the last war, that were never used – potent to a degree and inhuman.
If the conscience of the young men should ever come to feel with regard to this one instrument that it is evil and should go, the thing will be done; but if they do not feel like that – well, as I say, the future is in their hands. But when the next war comes, and European civilization is wiped out, as it will be and by no force more than by that force, then do not let them lay the blame upon the old men. Let them remember that they, they principally or they alone, are responsible for the terrors that have fallen upon the earth.
> _Members of parliament were shaken, even moved, by the speech, but its ambiguity left many anxious and perplexed. Where did the speech lead? Churchill asked. There was a sense of fatalism and helplessness about it. 'Tell the truth, tell the truth to the British people.' Although Baldwin had indeed told the truth, albeit in his gnomic manner, the speech did more harm than good because his striking phrase about the bomber always getting through was taken for defeatism and used to prove the futility of rearmament and disarmament alike_.
•
## Franklin Delano Roosevelt
Washington, DC, 4 March 1933
#### 'The only thing we have to fear is fear itself'
> _On Inauguration Day 1933 all the banks were closed, trading had ceased, and the Depression was at its worst. Widespread unemployment had created a feeling of utter helplessness_.
>
> _America seemed beyond help – until Franklin D. Roosevelt, crippled since 1921 when he contracted polio and lost the use of both legs, won the 1932 presidential election by a majority of more than twelve million votes, winning forty-two states_.
>
> _Now on a cold March day the crippled Roosevelt (1882–1945), a man of power and vision who knew that he could save his country, took the oath and addressed the millions of Americans listening to their radios. (He had written the first draft in four hours, adding the memorable 'freedom from fear' phrase only the day before the inauguration, perhaps prompted by Henry David Thoreau's 'Nothing is so much to be feared as fear'. He had just been given a copy of Thoreau's writings_. _)_
>
> _His inaugural speech was one of the turning-points of American history, says historian Hugh Brogan. In a few minutes he achieved what had eluded Herbert Hoover for four wearying years: he gave back to his countrymen their hope and energy_.
President Hoover, Mr Chief Justice, my friends:
This is a day of national consecration, and I am certain that my fellow-Americans expect that on my induction into the Presidency I will address them with a candour and a decision which the present situation of our nation impels.
This is pre-eminently the time to speak the truth, the whole truth, frankly and boldly. Nor need we shrink from honestly facing conditions in our country today. This great nation will endure as it has endured, will revive and will prosper.
So first of all let me assert my firm belief that the only thing we have to fear is fear itself – nameless, unreasoning, unjustified terror which paralyses needed efforts to convert retreat into advance.
In every dark hour of our national life a leadership of frankness and vigour has met with that understanding and support of the people themselves which is essential to victory. I am convinced that you will again give that support to leadership in these critical days.
In such a spirit on my part and on yours we face our common difficulties. They concern, thank God, only material things. Values have shrunken to fantastic levels; taxes have risen; our ability to pay has fallen, government of all kinds is faced by serious curtailment of income; the means of exchange are frozen in the currents of trade; the withered leaves of industrial enterprise lie on every side; farmers find no markets for their produce; the savings of many years in thousands of families are gone.
More important, a host of unemployed citizens face the grim problem of existence, and an equally great number toil with little return. Only a foolish optimist can deny the dark realities of the moment.
Yet our distress comes from no failure of substance. We are stricken by no plague of locusts. Compared with the perils which our forefathers conquered because they believed and were not afraid, we have still much to be thankful for. Nature still offers her bounty and human efforts have multiplied it. Plenty is at our doorstep, but a generous use of it languishes in the very sight of the supply.
Primarily, this is because the rulers of the exchange of mankind's goods have failed through their own stubbornness and their own incompetence, have admitted that failure and abdicated. Practices of the unscrupulous money changers stand indicted in the court of public opinion, rejected by the hearts and minds of men.
True, they have tried, but their efforts have been cast in the pattern of an outworn tradition. Faced by failure of credit, they have proposed only the lending of more money.
Stripped of the lure of profit by which to induce our people to follow their false leadership, they have resorted to exhortations, pleading tearfully for restored confidence. They know only the rules of a generation of self-seekers.
They have no vision, and when there is no vision the people perish.
The money changers have fled from their high seats in the temple of our civilization. We may now restore that temple to the ancient truths.
The measure of the restoration lies in the extent to which we apply social values more noble than mere monetary profit.
Happiness lies not in the mere possession of money; it lies in the joy of achievement, in the thrill of creative effort.
The joy and moral stimulation of work no longer must be forgotten in the mad chase of evanescent profits. These dark days will be worth all they cost us if they teach us that our true destiny is not to be ministered unto but to minister to ourselves and to our fellow-men.
Recognition of the falsity of material wealth as the standard of success goes hand in hand with the abandonment of the false belief that public office and high political position are to be valued only by the standards of pride of place and personal profit; and there must be an end to a conduct in banking and in business which too often has given to a sacred trust the likeness of callous and selfish wrongdoing.
Small wonder that confidence languishes, for it thrives only on honesty, on honour, on the sacredness of obligations, on faithful protection, on unselfish performance. Without them it cannot live.
Restoration calls, however, not for changes in ethics alone. This nation asks for action, and action now.
Our greatest primary task is to put people to work. This is no unsolvable problem if we face it wisely and courageously...
I favour as a practical policy the putting of first things first. I shall spare no effort to restore world trade by international economic readjustment, but the emergency at home cannot wait on that accomplishment.
The basic thought that guides these specific means of national recovery is not narrowly nationalistic.
It is the insistence, as a first consideration, upon the interdependence of the various elements in, and parts of, the United States – a recognition of the old and permanently important manifestation of the American spirit of the pioneer.
It is the way to recovery. It is the immediate way. It is the strongest assurance that the recovery will endure.
In the field of world policy I would dedicate this nation to the policy of the good neighbour – the neighbour who resolutely respects himself and, because he does so, respects the rights of others – the neighbour who respects his obligations and respects the sanctity of his agreements in and with a world of neighbours.
If I read the temper of our people correctly, we now realize as we have never before, our interdependence on each other; that we cannot merely take, but we must give as well; that if we are to go forward we must move as a trained and loyal army willing to sacrifice for the good of a common discipline, because, without such discipline, no progress is made, no leadership becomes effective.
We are, I know, ready and willing to submit our lives and property to such discipline because it makes possible a leadership which aims at a larger good.
This I propose to offer, pledging that the larger purposes will bind upon us all as a sacred obligation with a unity of duty hitherto evoked only in time of armed strife.
With this pledge taken, I assume unhesitatingly the leadership of this great army of our people, dedicated to a disciplined attack upon our common problems.
Action in this image and to this end is feasible under the forms of government which we have inherited from our ancestors.
Our Constitution is so simple and practical that it is possible always to meet extraordinary needs by changes in emphasis and arrangement without loss of essential form.
That is why our constitutional system has proved itself the most superbly enduring political mechanism the modern world has produced. It has met every stress of vast expansion of territory, of foreign wars, of bitter internal strife, of world relations...
I am prepared under my constitutional duty to recommend the measures that a stricken nation in the midst of a stricken world may require.
These measures, or such other measures as the Congress may build out of its experience and wisdom, I shall seek, within my constitutional authority, to bring to speedy adoption.
But in the event that the Congress shall fail to take one of these two courses, and in the event that the national emergency is still critical, I shall not evade the clear course of duty that will then confront me.
I shall ask the Congress for the one remaining instrument to meet the crisis – broad executive power to wage a war against the emergency as great as the power that would be given me if we were in fact invaded by a foreign foe.
For the trust reposed in me I will return the courage and the devotion that befit the time. I can do no less.
We face the arduous days that lie before us in the warm courage of national unity; with the clear consciousness of seeking old and precious moral values; with the clean satisfaction that comes from the stern performance of duty by old and young alike.
We aim at the assurance of a rounded and permanent national life.
We do not distrust the future of essential democracy. The people of the United States have not failed. In their need they have registered a mandate that they want direct, vigorous action.
They have asked for discipline and direction under leadership. They have made me the present instrument of their wishes. In the spirit of the gift I take it.
In this dedication of a nation we humbly ask the blessing of God. May He protect each and every one of us! May He guide me in the days to come!
> _By the end of the week half a million letters had been sent to the White House. Here for once were words that were not mere rhetoric, says Hugh Brogan. Words became deeds after 4 March and Roosevelt went on to win four successive elections_.
•
## Adolf Hitler
Berlin, 13 July 1934
#### 'The supreme justiciar of the German people'
> _Hitler was made chancellor of Germany on 30 January 1933 and four weeks later the Reichstag Fire gave him the opportunity to establish a one-party system. A little over a year later on 30 June 1934, he eliminated his rivals on the Night of the Long Knives, when he used Nazi élite units (the SS) in the private army of Himmler, the Nazi police chief, to murder the older and more radical Nazi private army, the Brown-shirts (the SA), led by Ernst Röhm. There were more than one hundred victims of the killings, which made Hitler undisputed leader of the Nazi revolution._
>
> _After the blood bath, Joseph Goebbels, Hitler's propagandist, forbade German newspapers to carry obituary notices of the victims, which only fed and intensified rumour, horror and fear. Hitler did not appear before the Reichstag until 13 July, when he spoke for two hours._
>
> _Never had Hitler made so evident his contempt for the law or humanity and his determination to preserve his power at any cost._
At one o'clock in the night I received the last dispatches telling me of the alarm summonses; at two o'clock in the morning I flew to Munich. Meanwhile Minister-President Göring had previously received from me the commission that if I proceeded to apply a purge he was to take similar measures at once in Berlin and in Prussia. With an iron fist he beat down the attack on the National Socialist state before it could develop. The necessity for acting with lightning speed meant that in this decisive hour I had very few men with me. In the presence of the Minister Goebbels and of the new Chief of Staff the action of which you are already informed was executed and brought to a close in Munich. Although only a few days before I had been prepared to exercise clemency, at this hour there was no place for any such consideration. Mutinies are suppressed in accordance with laws of iron that are eternally the same. If anyone reproaches me and asks why I did not resort to the regular courts of justice for conviction of the offenders, then all that I can say to him is this: in this hour I was responsible for the fate of the German people, and thereby I became the supreme justiciar of the German people!
Mutinous divisions have in all periods been recalled to order by decimation. Only one state has failed to make any use of its articles of war, and this state paid for that failure by collapse – Germany. I did not wish to deliver up the young Reich to the fate of the old Reich. I gave the order to shoot those who were the ringleaders in this treason, and I further gave the order to burn out down to the raw flesh the ulcers of this poisoning of the wells in our domestic life and of the poisoning of the outside world. And I further ordered that if any of the mutineers should attempt to resist arrest, they were immediately to be struck down with armed force. The nation must know that its existence – and that is guaranteed through its internal order and security – can be threatened by no one with impunity! And everyone must know for all future time that if he raises his hand to strike the state, then certain death is his lot. And every National Socialist must know that no rank and no position can protect him from his personal responsibility and therefore from his punishment. I have prosecuted thousands of our former opponents on account of their corruption. I should in my own mind reproach myself if I were now to tolerate similar offences in our own ranks. No people and no government can help it if creatures arise such as we once knew in Germany, a Kutisker, for example, such as France came to know in a Stavisky, or such as we today have once more experienced – men whose aim is to sin against a nation's interests. But every people is itself guilty if it does not find the strength to destroy such noxious creatures.
If people bring against me the objection that only a judicial procedure could precisely weigh the measure of the guilt and of its expiation, then against this view I lodge my most solemn protest. He who rises against Germany is a traitor to his country: and the traitor to his country is not to be punished according to the range and the extent of his act, but according to the purpose that that act has revealed. He who in his heart purposes to raise a mutiny and thereby breaks loyalty, breaks faith, breaks sacred pledges, he can expect nothing else than that he himself will be the first sacrifice. I have no intention to have the little culprits shot and to spare the great criminals. It is not my duty to inquire whether it was too hard a lot that was inflicted on these conspirators, these agitators and destroyers, these poisoners of the wellsprings of German public opinion and in a wider sense of world opinion: it is not mine to consider which of them suffered too severely: I have only to see to it that Germany's lot should not be intolerable...
In these days, which have been days of severe trial both for me and for its members, the SA [storm troopers] has preserved the spirit of loyalty. Thus for the third time the SA has proved that it is mine, just as I will prove at any time that I belong to my SA men. In a few weeks' time the Brown Shirt will once more dominate the streets of Germany and will give to one and all clear evidence that because it has overcome its grievous distress the life of National Socialist Germany is only the more vigorous.
When in March of last year our young revolution stormed through Germany, my highest endeavour was to shed as little blood as possible. To millions of my former opponents, on behalf of the new state and in the name of the National Socialist party, I offered a general amnesty; millions of them have since joined us and are loyally cooperating in the rebuilding of the Reich.
I hoped that it might not be necessary any longer to be forced to defend this state yet again with arms in our hands. But since fate has now none the less put us to this test, all of us wish to pledge ourselves with only the greater fanaticism to hold fast to that which was formerly won at the price of the blood of so many of our best men and which today had to be maintained once more through the blood of German fellow countrymen. Just as one and a half years ago I offered reconciliation to our former opponents, so would I from henceforth also promise forgetfulness to all those who shared in the guilt of this act of madness. Let them bethink themselves, and remembering this melancholy calamity in our new German history let them devote themselves to the task of reparation. May they now recognize with surer insight than before the great task that fate sets us, which civil war and chaos cannot perform. May we all feel responsible for the most precious treasure that there can be for the German people: internal order, internal and external peace, just as I am ready to undertake responsibility at the bar of history for the twenty-four hours in which the bitterest decisions of my life were made, in which fate once again taught me in the midst of anxious care with every thought to hold fast to the dearest thing that has been given us in this world – the German people and the German Reich!
> _After President von Hindenburg died on 2 August, an announcement was made within an hour that the office of president was being merged with that of the chancellor and that Hitler would become head of the state as well as Supreme Commander of the Armed Forces of the Reich. The same day the officers and men of the German army took their oath of allegiance not to the constitution or to the fatherland but to Hitler himself._
•
## Oswald Mosley
London, 24 March 1935
#### 'England again dares to be great'
> _Oswald Mosley announced the establishment of the British Union of Fascists in October 1932, three months after Hitler's Nazis had won power in the German elections. 'My duty was to awaken the will to live and to live greatly, to dedicate myself to a national renaissance,' he wrote later. A year later the movement became anti-Semitic and Hitlerite rather than fascist. Dressed in black shirts, riding breeches and jackboots the British fascists staged marches through the streets, particularly in the East End of London, distributing propaganda against democracy and socialism and making vicious attacks on the Jews. Their rallies were attended by thousands and often marked by ugly scenes of violence._
>
> _An audience of 8,000 heard this speech at the Albert Hall in which Mosley set out the vision he saw emanating from the 'first instinct of patriotism'._
We count it a privilege to live in an age when England demands that great things shall be done, a privilege to be of the generation which learns to say what can we give instead of what can we take. For thus our generation learns there are greater things than slothful ease; greater things than safety; more terrible things than death.
This shall be the epic generation which scales again the heights of time and history to see once more the immortal lights – the lights of sacrifice and high endeavour summoning through ordeal the soul of humanity to the sublime and the eternal. The alternatives of our age are heroism or oblivion. There are no lesser paths in the history of great nations. Can we, therefore, doubt which path to choose?
Let us tonight at this great meeting give the answer. Hold high the head of England; lift strong the voice of Empire. Let us to Europe and to the world proclaim that the heart of this great people is undaunted and invincible. This flag still challenges the winds of destiny. This flame still burns. This glory shall not die. The soul of Empire is alive, and England again dares to be great.
> _Mosley's fascist movement was a failure. After riots in London in October 1936 the Public Order Act was passed, banning political uniforms and private armies and limiting the right to march in the streets. Mosley was interned during the war and unsuccessfully fought general elections in 1959 and 1966. He lived in Paris and died in 1980._
•
## La Pasionaria (Dolores Ibarruri)
Madrid, 19 July 1936
#### 'They shall not pass'
> _Dolores Ibárruri (1895–1989), the daughter of a Basque miner, joined the Spanish Socialist Party in 1917 and worked as a journalist for the workers' press, using the pseudonym La Pasionaria (the passion flower). She helped to found the Spanish Communist Party in 1920._
>
> _For millions of people, as her biographer Robert Low records, La Pasionaria was the personification of the Spanish Civil War, which polarized world opinionbetween 1936 and 1939 as the republicans fought Franco's fascists. A tall, dark woman, dressed in mourner's black, she was the republic's principal mouthpiece to the world. Her speeches were reproduced in a million leaflets._
>
> _At the urging of José Díaz , general secretary of the Communist Party, La Pasionaria delivered this speech, broadcast on Radio Union from the Ministry of the Interior, on behalf of the Communists to boost the morale of the people._
Workers, anti-fascists, working people: everyone stands ready to defend the republic, popular liberties and the democratic conquests of the people. The seriousness of the situation is known by all through the bulletins of the government and the Popular Front. In Morocco and the Canaries the fight goes on with enthusiasm and courage, the workers united with forces loyal to the republic. To the cry of 'Fascism will not pass, the hangmen of October [i.e. Asturias] will not pass!' communists, socialists, anarchists and republicans, soldiers and all those forces loyal to the will of the people are destroying the insurrectionary traitors who have dragged through dirt and treason the military pride of which they have so often boasted. The whole country is shaking with indignation faced with these heartless men who, with fire and terror, want to plunge popular and democratic Spain into an inferno of terror. But they shall not pass [ _no pasarán_ ]! The whole of Spain is on a war footing. In Madrid the people are on the streets, warning the government with their decisiveness and spirit of combat so that the crushing of the reactionaries and fascists who have rebelled will be achieved. Women, heroic women of the people, remember the heroism of the Asturian women! Fight alongside the men to defend the bread and security of your threatened children. Soldiers, sons of the people! Stand firm, as one man, beside the government, beside the workers, beside the Popular Front, your parents, your brothers and comrades. Fight for the Spain of the sixteenth of February; take it to triumph. Workers of all persuasions: the government has placed in your hands the necessary means of defence so that we know how to honour our obligation to prevent in Spain the shame which a triumph of the bloody hangmen of the October revolution would imply. Let nobody hesitate: let us be able to celebrate victory tomorrow. Everyone be ready for action. Every worker, every anti-fascist, should consider himself a soldier at arms. People of Catalonia, Vasconia, Galicia, all Spaniards: defend the democratic republic; consolidate the victory won by the people on the sixteenth of February! The Communist Party calls you all to the struggle. It calls on all workers to take a place in the combat to crush once and for all the enemies of the republic and of popular liberties. Long live the Popular Front! Long live the union of anti-fascists! Long live the republic and the people!
> _The phrase_ No pasarán _spread swiftly through Spain and entered revolutionary folklore around the world. (It had been made famous twenty years earlier by the French general Pétain during the siege of Verdun in 1916.) La Pasionaria sought refuge in the Soviet Union after Franco took power in 1939, returned to Spain in 1977 after his death and reentered the National Assembly when she was eighty-one._
•
## Franklin Delano Roosevelt
New York, 31 October 1936
#### 'The forces of selfishness and of lust for power met their match'
> _The New Deal had created six million jobs. Roosevelt had given America ideas, leadership and help. The Depression had been mitigated. The spectre of unemployment no longer haunted the land. As Hitler instituted his German dictatorship and Mussolini conquered Abyssinia, Roosevelt had vindicated American democracy and rescued the profit system._
>
> _So wherever he spoke during the 1936 presidential campaign, he was greeted as a saviour. His last major speech was in Madison Square Garden in New York City and was considered his best of the campaign. His four speechwriters as well as the president spent more time on it than on any other as he ordered them to take off all gloves. The speech summed up the campaign as well as the record of the previous four years and showed Roosevelt as supremely confident in the creativity of the New Deal and determined to combat and defeat the forcesthat still opposed him, mainly the business leaders who thought that it was now their turn to rule America again._
>
> _The mounting cheers during each shouted sentence of his peroration rose to tumultuous applause as he reached his conclusion._
I submit to you a record of peace; and on that record a well-founded expectation for future peace – peace for the individual, peace for the community, peace for the Nation, and peace with the world.
Tonight I call the roll – the roll of honour of those who stood with us in 1932 and still stand with us today.
Written on it are the names of millions who never had a chance – men at starvation wages, women in sweatshops, children at looms.
Written on it are the names of those who despaired, young men and young women for whom opportunity had become a will-o'-the-wisp.
Written on it are the names of farmers whose acres yielded only bitterness, business men whose books were portents of disaster, home owners who were faced with eviction, frugal citizens whose savings were insecure.
Written there in large letters are the names of countless other Americans of all parties and all faiths, Americans who had eyes to see and hearts to understand, whose consciences were burdened because too many of their fellows were burdened, who looked on these things four years ago and said, 'This can be changed. We will change it.'
We still lead that army in 1936. They stood with us then because in 1932 they believed. They stand with us today because in 1936 they know. And with them stand millions of new recruits who have come to know.
Their hopes have become our record.
We have not come this far without a struggle and I assure you we cannot go further without a struggle.
For twelve years this Nation was afflicted with hear-nothing, see-nothing, do-nothing Government. The Nation looked to Government but the Government looked away. Nine mocking years with the golden calf and three long years of the scourge! Nine crazy years at the ticker and three long years in the breadlines! Nine mad years of mirage and three long years of despair! Powerful influences strive today to restore that kind of Government with its doctrine that that Government is best which is most indifferent.
For nearly four years you have had an Administration which instead of twirling its thumbs has rolled up its sleeves. We will keep our sleeves rolled up.
We had to struggle with the old enemies of peace – business and financial monopoly, speculation, reckless banking, class antagonism, sectionalism, war profiteering.
They had begun to consider the Government of the United States as a mere appendage to their own affairs. We know now that Government by organized money is just as dangerous as Government by organized mob.
Never before in all our history have these forces been so united against one candidate as they stand today. They are unanimous in their hate for me – and I welcome their hatred.
I should like to have it said of my first Administration that in it the forces of selfishness and of lust for power met their match. I should like to have it said of my second Administration that in it these forces met their master.
> _Republican leaders seized on Roosevelt's attack on the forces of reaction that had sought to block his programme and said he was trying to make himself 'master' of the American people, but Roosevelt won every state except Maine and Vermont and polled more than twenty-seven million votes against his opponent Governor Alfred Landon of Kansas, who got more than sixteen million votes._
•
## Winston Churchill
London, 12 November 1936
#### 'The locust years'
> _By 1936 Winston Churchill, abandoned by his party, betrayed by his friends and stripped of office, was convinced that Germany was stronger in air power than Britain and France combined. He urged Stanley Baldwin to allow a Houseof Commons debate on defence, during which he delivered this speech, one of the greatest of his career. It was the day that Churchill spoke for all who knew that sooner or later Britain must confront Hitler and he worked on the speech through the night, dictating and revising passages to hone one of his finest philippics – aimed directly at Baldwin._
>
> _'He drives his points home with a sledgehammer,' Harold Nicolson recorded as he watched Churchill deliver the speech, which ended with a remarkable peroration in which he damned the House of Commons._
The First Lord of the Admiralty in his speech the other night went even farther. He said, 'We are always reviewing the position.' Everything, he assured us, is entirely fluid. I am sure that that is true. Anyone can see what the position is. The Government simply cannot make up their minds, or they cannot get the Prime Minister to make up his mind. So they go on in strange paradox, decided only to be undecided, resolved to be irresolute, adamant for drift, solid for fluidity, all-powerful to be impotent. So we go on preparing more months and years – precious, perhaps vital to the greatness of Britain – for the locusts to eat. They will say to me, 'A Minister of Supply is not necessary, for all is going well.' I deny it. 'The position is satisfactory.' It is not true. 'All is proceeding according to plan.' We know what that means...
Owing to past neglect, in the face of the plainest warnings, we have now entered upon a period of danger greater than has befallen Britain since the U-boat campaign was crushed; perhaps, indeed, it is a more grievous period than that, because at that time at least we were possessed of the means of securing ourselves and of defeating that campaign. Now we have no such assurance. The era of procrastination, of half-measures, of soothing and baffling expedients, of delays, is coming to its close. In its place we are entering a period of consequences. We have entered a period in which for more than a year, or a year and a half, the considerable preparations which are now on foot in Britain will not, as the Minister clearly showed, yield results which can be effective in actual fighting strength; while during this very period Germany may well reach the culminating point of her gigantic military preparations, and be forced by financial and economic stringency to contemplate a sharp decline, or perhaps some other exit from her difficulties. It is this lamentable conjunction of events which seems to present the danger of Europe in its most disquieting form. We cannot avoid this period; we are in it now. Surely, if we can abridge it by even a few months, if we can shorten this period when the German Army will begin to be so much larger than the French Army, and before the British Air Force has come to play its complementary part, we may be the architects who build the peace of the world on sure foundations.
Two things, I confess, have staggered me, after a long Parliamentary experience, in these Debates. The first has been the dangers that have so swiftly come upon us in a few years, and have been transforming our position and the whole outlook of the world. Secondly, I have been staggered by the failure of the House of Commons to react effectively against those dangers. That, I am bound to say, I never expected. I never would have believed that we should have been allowed to go on getting into this plight, month by month and year by year, and that even the Government's own confessions of error would have produced no concentration of Parliamentary opinion and force capable of lifting our efforts to the level of emergency. I say that unless the House resolves to find out the truth for itself it will have committed an act of abdication of duty without parallel in its long history.
•
## Stanley Baldwin
London, 12 November 1936
#### 'I shall always trust the instincts of our democratic people'
> _Baldwin reacted immediately to Churchill's jibe about the years that the locusts had eaten. He conceded that Britain had cut down the services during 1924–9 because it hoped for disarmament and believed there was no danger of a major war. Nor, he argued, was British public opinion ready for rearmament until 1934–5. Addressing much of his speech to the member for Epping, Churchill, and declaring that he would speak with the 'utmost frankness', he then set out his defence._
Supposing I had gone to the country and said that Germany was rearming and that we must rearm, does anybody think that this pacific democracy would have rallied to that cry at that moment? I cannot think of anything that would have made the loss of the election from my point of view more certain. I think the country itself learned by certain events that took place during the winter of 1934–5 what the perils might be to it. All I did was to take a moment perhaps less unfortunate than another might have been, and we won the election with a large majority; but frankly I could conceive that we should at that time, by advocating certain courses, have been a great deal less successful. We got from the country – with a large majority – a mandate for doing a thing that no one, twelve months before, would have believed possible. It is my firm conviction that had the Government, with this great majority, used that majority to do anything that might be described as arming without a mandate – and they did not do anything, except the slightly increased air programme for which they gave their reasons – had I taken such action as my Right Hon. Friend desired me to take, it would have defeated entirely the end I had in view. I may be wrong, but I put that to the House as an explanation of my action in that respect.
I shall always trust the instincts of our democratic people. They may come a little late, but my word, they come with a certainty when they do come; they come with a unity not imposed from the top, not imposed by force, but a unity that nothing can break. I believe today that, whatever differences there may be among us in the country on various questions – as there must be – the conviction is biting deep into our country, with all its love of peace, that there must be no going back on our resolution for such rearmament as we deem necessary to meet any possible peril from whatever quarter it may come. That feeling is coupled with the feeling which we all have that we are as anxious as ever to see all the countries of Europe considering disarmament, especially in the air. But until that day comes, nothing will shake the resolution either of the Government or of this House or of our people.
It is very easy to be led into supposing that dictatorial methods are necessarily more effective than the coordination of free effort, but we must not imagine that other countries whose governments do not submit their plans for defence to Parliament and do not require the approval of the legislature for the power which they exercise, whose Ministers are never criticized and have not to explain themselves, therefore escape all trouble. The last war showed one thing plainly and it was that at times when we might have suspected that the enemy was prepared to the last button, that all was going happily with him and that he had no difficulties, he was, even then, struggling with handicaps and confusions of which we knew nothing. It is a mistake to suppose that our methods are necessarily inferior to other methods which are largely concealed from the public gaze. My Right Hon. Friend the Member for Epping seldom speaks nowadays without a quotation from the Latin tongue and I rejoice that it should be so. He gave us one today, and I, at this point, would like to give another: 'Omne ignotum pro terribili', which I might translate thus: 'Things you know nothing about are always bogies.'
Experience in the House of Commons has taught me the lesson that more is to be gained in this country by relying on willing cooperation than by adopting dictatorial methods, until they are forced upon you and become essential. The House of Commons and the British people are very alike. The exercise of compulsory powers inevitably involves, at any rate at first, a most serious dislocation of industry, a dislocation which may be out of all proportion to the benefits obtained. It may well be that, instead of being hastened, production for some time may be retarded. But it is certain – and I must repeat this – that it would so dislocate the ordinary free working of industry as to reduce our effective financial strength; and that financial strength, so carefully nursed and looked after through all these years, is one of the strongest weapons we have if war ever comes upon us.
The whole of our efforts in the field of diplomacy and foreign policy will be aimed at bringing agreement and peace to all foreign Powers. At the same time all our efforts will be devoted to this great question of defence – the protection of our own people – and we will not relax our efforts for one moment, because we know that while we shall work for the blessings of peace, there can be no peace, in Europe certainly, unless every country knows that we are prepared for war.
> _Baldwin's speech, a limp and lame reply, delivered haltingly, haunted his reputation to the grave and increased the sense of unease created by Churchill's speech – but he was to win a triumph the following month when the abdication crisis erupted. He stood accused of acting complacently as Hitler built up German military power. Yet the archives for the era suggest that Baldwin was certainly more aware of the need to build up Britain's defences than his successor Neville Chamberlain._
•
## Chaim Weizmann
Jerusalem, 25 November 1936
#### 'The Jews carry Palestine in their hearts'
> _David Ben-Gurion, the great prime minister of Israel, described Chaim Weizmann (1874–1952) as the most gifted envoy the Jewish people ever produced. 'There was no other Jew in whom the non-Jewish world perceived the embodiment of the Jewish people, with their ability, their will, and their longings,' Ben-Gurion wrote. 'He was perhaps the only truly great ambassador produced by the Jewish people throughout the generations.'_
>
> _At no moment in his life was Weizmann a greater ambassador for the establishment of a state of Israel than when he addressed the royal commission under Lord Peel, set up by Stanley Baldwin in 1936 to consider the working of the mandate after a series of Arab attacks on Jews. Weizmann was convinced that the Peel Commission offered the hope that a new and possibly decisive phase in the Zionist movement might now be beginning._
>
> _As he arrived to meet the commission, there were audible whispers from the spectators on either side of him: 'Ha-shem yatzliach darkecho' (God prosper you on your mission). 'I felt that I would be speaking for generations long since dead, for those who lay buried on Mount Scopus and those whose last resting places were scattered all over the world,' Weizmann wrote in his autobiography. 'I knew that any misstep of mine, any error, however involuntary, would be not mine alonebut would redound to the discredit of my people. I was aware of a crushing sense of responsibility.'_
>
> _Speaking without a prepared text, he began his address in slow measured sentences and sought to put before the commission the permanent principles of the Zionist movement and the immediate urgency of the Jewish problem. He spoke for two and a half hours._
I should like to put before you the Jewish problem as it presents itself today. It is a twofold problem; but its nature can perhaps be expressed in one word: it is the problem of the homelessness of a people. Speaking of homelessness, I should like to state that individual Jews, and individual groups of Jews, may have homes and sometimes very comfortable homes. Indeed, if one thinks of the small communities in the west of Europe beginning with England and continuing further down to the South – France, Switzerland, Italy, Belgium, and Holland – these Jewish communities are, as compared to the Jews in Central, Eastern and South-eastern Europe, in a fairly comfortable position. Then again, the position of the great Jewish community further west in America is, economically, and to a certain extent politically and morally, such that Jews there are free to work and labour without let or hindrance. But if one draws a line and takes the Rhine as the geographical boundary, almost everything to the east of the Rhine is today in a position, politically and economically, which may be described – and I am not given, I think, to exaggeration – as something that is neither life nor death; and one may add that if Europe today were in the same state as it was in 1914 before the War, with the highways and byways of Europe and the world in general open, then we should have witnessed an emigration of Jews that would probably have dwarfed the pre-war emigration – and the pre-war emigration was not by any means small. I think that in the year 1914 alone there emigrated out of Russia, which then included Poland as well, something in the neighbourhood of 120,000 Jews.
They went in the majority of cases to America, where they could readily be absorbed in a highly developed industrial country. The emigrant found his livelihood almost immediately on arrival. This, as Your Lordship and the members of the Commission are well aware, cannot happen today. The world is closed; and we have recently heard it said in authoritative quarters in Geneva, in Poland, and in England, that there are one million Jews too many in Poland. This is not the place to enter into a discussion as to why exactly one million _Jews_? They are citizens of Poland; their fate and their destinies have been bound up with the fate and destinies of Poland for wellnigh a thousand years. They passed through all the vicissitudes of the Polish nation. They desire to make their contribution, good, bad or indifferent – like everybody else – to Polish development. Why should they be singled out as being a million too many?
What does it mean? Where can they go? Is there any place in the world which can rapidly absorb one million people, whoever they may be, Jews or non-Jews? The poor Polish peasant, perhaps ignorant and not very subtle, when he hears people in authority making a pronouncement like that, may possibly interpret it as meaning: here is a superfluous people standing in my way, which must be got rid of somehow.
I do not want to press the point any further. I shall not waste the time of the Commission by describing in any way what is happening in Germany. It is too well known to need elaboration. This accounts for the position of something like 3,600,000 Jews. Poland has slightly over three million; Germany had in 1932 or 1933 something like 600,000, but that number has since diminished. If one goes further afield, and takes the Jewries of Rumania, Latvia, Austria, one sees practically the same picture; and it is no exaggeration on my part to say that today almost six million Jews – I am not speaking of the Jews in Persia and Morocco and such places, who are very inarticulate, and of whom one hears very little – there are in this part of the world six million people pent up in places where they are not wanted, and for whom the world is divided into places where they cannot live, and places into which they may not enter.
Now we think this is not merely a problem which concerns the Jewish community. It is in our view a world problem of considerable importance. Naturally, it is one which affects primarily the Jewish community, and secondarily the state of affairs in that particular part of the world, a part of the world which since the War has moved towards new forms of political and social life, and which is not yet very strong or very mature either politically or economically. These six million people to whom I have referred are condemned to live from hand to mouth, they do not know today what is going to happen tomorrow. I am not speaking now of organized anti-Semitism; even assuming the host-nations were quite friendly, there would still be purely objective reasons in those parts of the world which would tend to grind down the Jewish community and make it into the flotsam and jetsam of the world – grind it into economic dust, so to speak.
Since my early youth, My Lord, I have fought destructive tendencies in Jewry, but it is almost impossible to avoid destructive tendencies amongst a younger generation which lives in the state I have described, unless some hope is given to the young people that one day, some day in some distant future, one in five, one in ten, one in twenty, will find a refuge somewhere where he can work, where he can live, and where he can straighten himself up and look with open eyes at the world and at his fellow men and women. It is no wonder that a certificate for Palestine is considered the highest boon in this part of the world. One in twenty, one in thirty, may get it, and for them it is redemption; it is tantamount to freedom, the opportunity to live and work, and that is why they watch with such intensity all that is going on here, and whether or not the doors of Palestine will remain open or will remain closed.
I could go on dwelling on the tense position in Jewry today, aggravated, as it naturally has been, by the effects of the Great War. This is the moral side of the problem. In all countries we try to do our best, but somehow in many countries we are not entirely accepted as an integral part of the communities to which we belong. This feeling is one of the causes which have prompted Jews throughout the ages, and particularly in the last hundred years, to try to make a contribution towards the solution of the problem and to normalize – to some extent to normalize – the position of the Jews in the world. We are sufficiently strong, My Lord, to have preserved our identity, but an identity which is _sui generis_ and not like the identity of other nations. When one speaks of the English or the French or the German nation, one refers to a definite State, a definite organization, a language, a literature, a history, a common destiny; but it is clear that when one speaks of the Jewish people, one speaks of a people which is a minority everywhere, a majority nowhere, which is to some extent identified with the races among which it lives, but still not quite identical. It is, if I may say so, a disembodied ghost of a race, without a body, and it therefore inspires suspicion, and suspicion breeds hatred. There should be one place in the world, in God's wide world, where we could live and express ourselves in accordance with our character, and make our contribution towards the civilized world, in our own way and through our own channels. Perhaps if we had, we would be better understood in ourselves, and our relation to other races and nations would become more normal. We would not have to be always on the defensive or, on the contrary, become too aggressive, as always happened with a minority forced to be constantly on the defensive.
What has produced this particular mentality of the Jews which makes me describe the Jewish race as a sort of disembodied ghost – an entity and yet not an entity in accordance with the usual standards which are applied to define an entity? I believe the main cause which has produced the particular state of Jewry in the world is its attachment to Palestine. We are a stiff-necked people and a people of long memory. We never forget. Whether it is our misfortune or whether it is our good fortune, we have never forgotten Palestine, and this steadfastness, which has preserved the Jew throughout the ages and throughout a career that is almost one long chain of inhuman suffering, is primarily due to some physiological or psychological attachment to Palestine. We have never forgotten it nor given it up. We have survived our Babylonian and Roman conquerors. The Jews put up a fairly severe fight, and the Roman Empire, which digested half of the civilized world, did not digest small Judaea. Whenever they once got a chance, the slightest chance, there the Jews returned, there they created their literature, their villages, towns, and communities. If the Commission would take the trouble to study the post-Roman period of the Jews and the life of the Jews in Palestine, they would find that during the nineteen centuries which have passed since the destruction of Palestine as a Jewish political entity, there was not a single century in which the Jews did not attempt to come back.
It is, I believe, a fallacy to regard those 1,900 years as, so to say, a desert of time; they were not. When the material props of the Jewish commonwealth were destroyed, the Jews carried Palestine in their hearts and in their heads wherever they went. That idea continued to express itself in their ritual and in their prayers. In the East End of London the Jew still prays for dew in the summer and for rain in the winter, and his seasons and festivals are all Palestinian seasons and Palestinian festivals. When Rome destroyed their country, the intellectual leader of the Jewish community came to the Roman commander and said, 'You have destroyed all our material possessions; give us, I pray, some refuge for our houses of learning.' A refuge was found; the place still exists; it was then a big place, and is now a tiny railway station by the name of Yebna – in Hebrew, _Yabneb_. There were schools there, and there the Jews continued their intellectual output, so that those schools became, so to speak, the spiritual homes, not only of Palestinian Jewry, but of Jewry at large, which was gradually filtering out of Palestine and dispersing all over the world. They replaced the material Palestine, the political Palestine, by a moral Palestine which was indestructible, which remained indestructible; and this yearning found its expression in a mass of literature, sacred and non-sacred, secular and religious.
The Balfour Declaration was issued by His Majesty's Government on 2 November 1917.
It has sometimes glibly been said, 'Here is a document, somewhat vague in its nature, issued in time of war. It was a wartime expedient.' I have a much higher opinion of British statesmen than to attribute to them an act of that kind. It was a solemn act, a promise given to a people, an ancient people, which finds itself in the position which I have described.
What did the Balfour Declaration mean? It meant something quite simple at that time, and I am saying so advisedly. It meant that Judaea was restored to the Jews or the Jews were restored to Judaea. I could submit to the Commission a series of utterances of responsible statesmen and men in every walk of life in England to show that this Declaration was at the time regarded as the Magna Carta of the Jewish people; it was in a sense comparable with another Declaration made thousands of years before, when Cyrus allowed a remnant of the Jews to return from Babylon and to rebuild the Temple. To the ordinary man at that time reading the Declaration, what it meant is broadly indicated by the various speeches at a solemn meeting at the Opera House in London, where (among others) Lord Cecil spoke and said: 'Arabia for the Arabs, Judaea for the Jews, Armenia for the Armenians.' Much water and much blood have flowed under the various bridges of the world since that time, and not all of his predictions have been realized; but we read into the Declaration what the statesmen of Great Britain told us it meant. It meant a National Home, 'national' meaning that we should be able to live like a nation in Palestine, and 'Home' a place where we might live as free men in contradistinction to living on sufferance everywhere else. To English people I need not explain what the word 'home' means, or what it does _not_ mean, to us everywhere else.
The meaning is clear, and the Jewry of the world, in the trenches of Europe, in the pogrom-swept area of Russia, saw it like that. Tens of thousands of Jews marched before the house of the British Consul at Odessa at the time. Behind them were half-organized bands of marauders and murderers sweeping the countryside and destroying everything in their wake. But those Jews poured out their hearts in gratitude to the one accessible representative of the British Government, whom they had never seen, of whom they had never heard, whose language they could not speak, whose mentality they could not understand. They felt that here something had been done for us which, after two thousand years of hope and yearning, would at last give us a resting-place in this terrible world.
> _The Peel Report recommended partition into separate Arab and Jewish states, a drastic solution that was rejected by the Arabs and most Zionists (but accepted by Weizmann). It was never implemented by the British government. The six million Jews for whom Weizmann spoke were exterminated by the Nazis, Israel was established as a Jewish state in Palestine in 1946 and Weizmann was elected president._
•
## Edward VIII
London, 10 December 1936
#### 'I have determined to renounce the Throne'
> _Edward_ VIII _(1894–1972) succeeded George V as king on_ 20 _January. Within a year and without being crowned, he abdicated rather than give up the woman he loved, Mrs Wallis Simpson, whose divorce had gone through three weeks earlier. A morganatic marriage, denying Mrs Simpson the title of queen but allowing the king to remain on the throne, was considered but rejected by Stanley Baldwin and his government. Given the choice between his throne and Mrs Simpson, the king abdicated, renouncing the throne for himself and his descendants in a personally signed message to Parliament._
After long and anxious consideration, I have determined to renounce the Throne to which I succeeded on the death of My father, and I am now communicating this, My final and irrevocable decision. Realizing as I do the gravity of this step, I can only hope that I shall have the understanding of My peoples in the decision I have taken and the reasons which have led Me to take it. I will not enter now into My private feelings, but I would beg that it should be remembered that the burden which constantly rests upon the shoulders of a Sovereign is so heavy that it can only be borne in circumstances different from those in which I now find Myself. I conceive that I am not overlooking the duty that rests on Me to place in the forefront the public interest, when I declare that I am conscious that I can no longer discharge this heavy task with efficiency or with satisfaction to Myself.
I have accordingly this morning executed an Instrument of Abdication in the terms following:
> 'I, Edward VIII, of Great Britain, Ireland and the British Dominions beyond the Seas, King, Emperor of India, do hereby declare My irrevocable determination to renounce the Throne for Myself and for My descendants, and My desire that effect should be given to this Instrument of Abdication immediately.
>
> 'In token whereof I have hereunto set My hand this tenth day of December, nineteen hundred and thirty-six, in the presence of the witnesses whose signatures are subscribed.
>
> (Signed) EDWARD RI'
My execution of this Instrument has been witnessed by My three brothers, Their Royal Highnesses the Duke of York, the Duke of Gloucester and the Duke of Kent.
I deeply appreciate the spirit which has actuated the appeals which have been made to Me to take a different decision, and I have, before reaching My final determination, most fully pondered over them. But My mind is made up. Moreover, further delay cannot but be most injurious to the peoples whom I have tried to serve as Prince of Wales and as King and whose future happiness and prosperity are the constant wish of My heart.
I take My leave of them in the confident hope that the course which I have thought it right to follow is that which is best for the stability of the Throne and Empire and the happiness of My peoples. I am deeply sensible of the consideration which they have always extended to Me both before and after My accession to the Throne and which I know they will extend in full measure to My successor.
I am most anxious that there should be no delay of any kind in giving effect to the Instrument which I have executed and that all necessary steps should be taken immediately to secure that My lawful successor, My brother, His Royal Highness the Duke of York, should ascend the Throne.
EDWARD RI
•
## Stanley Baldwin
London, 10 December 1936
#### 'The House today is a theatre which is being watched by the whole world'
> _King Edward VIII signed his instrument of abdication on the morning of 10 December. Afterwards Baldwin went to see Queen Mary, the king's mother, and then lunched at 10 Downing Street with his wife. He wrote his speech for the Commons himself, sitting alone, on small scraps of paper. Then he left them behind and they had to be fetched for him. After all that he began by dropping them and spoke extempore from notes that appeared to be in alarming disarray._
>
> _'To a quiet attentive House of Commons he made one of his greatest speeches, lasting just under an hour,' say his biographers Keith Middlemas and John Barnes, 'a triumph of art that concealed art, that gave the King the most favourable interpretation... and which lifted the crisis at last from rumour and scandal on to the high dramatic plane where it has since largely remained.'_
The House must remember – it is difficult to realize – that His Majesty is not a boy, although he looks so young. We have all thought of him as our Prince, but he is a mature man, with wide and great experience of life and the world, and he always had before him three, nay, four, things, which in these conversations at all hours, he repeated again and again – That if he went he would go with dignity. He would not allow a situation to arise in which he could not do that. He wanted to go with as little disturbance of his Ministers and his people as possible. He wished to go in circumstances that would make the succession of his brother as little difficult for his brother as possible; and I may say that any idea to him of what might be called a King's party, was abhorrent. He stayed down at Fort Belvedere because he said that he was not coming to London while these things were in dispute, because of the cheering crowds. I honour and respect him for the way in which he behaved at that time.
I have something here which, I think, will touch the House. It is a pencilled note, sent to me by His Majesty this morning, and I have his authority for reading it. It is just scribbled in pencil:
> Duke of York. He and the King have always been on the best of terms as brothers and the King is confident that the Duke deserves and will receive the support of the whole Empire.
I would say a word or two on the King's position. The King cannot speak for himself. The King has told us that he cannot carry, and does not see his way to carry, these almost intolerable burdens of Kingship without a woman at his side, and we know that. This crisis, if I may use the word, has arisen now rather than later from that very frankness of His Majesty's character which is one of his many attractions. It would have been perfectly possible for His Majesty not to have told me of this at the date when he did, and not to have told me for some months to come. But he realized the damage that might be done in the interval by gossip, rumours and talk, and he made that declaration to me when he did, on purpose to avoid what he felt might be dangerous, not only here but throughout the Empire, to the moral force of the Crown which we are all determined to sustain.
He told me his intentions, and he has never wavered from them. I want the House to understand that. He felt it his duty to take into his anxious consideration all the representations that his advisers might give him and not until he had fully considered them did he make public his decision. There has been no kind of conflict in this matter. My efforts during these last days have been directed, as have the efforts of those most closely round him, in trying to help him to make the choice which he has not made; and we have failed. The King has made his decision to take this moment to send this Gracious Message because of his confident hope that by that he will preserve the unity of this country and of the whole Empire, and avoid those factious differences which might so easily have arisen.
It is impossible, unfortunately, to avoid talking to some extent today about oneself. These last days have been days of great strain, but it was a great comfort to me, and I hope it will be to the House, when I was assured before I left him on Tuesday night, by that intimate circle that was with him at the Fort that evening, that I had left nothing undone that I could have done to move him from the decision at which he had arrived, and which he has communicated to us. While there is not a soul among us who will not regret this from the bottom of his heart, there is not a soul here today that wants to judge. We are not judges. He has announced his decision. He has told us what he wants us to do, and I think we must close our ranks, and do it...
This House today is a theatre which is being watched by the whole world. Let us conduct ourselves with that dignity which His Majesty is showing in this hour of his trial. Whatever our regret at the contents of the Message, let us fulfil his wish, do what he asks, and do it with speed. Let no word be spoken today that the utterer of that word may regret in days to come, let no word be spoken that causes pain to any soul, and let us not forget today the revered and beloved figure of Queen Mary, what all this time has meant to her, and think of her when we have to speak, if speak we must, during this Debate. We have, after all, as the guardians of democracy in this little island to see that we do our work to maintain the integrity of that democracy and of the monarchy, which, as I said at the beginning of my speech, is now the sole link of our whole Empire and the guardian of our freedom. Let us look forward and remember our country and the trust reposed by our country in this, the House of Commons, and let us rally behind the new King – ( _Hon. Members: 'Hear, hear'_ ) – stand behind him, and help him; and let us hope that, whatever the country may have suffered by what we are passing through, it may soon be repaired and that we may take what steps we can in trying to make this country a better country for all the people in it.
> _Baldwin retired six months later and played no further part in public life – but his speech on the abdication crowned his political career with adulation._
•
## Edward VIII
Windsor, 11 December 1936
#### 'God Save the King'
> _Seated alone in Windsor Castle, a few miles outside London, after Baldwin's speech to the Commons, the former king broadcast to the nation. It was a poignant moment for both the nation and the king, embroiled in one of the great love stories of the century._
>
> _A few brushstrokes were added to the speech by Winston Churchill, who had been one of the king's few supporters in the Commons. The sentence which speaks of the 'matchless blessing' of a happy home shows the Churchill touch._
At long last I am able to say a few words of my own. I have never wanted to withhold anything, but until now it has not been constitutionally possible for me to speak.
A few hours ago I discharged my last duty as King and Emperor, and now that I have been succeeded by my brother, the Duke of York, my first words must be to declare my allegiance to him. This I do with all my heart.
You all know the reasons which have impelled me to renounce the Throne. But I want you to understand that in making up my mind I did not forget the country or the Empire which as Prince of Wales, and lately as King, I have for twenty-five years tried to serve. But you must believe me when I tell you that I have found it impossible to carry the heavy burden of responsibility and to discharge my duties as King as I would wish to do without the help and support of the woman I love.
And I want you to know that the decision I have made has been mine and mine alone. This was a thing I had to judge entirely for myself. The other person most nearly concerned has tried up to the last to persuade me to take a different course. I have made this, the most serious decision of my life, only upon the single thought of what would in the end be best for all.
This decision has been made less difficult to me by the sure knowledge that my Brother, with his long training in the public affairs of this country and with his fine qualities, will be able to take my place forthwith, without interruption or injury to the life and progress of the Empire. And he has one matchless blessing, enjoyed by so many of you and not bestowed on me – a happy home with his wife and children.
During these hard days I have been comforted by Her Majesty my Mother and by my Family. The Ministers of the Crown, and in particular Mr Baldwin, the Prime Minister, have always treated me with full consideration. There has never been any constitutional difference between me and them and between me and Parliament. Bred in the constitutional tradition by my Father, I should never have allowed any such issue to arise.
Ever since I was Prince of Wales, and later on when I occupied the Throne, I have been treated with the greatest kindness by all classes of the people, wherever I have lived or journeyed throughout the Empire. For that I am very grateful.
I now quit altogether public affairs, and I lay down my burden. It may be some time before I return to my native land, but I shall always follow the fortunes of the British race and Empire with profound interest, and if at any time in the future I can be found of service to His Majesty in a private station I shall not fail.
And now we all have a new King. I wish him, and you, his people, happiness and prosperity with all my heart. God bless you all. God Save the King.
> _After his abdication, Edward_ VIII _was created Duke of Windsor by his successor George VI, his brother. He married Mrs Simpson on 3 June 1937, was governor of the Bahamas during the Second World War, and lived in exile for the rest of his life, mostly in Paris._
•
## Leon Trotsky
New York, 9 February 1937
#### 'I stake my life'
> _Ousted from power and then exiled by Stalin, Trotsky by 1937 had been living in Mexico for a year. The Moscow show trials initiated by Stalin after the assassination of Kirov, the party boss in Leningrad, had started in 1936 with Trotsky chosen to play the part of chief defendant_ in absentia.
>
> _Stalin's aim was to link Trotsky and alleged Trotskyite conspirators such as Bukharin, Rykov, Zinoviev, Kamenev, Radek and Piatakov (all of them old Bolsheviks) to the different types of opposition, terror, counter-revolution, wrecking, espionage and treason in the Soviet Union and to destroy any potential opposition. The state prosecutor was Andrei Vyshinsky._
>
> _More than six thousand people had gathered in the New York Hippodrome, on 9 February 1937, at a mass meeting called by the American Committee for the Defence of Leon Trotsky to hear him speak in his own cause. Arrangements had been made for the speech to be transmitted from Mexico direct to the hall. The meeting was to have been Trotsky's first opportunity of speaking directly to a large audience in defence of the accused in the Moscow trials._
>
> _For reasons which are still unknown the speech could not be heard – but it was a passionate, eloquent and prophetic denunciation of Stalin._
Dear Listeners, Comrades, and Friends: Why does Moscow so fear the voice of a single man? Only because I know the truth, the whole truth. Only because I have nothing to hide. Only because I am ready to appear before a public and impartial commission of inquiry with documents, facts, and testimonies in my hands, and to disclose the truth to the very end. I declare: if this commission decides that I am guilty in the slightest degree of the crimes which Stalin imputes to me, I pledge in advance to place myself voluntarily in the hands of the executioners of the GPU. That, I hope, is clear. Have you all heard? I make this declaration before the entire world. I ask the Press to publish my words in the farthest corners of our planet. But if the commission establishes – do you hear me? – that the Moscow trials are a conscious and premeditated frame-up, constructed with the bones and nerves of human beings, I will not ask my accusers to place themselves voluntarily before a firing-squad. No, the eternal disgrace in the memory of human generations will be sufficient for them! Do the accusers of the Kremlin hear me? I throw my defiance in their faces. And I await their reply!
At the heart of the Moscow trials is an absurdity. According to the official version, the Trotskyists had been organizing the most monstrous plot since 1931. However, all of them, as if by command, spoke and wrote in one way but acted in another. In spite of the hundreds of persons implicated in the plot, over a period of five years, not a trace of it was revealed: no splits, no denunciations, no confiscated letters, until the hour of the general confessions arrived! Then a new miracle came to pass. People who had organized assassinations, prepared war, divided the Soviet Union, these hardened criminals suddenly confessed in August 1936 not under the pressure of proofs – no, because there were no proofs – but for certain mysterious reasons, which hypocritical psychologists declare are peculiar attributes of the 'Russian soul'. Just think: yesterday they carried out railroad wrecking and poisoning of workers – by unseen order of Trotsky. Today they are Trotsky's accusers and heap upon him their pseudo-crimes. Yesterday they dreamed only of killing Stalin. Today they all sing hymns of praise to him. What is it: a madhouse? No, they tell us, it is not a madhouse, but the 'Russian soul'. You lie, gentlemen, about the Russian soul. You lie about the human soul in general.
The miracle consists not only in the simultaneity and the universality of the confessions. The miracle, above all, is that, according to the general confessions, the conspirators did something which was fatal precisely to their own political interests, but extremely useful to the leading clique. Once more the conspirators before the tribunal said just what the most servile agents of Stalin would have said. Normal people, following the dictates of their own will, would never have been able to conduct themselves as Zinoviev, Kamenev, Radek, Piatakov, and the others did. Devotion to their ideas, political dignity, the simple instinct of self-preservation would force them to struggle for themselves, for their personalities, for their interests, for their lives. The only reasonable and fitting question is this: Who led these people into a state in which all human reflexes are destroyed, and how did he do it? There is a very simple principle in jurisprudence, which holds the key to many secrets: _is fecit cui prodest_ ; he who benefits by it, he is the guilty one. The entire conduct of the accused has been dictated from beginning to end, not by their own ideas and interests, but by the interests of the ruling clique. And the pseudo-plot, and the confessions, the theatrical judgement and the entirely real executions, all were arranged by one and the same hand. Whose? _Cui prodest?_ Who benefits? The hand of Stalin! The rest is deceit, falsehood, the idle babbling about the 'Russian soul'! In the trials there did not figure fighters, nor conspirators, but puppets in the hands of the GPU. They played assigned roles. The aim of the disgraceful performance: to eliminate the whole opposition, to poison the very source of critical thought, to definitely ensconce the totalitarian regime of Stalin.
We repeat: the accusation is a premeditated frame-up. This frame-up must inevitably appear in each of the defendants' confessions, if they are examined alongside the facts. The prosecutor Vyshinsky knows this very well. That is why he did not address a single concrete question to the accused, which would have embarrassed them considerably. The names, documents, dates, places, means of transportation, circumstances of the meetings – around these decisive facts Vyshinsky has placed a cloak of shame, or to be more exact, a shameless cloak. Vyshinsky dealt with the accused, not in the language of the jurist, but in the conventional language of the past-master of frame-up, in the jargon of the thief. The insinuating character of Vyshinsky's questions – along with the complete absence of material proofs – this represents the second crushing evidence against Stalin.
Among you, dear listeners, there must be not a few people who freely say: 'The confessions of the accused are false, that is clear; but how was Stalin able to obtain such confessions; therein lies the secret!' In reality the secret is not so profound. The Inquisition, with a much more simple technique, extorted all sorts of confessions from its victims. That is why the democratic penal law renounced the methods of the Middle Ages, because they led not to the establishment of the truth, but to a simple confirmation of the accusations dictated by the inquiring judge. The GPU trials have a thoroughly inquisitorial character: that is the simple secret of the confessions!...
Let him who has a particle of imagination picture to himself an unfortunate Soviet citizen, an oppositionist, isolated and persecuted, a pariah, who is constrained to write, not telegrams of salutation to Stalin, but dozens and scores of confessions of his crimes. Perhaps in this world there are many heroes who are capable of bearing all kinds of tortures, physical or moral, which are inflicted on themselves, their wives, their children. I do not know... My personal observations inform me that the capacities of the human nervous system are limited. Through the GPU Stalin can trap his victim in an abyss of black despair, humiliation, infamy, in such a manner that he takes upon himself the most monstrous crimes with the prospect of imminent death or a feeble ray of hope for the future as the sole outcome. If, indeed, he does not contemplate suicide.
Suicide or moral prostration: there is no other choice! But do not forget that in the prisons of the GPU even suicide is often an inaccessible luxury!
The Moscow trials do not dishonour the revolution, because they are the progeny of reaction. The Moscow trials do not dishonour the old generation of Bolsheviks; they only demonstrate that even Bolsheviks are made of flesh and blood, and that they do not resist endlessly when over their heads swings the pendulum of death. The Moscow trials dishonour the political regime which has conceived them: the regime of Bonapartism, without honour and without conscience! All of the executed died with curses on their lips for this regime.
The Moscow trials are a signal. Woe to them who do not heed! The Reichstag trial surely had a great importance. But it concerned only vile Fascism, this embodiment of all the vices of darkness and barbarism. The Moscow trials are perpetrated under the banner of socialism. We will not concede this banner to the masters of falsehood! If our generation happens to be too weak to establish socialism over the earth, we will hand the spotless banner down to our children. The struggle which is in the offing transcends by far the importance of individuals, factions, and parties. It is a struggle for the future of all mankind. It will be severe. It will be lengthy. Whoever seeks physical comfort and spiritual calm, let him step aside. In time of reaction it is more convenient to lean on the bureaucracy than on the truth. But all those for whom the word socialism is not a hollow sound but the content of their moral life – forward! Neither threats nor persecutions nor violations can stop us! Be it even over our bleaching bones, the truth will triumph! We will blaze the trail for it. It will conquer! Under all the severe blows of fate, I shall be happy, as in the best days of my youth, if together with you I can contribute to its victory! Because, my friends, the highest human happiness is not the exploitation of the present but the cooperation of the future.
> _The show trials went on, culminating in the trial of Bukharin and Rykov in 1938. On a single day in December 1938 Stalin sanctioned the execution of 3,167 prisoners. On 20 August 1940, Trotsky was battered to death in his Mexican home by one of Stalin's agents._
•
## Martin Niemöller
Berlin-Dahlem, 27 June 1937
#### 'The oppression is growing'
> _As Martin Niemöller (1892–1984) celebrated Holy Communion on Friday, 25 June 1937, he was incensed to discover that three members of the Gestapo were present. He had also heard that Hans Asmussen, theological adviser to the council of the German church, had gone into hiding from the Nazis._
>
> _On the following Sunday, the subject of Niemöller's sermon was Rabbi Gamaliel who, according to Acts 5, had persuaded the Jewish Sanhedrin to show tolerance to the teaching of St Peter and his fellow Christians. The result wasthat the apostles were released from custody. Neutrality was impossible, Niemöller preached. Persecution had begun._
(The Lord shall yet comfort Zion) Acts 5: 33–42:
Jesus Christ says: 'Blessed are ye when men shall revile you and persecute you for My sake.' And faith hears that, and faith clings to that promise, and faith is happy and comforted, as Jesus bade it: 'Rejoice and be exceeding glad!'
But, brothers and sisters, can this _really_ be so? Can we be happy and comforted in our faith? We see today that this matter of a happy and comforted faith is no child's play, that it is not enough to be able to quote passages from the Bible; that we do not go far with a little inspired protestation and our usual normal measure of inextinguishable optimism, and that we have reached the point where we cannot resist alone, without help.
The oppression is growing, and anyone who has had to submit to the Tempter's machine-gun fire during this last week thinks differently from what he did even three weeks ago. I have in mind how on Wednesday the Secret Police forced their way into the locked church at Friedrichwerder and in the vestry arrested eight members of the Reich Council of Brethren who were holding a meeting there, and took them away. I have in mind how yesterday at Saarbrücken six women and a male member of the congregation were taken into custody because they were distributing an election leaflet of the Confessional Church, at the request of the Council of Brethren. I say to you: anyone who knows these things and who has actually had to suffer these things, is not far from uttering the Prophet's words – indeed such a one would fain say with the Prophet: 'It is enough – no, it is too much! – now, O Lord, take away my life!'
And anyone who has the experience I had the night before last at an evening Communion service and sees beside him nothing less than three young members of the Secret Police who have come in their official capacity to spy upon the community of Jesus Christ in their praying, singing and preaching – three young men who were also assuredly baptized once upon a time in the name of the Lord Jesus Christ and who also assuredly vowed loyalty to their Saviour at the confirmation altar, and whose office and duty it now is to set traps for the community of Jesus Christ – anyone who sees that cannot escape so easily from the shame of the Church; he cannot pass the matter off with a pious phrase and an inspired protest: such a sight may cost him a sleepless and most certainly a restless night, and he may even cry from the depths of his despair: 'Lord, have mercy upon me!'
> _Niemöller never again preached in Dahlem church until after the death of Adolf Hitler. On 1 July, he was arrested by the secret police. A year later he was taken to Sachsenhausen Concentration Camp, and then to Dachau. He spent four years in solitary confinement before being liberated by the Allies in 1945._
•
## Adolf Hitler
Berlin, 26 September 1938
#### 'My patience is now at an end'
> _Among all the millions of words of twentieth-century oratory, none are more chilling than the seven that Hitler uttered at the Berlin Sportspalast in September 1938: 'My patience is now at an end.'_
>
> _The British prime minister Neville Chamberlain had visited Hitler twice in the previous ten days but had been snubbed, even after offering a plan agreed by Britain and France and accepted by the Czechs – but later repudiated by the British Cabinet – for the Sudeten districts of Czechoslovakia to be transferred to Germany without a plebiscite._
>
> _Chamberlain refused to give up hope and dispatched Sir Horace Wilson to Germany with a personal appeal to Hitler suggesting direct negotiations between the German and Czech governments, with the British present as a third party, in the hope of persuading him to moderate the tone of the speech he was due to make in the Sportspalast._
>
> _When Wilson arrived three hours before the speech was due, Hitler was in his most intransigent mood, working his resentment, hatred and opposition up to the pitch where they would provide the necessary stimulus for his speech._
>
> _Three hours later, Chamberlain and Beneš, the Czech president, got their answer._
And now before us stands the last problem that must be solved and will be solved. It is the last territorial claim which I have to make in Europe, but it is the claim from which I will not recede and which, God willing, I will make good.
The history of the problem is as follows: in 1918 under the watchword 'The Right of the Peoples to Self-determination' Central Europe was torn in pieces and was newly formed by certain crazy so-called 'statesmen'. Without regard for the origin of the peoples, without regard for either their wish as nations or for economic necessities Central Europe at that time was broken up into atoms and new so-called States were arbitrarily formed. To this procedure Czechoslovakia owes its existence. This Czech State began with a single lie and the father of this lie was named Beneš. This Mr Beneš at that time appeared in Versailles and he first of all gave the assurance that there was a Czechoslovak nation. He was forced to invent this lie in order to give to the slender number of his own fellow-countrymen a somewhat greater range and thus a fuller justification. And the Anglo-Saxon statesmen, who were, as always, not very adequately versed in respect of questions of geography or nationality, did not at that time find it necessary to test these assertions of Mr Beneš. Had they done so, they could have established the fact that there is no such thing as a Czechoslovak nation but only Czechs and Slovaks and that the Slovaks did not wish to have anything to do with the Czechs but... ( _the rest of the sentence was drowned in a tumultuous outburst of applause_ ).
So in the end through Mr Beneš these Czechs annexed Slovakia. Since this State did not seem fitted to live, out of hand three and a half million Germans were taken in violation of their right to self-determination and their wish for self-determination. Since even that did not suffice, over a million Magyars had to be added, then some Carpathian Russians, and at last several hundred thousand Poles.
That is this State which then later proceeded to call itself Czechoslovakia – in violation of the right of the peoples to self-determination, in violation of the clear wish and will of the nations to which this violence had been done...
Now the shameless part of this story begins. This State whose Government is in the hands of a minority compels the other nationalities to cooperate in a policy which will oblige them one of these days to shoot at their own brothers. Mr Beneš demands of the German: 'If I wage war against Germany, then you have to shoot against the Germans. And if you refuse to do this, you are a traitor against the State and I will have you yourself shot.' And he makes the same demand of Hungary and Poland. He demands of the Slovaks that they should support aims to which the Slovak people are completely indifferent. For the Slovak people wishes to have peace – and not adventures. Mr Beneš thus actually turns these folk either into traitors to their country or traitors to their people. Either they betray their people, are ready to fire on their fellow-countrymen, or Mr Beneš says: 'You are traitors to your country and you will be shot for that by me.' Can there be anything more shameless than to compel folk of another people, in certain circumstances, to fire on their own fellow-countrymen only because a ruinous, evil, and criminal Government so demands it? I can here assert: when we had occupied Austria, my first order was: no Czech needs to serve, rather he must not serve, in the German Army. I have not driven him to a conflict with his conscience...
Mr Beneš now places his hopes on the world! And he and his diplomats make no secret of the fact. They state: it is our hope that Chamberlain will be overthrown, that Daladier will be removed, that on every hand revolutions are on the way. They place their hope on Soviet Russia. He still thinks then that he will be able to evade the fulfilment of his obligations.
And then I can say only one thing: now two men stand arrayed one against the other: there is Mr Beneš and here stand I. We are two men of a different make-up. In the great struggle of the peoples while Mr Beneš was sneaking about through the world, I as a decent German soldier did my duty. And now today I stand over against this man as the soldier of my people!
I have only a few statements still to make: I am grateful to Mr Chamberlain for all his efforts. I have assured him that the German people desires nothing else than peace, but I have also told him that I cannot go back behind the limits set to our patience. I have further assured him, and I repeat it here, that when this problem is solved there is for Germany no further territorial problem in Europe. And I have further assured him that at the moment when Czechoslovakia solves her problems, that means when the Czechs have come to terms with their other minorities, and that peaceably and not through oppression, then I have no further interest in the Czech State. And that is guaranteed to him! We want no Czechs!
But in the same way I desire to state before the German people that with regard to the problem of the Sudeten Germans my patience is now at an end! I have made Mr Beneš an offer which is nothing but the carrying into effect of what he himself has promised. The decision now lies in his hands: Peace or War! He will either accept this offer and now at last give to the Germans their freedom or we will go and fetch this freedom for ourselves. The world must take note that in four and a half years of war and through the long years of my political life there is one thing which no one could ever cast in my teeth: I have never been a coward!
Now I go before my people as its first soldier and behind me – that the world should know – there marches a people and a different people from that of 1918!
If at that time a wandering scholar was able to inject into our people the poison of democratic catchwords – the people of today is no longer the people that it was then. Such catchwords are for us like wasp-stings: they cannot hurt us: we are now immune.
In this hour the whole German people will unite with me! It will feel my will to be its will. Just as in my eyes it is its future and its fate which give me the commission for my action.
And we wish now to make our will as strong as it was in the time of our fight, the time when I, as a simple unknown soldier, went forth to conquer a Reich and never doubted of success and final victory.
Then there gathered close about me a band of brave men and brave women, and they went with me. And so I ask you my German people to take your stand behind me, man by man, and woman by woman.
In this hour we all wish to form a common will and that will must be stronger than every hardship and every danger.
And if this will is stronger than hardship and danger then one day it will break down hardship and danger.
We are determined!
Now let Mr Beneš make his choice!
> _Alan Bullock, the distinguished Hitler biographer, describes this speech as a masterpiece of invective which even Hitler never surpassed. Rarely, he said, had the issue of war or peace been so nakedly reduced to the personal resentment and vanity of one man._
>
> _Chamberlain tried yet again. Three days later a settlement of the crisis was reached in Munich by the heads of government of Germany, Britain, France and Italy (Hitler, Chamberlain, Daladier and Mussolini) and the Sudetenland was annexed to Germany._
>
> _On 1 October German troops marched into the Sudetenland. The Second World War started on 3 September the following year._
•
## Neville Chamberlain
London, 30 September 1938
#### 'Peace for our time'
> _If Hitler's declaration that his patience was at an end was the most ominous sentence of the century, Neville Chamberlain's belief that he had won peace from Hitler was the most complacent. After conferring with Hitler, Mussolini and Daladier, Chamberlain (1869–1940), British prime minister since May_ 1937 _, had signed the Munich Pact and returned to London a hero._
>
> _He addressed the cheering crowd from a first-floor window at 10 Downing Street._
My good friends, this is the second time in our history that there has come back from Germany to Downing Street peace with honour. ( _After the cheering stopped, Chamberlain continued_.) I believe it is peace for our time. We thank you from the bottom of our hearts. ( _To this the crowd responded: 'We thank you. God bless you.' Then a pause until Chamberlain said:_ ) And now I recommend you to go home and sleep quietly in your beds.
•
## Duff Cooper
London, 3 October 1938
#### 'My head erect'
> _Duff Cooper (1890–1954) entered parliament as a Conservative in 1924 and was Secretary for War from 1935 to 1937, when he became First Lord of the Admiralty. When the House of Commons met after the Munich agreement Conservatives rose and cheered when Chamberlain entered the chamber. He also had the tacit support of the Labour benches._
>
> _In his memoir_ Old Men Forget _,_ _Cooper recalled that members were anxious to hear Chamberlain: 'As I had to speak first, I had an unsympathetic and impatient audience.'_
>
> _As he explained the reasons for his dramatic resignation – Sir Anthony Eden, Chamberlain's Foreign Secretary, had resigned earlier over the Italian invasion of Abyssinia – he said Britain should have been fighting to prevent one great power from dominating the continent of Europe by 'brute force', in defiance of treaty obligations, of the laws of nations and the decrees of morality._
When Herr Hitler broke the Treaty of Versailles he undertook to keep the Treaty of Locarno, and when he broke the Treaty of Locarno, he undertook not to interfere further or to have any territorial aims in Europe. When he entered Austria by force he authorized his henchmen to give an authoritative assurance that he would not interfere with Czechoslovakia. That was less than six months ago. Still the Prime Minister believes that he can rely upon 'the good faith of Hitler'...
The Prime Minister may be right. I can assure you, Mr Speaker, with the deepest sincerity, that I hope and pray that he is right, but I cannot believe what he believes. I wish I could. Therefore, I can be of no assistance to him in his Government. I should only be a hindrance, and it is much better that I should go. I remember when we were discussing the Godesberg ultimatum that I said that if I were a party to persuading, or even to suggesting to, the Czechoslovak Government that they should accept that ultimatum, I should never be able to hold up my head again. I have forfeited a great deal. I have given up an office that I loved, work in which I was deeply interested and a staff of which any man might be proud. I have given up association in that work with my colleagues with whom I have maintained for many years the most harmonious relations, not only as colleagues but as friends. I have given up the privilege of serving as lieutenant to a leader whom I still regard with the deepest admiration and affection. I have ruined, perhaps, my political career. But that is a little matter; I have retained something which is to me of greater value – I can still walk about the world with my head erect.
> _Chamberlain made no attempt to answer Cooper, who had immediate notes of congratulation from Winston Churchill and Harold Macmillan. 'Your speech... was admirable in form, massive in argument and shone with courage and public spirit,' said Churchill. Cooper, who became the first Viscount Norwich, was Churchill's Minister of Information (1940–42) and ambassador to France (1944–7)_.
•
## Winston Churchill
London, 5 October 1938
#### 'A total and unmitigated defeat'
> _The Munich debate went on for four days, though Chamberlain's majority was never in doubt. After Cooper, several powerful speeches lamenting British humiliation and weakness were made by prominent Conservatives, including Anthony Eden_.
>
> _Speaking on the third day, Churchill pronounced the most damning indictment of Chamberlain's policies_.
When I think of the fair hopes of a long peace which still lay before Europe at the beginning of 1933 when Herr Hitler first obtained power, and of all the opportunities of arresting the growth of the Nazi power which have been thrown away, when I think of the immense combinations and resources which have been neglected or squandered, I cannot believe that a parallel exists in the whole course of history. So far as this country is concerned the responsibility must rest with those who have had the undisputed control of our political affairs. They neither prevented Germany from rearming, nor did they rearm ourselves in time. They quarrelled with Italy without saving Ethiopia. They exploited and discredited the vast institution of the League of Nations and they neglected to make alliances and combinations which might have repaired previous errors, and thus they left us in the hour of trial without adequate national defence or effective international security...
Many people, no doubt, honestly believe that they are only giving away the interests of Czechoslovakia, whereas I fear we shall find that we have deeply compromised, and perhaps fatally endangered, the safety and even the independence of Great Britain and France. This is not merely a question of giving up the German colonies, as I am sure we shall be asked to do. Nor is it a question only of losing influence in Europe. It goes far deeper than that. You have to consider the character of the Nazi movement and the rule which it implies. The Prime Minister desires to see cordial relations between this country and Germany. There is no difficulty at all in having cordial relations between the peoples. Our hearts go out to them. But they have no power. But never will you have friendship with the present German government. You must have diplomatic and correct relations, but there can never be friendship between the British democracy and the Nazi power, that power which spurns Christian ethics, which cheers its onward course by a barbarous paganism, which vaunts the spirit of aggression and conquest, which derives strength and perverted pleasure from persecution, and uses, as we have seen, with pitiless brutality the threat of murderous force. That power cannot ever be the trusted friend of the British democracy.
What I find unendurable is the sense of our country falling into the power, into the orbit and influence of Nazi Germany, and of our existence becoming dependent upon their good will or pleasure. It is to prevent that that I have tried my best to urge the maintenance of every bulwark of defence – first, the timely creation of an Air Force superior to anything within striking distance of our shores; secondly, the gathering together of the collective strength of many nations; and thirdly, the making of alliances and military conventions, all within the Covenant, in order to gather together forces at any rate to restrain the onward movement of this power. It has all been in vain. Every position has been successfully undermined and abandoned on specious and plausible excuses.
We do not want to be led upon the high road to becoming a satellite of the German Nazi system of European domination. In a very few years, perhaps in a very few months, we shall be confronted with demands with which we shall no doubt be invited to comply. Those demands may affect the surrender of territory or the surrender of liberty. I foresee and foretell that the policy of submission will carry with it restrictions upon the freedom of speech and debate in Parliament, on public platforms, and discussions in the Press, for it will be said – indeed, I hear it said sometimes now – that we cannot allow the Nazi system of dictatorship to be criticized by ordinary, common English politicians. Then, with a Press under control, in part direct but more potently indirect, with every organ of public opinion doped and chloroformed into acquiescence, we shall be conducted along further stages of our journey...
I have been casting about to see how measures can be taken to protect us from this advance of the Nazi power, and to secure those forms of life which are so dear to us. What is the sole method that is open? The sole method that is open for us is to regain our old island independence by acquiring that supremacy in the air which we were promised, that security in our air defences which we were assured we had, and thus to make ourselves an island once again. That, in all this grim outlook, shines out as the overwhelming fact. An effort at rearmament the like of which has not been seen ought to be made forthwith, and all the resources of this country and all its united strength should be bent to that task...
I do not begrudge our loyal, brave people, who were ready to do their duty no matter what the cost, who never flinched under the strain of last week – I do not grudge them the natural, spontaneous outburst of joy and relief when they learned that the hard ordeal would no longer be required of them at the moment; but they should know the truth. They should know that there has been gross neglect and deficiency in our defences; they should know that we have sustained a defeat without a war, the consequences of which will travel far with us along our road; they should know that we have passed an awful milestone in our history, when the whole equilibrium of Europe has been deranged, and that the terrible words have for the time being been pronounced against the Western democracies: 'Thou art weighed in the balance and found wanting.' And do not suppose that this is the end. This is only the beginning of the reckoning. This is only the first sip, the first foretaste of a bitter cup which will be proffered to us year by year unless by a supreme recovery of moral health and martial vigour, we arise again and take our stand for freedom as in the olden time.
> _Chamberlain won the vote but the abstention of thirty Conservative MPs was the most convincing demonstration yet of the opposition to his policies among his own supporters. Churchill was condemned by_ The Times _as treating the Commons to prophecies that made Jeremiab appear an optimist._
•
## Neville Chamberlain
Birmingham, 17 March 1939
#### 'Is this an attempt to dominate the world by force?'
> _Already diminished by Munich, Czechoslovakia fell to Hitler on 15 March 1939. Two days later, Neville Chamberlain addressed his own people, the Birmingham Conservative Association. His prepared speech was an elaborate defence of Munich – but at the last moment he threw in a reference to what had happened two days before. The audience applauded his protest and with each roar Chamberlain's improvisations grew stronger._
>
> _With this speech, appeasement and Munich were eclipsed. Chamberlain turned British foreign policy upside down._
Surely as a joint signatory of the Munich Agreement I was entitled, if Herr Hitler thought it ought to be undone, to that consultation which is provided for in the Munich declaration. Instead of that he has taken the law into his own hands. Before even the Czech President was received, and confronted with demands which he had no power to resist, the German troops were on the move, and within a few hours they were in the Czech capital.
According to the proclamation which was read out in Prague yesterday Bohemia and Moravia have been annexed to the German Reich. Non-German inhabitants, who of course include the Czechs, are placed under the German Protector in the German Protectorate. They are to be subject to the political, military, and economic needs of the Reich. They are called self-governing States, but the Reich is to take charge of their foreign policy, their Customs and their Excise, their bank reserves, and the equipment of the disarmed Czech forces. Perhaps most sinister of all, we hear again of the appearance of the Gestapo, the secret police, followed by the usual tale of wholesale arrests of prominent individuals, with consequences with which we are all familiar.
Every man and woman in this country who remembers the fate of the Jews and the political prisoners in Austria must be filled today with distress and foreboding. Who can fail to feel his heart go out in sympathy to the proud and brave people who have so suddenly been subjected to this invasion, whose liberties are curtailed, whose national independence has gone? What has become of this declaration of, 'No further territorial ambition'? What has become of the assurance, 'We don't want Czechs in the Reich'? What regard had been paid here to that principle of self-determination on which Herr Hitler argued so vehemently with me at Berchtesgaden when he was asking for the severance of Sudetenland from Czecho-Slovakia and its inclusion in the German Reich?
Now we are told that this seizure of territory has been necessitated by disturbances in Czecho-Slovakia. We are told that the proclamation of this new German Protectorate against the will of its inhabitants has been rendered inevitable by disorders which threatened the peace and security of her mighty neighbour. If there were disorders, were they not fomented from without? ( _Cheers_.) And can anybody outside Germany take seriously the idea that they could be a danger to that great country, that they could provide any justification for what has happened?
Does not the question inevitably arise in our minds, if it is so easy to discover good reasons for ignoring assurances so solemnly and so repeatedly given, what reliance can be placed upon any other assurances that come from the same source?
There is another set of questions which almost inevitably must occur in our minds and to the minds of others, perhaps even in Germany herself. Germany, under her present regime, has sprung a series of unpleasant surprises upon the world. The Rhineland, the Austrian _Anschluss_ , the severance of Sudetenland – all these things shocked and affronted public opinion throughout the world. Yet, however much we might take exception to the methods which were adopted in each of those cases, there was something to be said, whether on account of racial affinity or of just claims too long resisted – there was something to be said for the necessity of a change in the existing situation.
But the events which have taken place this week in complete disregard of the principles laid down by the German Government itself, seem to fall into a different category, and they must cause us all to be asking ourselves, 'Is this the end of an old adventure, or is it the beginning of a new? Is this the last attack upon a small State, or is it to be followed by others? Is this, in fact, a step in the direction of an attempt to dominate the world by force?'
Those are grave and serious questions. I am not going to answer them tonight. But I am sure they will require the grave and serious consideration, not only of Germany's neighbours but of others, perhaps even beyond the confines of Europe. Already there are indications that the process has begun, and it is obvious that it is likely now to be speeded up.
We ourselves will naturally turn first to our partners in the British Commonwealth of Nations – ( _cheers_ ) – and to France – ( _cheers_ ) – to whom we are so closely bound, and I have no doubt that others, too, knowing that we are not disinterested in what goes on in South-Eastern Europe, will wish to have our counsel and advice.
In our own country we must all review the position with that sense of responsibility which its gravity demands. Nothing must be excluded from that review which bears upon the national safety. Every aspect of our national life must be looked at again from that angle. The Government, as always, must bear the main responsibility, but I know that all individuals will wish to review their own position, too, and to consider again if they have done all they can to offer their service to the State.
I do not believe there is anyone who will question my sincerity when I say there is hardly anything I would not sacrifice for peace. ( _Cheers_.) But there is one thing that I must except, and that is the liberty that we have enjoyed for hundreds of years, and which we will never surrender. ( _Loud cheers_.) That I, of all men, should feel called upon to make such a declaration – that is the measure of the extent to which these events have shattered the confidence which was just beginning to show its head and which, if it had been allowed to grow, might have made this year memorable for the return of all Europe to sanity and stability.
It is only six weeks ago that I was speaking in this city, and that I alluded to rumours and suspicions which I said ought to be swept away. I pointed out that any demand to dominate the world by force was one which the democracies must resist, and I added that I could not believe that such a challenge was intended, because no Government with the interests of its own people at heart could expose them for such a claim to the horrors of world war.
And indeed, with the lessons of history for all to read, it seems incredible that we should see such a challenge. I feel bound to repeat that, while I am not prepared to engage this country by new unspecified commitments operating under conditions which cannot now be foreseen, yet no greater mistake could be made than to suppose that, because it believes war to be a senseless and cruel thing, this nation has so lost its fibre that it will not take part to the utmost of its power, resisting such a challenge if it ever were made. For that declaration I am convinced that I have not merely the support, the sympathy, the confidence of my fellow-countrymen and countrywomen, but I shall have also the approval of the whole British Empire and of all other nations who value peace indeed, but who value freedom even more.
> _The speech was described in the London_ Times _as 'momentous'. It was broadcast and heard throughout the British Empire and the United States and also broadcast fully in German. Chamberlain declared war on Germany on 3 September (see next speech)_.
•
## Neville Chamberlain
London, 3 September 1939
#### 'This country is at war with Germany'
I am speaking to you from the Cabinet Room at 10 Downing Street.
This morning the British Ambassador in Berlin handed the German Government a final Note stating that, unless we heard from them by 11 o'clock that they were prepared at once to withdraw their troops from Poland, a state of war would exist between us.
I have to tell you now that no such undertaking has been received, and that consequently this country is at war with Germany.
You can imagine what a bitter blow it is to me that all my long struggle to win peace has failed. Yet I cannot believe that there is anything more or anything different that I could have done and that would have been more successful.
Up to the very last it would have been quite possible to have arranged a peaceful and honourable settlement between Germany and Poland, but Hitler would not have it. He had evidently made up his mind to attack Poland whatever happened, and although he now says he put forward reasonable proposals which were rejected by the Poles, that is not a true statement.
The proposals were never shown to the Poles, nor to us, and, though they were announced in a German broadcast on Thursday night, Hitler did not wait to hear comments on them, but ordered his troops to cross the Polish frontier. His action shows convincingly that there is no chance of expecting that this man will ever give up his practice of using force to gain his will. He can only be stopped by force.
We and France are today, in fulfilment of our obligations, going to the aid of Poland, who is so bravely resisting this wicked and unprovoked attack on her people. We have a clear conscience. We have done all that any country could do to establish peace. The situation in which no word given by Germany's ruler could be trusted and no people or country could feel themselves safe has become intolerable. And now that we have resolved to finish it, I know that you will all play your part with calmness and courage.
At such a moment as this the assurances of support that we have received from the Empire are a source of profound encouragement to us.
When I have finished speaking certain detailed announcements will be made on behalf of the Government. Give these your closest attention. The Government have made plans under which it will be possible to carry on the work of the nation in the days of stress and strain that may be ahead. But these plans need your help.
You may be taking your part in the fighting services or as a volunteer in one of the branches of Civil Defence. If so you will report for duty in accordance with the instructions you have received. You may be engaged in work essential to the prosecution of war for the maintenance of the life of the people – in factories, in transport, in public utility concerns, or in the supply of other necessaries of life. If so, it is of vital importance that you should carry on with your jobs.
Now may God bless you all. May He defend the right. It is the evil things that we shall be fighting against – brute force, bad faith, injustice, oppression and persecution – and against them I am certain that the right will prevail.
•
## Leo Amery
London, 7 May 1940
#### 'In the name of God, go'
> _By 1940, Leo Amery (1873–1955) was almost at the end of his political career, during which he had been First Lord of the Admiralty, Colonial Secretary and Dominions Secretary in the 1920s. Now a distinguished elder statesman, he was a fierce critic of Chamberlain's vacillation and weak leadership. On the day before war was declared, it was Amery who had shouted to Arthur Greenwood, the former Labour leader, to 'Speak for England' when he rose to speak after Chamberlain_.
>
> _On_ 7 _May 1940, Chamberlain opened a debate on the disastrous Norwegian campaign. Among the younger Conservative_ MPs _, there were many territorial officers who spoke for the units which had suffered in Norway. Among them, wearing the uniform of Admiral of the Fleet, was Sir Roger Keyes, who denounced the government_.
>
> _Then Amery, a friend and colleague of Chamberlain's for many years and a fellow Birmingham_ MP _, stood up to speak. He was called during the dinner hour but the House quickly filled up as he moved the target of Chamberlain's critics from the navy towards the prime minister and his conduct of the war. Sensing the mood of the Commons, and with devastating effect, he ended his speech with the angry words used by Oliver Cromwell to the Long Parliament in the seventeenth century. As he uttered them, he pointed at the prime minister and delivered his pitiless attack. It was one of the most dramatic moments in the tumultuous two-day debate_.
Believe me, as long as the present methods prevail, all our valour and all our resources are not going to see us through. Above all, so long as they prevail, time is not going to be on our side, because they are methods which, inevitably and inherently, waste time and weaken decisions. What we must have, and have soon, is a supreme war directorate of a handful of men free from administrative routine, free to frame policy among themselves, and with the task of supervising, inspiring, and impelling a group of departments clearly allocated to each one of them. That is the only way. We learned that in the last war. My Right Hon. Friend the Member for Caernarfon Boroughs (Mr Lloyd George) earned the undying gratitude of the nation for the courage he showed in adopting what was then a new experiment. The experiment worked, and it helped to win the war. After the war years, the Committee of Imperial Defence laid it down as axiomatic that, while in a minor war you might go on with an ordinary Cabinet, helped perhaps by a War Committee, in a major war you must have a War Cabinet – meaning precisely the type of Cabinet that my Right Hon. Friend introduced then. The overwhelming opinion of this House and of the public outside has been demanding that for a long while. We are told that there would be no particular advantage in it at the present time. I ask, Is this or is this not a major war?
We must have, first of all, a right organization of government. What is no less important today is that the Government shall be able to draw upon the whole abilities of the nation. It must represent all the elements of real political power in this country, whether in this House or not. The time has come when Hon. and Right Hon. Members opposite must definitely take their share of the responsibility. The time has come when the organization, the power and influence of the Trades Union Congress cannot be left outside. It must, through one of its recognized leaders, reinforce the strength of the national effort from inside. The time has come, in other words, for a real National Government...
Just as our peacetime system is unsuitable for war conditions, so does it tend to breed peacetime statesmen who are not too well fitted for the conduct of war. Facility in debate, ability to state a case, caution in advancing an unpopular view, compromise and procrastination are the natural qualities – I might almost say, virtues – of a political leader in time of peace. They are fatal qualities in war. Vision, daring, swiftness and consistency of decision are the very essence of victory. In our normal politics, it is true, the conflict of party did encourage a certain combative spirit. In the last war we Tories found that the most perniciously aggressive of our opponents, the Right Hon. Member for Caernarfon Boroughs, was not only aggressive in words, but was a man of action. In recent years the normal weakness of our political life has been accentuated by a coalition based upon no clear political principles. It was in fact begotten of a false alarm as to the disastrous results of going off the Gold Standard. It is a coalition which has been living ever since in a twilight atmosphere between Protection and Free Trade and between unprepared collective security and unprepared isolation. Surely, for the Government of the last ten years to have bred a band of warrior statesmen would have been little short of a miracle. We have waited for eight months, and the miracle has not come to pass. Can we afford to wait any longer?
Somehow or other we must get into the Government men who can match our enemies in fighting spirit, in daring, in resolution and in thirst for victory. Some three hundred years ago, when this House found that its troops were being beaten again and again by the dash and daring of the Cavaliers, by Prince Rupert's Cavalry, Oliver Cromwell spoke to John Hampden. In one of his speeches he recounted what he said. It was this:
> 'I said to him, "Your troops are most of them old, decayed serving men and tapsters and such kind of fellows... You must get men of a spirit that are likely to go as far as they will go, or you will be beaten still." '
It may not be easy to find these men. They can be found only by trial and by ruthlessly discarding all who fail and have their failings discovered. We are fighting today for our life, for our liberty, for our all; we cannot go on being led as we are. I have quoted certain words of Oliver Cromwell. I will quote certain other words. I do it with great reluctance, because I am speaking of those who are old friends and associates of mine, but they are words which, I think, are applicable to the present situation. This is what Cromwell said to the Long Parliament when he thought it was no longer fit to conduct the affairs of the nation:
> 'You have sat too long here for any good you have been doing. Depart, I say, and let us have done with you. In the name of God, go.'
•
## David Lloyd George
London, 7 May 1940
#### 'Sacrifice the seals of office'
> _Leo Amery had pointed his finger at Neville Chamberlain and used Cromwell's words: 'In the name of God, go.' Then, as one of the most memorable debates in British history went into its second day, the Labour Party decided to call for a vote of censure_.
>
> _Chamberlain was startled, angry, and taken unawares. He jumped up and declared: 'I do not seek to evade criticism but I say to my friends in the House, and I have friends in the House, no government can prosecute a war efficiently unless it has public and parliamentary support. I accept this challenge. I welcome it indeed. At least I shall see who is with us and who is against us and I call on my friends to support us in the lobby tonight_.'
>
> _Chamberlain's intervention was a major miscalculation and provoked an unforgettable speech – the last decisive intervention in the House of Commons by Lloyd George. Aroused by Chamberlain's appeal to his 'friends' and the prime minister's cheapening of the office he had held with such distinction during the last world war, he now had his revenge for years of exclusion from power_.
The situation is a grave one – I agree with what was said about that by the Prime Minister – and it would be a fatal error on our part not to acknowledge it. In such experience as I have had of war direction I have never tried to minimize the extent of a disaster. I try to get the facts, because unless you really face the facts you cannot overcome the difficulties and restore the position. There is no case, in my judgement, for panic. I say that deliberately, after a good deal of reflection, but there is a grave case for pulling ourselves together. We cannot do that unless we tell the country the facts. They must realize the magnitude of our jeopardy. We have two immense Empires federated in the struggle for liberty, the two greatest Empires in the world, the British Empire and the French Empire, with almost inexhaustible resources but not easily mobilized, not easily roused, especially ours.
You are not going to rouse the British Empire – because you will have to do it not merely in Britain but throughout the world – to put forth the whole of its strength unless and until you tell it the facts and realities of the peril that confronts it. At the cost of unpleasantness, I am going to do that, not with a view to terrifying them or spreading dismay and consternation, but with a view to rousing real action and not sham action such as we have had. It is no use saying that the balance of advantage is in our favour, or adding up the numbers of ships sunk on either side. That kind of petty-cash balance-sheet is not the thing to look at. There are more serious realities than that.
We promised Poland; we promised Czecho-Slovakia. We said: 'We will defend your frontiers if you will revise them.' There was a promise to Poland, to Norway, and to Finland. Our promissory notes are now rubbish on the market. ( _Hon. Members: 'Shame_. _'_ ) Tell me one country at the present moment, one neutral country, that would be prepared to stand up and finance us on a mere promise from us? What is the use of not facing facts?...
The Hon. Member for Stockton-on-Tees (Mr Harold Macmillan) gave the whole of the facts, and they have never been answered yet. That is the situation with regard to our strategical position. What is the use of denying it? It is one of the facts that we have to face. We have to restore that prestige in the world if we are to win this war. There is also the fact that the state of our preparations is known to the world. We started these preparations five years ago, in 1935. In 1935 a promise of rearmament was made; in 1936 active proposals were submitted to this House and were passed without a Division. The Government said they would commit us to £1,500 million. If they had asked for more and had said that it was necessary, there was no party in this House which would have challenged it. ( _Interruption_.) If any party had challenged it, you had your majority. What has been done? Is there anyone in this House who will say that he is satisfied with the speed and efficiency of the preparations in any respect for air, for Army, yea, for Navy? Everybody is disappointed. Everybody knows that whatever was done was done half-heartedly, ineffectively, without drive and unintelligently. For three or four years I thought to myself that the facts with regard to Germany were exaggerated by the First Lord, because the then Prime Minister – not this Prime Minister – said that they were not true. The First Lord was right about it. Then came the war. The tempo was hardly speeded up. There was the same leisureliness and inefficiency. Will anybody tell me that he is satisfied with what we have done about aeroplanes, tanks, guns, especially anti-aircraft guns? Is anyone here satisfied with the steps we took to train an Army to use them? Nobody is satisfied. The whole world knows that. And here we are in the worst strategic position in which this country has ever been placed.
_Sir Patrick Hannon (Birmingham, Moseley):_ We have our sea power.
_Mr J. J. Davidson (Glasgow, Maryhill):_ And your dividends.
_Mr Lloyd George:_ I wish we had used it in some parts of Norway. I do not think that the First Lord was entirely responsible for all the things that happened there.
_Mr Churchill:_ I take complete responsibility for everything that has been done by the Admiralty, and I take my full share of the burden.
_Mr Lloyd George:_ The Right Hon. Gentleman must not allow himself to be converted into an air-raid shelter to keep the splinters from hitting his colleagues. But that is the position, and we must face it. I agree with the Prime Minister that we must face it as a people and not as a party, nor as a personal issue. The Prime Minister is not in a position to make his personality in this respect inseparable from the interests of the country.
_The Prime Minister:_ What is the meaning of that observation? I have never represented that my personality – ( _Hon. Members: 'You did!'_ ) On the contrary, I took pains to say that personalities ought to have no place in these matters.
_Mr Lloyd George:_ I was not here when the Right Hon. Gentleman made the observation, but he definitely appealed on a question which is a great national, Imperial and world issue. He said, 'I have got my friends.' It is not a question of who are the Prime Minister's friends. It is a far bigger issue. The Prime Minister must remember that he has met this formidable foe of ours in peace and in war. He has always been worsted. He is not in a position to appeal on the grounds of friendship. He has appealed for sacrifice. The nation is prepared for every sacrifice so long as it has leadership, so long as the Government show clearly what they are aiming at and so long as the nation is confident that those who are leading it are doing their best. I say solemnly that the Prime Minister should give an example of sacrifice, because there is nothing which can contribute more to victory in this war than that he should sacrifice the seals of office.
> _When the Commons voted, the government's majority was reduced to 81 from its usual figure of 200. Forty-one Tories voted with the opposition and some sixty abstained. As Chamberlain left the House, a few Tory rebels, among them Harold Macmillan (who was later to be prime minister) sang 'Rule Britannia!' and shouted 'Go, Go, Go!' Winston Churchill became prime minister of a coalition government on 10 May._
•
## Winston Churchill
London, 13 May 1940
#### 'I have nothing to offer but blood, toil, tears and sweat'
> _On becoming prime minister, Churchill mobilized the language and made it fight. The first occasion occurred only three days after he had formed his coalition Cabinet. It was Whit Monday and Churchill made a short speech to the House of Commons. Yet on entering the chamber it was Chamberlain who got more cheers than Churchill, whose support was mostly on the Labour benches_.
>
> _The speech was unforgettable, imposing Churchill's character and resolve on the Commons whether they liked it or not. The effect was electrifying, says Robert Rhodes James, one of his biographers. As he walked out of the chamber, he said to one of his aides: 'That got the_ SODS _, didn't it!'_
>
> _Churchill's war speeches, with their bulldog spirit, their refusal to acknowledge the prospect of defeat, rallied the British at the most critical period of the war when Hitler was advancing to Dunkirk and threatening to invade England._
It must be remembered that we are in the preliminary stage of one of the greatest battles in history, that we are in action at many points in Norway and in Holland, that we have to be prepared in the Mediterranean, that the air battle is continuous and that many preparations have to be made here at home. In this crisis I hope I may be pardoned if I do not address the House at any length today. I hope that any of my friends and colleagues, or former colleagues, who are affected by the political reconstruction, will make all allowance for any lack of ceremony with which it has been necessary to act. I would say to the House, as I said to those who have joined the Government: 'I have nothing to offer but blood, toil, tears and sweat.'
We have before us an ordeal of the most grievous kind. We have before us many, many long months of struggle and of suffering. You ask, what is our policy? I will say: It is to wage war, by sea, land and air, with all our might and with all the strength that God can give us: to wage war against a monstrous tyranny, never surpassed in the dark, lamentable catalogue of human crime. That is our policy. You ask, What is our aim? I can answer in one word: Victory – victory at all costs, victory in spite of all terror, victory, however long and hard the road may be; for without victory, there is no survival. Let that be realized; no survival for the British Empire; no survival for all that the British Empire has stood for, no survival for the urge and impulse of the ages, that mankind will move forward towards its goal. But I take up my task with buoyancy and hope. I feel sure that our cause will not be suffered to fail among men. At this time I feel entitled to claim the aid of all, and I say, 'Come, then, let us go forward together with our united strength.'
•
## Winston Churchill
BBC Radio, 19 May 1940
#### 'Be ye men of valour'
> _Churchill's war of words began in earnest when he made his first broadcast to the nation as prime minister on 19 May. The Germans had invaded Holland and Belgium and broken through the French defences at Sedan. It was clear that French resistance could not long continue and that the position of British troops on the continent was perilous_.
>
> _After only three hours to compose the speech, Churchill broadcast live and warned that a German attack on Britain might be imminent. It was a call to arms that caught the imagination of the nation._
Our task is not only to win the battle – but to win the War. After this battle in France abates its force, there will come the battle for our island – for all that Britain is, and all that Britain means. That will be the struggle. In that supreme emergency we shall not hesitate to take every step, even the most drastic, to call forth from our people the last ounce and the last inch of effort of which they are capable. The interests of property, the hours of labour, are nothing compared with the struggle for life and honour, for right and freedom, to which we have vowed ourselves.
I have received from the Chiefs of the French Republic, and in particular from its indomitable Prime Minister, M. Reynaud, the most sacred pledges that whatever happens they will fight to the end, be it bitter or be it glorious. Nay, if we fight to the end, it can only be glorious.
Having received His Majesty's commission, I have found an administration of men and women of every party and of almost every point of view. We have differed and quarrelled in the past; but now one bond unites us all – to wage war until victory is won, and never to surrender ourselves to servitude and shame, whatever the cost and the agony may be. This is one of the most awe-striking periods in the long history of France and Britain. It is also beyond doubt the most sublime. Side by side, unaided except by their kith and kin in the great Dominions and by the wide Empires which rest beneath their shield – side by side, the British and French peoples have advanced to rescue not only Europe but mankind from the foulest and most soul-destroying tyranny which has ever darkened and stained the pages of history. Behind them – behind us – behind the armies and fleets of Britain and France – gather a group of shattered States and bludgeoned races: the Czechs, the Poles, the Norwegians, the Danes, the Dutch, the Belgians – upon all of whom the long night of barbarism will descend, unbroken even by a star of hope, unless we conquer, as conquer we must; as conquer we shall.
Today is Trinity Sunday. Centuries ago words were written to be a call and a spur to the faithful servants of Truth and Justice: 'Arm yourselves, and be ye men of valour, and be in readiness for the conflict; for it is better for us to perish in battle than to look upon the outrage of our nation and our altar. As the Will of God is in Heaven, even so let it be.'
•
## Winston Churchill
London, 18 June 1940
#### 'This was their finest hour'
> _The crumbling French resistance to Hitler could not be maintained much longer. On 10 June the government left Paris; on 16 June Marshal Pétain formed a new government. The next day France sued for peace. As Churchill predicted in this House of Commons speech, the Battle of France was over and the Battle of Britain had begun. Britain, he declared, was now resolved to fight on alone_.
>
> _The defiant words were heard by millions when it was broadcast four hours later and it is probably the best remembered Churchill speech of the war, particularly for the magnificent peroration. Even so, as Churchill wrote later, rhetoric was no guarantee of survival_.
We do not yet know what will happen in France or whether the French resistance will be prolonged, both in France and in the French Empire overseas. The French Government will be throwing away great opportunities and casting adrift their future if they do not continue the war in accordance with their Treaty obligations, from which we have not felt able to release them. The House will have read the historic declaration in which, at the desire of many Frenchmen – and of our own hearts – we have proclaimed our willingness at the darkest hour in French history to conclude a union of common citizenship in this struggle. However matters may go in France or with the French Government, or other French Governments, we in this island and in the British Empire will never lose our sense of comradeship with the French people. If we are now called upon to endure what they have been suffering, we shall emulate their courage, and if final victory rewards our toils they shall share the gains, aye, and freedom shall be restored to all. We abate nothing of our just demands: not one jot or tittle do we recede. Czechs, Poles, Norwegians, Dutch, Belgians have joined their causes to our own. All these shall be restored.
What General Weygand called the Battle of France is over. I expect that the Battle of Britain is about to begin. Upon this battle depends the survival of Christian civilization. Upon it depends our own British life, and the long continuity of our institutions and our Empire. The whole fury and might of the enemy must very soon be turned on us. Hitler knows that he will have to break us in this island or lose the war. If we can stand up to him, all Europe may be free and the life of the world may move forward into broad, sunlit uplands. But if we fail, then the whole world, including the United States, including all that we have known and cared for, will sink into the abyss of a new Dark Age made more sinister, and perhaps more protracted, by the lights of perverted science. Let us therefore brace ourselves to our duties and so bear ourselves that, if the British Empire and its Commonwealth last for a thousand years, men will still say, 'This was their finest hour.'
•
## Charles De Gaulle
London, 18–19 June 1940
#### 'The flame of French resistance'
> _A veteran of the First World War, when he served under Colonel Pétain, General de Gaulle (1890–1970) successfully commanded an armoured division in May 1940 and briefly held the junior post of under-secretary for war under Paul Reynaud, the French prime minister. When the French armies collapsed, Reynaud sent for Pétain, who soon became premier himself and made arrangements for surrender and an armistice. De Gaulle escaped to England to organize the Free French movement and was sentenced to death_ in absentia _by a French court._
>
> _The Battle of France was over, the Battle of Britain about to begin and the fortunes of the allies against Hitler stood at their lowest ebb as the tall French officer stood before the microphone to rally Frenchmen throughout the world._
##### I
The leaders who, for many years past, have been at the head of the French armed forces have set up a government.
Alleging the defeat of our armies, this government has entered into negotiations with the enemy with a view to bringing about a cessation of hostilities. It is quite true that we were, and still are, overwhelmed by enemy mechanized forces, both on the ground and in the air. It was the tanks, the planes, and the tactics of the Germans, far more than the fact that we were outnumbered, that forced our armies to retreat. It was the German tanks, planes, and tactics that provided the element of surprise which brought our leaders to their present plight.
But has the last word been said? Must we abandon all hope? Is our defeat final and irremediable? To those questions I answer – No!
Speaking in full knowledge of the facts, I ask you to believe me when I say that the cause of France is not lost. The very factors that brought about our defeat may one day lead us to victory.
For, remember this, France does not stand alone. She is not isolated. Behind her is a vast empire, and she can make common cause with the British Empire, which commands the seas and is continuing the struggle. Like England, she can draw unreservedly on the immense industrial resources of the United States.
This war is not limited to our unfortunate country. The outcome of the struggle has not been decided by the Battle of France. This is a world war. Mistakes have been made, there have been delays and untold suffering, but the fact remains that there still exists in the world everything we need to crush our enemies some day. Today we are crushed by the sheer weight of mechanized force hurled against us, but we can still look to a future in which even greater mechanized force will bring us victory. The destiny of the world is at stake.
I, General de Gaulle, now in London, call on all French officers and men who are at present on British soil, or may be in the future, with or without their arms; I call on all engineers and skilled workmen from the armaments factories who are at present on British soil, or may be in the future, to get in touch with me.
Whatever happens, the flame of French resistance must not and shall not die.
Tomorrow I shall broadcast again from London.
##### II
Frenchmen must now be fully aware that all ordinary forms of authority have disappeared.
Faced by the bewilderment of my countrymen, by the disintegration of a government in thrall to the enemy, by the fact that the institutions of my country are incapable, at the moment, of functioning, I, General de Gaulle, a French soldier and military leader, realize that I now speak for France.
In the name of France, I make the following solemn declaration:
It is the bounden duty of all Frenchmen who still bear arms to continue the struggle. For them to lay down their arms, to evacuate any position of military importance, or agree to hand over any part of French territory, however small, to enemy control, would be a crime against our country. For the moment I refer particularly to French North Africa – to the _integrity_ of French North Africa.
The Italian armistice is nothing but a clumsy trap. In the Africa of Clauzel, Bugeaud, Lyautey, and Noguès, honour and duty strictly enjoin that the French should refuse to carry out the conditions imposed by the enemy.
The thought that the panic of Bordeaux could make itself felt across the sea is not to be borne.
Soldiers of France, wherever you may be, arise!
> _De Gaulle acted as an inspiration to the French resistance. In June 1943 he became head of the French Committee of National Liberation in Algiers. He landed in Normandy a week after D-Day and marched into Paris on 25 August 1944, while German sharpshooters were still on the roofs._
•
## J. B. Priestley
London, 1940
#### 'This little steamer'
> _Churchill did not speak alone after Dunkirk. J. B. Priestley, the British novelist, commanded almost as big an audience for his Postscript broadcasts on BBC Radio with their cheerful, chatty understatements._
>
> _Priestley, the author of_ Good Companions _and_ English Journey _,_ _captured not only the mood of defiance of the British but also their deeply held inner conviction that they would triumph over 'little old Hitler' as well as the quintessential English spirit (echoing Stanley Baldwin's speech on England,page 94) that eventually conquered Hitler – as these two short Postscripts demonstrate._
Here at Dunkirk is another English epic. And to my mind what was most characteristically English about it – so typical of us, so absurd and yet so grand and gallant that you hardly know whether to laugh or to cry when you read about them – was the part played in the difficult and dangerous embarkation – not by the warships, magnificent though they were – but by the little pleasure-steamers. We've known them and laughed at them, these fussy little steamers, all our lives. We have called them 'the shilling sicks'. We have watched them load and unload their crowds of holiday passengers – the gents full of high spirits and bottled beer, the ladies eating pork pies, the children sticky with peppermint rock. Sometimes they only went as far as the next seaside resort. But the boldest of them might manage a Channel crossing, to let everybody have a glimpse of Boulogne. They were usually paddle steamers, making a great deal more fuss with all their churning than they made speed; and they weren't proud, for they let you see their works going round. They liked to call themselves _Queens_ and _Belles_ ; and even if they were new, there was always something old-fashioned, a Dickens touch, a mid-Victorian air, about them. They seemed to belong to the same ridiculous holiday world as pierrots and piers, sand castles, ham-and-egg teas, palmists, automatic machines, and crowded sweating promenades. But they were called out of that world – and, let it be noted – they were called out in good time and good order. Yes, those 'Brighton Belles' and 'Brighton Queens' left that innocent foolish world of theirs – to sail into the inferno, to defy bombs, shells, magnetic mines, torpedoes, machine-gun fire – to rescue our soldiers. Some of them – alas – will never return. Among those paddle steamers that will never return was one that I knew well, for it was the pride of our ferry service to the Isle of Wight – none other than the good ship _Gracie Fields_. I tell you, we were proud of the _Gracie Fields_ , for she was the glittering queen of our local line, and instead of taking an hour over her voyage, used to do it, churning like mad, in forty-five minutes. And now never again will we board her at Cowes and go down into her dining saloon for a fine breakfast of bacon and eggs. She has paddled and churned away – for ever. But now – look – this little steamer, like all her brave and battered sisters, is immortal. She'll go sailing proudly down the years in the epic of Dunkirk. And our great-grandchildren, when they learn how we began this War by snatching glory out of defeat, and then swept on to victory, may also learn how the little holiday steamers made an excursion to hell and came back glorious.
I think the countryman knows, without being told, that we hold our lives here, as we hold our farms, upon certain terms. One of those terms is that while wars still continue, while one nation is ready to hurl its armed men at another, you must if necessary stand up and fight for your own. And this decision comes from the natural piety of simple but sane men. Such men, you will notice, are happier now than the men who have lost that natural piety.
Well, as we talked on our post on the hilltop, we watched the dusk deepen in the valleys below, where our women-folk listened to the news as they knitted by the hearth, and we remembered that these were our homes and that now at any time they might be blazing ruins, and that half-crazy German youths, in whose empty eyes the idea of honour and glory seems to include every form of beastliness, might soon be let loose down there. The sentries took their posts. There was a mist coming over the down. Nothing much happened for a time. A green light that seemed to defy all black-out regulations turned out to be merely an extra large and luminous glow-worm; the glow-worms, poor ignorant little creatures, don't know there's a war on and so continue lighting themselves up. A few searchlights went stabbing through the dusk and then faded. The mist thickened, and below in all the valleys, there wasn't the faintest glimmer of light. You heard the ceaseless high melancholy singing of the telegraph wires in the wind.
So we talked about what happened to us in the last war, and about the hay and the barley, about beef and milk and cheese and tobacco. Then a belt of fog over to the left became almost silvery, because somewhere along there all the searchlights were sweeping the sky. Then somewhere behind that vague silveriness, there was a sound as if gigantic doors were being slammed to. There was the rapid stabbing noise of anti-aircraft batteries, and far away some rapping of machine-guns. Then the sirens went, in our two nearest towns, as if all that part of the darkened countryside, like a vast trapped animal, were screaming at us.
> _J. B. Priestley was included among the 2,820 people who were to be rounded up by the Nazis as dangerous adversaries after they had conquered Britain. They also included Noël Coward, Virginia Woolf, Aldous Huxley, E. M. Forster, H. G. Wells and Bertrand Russell._
•
## Franklin Delano Roosevelt
Washington, DC, 29 December 1940
#### 'The arsenal of democracy'
> _Although the Battle of Britain had been won, the Battle of the Atlantic was intensifying. Vessels were being sunk faster than British shipyards could replace them. Money was running out and soon Britain would not be able to pay for the supplies she needed._
>
> _Apart from responding to Britain's plight by increasing American naval activity in the Atlantic, Roosevelt aired the idea of Lend-Lease. 'If your neighbour's house is on fire and he wants to borrow your garden hose, you don't ask tobe paid, you just want your hose back.' Roosevelt also educated the American public about what was at stake in the war in some of his most dramatic speeches. One of them was this fireside chat._
The experience of the past two years has proven beyond doubt that no nation can appease the Nazis. No man can tame a tiger into a kitten by stroking it. There can be no appeasement with ruthlessness. There can be no reasoning with an incendiary bomb. We know now that a nation can have peace with the Nazis only at the price of total surrender...
The people of Europe who are defending themselves do not ask us to do their fighting. They ask us for the implements of war, the planes, the tanks, the guns, the freighters which will enable them to fight for their liberty and for our security. Emphatically we must get these weapons to them in sufficient volume and quickly enough, so that we and our children will be saved the agony and suffering of war which others have had to endure.
Let not the defeatists tell us that it is too late. It will never be earlier. Tomorrow will be later than today.
Certain facts are self-evident.
In a military sense Great Britain and the British Empire are today the spearhead of resistance to world conquest. They are putting up a fight which will live for ever in the story of human gallantry.
There is no demand for sending an American Expeditionary Force outside our own borders. There is no intention by any member of your Government to send such a force. You can, therefore, nail any talk about sending armies to Europe as deliberate untruth.
Our national policy is not directed toward war. Its sole purpose is to keep war away from our country and our people...
Democracy's fight against world conquest is being greatly aided, and must be more greatly aided, by the rearmament of the United States and by sending every ounce and every ton of munitions and supplies that we can possibly spare to help the defenders who are in the front lines. It is no more unneutral for us to do that than it is for Sweden, Russia and other nations near Germany, to send steel and ore and oil and other war materials into Germany every day of the week.
We are planning our own defence with the utmost urgency; and in its vast scale we must integrate the war needs of Britain and the other free nations which are resisting aggression...
No pessimistic policy about the future of America shall delay the immediate expansion of those industries essential to defence. We need them. It is the purpose of the nation to build now with all possible speed every machine, every arsenal, every factory that we need to manufacture our defence material. We have the men – the skill – the wealth – and above all, the will.
I am confident that if and when production of consumer or luxury goods in certain industries requires the use of machines and raw materials that are essential for defence purposes, then such production must yield, and will gladly yield, to our primary and compelling purpose.
I appeal to the owners of plants – to the managers – to the workers – to our own Government employees – to put every ounce of effort into producing these munitions swiftly and without stint. With this appeal I give you the pledge that all of us who are officers of your Government will devote ourselves to the same whole-hearted extent to the great task that lies ahead.
As planes and ships and guns and shells are produced, your Government, with its defence experts, can then determine how best to use them to defend this hemisphere. The decision as to how much shall be sent abroad and how much shall remain at home must be made on the basis of our over-all military necessities.
We must be the great arsenal of democracy. For us this is an emergency as serious as war itself. We must apply ourselves to our task with the same resolution, the same sense of urgency, the same spirit of patriotism and sacrifice as we would show were we at war.
> _This fireside chat was the most successful that Roosevelt had ever given. According to opinion polls, more than sixty per cent of Americans agreed with what he said._
•
## Franklin Delano Roosevelt
Washington, DC, 6 January 1941
#### 'The four freedoms'
> _Only eight days after promising to make America the arsenal of democracy, Roosevelt addressed Congress and made perhaps the most famous speech of his career, in which he declared that America would support all nations that struggled on behalf of four essential freedoms: freedom of speech and religion and freedom from want and fear (an echo of his inaugural address)._
>
> _Roosevelt was again offering implicit support to Britain and coaxing Americans towards a war that he was convinced they would sooner or later be forced to enter._
Every realist knows that the democratic way of life is at this moment being directly assailed in every part of the world – assailed either by arms, or by secret spreading of poisonous propaganda by those who seek to destroy unity and promote discord in nations that are still at peace.
During sixteen long months this assault has blotted out the whole pattern of democratic life in an appalling number of independent nations, great and small. The assailants are still on the march, threatening other nations, great and small.
Therefore, as your President, performing my constitutional duty to 'give to the Congress information of the state of the Union', I find it, unhappily, necessary to report that the future and the safety of our country and of our democracy are overwhelmingly involved in events far beyond our borders.
Armed defence of democratic existence is now being gallantly waged in four continents. If that defence fails, all the population and all the resources of Europe, Asia, Africa and Australasia will be dominated by the conquerors. Let us remember that the total of those populations and their resources in those four continents greatly exceeds the sum total of the population and the resources of the whole of the Western Hemisphere many times over.
In times like these it is immature – and incidentally, untrue – for anybody to brag that an unprepared America, single-handed, and with one hand tied behind its back, can hold off the whole world.
No realistic American can expect from a dictator's peace international generosity, or return of true independence, or world disarmament, or freedom of expression, or freedom of religion, or even good business.
Such a peace would bring no security for us or for our neighbours. 'Those, who would give up essential liberty to purchase a little temporary safety, deserve neither liberty nor safety.'
As a nation, we may take pride in the fact that we are soft-hearted; but we cannot afford to be soft-headed.
We must always be wary of those who with sounding brass and a tinkling cymbal preach the 'ism' of appeasement.
We must especially beware of that small group of selfish men who would clip the wings of the American eagle in order to feather their own nests.
I have recently pointed out how quickly the tempo of modern warfare could bring into our very midst the physical attack which we must eventually expect if the dictator nations win this war.
There is much loose talk of our immunity from immediate and direct invasion from across the seas. Obviously, as long as the British Navy retains its power, no such danger exists. Even if there were no British Navy, it is not probable that any enemy would be stupid enough to attack us by landing troops in the United States from across thousands of miles of ocean, until it had acquired strategic bases from which to operate.
But we learn much from the lessons of the past years in Europe – particularly the lesson of Norway, whose essential seaports were captured by treachery and surprise built up over a series of years.
As long as the aggressor nations maintain the offensive, they – not we – will choose the time and the place and the method of their attack.
That is why the future of all the American Republics is today in serious danger.
That is why this Annual Message to the Congress is unique in our history.
That is why every member of the Executive Branch of the Government and every member of the Congress faces great responsibility and great accountability.
The need of the moment is that our actions and our policy should be devoted primarily – almost exclusively – to meeting this foreign peril. For all our domestic problems are now a part of the great emergency.
Just as our national policy in internal affairs has been based upon a decent respect for the rights and the dignity of all our fellow men within our gates, so our national policy in foreign affairs has been based on a decent respect for the rights and dignity of all nations, large and small. And the justice of morality must and will win in the end.
Our national policy is this:
First, by an impressive expression of the public will and without regard to partisanship, we are committed to all-inclusive national defence.
Second, by an impressive expression of the public will and without regard to partisanship, we are committed to full support of all those resolute peoples, everywhere, who are resisting aggression and are thereby keeping war away from our Hemisphere. By this support, we express our determination that the democratic cause shall prevail; and we strengthen the defence and the security of our own nation.
Third, by an impressive expression of the public will and without regard to partisanship, we are committed to the proposition that principles of morality and considerations for our own security will never permit us to acquiesce in a peace dictated by aggressors and sponsored by appeasers. We know that enduring peace cannot be bought at the cost of other people's freedom.
In the future days, which we seek to make secure, we look forward to a world founded upon four essential human freedoms.
The first is freedom of speech and expression – everywhere in the world.
The second is freedom of every person to worship God in his own way – everywhere in the world.
The third is freedom from want – which, translated into world terms, means economic understandings which will secure to every nation a healthy peacetime life for its inhabitants – everywhere in the world.
The fourth is freedom from fear – which, translated into world terms, means a world-wide reduction of armaments to such a point and in such a thorough fashion that no nation will be in a position to commit an act of physical aggression against any neighbour – anywhere in the world.
That is no vision of a distant millennium. It is a definite basis for a kind of world attainable in our own time and generation. That kind of world is the very antithesis of the so-called new order of tyranny which the dictators seek to create with the crash of a bomb.
To that new order we oppose the greater conception – the moral order. A good society is able to face schemes of world domination and foreign revolutions alike without fear.
Since the beginning of our American history, we have been engaged in change – in a perpetual peaceful revolution – a revolution which goes on steadily, quietly adjusting itself to changing conditions – without the concentration camp or the quick-lime in the ditch. The world order which we seek is the cooperation of free countries, working together in a friendly, civilized society.
This nation has placed its destiny in the hands and heads and hearts of its millions of free men and women; and its faith in freedom under the guidance of God. Freedom means the supremacy of human rights everywhere. Our support goes to those who struggle to gain those rights or keep them. Our strength is our unity of purpose.
To that high concept there can be no end save victory.
•
## Joseph Stalin
Moscow, 3 July 1941
#### 'A grave danger hangs over our country'
> _Stalin was taken by surprise in 1941 when Hitler tore up the Nazi–Soviet Pact, launched Operation Barbarossa and invaded Russia. For the first week, he suffered some kind of mental breakdown, especially when he realized the speed with which the Germans were advancing. When members of the Politburo arrived to meet him at Kuntsevo on 30 June, he seems to have thought they had come to arrest him. Only after being urged to establish a state defence committee under his chairmanship did Stalin begin to recover his self-confidence and to reappear in the Kremlin_.
>
> _Once he had overcome his own fears, he emerged once again as the indispensable leader – and on 3 July spoke to the people over the radio. Appealing to Russian patriotism, he made an awe-inspiring call to the people to destroy everything if forced to retreat – to scorch the earth. It was as if the Russia of 1812 had been resurrected and spoken through Stalin's mouth, said one commentator._
Comrades! Citizens! Brothers and Sisters! Men of our Army and Navy!
I am addressing you, my friends!
The perfidious military attack on our fatherland, begun on 22 June by Hitler's Germany, is continuing.
In spite of heroic resistance of the Red Army, and although the enemy's finest divisions and finest air-force units have already been smashed and have met their doom on the field of battle, the enemy continues to push forward, hurling fresh forces into the attack.
Hitler's troops have succeeded in capturing Lithuania, a considerable part of Latvia, the western part of White Russia, and a part of the western Ukraine.
The Fascist air force is extending the range of operations of its bombers and is bombing Murmansk, Orsha, Mogilev, Smolensk, Kiev, Odessa, and Sevastopol.
A grave danger hangs over our country.
How could it have happened that our glorious Red Army surrendered a number of our cities and districts to the Fascist armies?
Is it really true that German Fascist troops are invincible, as is ceaselessly trumpeted by boastful Fascist propagandists? Of course not!
History shows that there are no invincible armies, and never have been. Napoleon's army was considered invincible, but it was beaten successively by Russian, English, and German armies. Kaiser Wilhelm's German army in the period of the first imperialist war was also considered invincible, but it was beaten several times by Russian and Anglo-French forces, and was finally smashed by Anglo-French forces.
The same must be said of Hitler's German Fascist army today. This army has not yet met with serious resistance on the Continent of Europe. Only on our territory has it met serious resistance, and if as a result of this resistance the finest divisions of Hitler's German Fascist army have been defeated by our Red Army, it means that this army, too, can be smashed and will be smashed as were the armies of Napoleon and Wilhelm.
There can be no doubt that this short-lived military gain for Germany is only an episode, while the tremendous political gain of the USSR is a serious and lasting factor that is bound to form the basis for development of decisive military successes of the Red Army in the war with Fascist Germany...
In case of a forced retreat of Red Army units, all rolling stock must be evacuated; to the enemy must not be left a single engine, a single railway car, not a single pound of grain or a gallon of fuel.
Collective farmers must drive off all their cattle and turn over their grain to the safekeeping of state authorities for transportation to the rear. All valuable property including nonferrous metals, grain, and fuel which cannot be withdrawn must without fail be destroyed.
In areas occupied by the enemy, guerrilla units, mounted and foot, must be formed, diversionist groups must be organized to combat enemy troops, to foment guerrilla warfare everywhere, to blow up bridges, roads, damage telephone and telegraph lines, and to set fire to forests, stores, and transports.
In occupied regions conditions must be made unbearable for the enemy and all his accomplices. They must be hounded and annihilated at every step and all their measures frustrated.
This war with Fascist Germany cannot be considered an ordinary war. It is not only a war between two armies, it is also a great war of the entire Soviet people against the German Fascist forces.
The aim of this national war in defence of our country against the Fascist oppressors is not only elimination of the danger hanging over our country, but also aid to all European peoples groaning under the yoke of German Fascism.
In this war of liberation we shall not be alone.
In this great war we shall have loyal allies in the peoples of Europe and America, including German people who are enslaved by Hitlerite despots.
Our war for the freedom of our country will merge with the struggle of the peoples of Europe and America for their independence, for democratic liberties. It will be a united front of peoples standing for freedom and against enslavement and threats of enslavement by Hitler's Fascist armies.
In this connection the historic utterance of British Prime Minister Churchill regarding aid to the Soviet Union and the declaration of the USA government signifying readiness to render aid to our country, which can only evoke a feeling of gratitude in the hearts of the peoples of the Soviet Union, are fully comprehensible and symptomatic.
Comrades, our forces are numberless. The overweening enemy will soon learn this to his cost. Side by side with the Red Army and Navy thousands of workers, collective farmers, and intellectuals are rising to fight the enemy aggressor. The masses of our people will rise up in their millions. The working people of Moscow and Leningrad already have commenced to form vast popular levies in support of the Red Army.
Such popular levies must be raised in every city that is in danger of an enemy invasion; all working people must be roused to defend our freedom, our honour, our country – in our patriotic war against German Fascism.
In order to insure a rapid mobilization of all forces of the peoples of the USSR, and to repulse the enemy who treacherously attacked our country, a State Committee of Defence has been formed in whose hands the entire power of the state has been vested.
The State Committee of Defence has entered into its functions and calls upon all our people to rally around the party of Lenin–Stalin and around the Soviet government so as self-denyingly to support the Red Army and Navy, demolish the enemy, and secure victory.
All our forces for the support of our heroic Red Army and our glorious Red Navy!
All the forces of the people – for the demolition of the enemy! Forward, to our victory!
•
## Franklin Delano Roosevelt
Washington, DC, 8 December 1941
#### 'A date which will live in infamy'
> _From the fall of France in 1940, Britain had conducted war with Germany and Italy on her own, and by the autumn of 1941 the Japanese were in Indo-China, on Singapore's doorstep. Only strong support from the United States might make the Japanese hesitate but the Americans were hard to draw_.
>
> _Then on 7 December, the Japanese attacked Pearl Harbor with 360 planes, sinking three battleships, destroying 120 planes and killing 2,403 Americans (mostly sailors)_.
>
> _In this brief speech, Roosevelt asked Congress to declare war on Japan. The opening line of Roosevelt's first draft read: 'a date which will live in world history'. He crossed out 'world history' and substituted 'infamy_ '.
>
> _As A. J. P. Taylor wrote, the doubts of Roosevelt were resolved. A true world war began. Churchill said: 'So we had won after all!'_
Mr Vice-President, Mr Speaker, members of the Senate and the House of Representatives:
Yesterday, December 7, 1941 – a date which will live in infamy – the United States of America was suddenly and deliberately attacked by naval and air forces of the empire of Japan.
The United States was at peace with that nation and, at the solicitation of Japan, was still in conversation with its government and its emperor looking toward the maintenance of peace in the Pacific.
Indeed, one hour after Japanese air squadrons had commenced bombing in the American island of Oahu the Japanese ambassador to the United States and his colleague delivered to our secretary of state a formal reply to a recent American message. And, while this reply stated that it seemed useless to continue the existing diplomatic negotiations, it contained no threat or hint of war or of armed attack.
It will be recorded that the distance of Hawaii from Japan makes it obvious that the attack was deliberately planned many days or even weeks ago. During the intervening time the Japanese government has deliberately sought to deceive the United States by false statements and expressions of hope for continued peace.
The attack yesterday on the Hawaiian Islands has caused severe damage to American naval and military forces. I regret to tell you that very many American lives have been lost. In addition, American ships have been reported torpedoed on the high seas between San Francisco and Honolulu.
Yesterday the Japanese government also launched an attack against Malaya.
Last night Japanese forces attacked Hong Kong.
Last night Japanese forces attacked Guam.
Last night Japanese forces attacked the Philippine Islands.
Last night the Japanese attacked Wake Island.
And this morning the Japanese attacked Midway Island.
Japan has therefore undertaken a surprise offensive extending throughout the Pacific area. The facts of yesterday and today speak for themselves. The people of the United States have already formed their opinions and well understand the implications to the very life and safety of our nation.
As commander in chief of the army and navy I have directed that all measures be taken for our defence. Always will we remember the character of the onslaught against us.
No matter how long it may take us to overcome this premeditated invasion, the American people, in their righteous might, will win through to absolute victory.
I believe that I interpret the will of the Congress and of the people when I assert that we will not only defend ourselves to the uttermost but will make it very certain that this form of treachery shall never again endanger us.
Hostilities exist. There is no blinking at the fact that our people, our territory, and our interests are in grave danger.
With confidence in our armed forces, with the unbounding determination of our people, we will gain the inevitable triumph. So help us God.
I ask that the Congress declare that since the unprovoked and dastardly attack by Japan on Sunday, December 7, 1941, a state of war has existed between the United States and the Japanese Empire.
•
## Reinhard Heydrich
Wannsee, 20 January 1942
#### 'The final solution'
> _One of the most important events in the history of the twentieth century occurred at a villa on the banks of the Wannsee, a lake near Berlin, on 20 January 1942. It was a conference under the chairmanship of Reinhard Heydrich, head of the_ SS _Intelligence Service, at which Hitler's Nazis planned the final solution, the extermination of about eleven million Jews in Europe. Heydrich had been appointed 'Plenipotentiary for the Preparation of the Final Solution of the European Jewish Question_ '.
>
> _This was his address to the senior civil servants_.
We have the means, the methods, the organization, experience and people. And we have the will. This is a historic moment in the struggle against Jewry. The Führer has declared his determination... to destroy European Jewry. The Führer sees himself... as exterminating fatal bacteria to save the organism. It is them or us. What has happened so far? Step by step we have forced the Jews out of all levels of German life...
We have forced them out of the _Lebensraum_ of the people partly by transfers to concentration camps, and partly due to Obersturm-bannführer Eichmann's organization by permitting 537,000 Jews to emigrate before the war; and finally...
We have seen since the beginning of the war the liquidation of hundreds of thousands of Polish, Baltic and Russian Jews. You gentlemen from the Party Chancellery, the Reich Chancellery, the Foreign Office, General Government and Ministry for the East have been kept informed by Gestapo reports of the Action groups' activities...
The Reichsführer SS has forbidden any further emigration of Jews. The Jews remaining in the Reich and all European Jews in our present and future spheres of influence will be evacuated to the East for the final solution...
We shall work effectively but silently. Total cooperation will be required in this matter of life or death for the Reich. So that we can all envisage what the Jewish question in the Reich involves ( _pointing to a map of Europe_ ) the red area shows the Reich on the eve of war. This is the Eastern front. Behind in white conquered Eastern territories under Germany's civilian rule. In pink territories subject to the Reich – in vertical red stripes occupied territories in the rest of Europe. Horizontal red stripes, our Allies or countries under our influence. The dots on the map like fly spots represent the density of the Jewish population. That is our problem the further we advance between Riga and Odessa.
We must deal with the settlements of our Jewish opponents. They've made themselves comfortable there for centuries. In my own home town of Odessa there are more than 70,000 Jewish inhabitants. There were, used to be ( _laughter_ ). To sum up, gentlemen, our Action groups following hard on the heels of our troops have virtually eliminated the Jewish concentrations. We have influenced the old anti-Semitism by certain procedural measures.
Now the rough work has been done we begin the period of finer work. We need to work in harmony with the civil administration. We count on you gentlemen as far as the final solution is concerned. What is to be resolved will be resolved here ( _pointing to the East_ ), at the world's arse, as my men say. War and gunsmoke have made immense achievements possible. It is the Reichsführer SS's will that the Jewish question is settled there in one clean sweep. The total Jews concerned – 11,000,000.
This breaks down as follows:
In the old Reich – 130,000
In Austria – 43,000
In the Protectorate – 75,000
In the General Government – 2,500,000
In the Balkans – 1,600,000
In Occupied France – 165,000
In Unoccupied France – 740,000 (Quite a task!)
In the New Europe for which we shall be responsible, in foreign unoccupied countries, like England – 330,000
In neutral countries like Switzerland – 18,000 of the Chosen People.
In the final solution we will use the Jews as labour in the East. They will be marched, both sexes segregated, in columns, building roads on the way, breaking rocks, draining marshes. We'll give them every opportunity to find out what work means, on the extensive industrial plants now being constructed by Comrade Pohl of the SS's Economic Office...
Of course, most of these Jews will succumb to natural wastage: the remainder, the toughest, will have to be processed accordingly. Why? Because it is the survival of the fittest. Otherwise they'd seed a new Jewish resurrection. Look at history!
> _Heydrich was wounded in Prague on 27 May 1942 by two Czechs parachuted in from Britain. He died eight days later. His death was revenged by the massacre at Lidice. Wherever Heydrich went, a trail of blood was always left behind. He was correctly described as a butcher and a hangman_.
•
## General Bernard Montgomery
Cairo, 13 August 1942
#### 'We will stand and fight here'
> _The fame of Bernard Montgomery (1887–1976) as a field commander was established with the British Eighth Army from July 1942 to January 1944 as the Desert Rats fought Erwin Rommel, the brilliant German general, from Alamein across north Africa and then into Sicily and southern Italy_.
>
> _Monty, as he was universally known, was an inspiring leader who cared for his soldiers' morale. He could play with an audience of British troops like a fanatical ecclesiastic launching a crusade, said one contemporary observer. Monty arrived in Cairo on 12 August 1942, and assumed command of the Eighth Army the next day, when he made this address to his demoralized officers_.
I want first of all to introduce myself to you. You do not know me. I do not know you. But we have got to work together; therefore we must understand each other, and we must have confidence each in the other. I have only been here a few hours. But from what I have seen and heard since I arrived I am prepared to say, here and now, that I have confidence in you. We will then work together as a team; and together we will gain the confidence of this great Army and go forward to final victory in Africa.
I believe that one of the first duties of a commander is to create what I call 'atmosphere', and in that atmosphere his staff, subordinate commanders, and troops will live and work and fight.
I do not like the general atmosphere I find here. It is an atmosphere of doubt, of looking back to select the next place to which to withdraw, of loss of confidence in our ability to defeat Rommel, of desperate defence measures by reserves in preparing positions in Cairo and the Delta.
All that must cease.
Let us have a new atmosphere.
The defence of Egypt lies here at Alamein and on the Ruweisat Ridge. What is the use of digging trenches in the Delta? It is quite useless; if we lose this position we lose Egypt; all the fighting troops now in the Delta must come here at once, and will. _Here_ we will stand and fight; there will be no further withdrawal. I have ordered that all plans and instructions dealing with further withdrawal are to be burnt, and at once. We will stand and fight _here_.
If we can't stay here alive, then let us stay here dead.
I want to impress on everyone that the bad times are over. Fresh Divisions from the UK are now arriving in Egypt, together with ample reinforcements for our present Divisions. We have 300 to 400 Sherman new tanks coming and these are actually being unloaded at Suez _now_. Our mandate from the Prime Minister is to destroy the Axis forces in North Africa; I have seen it, written on half a sheet of notepaper. And it will be done. If anyone here thinks it can't be done, let him go at once; I don't want any doubters in this party. It can be done, and it will be done: beyond any possibility of doubt.
Now I understand that Rommel is expected to attack at any moment. Excellent. Let him attack.
I would sooner it didn't come for a week, just give me time to sort things out. If we have two weeks to prepare we will be sitting pretty; Rommel can attack as soon as he likes, after that, and I hope he does.
Meanwhile, we ourselves will start to plan a great offensive; it will be the beginning of a campaign which will hit Rommel and his Army for six right out of Africa.
But first we must create a reserve Corps, mobile and strong in armour, which we will train _out of the line_. Rommel has always had such a force in his Africa Corps, which is never used to hold the line but which is always in reserve, available for striking blows. Therein has been his great strength. We will create such a Corps ourselves, a British Panzer Corps; it will consist of two armoured Divisions and one motorized Division; I gave orders yesterday for it to begin to form, back in the Delta.
I have no intention of launching our great attack until we are completely ready; there will be pressure from many quarters to attack soon; _I will not attack until we are ready_ , and you can rest assured on that point.
Meanwhile, if Rommel attacks while we are preparing, let him do so with pleasure; we will merely continue with our own preparations and _we_ will attack when _we_ are ready, and not before.
I want to tell you that I always work on the Chief of Staff system. I have nominated Brigadier de Guingand as Chief of Staff Eighth Army. I will issue orders through him. Whatever he says will be taken as coming from me and will be acted on _at once_. I understand there has been a great deal of 'bellyaching' out here. By bellyaching I mean inventing poor reasons for _not_ doing what one has been told to do.
All this is to stop at once.
I will tolerate no bellyaching.
If anyone objects to doing what he is told, then he can get out of it: and at once. I want that made very clear right down through the Eighth Army.
I have little more to say just at present. And some of you may think it is quite enough and may wonder if I am mad.
I assure you I am quite sane.
I understand there are people who often think I am slightly mad; so often that I now regard it as rather a compliment.
All I have to say to that is that if I am slightly mad, there are a large number of people I could name who are raving lunatics!!
What I have done is to get over to you the 'atmosphere' in which we will now work and fight; you must see that that atmosphere permeates right through the Eighth Army to the most junior private soldier. All the soldiers must know what is wanted; when they see it coming to pass there will be a surge of confidence throughout the Army.
I ask you to give me your confidence and to have faith that what I have said will come to pass.
There is much work to be done.
The orders I have given about no further withdrawal will mean a complete change in the layout of our dispositions; also, we must begin to prepare for our great offensive.
The first thing to do is to move our HQ to a decent place where we can live in reasonable comfort and where the Army Staff can all be together and side by side with the HQ of the Desert Air Force. This is a frightful place here, depressing, unhealthy and a rendezvous for every fly in Africa; we shall do no good work here. Let us get over there by the sea where it is fresh and healthy. If officers are to do good work they must have decent messes, and be comfortable. So off we go on the new line.
The Chief of Staff will be issuing orders on many points very shortly, and I am always available to be consulted by the senior officers of the staff. The great point to remember is that we are going to finish with this chap Rommel once and for all. It will be quite easy. There is no doubt about it.
He is definitely a nuisance. Therefore we will hit him a crack and finish with him.
> _Montgomery's speech to his officers marked one of the turning points of the war. Rommel's offensive at Alam Halfa began on the night of 30–31 August. The attack was held. Monty had gained the initiative and at El Alamein in October he won a decisive victory. He went on to command Allied ground troops in the Normandy landings and he played a decisive role in checking the German counter-offensive in the Ardennes in 1944. On 4 May 1945 he formally accepted the surrender of all German forces in north-western Europe at Lüneburg Heath_.
•
## Chaim Rumkowski
Łódź ghetto, 4 September 1942
#### 'Give me your children'
> _At the Łódź ghetto in Poland, which the Germans used to incarcerate the old and sick and other unwanted Jews from the cities of western Europe, Chaim Rumkowski, aged sixty, a widower without children and Elder of the ghetto, believed he was ruling a Jewish state. He loved the ghetto, where more than 160,000 Jews were contained. It was his dominion and he tried to point out the value of ghettoization, a partial fulfilment of the Zionist goals he embraced. He repeatedlytold Jews at Łódź that when the war was over he would be chosen to run a protectorate that the Nazis would establish to contain all the Jews of Europe_.
>
> _Although Rumkowski bargained with the Germans to minimize deportations from the ghetto, his Faustian pact with the Nazis obliged him to fulfil an unending series of deportation orders imposed on him by the Nazis: ten thousand, fifteen thousand, twenty thousand – and then ten thousand more. Finally the entire ghetto was gone_.
>
> _The most chilling of all his exhortations to the inhabitants of Łódź ghetto (perhaps indeed the most horrifying speech in this anthology) was this address in which he urged the Jews to give up their children to the Nazis – and the gas ovens_.
>
> _In_ The Drowned and the Saved _,_ _Primo Levi describes Rumkowski's oratorical style as unmistakable. He adopted the technique of Mussolini and Hitler, the style of inspired recitation, pseudo-colloquy with the crowd, the creation of consent through subjugation and plaudit. 'The man who has throne and sceptre, who is not afraid of being contradicted or derided, speaks like this_.'
A grievous blow has struck the ghetto. They are asking us to give up the best we possess – the children and the elderly. I was unworthy of having a child of my own, so I gave the best years of my life to children. I've lived and breathed with children. I never imagined that I would be forced to deliver this sacrifice to the altar with my own hands. In my old age I must stretch out my hands and beg: Brothers and sisters, hand them over to me! Fathers and mothers, give me your children! ( _Horrible, terrifying wailing among the assembled crowd_.)
I had a suspicion something was about to befall us. I anticipated 'something' and was always like a watchman on guard to prevent it. But I was unsuccessful because I did not know what was threatening us. I did not know the nature of the danger. The taking of the sick from the hospitals caught me completely by surprise. And I give you the best proof there is of this: I had my own nearest and dearest among them, and I could do nothing for them.
I thought that that would be the end of it, that after that they'd leave us in peace, the peace for which I long so much, for which I've always worked, which has been my goal. But something else, it turned out, was destined for us. Such is the fate of the Jews: always more suffering and always worse suffering, especially in times of war.
Yesterday afternoon, they gave me the order to send more than 20,000 Jews out of the ghetto, and if not – 'We will do it!' So, the question became: 'Should we take it upon ourselves, do it ourselves, or leave it for others to do?' Well, we – that is, I and my closest associates – thought first not about 'How many will perish?' but 'How many is it possible to save?' And we reached the conclusion that, however hard it would be for us, we should take the implementation of this order into our own hands.
I must perform this difficult and bloody operation – I must cut off limbs in order to save the body itself! – I must take children because, if not, others may be taken as well, God forbid.
( _Horrible wailing_.)
I have no thought of consoling you today. Nor do I wish to calm you. I must lay bare your full anguish and pain. I come to you like a bandit, to take from you what you treasure most in your hearts! I have tried, using every possible means, to get the order revoked. I tried – when that proved to be impossible – to soften the order. Just yesterday I ordered a list of children aged nine – I wanted, at least, to save this one age group, the nine- to ten-year-olds. But I was not granted this concession. On only one point did I succeed, in saving the ten-year-olds and up. Let this be a consolation in our profound grief.
There are, in the ghetto, many patients who can expect to live only a few days more, maybe a few weeks. I don't know if the idea is diabolical or not, but I must say it: 'Give me the sick. In their place, we can save the healthy.' I know how dear the sick are to any family, and particularly to Jews. However, when cruel demands are made, one has to weigh and measure: who shall, can and may be saved? And common sense dictates that the saved must be those who can be saved and those who have a chance of being rescued, not those who cannot be saved in any case.
We live in the ghetto, mind you. We live with so much restriction that we do not have enough even for the healthy, let alone for the sick. Each of us feeds the sick at the expense of our own health: we give our bread to the sick. We give them our meagre ration of sugar, our little piece of meat. And what's the result? Not enough to cure the sick, and we ourselves become ill. Of course, such sacrifices are the most beautiful and noble. But there are times when one has to choose: sacrifice the sick, who haven't the slightest chance of recovery and who also may make others ill, or rescue the healthy.
I could not deliberate over this problem for long; I had to resolve it in favour of the healthy. In this spirit, I gave the appropriate instructions to the doctors, and they will be expected to deliver all incurable patients, so that the healthy, who want and are able to live, will be saved in their place.
( _Horrible weeping_.)
I understand you, mothers; I see your tears, all right. I also feel what you feel in your hearts, you fathers who will have to go to work the morning after your children have been taken from you, when just yesterday you were playing with your dear little ones. I know and feel all this. Since four o'clock yesterday, when I first found out about the order, I have been utterly broken. I share your pain. I suffer because of your anguish, and I don't know how I'll survive this – where I'll find the strength.
I must tell you a secret: they requested 24,000 victims, 3,000 a day for eight days. I succeeded in reducing the number to 20,000, but only on the condition that these would be children below the age of ten. Children ten and older are safe. Since the children and the aged together equal only some 13,000 souls, the gap will have to be filled with the sick.
I can barely speak. I am exhausted; I only want to tell you what I am asking of you: Help me carry out this action! I am trembling. I am afraid that others, God forbid, will do it themselves...
A broken Jew stands before you. Do not envy me. This is the most difficult of all the orders I've ever had to carry out at any time. I reach out to you with my broken, trembling hands and I beg: Give into my hands the victims, so that we can avoid having further victims, and a population of a hundred thousand Jews can be preserved. So they promised me: if we deliver our victims by ourselves, there will be peace...
( _Shouts: 'We all will go!' 'Mr Chairman, an only child should not be taken; children should be taken from families with several children!'_ )
These are empty phrases! I don't have the strength to argue with you! If the authorities were to arrive, none of you would shout.
I understand what it means to tear off a part of the body. Yesterday I begged on my knees, but it didn't work. From small villages with Jewish populations of seven to eight thousand, barely a thousand arrived here. So which is better? What do you want: that eighty to ninety thousand Jews remain, or, God forbid, that the whole population be annihilated?
You may judge as you please; my duty is to preserve the Jews who remain. I do not speak to hotheads. I speak to your reason and conscience. I have done and will continue doing everything possible to keep arms from appearing in the streets and blood from being shed. The order could not be undone; it could only be reduced.
One needs the heart of a bandit to ask from you what I am asking. But put yourself in my place, think logically, and you'll reach the conclusion that I cannot proceed any other way. The part that can be saved is much larger than the part that must be given away.
> _By 1 September 1944, nearly all the Jews of Łódz´ had been murdered. Rumkowski was told he could remain in the ghetto. He declined the offer and joined the last transport for Auschwitz where he too was murdered. Soviet troops liberated the ghetto on 19 January 1945. Of the 160,000 original inhabitants, there remained 870 starving human beings_.
•
## Éamon De Valera
Dublin, 17 March 1943
#### 'The vision of such an Ireland'
> _Guerrilla commander, political prisoner, successful revolutionary, a partisan in civil war, Éamon de Valera (1882–1975) was prime minister of Ireland for more than twenty years and president for fourteen years until he retired in 1973 at the age of ninety. He was elected president of Sinn Féin, the Irish republicanparty, in 1917, but subsequently founded Fianna Fáil and formed a government in 1932. As prime minister he gradually cut the links binding Dublin to British rule. A new constitution in 1937 created the sovereign democratic state of Eire_.
>
> _As Roy Foster, the historian of Ireland, says, Fianna Fáil Ireland was a nation set apart by Catholicism and nationality: the interlocking relationships of Church and politics helped to define a unique, God-given way of life. There was also revealed a fierce suspicion of cosmopolitanism and what it stood for, as shown in de Valera's St Patrick's Day broadcasts on the new national radio station_.
>
> _The most celebrated of those broadcasts was made in 1943 when he called up a vision of an Ireland characterized by cosy homesteads, athletic youths and comely maidens_.
Before the present war began I was accustomed on St Patrick's Day to speak to our kinsfolk in foreign lands, particularly those in the United States, and to tell them year by year of the progress being made towards building up the Ireland of their dreams and ours – the Ireland that we believe is destined to play, by its example and its inspiration, a great part as a nation among the nations.
Acutely conscious though we all are of the misery and desolation in which the greater part of the world is plunged, let us turn aside for a moment to that ideal Ireland that we would have. That Ireland which we dreamed of would be the home of a people who valued material wealth only as the basis of right living, of a people who were satisfied with frugal comfort and devoted their leisure to the things of the spirit – a land whose countryside would be bright with cosy homesteads, whose fields and villages would be joyous with the sounds of industry, with the romping of sturdy children, the contests of athletic youths and the laughter of comely maidens, whose firesides would be forums for the wisdom of serene old age. It would, in a word, be the home of a people living the life that God desires that man should live.
With the tidings that make such an Ireland possible, St Patrick came to our ancestors 1,500 years ago, promising happiness here as well as happiness hereafter. It was the pursuit of such an Ireland that later made our country worthy to be called the Island of Saints and Scholars. It was the idea of such an Ireland, happy, vigorous, spiritual, that fired the imagination of our poets, that made successive generations of patriotic men give their lives to win religious and political liberty, and that will urge men in our own and future generations to die, if need be, so that these liberties may be preserved.
One hundred years ago the Young Irelanders, by holding up the vision of such an Ireland before the people, inspired our nation and moved it spiritually as it had hardly been moved since the golden age of Irish civilization. Fifty years after the Young Irelanders, the founders of the Gaelic League similarly inspired and moved the people of their day, as did later the leaders of the Volunteers. We of this time, if we have the will and the active enthusiasm, have the opportunity to inspire and move our generation in like manner. We can do so by keeping this thought of a noble future for our country constantly before our minds, ever seeking in action to bring that future into being, and ever remembering that it is to our nation as a whole that future must apply.
For many the pursuit of the material is a necessity. Man, to express himself fully and to make the best use of the talents God has given him, needs a certain minimum of comfort and leisure. A section of our people have not yet this minimum. They rightly strive to secure it, and it must be our aim and the aim of all who are just and wise to assist in the effort. But many have got more than is required and are free, if they choose, to devote themselves more completely to cultivating the things of the mind, and in particular those which mark us out as a distinct nation.
The first of these latter is the national language. It is for us what no other language can be. It is our very own. It is more than a symbol; it is an essential part of our nationhood. It has been moulded by the thought of a hundred generations of our forebears. In it is stored the accumulated experience of a people, our people, who even before Christianity was brought to them were already cultured and living in a well-ordered society. The Irish language spoken in Ireland today is the direct descendant without break of the language our ancestors spoke in those far-off days.
As a vehicle of three thousand years of our history, the language is for us precious beyond measure. As the bearer to us of a philosophy, of an outlook on life deeply Christian and rich in practical wisdom, the language today is worth far too much to dream of letting it go. To part with it would be to abandon a great part of ourselves, to lose the key of our past, to cut away the roots from the tree. With the language gone we could never aspire again to being more than half a nation.
For my part, I believe that this outstanding mark of our nationhood can be preserved and made forever safe by this generation. I am indeed certain of it, but I know that it cannot be saved without understanding and cooperation and effort and sacrifice. It would be wrong to minimize the difficulties. They are not slight. The task of restoring the language as the everyday speech of our people is a task as great as any nation ever undertook. But it is a noble task. Other nations have succeeded in it, though in their case, when the effort was begun, their national language was probably more widely spoken among their people than is ours with us. As long as the language lives, however, on the lips of the people as their natural speech in any substantial part of this land we are assured of success if – _if_ we are in earnest.
•
## General George Patton
England and France, 1943–4
#### 'That son of a bitch Patton again'
> _'Old Blood and Guts' was the nickname given to General George Patton (1885–1945) by his troops during the Second World War as a testimony to his reputation for recklessness and hot-headed daring._
>
> _That daring was shown at its most flamboyant in 1944 when his Third Army advanced across France in a sweep through Brittany, round Paris, up the Marne and the Moselle, across the Rhine and eventually into Czechoslovakia in April 1945._
>
> _As they went into battle, Patton, puffing his cigar, was given to making short, sharp, morale-boosting addresses at his staff conferences and to his men._
>
> _The three published here were given to his troops in England and Normandy. The third was his welcome to the 761st 'Black Panther' Tank Battalion. They show that you don't need to be long-winded to be eloquent or to allow your audience to get the message, and raised profanity to a fine art._
I am not supposed to be commanding this Army – I am not even supposed to be in England. Let the first bastards to find out be the goddam Germans. Some day I want them to rise on their hind legs and howl: 'Jesus Christ, it's that goddam Third Army and that son of a bitch Patton again'... There's one great thing that you men can say when it's all over and you're home once more. You can thank God that twenty years from now when you're sitting by the fireside with your grandson on your knee, and he asks you what you did in the war, you won't have to shift him to the other knee, cough and say, 'I shovelled crap in Louisiana.'
Now, gentlemen, doubtless from time to time there will be some complaints that we are pushing people too hard. I don't give a good goddam about such complaints. I believe in the old and sound rule that an ounce of sweat is worth a gallon of blood. The harder we push, the more Germans we'll kill, and gentlemen, the more Germans we kill, the fewer of our men will be killed. Pushing means fewer casualties. I want you to remember that.
There's another thing I want you to remember. Forget this goddam business of worrying about our flanks. We must guard our flanks, but not to the extent that we don't do anything else. Some goddammed fool once said that flanks must be secured and since then sons of bitches all over the world have been going crazy guarding their flanks. We don't want any of that in the Third Army. Flanks are something for the enemy to worry about, not us.
Also, I don't want to get any messages saying, 'I'm holding my position.' We're not holding anything! Let the Hun do that. We are advancing constantly and are not interested in holding anything, except the enemy. We're going to hold on to him and kick the hell out of him all the time.
Our basic plan of operation is to advance and to keep on advancing regardless of whether we have to go over, under, or through the enemy. We have one motto, _'L'audace, l'audace, toujours l'audace!'_ Remember that, gentlemen. From here on out, until we win or die in the attempt, we will always be audacious.
Men, you are the first Negro tankers ever to fight in the American army. I would never have asked for you if you were not good. I have nothing but the best in my army. I don't care what colour you are as long as you go up there and kill those Kraut sons of bitches. Everyone has their eyes on you and are expecting great things from you. Most of all, your race is looking forward to your success. Don't let them down, and, damn you, don't let me down!
If you want me you can always find me in the lead tank.
> _Patton was killed in a road accident while commanding the US Fifth Army in occupied Germany in December 1945._
•
## Bishop George Bell
London, 9 February 1944
#### 'Obliteration is not a justifiable act of war'
> _The Anglican churchman George Bell (1893–1958) was Dean of Canterbury and then Bishop of Chichester from 1929 to 1958. Bell was a bishop with an international outlook and moral courage. That courage was demonstrated when he exposed the anti-Christian trend of Hitlerism at its beginnings, for which he was sharply criticized. It was shown again during the Second World War when he attacked the Allied policy of bombing cities and civilian homes in Germany, as in this House of Lords speech. His criticism made him deeply unpopular but he did not flinch from his moral position._
I turn to the situation in February 1944, and the terrific devastation by Bomber Command of German towns. I do not forget the Luftwaffe, or its tremendous bombing of Belgrade, Warsaw, Rotterdam, London, Portsmouth, Coventry, Canterbury and many other places of military, industrial and cultural importance. Hitler is a barbarian. There is no decent person on the Allied side who is likely to suggest that we should make him our pattern or attempt to be competitors in that market. It is clear enough that large-scale bombing of enemy towns was begun by the Nazis. I am not arguing that point at all. The question with which I am concerned is this. Do the Government understand the full force of what area bombardment is doing and is destroying now? Are they alive not only to the vastness of the material damage, much of which is irreparable, but also to the harvest they are laying up for the future relationships of the peoples of Europe as well as to its moral implications? The aim of Allied bombing from the air, said the Secretary of State for Air at Plymouth on 22 January, is to paralyse German war industry and transport. I recognize the legitimacy of concentrated attack on industrial and military objectives, on airfields and air bases, in view especially of the coming of the Second Front. I fully realize that in attacks on centres of war industry and transport the killing of civilians when it is the result of bona-fide military activity is inevitable. But there must be a fair balance between the means employed and the purpose achieved. To obliterate a whole town because certain portions contain military and industrial establishments is to reject the balance.
Let me take two crucial instances, Hamburg and Berlin. Hamburg has a population of between one and two million people. It contains targets of immense military and industrial importance. It also happens to be the most democratic town in Germany where the anti-Nazi opposition was strongest. Injuries to civilians resulting from bona-fide attacks on particular objectives are legitimate according to International Law. But owing to the methods used the whole town is now a ruin. Unutterable destruction and devastation were wrought last autumn. On a very conservative estimate, according to the early German statistics, 28,000 persons were killed. Never before in the history of air warfare was an attack of such weight and persistence carried out against a single industrial concentration. Practically all the buildings, cultural, military, residential, industrial, religious – including the famous University Library with its 800,000 volumes, of which three-quarters have perished – were razed to the ground.
Berlin, the capital of the Reich, is four times the size of Hamburg. The offices of the Government, the military, industrial, war-making establishments in Berlin are a fair target. Injuries to civilians are inevitable. But up to date half Berlin has been destroyed, area by area, the residential and the industrial portions alike. Through the dropping of thousands of tons of bombs, including fire-phosphorus bombs, of extraordinary power, men and women have been lost, overwhelmed in the colossal tornado of smoke, blast and flame. It is said that 74,000 persons have been killed and that three million are already homeless. The policy is obliteration, openly acknowledged. That is not a justifiable act of war. Again, Berlin is one of the greatest centres of art collections in the world. It has a large collection of Oriental and classical sculpture. It has one of the best picture galleries in Europe, comparable to the National Gallery. It has a gallery of modern art better than the Tate, a museum of ethnology without parallel in this country, one of the biggest and best organized libraries – State and university, containing two and a half million books – in the world. Almost all these non-industrial, non-military buildings are grouped together near the old Palace and in the Street of the Linden. The whole of that street, which has been constantly mentioned in the accounts of the raids, has been demolished. It is possible to replace flat houses by mass production. It is not possible so quickly to rebuild libraries or galleries or churches or museums. It is not very easy to rehouse those works of art which have been spared. Those works of art and those libraries will be wanted for the re-education of the Germans after the war. I wonder whether your Lordships realize the loss involved in that.
How is it, then, that this wholesale destruction has come about? The answer is that it is the method used, the method of area bombing. The first outstanding raid of area bombing was, I believe, in the spring of 1942, directed against Lübeck, then against Rostock, followed by the thousand-bomber raid against Cologne at the end of May 1942. The point I want to bring home, because I doubt whether it is sufficiently realized, is that it is no longer definite military and industrial objectives which are the aim of the bombers, but the whole town, area by area, is plotted carefully out. This area is singled out and plastered on one night; that area is singled out and plastered on another night; a third, a fourth, a fifth area is similarly singled out and plastered night after night, till, to use the language of the Chief of Bomber Command with regard to Berlin, the heart of Nazi Germany ceases to beat. How can there be discrimination in such matters when civilians, monuments, military objectives and industrial objectives all together form the target? How can the bombers aim at anything more than a great space when they see nothing and the bombing is blind?
Is it a matter for wonder that anti-Nazis who long for help to over-throw Hitler are driven to despair? I have here a telegram, which I have communicated to the Foreign Office, sent to me on 27 December last by a well-known anti-Nazi Christian leader who had to flee from Germany for his life long before the war. It was sent from Zürich, and puts what millions inside Germany must feel. He says:
> 'Is it understood that present situation gives us no sincere opportunity for appeal to people because one cannot but suspect effect of promising words on practically powerless population convinced by bombs and phosphor that their annihilation is resolved?'
If we wish to shorten the war, as we must, then let the Government speak a word of hope and encouragement both to the tortured millions of Europe and to those enemies of Hitler to whom in 1939 Mr Churchill referred as 'millions who stand aloof from the seething mass of criminality and corruption constituted by the Nazi Party machine'.
Why is there this blindness to the psychological side? Why is there this inability to reckon with the moral and spiritual facts? Why is there this forgetfulness of the ideals by which our cause is inspired? How can the War Cabinet fail to see that this progressive devastation of cities is threatening the roots of civilization? How can they be blind to the harvest of even fiercer warring and desolation, even in this country, to which the present destruction will inevitably lead when the members of the War Cabinet have long passed to their rest? How can they fail to realize that this is not the way to curb military aggression and end war? This is an extraordinarily solemn moment. What we do in war – which, after all, lasts a comparatively short time – affects the whole character of peace, which covers a much longer period. The sufferings of Europe, brought about by the demoniac cruelty of Hitler and his Nazis, and hardly imaginable to those in this country who for the last five years have not been out of this island or had intimate association with Hitler's victims, are not to be healed by the use of power only, power exclusive and unlimited. The Allies stand for something greater than power. The chief name inscribed on our banner is 'Law'. It is of supreme importance that we who, with our Allies, are the liberators of Europe should so use power that it is always under the control of law. It is because the bombing of enemy towns – this area bombing – raises this issue of power unlimited and exclusive that such immense importance is bound to attach to the policy and action of His Majesty's Government. I beg to move.
> _Bell was the natural choice to become Archbishop of Canterbury, but was ignored by Winston Churchill, who had disliked his attacks on British war policy._
•
## J. Robert Oppenheimer
Los Alamos, New Mexico, 2 November 1945
#### 'Our deep moral dependence'
> _Ever since the discovery of nuclear fission, Julius Robert Oppenheimer (1904–67), one of the world's greatest nuclear scientists, carried in his mind the possibility of powerful explosives based on it. He realized how much it might do for the Allies in the Second World War and how much it might change the course of history – and also how ominous the developments could be for the future of the human race._
>
> _He became the first director of the Los Alamos atomic-bomb project in 1943 and led the scientists who produced the atomic bombs that fell on Hiroshima and Nagasaki._
>
> _He resigned in 1945 and made this speech, as a fellow scientist and 'fellowworrier', to the Association of Los Alamos Scientists – a defence of the atomic bomb that was permeated with uneasiness about how it might now be used._
The reason that we did this job is because it was an organic necessity. If you are a scientist you cannot stop such a thing. If you are a scientist you believe that it is good to find out how the world works; that it is good to find out what the realities are; that it is good to turn over to mankind at large the greatest possible power to control the world and to deal with it according to its lights and its values.
There has been a lot of talk about the evil of secrecy, of concealment, of control, of security. Some of that talk has been on a rather low plane, limited really to saying that it is difficult or inconvenient to work in a world where you are not free to do what you want. I think that the talk has been justified, and that the almost unanimous resistance of scientists to the imposition of control and secrecy is a justified position, but I think that the reason for it may lie a little deeper. I think that it comes from the fact that secrecy strikes at the very root of what science is, and what it is for. It is not possible to be a scientist unless you believe that it is good to learn. It is not good to be a scientist, and it is not possible, unless you think that it is of the highest value to share your knowledge, to share it with anyone who is interested. It is not possible to be a scientist unless you believe that the knowledge of the world, and the power which this gives, is a thing which is of intrinsic value to humanity, and that you are using it to help in the spread of knowledge, and are willing to take the consequences. And, therefore, I think that this resistance which we feel and see all around us to anything which is an attempt to treat science of the future as though it were rather a dangerous thing, a thing that must be watched and managed, is resisted not because of its inconvenience – I think that we are in a position where we must be willing to take any inconveniences – but resisted because it is based on a philosophy incompatible with that by which we live, and learned to live in the past.
There are many people who try to wriggle out of this. They say the real importance of atomic energy does not lie in the weapons that have been made; the real importance lies in all the great benefits which atomic energy, which the various radiations, will bring to mankind. There may be some truth in this. I am sure that there is truth in it, because there has never in the past been a new field opening up where the real fruits of it have not been invisible at the beginning. I have a very high confidence that the fruits – the so-called peacetime applications – of atomic energy will have in them all we think, and more. There are others who try to escape the immediacy of this situation by saying that, after all, war has always been very terrible; after all, weapons have always got worse and worse; that this is just another weapon and it doesn't create a great change; that they are not so bad; bombings have been bad in this war and this is not a change in that – it just adds a little to the effectiveness of bombing; that some sort of protection will be found. I think that these efforts to diffuse and weaken the nature of the crisis make it only more dangerous. I think it is for us to accept it as a very grave crisis, to realize that these atomic weapons which we have started to make are very terrible, that they involve a change, that they are not just a slight modification: to accept this, and to accept with it the necessity for those transformations in the world that will make it possible to integrate these developments into human life.
As scientists I think we have perhaps a little greater ability to accept change, and accept radical change, because of our experiences in the pursuit of science. And that may help us – that, and the fact that we have lived with it – to be of some use in understanding these problems...
The control of atomic weapons cannot be in itself the unique end of such operation [of international collaboration]. The only unique end can be a world that is united, and a world in which war will not occur. But those things don't happen overnight, and in this field it would seem that one could get started, and get started without meeting those insuperable obstacles which history has so often placed in the way of any effort of cooperation. Now this is not an easy thing, and the point I want to make, the one point I want to hammer home, is what an enormous change in spirit is involved. There are things which we hold very dear, and I think rightly hold very dear; I would say that the word democracy perhaps stood for some of them as well as any other word. There are many parts of the world in which there is no democracy. There are other things which we hold dear, and which we rightly should. And when I speak of a new spirit in international affairs I mean that even to these deepest of things which we cherish, and for which Americans have been willing to die – and certainly most of us would be willing to die – even in these deepest things, we realize that there is something more profound than that; namely, the common bond with other men everywhere. It is only if you do that that this makes sense; because if you approach the problem and say, 'We know what is right and we would like to use the atomic bomb to persuade you to agree with us,' then you are in a very weak position and you will not succeed, because under those conditions you will not succeed in delegating responsibility for the survival of men. It is a purely unilateral statement; you will find yourselves attempting by force of arms to prevent a disaster.
I want to express the utmost sympathy with the people who have to grapple with this problem and in the strongest terms to urge you not to underestimate its difficulty. I can think of an analogy, and I hope it is not a completely good analogy: in the days in the first half of the nineteenth century there were many people, mostly in the North, but some in the South, who thought that there was no evil on earth more degrading than human slavery, and nothing that they would more willingly devote their lives to than its eradication. Always when I was young I wondered why it was that when Lincoln was President he did not declare that the war against the South, when it broke out, was a war that slavery should be abolished, that this was the central point, the rallying point, of that war. Lincoln was severely criticized by many of the Abolitionists as you know, by many then called radicals, because he seemed to be waging a war which did not hit the thing that was most important. But Lincoln realized, and I have only in the last months come to appreciate the depth and wisdom of it, that beyond the issue of slavery was the issue of the community of the people of the country, and the issue of the Union. I hope that today this will not be an issue calling for war; but I wanted to remind you that in order to preserve the Union Lincoln had to subordinate the immediate problem of the eradication of slavery, and trust – and I think that if he had had his way it would have gone so – to the conflict of these ideas in a united people to eradicate it...
It is everywhere felt that the fraternity between us and scientists in other countries may be one of the most helpful things for the future; yet it is apparent that even in this country not all of us who are scientists are in agreement. There is no harm in that; such disagreement is healthy. But we must not lose the sense of fraternity because of it; we must not lose our fundamental confidence in our fellow scientists.
I think that we have no hope at all if we yield in our belief in the value of science, in the good that it can be to the world to know about reality, about nature, to attain a gradually greater and greater control of nature, to learn, to teach, to understand. I think that if we lose our faith in this we stop being scientists, we sell out our heritage, we lose what we have most of value for this time of crisis.
But there is another thing: we are not only scientists; we are men, too. We cannot forget our dependence on our fellow men. I mean not only our material dependence, without which no science would be possible, and without which we could not work; I mean also our deep moral dependence, in that the value of science must lie in the world of men, that all our roots lie there. These are the strongest bonds in the world, stronger than those even that bind us to one another, these are the deepest bonds – that bind us to our fellow men.
> _Oppenheimer became chairman of the Atomic Energy Commission but opposed the hydrogen bomb. His career ended after he was brought before Joseph McCarthy's UnAmerican Affairs Committee, labelled as a poor security risk and kept from seeing classified information._
•
## Winston Churchill
Fulton, Missouri, 5 March 1946
#### The 'iron curtain'
> _Winston Churchill had lost the British general election in 1945 and was now leader of the Opposition. In 1946 he decided to absent himself from parliament for a few months and accepted an invitation to deliver an address at Westminster College in Fulton, Missouri, the home state of President Truman. Truman and Churchill travelled together in the president's special train._
>
> _At Fulton, Churchill made the most important and influential of his post-war speeches, in which he advocated a United Nations peace-keeping force and the strengthening of the 'special relationship' between Britain and the United States. The speech is remembered most, however, for Churchill's description of the 'iron curtain' that had descended across Europe._
A shadow has fallen upon the scenes so lately lighted by the Allied victory. Nobody knows what Soviet Russia and its Communist international organization intends to do in the immediate future, or what are the limits, if any, to their expansive and proselytizing tendencies. I have a strong admiration and regard for the valiant Russian people and for my wartime comrade, Marshal Stalin. There is deep sympathy and goodwill in Britain – and I doubt not here also – towards the peoples of all the Russias and a resolve to persevere through many differences and rebuffs in establishing lasting friendships. We understand the Russian need to be secure on her western frontiers by the removal of all possibility of German aggression. We welcome Russia to her rightful place among the leading nations of the world. We welcome her flag upon the seas. Above all, we welcome constant, frequent and growing contacts between the Russian people and our own people on both sides of the Atlantic. It is my duty, however, for I am sure you would wish me to state the facts as I see them to you, to place before you certain facts about the present position in Europe.
From Stettin in the Baltic to Trieste in the Adriatic, an iron curtain has descended across the Continent. Behind that line lie all the capitals of the ancient states of Central and Eastern Europe. Warsaw, Berlin, Prague, Vienna, Budapest, Belgrade, Bucharest and Sofia, all these famous cities and the populations around them lie in what I must call the Soviet sphere, and all are subject in one form or another, not only to Soviet influence but to a very high and, in many cases, increasing measure of control from Moscow. Athens alone – Greece with its immortal glories – is free to decide its future at an election under British, American and French observation. The Russian-dominated Polish Government has been encouraged to make enormous and wrongful inroads upon Germany, and mass expulsions of millions of Germans on a scale grievous and undreamed-of are now taking place. The Communist parties, which were very small in all these Eastern states of Europe, have been raised to preeminence and power far beyond their numbers and are seeking everywhere to obtain totalitarian control. Police governments are prevailing in nearly every case, and so far, except in Czechoslovakia, there is no true democracy.
Turkey and Persia [Iran] are both profoundly alarmed and disturbed at the claims which are being made upon them and at the pressure being exerted by the Moscow Government. An attempt is being made by the Russians in Berlin to build up a quasi-Communist party in their zone of Occupied Germany by showing special favours to groups of left-wing German leaders. At the end of the fighting last June, the American and British Armies withdrew westwards, in accordance with an earlier agreement, to a depth at some points of one hundred and fifty miles upon a front of nearly four hundred miles, in order to allow our Russian allies to occupy this vast expanse of territory which the Western Democracies had conquered.
If now the Soviet Government tries, by separate action, to build up a pro-Communist Germany in their areas, this will cause new serious difficulties in the British and American zones, and will give the defeated Germans the power of putting themselves up to auction between the Soviets and the Western Democracies. Whatever conclusions may be drawn from these facts – and facts they are – this is certainly not the Liberated Europe we fought to build up. Nor is it one which contains the essentials of permanent peace.
The safety of the world requires a new unity in Europe, from which no nation should be permanently outcast. It is from the quarrels of the strong parent races in Europe that the world wars we have witnessed, or which occurred in former times, have sprung. Twice in our own lifetime we have seen the United States, against their wishes and their traditions, against arguments, the force of which it is impossible not to comprehend, drawn by irresistible forces, into these wars in time to secure the victory of the good cause, but only after frightful slaughter and devastation had occurred. Twice the United States has had to send several millions of its young men across the Atlantic to find the war; but now war can find any nation, wherever it may dwell between dusk and dawn. Surely we should work with conscious purpose for a grand pacification of Europe, within the structure of the United Nations and in accordance with its Charter. That I feel is an open cause of policy of very great importance.
> _Churchill became prime minister in 1951 and resigned office in 1955. He was made an honorary citizen of the United States in 1963 – a unique distinction – and won the Nobel Prize for Literature in 1953. He died in 1965 and was given a state funeral._
•
## Bernard Baruch
New York, 14 June 1946
#### 'A choice between the quick and the dead'
> _Bernard Baruch (1870–1965) began life as an office boy and made his fortune as a speculator and Wall Street financier. He was chosen by Woodrow Wilson to head the War Industries Board in the First World War and helped to draft the Versailles Treaty in 1919. He became a valued adviser to presidents – he also advised Churchill during the Second World War._
>
> _As an elder statesman he was the United States representative to the UnitedNations Atomic Energy Commission in 1946 and 1947. There was a note of apocalyptic foreboding at the start of his address to the commission at its opening session. The American plan for the control of atomic weapons became known as the Baruch Plan._
We are here to make a choice between the quick and the dead.
That is our business.
Behind the black portent of the new atomic age lies a hope which, seized upon with faith, can work our salvation. If we fail, then we have damned every man to be the slave of fear. Let us not deceive ourselves: we must seek world peace or world destruction.
Science has torn from nature a secret so vast in its potentialities that our minds cower from the terror it creates. Yet terror is not enough to inhibit the use of the atomic bomb. The terror created by weapons has never stopped man from employing them. For each new weapon a defence has been produced, in time. But now we face a condition in which adequate defence does not exist.
Science, which gave us this dread power, shows that it can be made a giant help to humanity, but science does not show us how to prevent its baleful use. So we have been appointed to obviate that peril by finding a meeting of the minds and the hearts of our peoples. Only in the will of mankind lies the answer.
In this crisis we represent not only our governments but, in a larger way, we represent the peoples of the world. We must remember that the peoples do not belong to the governments, but that the governments belong to the peoples. We must answer their demands; we must answer the world's longing for peace and security.
In that desire the United States shares ardently and hopefully. The search of science for the absolute weapon has reached fruition in this country. But she stands ready to proscribe and destroy this instrument – to lift its use from death to life – if the world will join in a pact to that end.
In our success lies the promise of a new life, freed from the heart-stopping fears that now beset the world. The beginning of victory for the great ideals for which millions have bled and died lies in building a workable plan. Now we approach the fulfilment of the aspirations of mankind. At the end of the road lies the fairer, better, surer life we crave and mean to have.
Only by a lasting peace are liberties and democracies strengthened and deepened. War is their enemy. And it will not do to believe that any of us can escape war's devastation. Victor, vanquished and neutrals alike are affected physically, economically and morally.
Against the degradation of war we can erect a safeguard. That is the guerdon for which we reach. Within the scope of the formula we outline here, there will be found, to those who seek it, the essential elements of our purpose. Others will see only emptiness. Each of us carries his own mirror in which is reflected hope – or determined desperation – courage or cowardice.
There is famine throughout the world today. It starves men's bodies. But there is a greater famine – the hunger of men's spirit. That starvation can be cured by the conquest of fear, and the substitution of hope, from which springs faith – faith in each other; faith that we want to work together toward salvation; and determination that those who threaten the peace and safety shall be punished.
The peoples of these democracies gathered here have a particular concern with our answer, for their peoples hate war. They will have a heavy exaction to make of those who fail to provide an escape. They are not afraid of an internationalism that protects; they are unwilling to be fobbed off by mouthings about narrow sovereignty, which is today's phrase for yesterday's isolationism.
The basis of a sound foreign policy, in this new age, for all the nations here gathered, is that: anything that happens, no matter where or how, which menaces the peace of the world, or the economic stability, concerns each and all of us.
That, roughly, may be said to be the central theme of the United Nations. It is with that thought we gain consideration of the most important subject that can engage mankind – life itself.
Now, if ever, is the time to act for the common good. Public opinion supports a world movement toward security. If I read the signs aright, the peoples want a programme, not composed merely of pious thoughts, but of enforceable sanctions – an international law with teeth in it.
We of this nation, desirous of helping to bring peace to the world and realizing the heavy obligations upon us, arising from our possession of the means for producing the bomb and from the fact that it is part of our armament, are prepared to make our full contribution toward effective control of atomic energy.
But before a country is ready to relinquish any winning weapons, it must have more than words to reassure it. It must have a guarantee of safety, not only against the offenders in the atomic area, but against the illegal users of other weapons – bacteriological, biological, gas – perhaps – why not? – against war itself.
In the elimination of war lies our solution, for only then will nations cease to compete with one another in the production and use of dread 'secret' weapons which are evaluated solely by their capacity to kill. This devilish programme takes us back not merely to the Dark Ages, but from cosmos to chaos. If we succeed in finding a suitable way to control atomic weapons, it is reasonable to hope that we may also preclude the use of other weapons adaptable to mass destruction. When a man learns to say 'A' he can, if he chooses, learn the rest of the alphabet, too.
Let this be anchored in our minds:
Peace is never long preserved by weight of metal or by an armament race. Peace can be made tranquil and secure only by understanding and agreement fortified by sanctions. We must embrace international cooperation or international disintegration.
Science has taught us how to put the atom to work. But to make it work for good instead of for evil lies in the domain dealing with the principles of human duty. We are now facing a problem more of ethics than of physics.
The solution will require apparent sacrifice in pride and in position, but better pain as the price of peace than death as the price of war.
•
## Jawaharlal Nehru
Delhi, 14 August 1947
#### 'The noble mansion of free India'
> _Jawaharlal Nehru (1889–1964) became active in the Indian Congress movement in 1919 and spent the next twenty-eight years at the forefront of the struggle for Indian independence, spending nine years in gaol and long periods under partial restraint. He became president of the Congress movement in 1929 with the support of Gandhi and was subsequently re-elected four times._
>
> _Now in August 1947 he had helped to negotiate India's freedom from the British government of Clement Attlee and it was the eve of independence. At this moment of triumph, Nehru made two great speeches, the first to the Indian parliament, the second to the nation over the radio._
##### I
Long years ago we made a tryst with destiny, and now the time comes when we shall redeem our pledge, not wholly or in full measure, but very substantially. At the stroke of the midnight hour, when the world sleeps, India will awake to life and freedom. A moment comes, which comes but rarely in history, when we step out from the old to the new, when an age ends, and when the soul of a nation, long suppressed, finds utterance. It is fitting that at this solemn moment we take the pledge of dedication to the service of India and her people and to the still larger cause of humanity.
At the dawn of history India started on her unending quest, and trackless centuries are filled with her striving and the grandeur of her success and her failures. Through good and ill fortune alike she has never lost sight of that quest or forgotten the ideals which gave her strength. We end today a period of ill fortune and India discovers herself again. The achievement we celebrate today is but a step, an opening of opportunity, to the greater triumphs and achievements that await us. Are we brave enough and wise enough to grasp this opportunity and accept the challenge of the future?
Freedom and power bring responsibility. The responsibility rests upon this Assembly, a sovereign body representing the sovereign people of India. Before the birth of freedom we have endured all the pains of labour and our hearts are heavy with the memory of this sorrow. Some of those pains continue even now. Nevertheless, the past is over and it is the future that beckons to us now.
That future is not one of ease or resting but of incessant striving so that we may fulfil the pledges we have so often taken and the one we shall take today. The service of India means the service of the millions who suffer. It means the ending of poverty and ignorance and disease and inequality of opportunity. The ambition of the greatest man of our generation has been to wipe every tear from every eye. That may be beyond us, but as long as there are tears and suffering, so long our work will not be over.
And so we have to labour and to work, and work hard, to give reality to our dreams. Those dreams are for India, but they are also for the world, for all the nations and peoples are too closely knit together today for any one of them to imagine that it can live apart. Peace has been said to be indivisible; so is freedom, so is prosperity now, and so also is disaster in this One World that can no longer be split into isolated fragments.
To the people of India, whose representatives we are, we make an appeal to join us with faith and confidence in this great adventure. This is no time for petty and destructive criticism, no time for ill-will or blaming others. We have to build the noble mansion of free India where all her children may dwell.
##### II
The appointed day has come – the day appointed by destiny – and India stands forth again, after long slumber and struggle, awake, vital, free and independent. The past clings on to us still in some measure and we have to do much before we redeem the pledges we have so often taken. Yet the turning-point is past, and history begins anew for us, the history which we shall live and act and others will write about.
It is a fateful moment for us in India, for all Asia and for the world. A new star rises, the star of freedom in the East, a new hope comes into being, a vision long cherished materializes. May the star never set and that hope never be betrayed!
We rejoice in that freedom, even though clouds surround us, and many of our people are sorrow-stricken and difficult problems encompass us. But freedom brings responsibilities and burdens and we have to face them in the spirit of a free and disciplined people.
On this day our first thoughts go to the architect of this freedom, the Father of our Nation [Gandhi], who, embodying the old spirit of India, held aloft the torch of freedom and lighted up the darkness that surrounded us. We have often been unworthy followers of his and have strayed from his message, but not only we but succeeding generations will remember this message and bear the imprint in their hearts of this great son of India, magnificent in his faith and strength and courage and humility. We shall never allow that torch of freedom to be blown out, however high the wind or stormy the tempest.
Our next thoughts must be of the unknown volunteers and soldiers of freedom who, without praise or reward, have served India even unto death.
We think also of our brothers and sisters who have been cut off from us by political boundaries and who unhappily cannot share at present in the freedom that has come. They are of us and will remain of us whatever may happen, and we shall be sharers in their good [or] ill fortune alike.
The future beckons to us. Whither do we go and what shall be our endeavour? To bring freedom and opportunity to the common man, to the peasants and workers of India; to fight and end poverty and ignorance and disease; to build up a prosperous, democratic and progressive nation, and to create social, economic and political institutions which will ensure justice and fullness of life to every man and woman.
We have hard work ahead. There is no resting for any one of us till we redeem our pledge in full, till we make all the people of India what destiny intended them to be. We are citizens of a great country, on the verge of bold advance, and we have to live up to that high standard. All of us, to whatever religion we may belong, are equally the children of India with equal rights, privileges and obligations. We cannot encourage communalism or narrow-mindedness, for no nation can be great whose people are narrow in thought or in action.
To the nations and peoples of the world we send greetings and pledge ourselves to cooperate with them in furthering peace, freedom and democracy.
And to India, our much-loved motherland, the ancient, the eternal and the ever-new, we pay our reverent homage and we bind ourselves afresh to her service. JAI HIND.
> _Nehru became an international statesman, mediating in Korea (1951) and Vietnam (1954) as well as sending Indian troops on United Nations peacekeeping missions in Palestine, the Congo and Cyprus. He rationalized Hindu laws and won acceptance of plans for a mixed economy. His death in 1964 deprived India of moral leadership of the developing Third World, but Nehru founded a dynasty. He was succeeded by his daughter, Indira Gandhi (1917–84), who was, in turn, succeeded by her son, Rajiv Gandhi, in 1984._
•
## Jawaharlal Nehru
Delhi, 30 January 1948
#### 'The light has gone out of our lives'
> _When Gandhi was assassinated by a Hindu nationalist, the world mourned one of the greatest figures of the twentieth century. The Indian government received more than 3,400 unsolicited messages of sympathy from foreign governments. The United Nations lowered its flag to half-mast._
>
> _'Mahatma Gandhi was the spokesman for the conscience of all mankind,' said General George Marshall, United States Secretary of State. 'Gandhi had demonstrated that a powerful human following can be assembled... through the cogent example of a morally superior conduct of life,' asserted Professor Albert Einstein._
>
> _There were expressions of sympathy from the Pope, the Dalai Lama, theArchbishop of Canterbury, the Chief Rabbi of London, King George VI, President Truman, Chiang Kai-shek and the president of France._
>
> _No tribute, however, was more simply or movingly expressed than this radio speech by Gandhi's disciple, the prime minister of the independent India that Gandhi worked to achieve throughout his life._
Friends and comrades, the light has gone out of our lives and there is darkness everywhere. I do not know what to tell you and how to say it. Our beloved leader, Bapu as we called him, the father of the nation, is no more. Perhaps I am wrong to say that. Nevertheless, we will not see him again as we have seen him for these many years. We will not run to him for advice and seek solace from him, and that is a terrible blow, not to me only, but to millions and millions in this country, and it is a little difficult to soften the blow by any other advice that I or anyone else can give you.
The light has gone out, I said, and yet I was wrong. For the light that shone in this country was no ordinary light. The light that has illumined this country for these many years will illumine this country for many more years, and a thousand years later that light will still be seen in this country and the world will see it and it will give solace to innumerable hearts. For that light represented the living truth... the eternal truths, reminding us of the right path, drawing us from error, taking this ancient country to freedom.
All this has happened when there was so much more for him to do. We could never think that he was unnecessary or that he had done his task. But now, particularly, when we are faced with so many difficulties, his not being with us is a blow most terrible to bear.
A madman has put an end to his life, for I can only call him mad who did it, and yet there has been enough of poison spread in this country during the past years and months, and this poison has had effect on people's minds. We must face this poison, we must root out this poison, and we must face all the perils that encompass us and face them not madly or badly but rather in the way that our beloved teacher taught us to face them. The first thing to remember now is that no one of us dare misbehave because we are angry. We have to behave like strong and determined people, determined to face all the perils that surround us, determined to carry out the mandate that our great teacher and our great leader has given us, remembering always that if, as I believe, his spirit looks upon us and sees us, nothing would displease his soul so much as to see that we have indulged in any small behaviour or any violence.
So we must not do that. But that does not mean that we should be weak, but rather that we should in strength and in unity face all the troubles that are in front of us. We must hold together, and all our petty troubles and difficulties and conflicts must be ended in the face of this great disaster. A great disaster is a symbol to us to remember all the big things of life and forget the small things, of which we have thought too much.
•
## Joseph McCarthy
Wheeling, West Virginia, 20 February 1950
#### 'I have in my hand...'
> _Joseph McCarthy (1908–57), the junior Republican senator from Wisconsin, began his career as America's leading Red hunter on 9 February 1950, when he made this speech at the McLure Hotel in Wheeling._
>
> _McCarthy's accusation that fifty-seven members of the State Department were card-carrying members of the Communist Party instantly became national news and provoked denials from the president and the State Department._
>
> _Controversy about what McCarthy really said raged for years. This version of his infamous speech is taken from the statement he made on the Senate floor on 20 February, when he put into the Congressional record a copy of what he really said at Wheeling._
Today we are engaged in a final, all-out battle between communistic atheism and Christianity. The modern champions of communism have selected this as the time. And, ladies and gentlemen, the chips are down – they are truly down...
Can there be anyone here tonight who is so blind as to say that the war is not on? Can there be anyone who fails to realize that the Communist world has said, 'The time is now' – that this is the time for the showdown between the democratic Christian world and the Communist atheistic world?
Unless we face this fact, we shall pay the price that must be paid by those who wait too long.
Six years ago, at the time of the first conference to map out the peace – Dumbarton Oaks – there was within the Soviet orbit 180 million people. Lined up on the antitotalitarian side there were in the world at that time roughly 1,625 million people. Today, only six years later, there are 800 million people under the absolute domination of Soviet Russia – an increase of over 400 per cent. On our side, the figure has shrunk to around 500 million. In other words, in less than six years the odds have changed from 9 to 1 in our favour to 8 to 5 against us. This indicates the swiftness of the tempo of Communist victories and American defeats in the Cold War. As one of our outstanding historical figures once said, 'When a great democracy is destroyed, it will not be because of enemies from without, but rather because of enemies from within.'
The truth of this statement is becoming terrifyingly clear as we see this country each day losing on every front.
At war's end we were physically the strongest nation on earth and, at least potentially, the most powerful intellectually and morally. Ours could have been the honour of being a beacon in the desert of destruction, a shining living proof that civilization was not ready to destroy itself. Unfortunately, we have failed miserably and tragically to arise to the opportunity.
The reason why we find ourselves in a position of impotency is not because our only powerful potential enemy has sent men to invade our shores, but rather because of the traitorous actions of those who have been treated so well by this Nation. It has not been the less fortunate or members of minority groups who have been selling this Nation out, but rather those who have had all the benefits that the wealthiest nation on earth has had to offer – the finest homes, the finest college education, and the finest jobs in Government we can give.
This is glaringly true in the State Department. There the bright young men who are born with silver spoons in their mouths are the ones who have been worst...
I have in my hand fifty-seven cases of individuals who would appear to be either card-carrying members or certainly loyal to the Communist Party, but who nevertheless are still helping to shape our foreign policy...
One of the important reasons for the graft, the corruption, the dishonesty, the disloyalty, the treason in high Government positions – one of the most important reasons why this continues is a lack of moral uprising on the part of the 140 million American people. In the light of history, however, this is not hard to explain.
It is the result of an emotional hangover and a temporary moral lapse which follows every war. It is the apathy to evil which people who have been subjected to the tremendous evils of war feel. As the people of the world see mass murder, the destruction of defenceless and innocent people, and all of the crime and lack of morals which go with war, they become numb and apathetic. It has always been thus after war.
However, the morals of our people have not been destroyed. They still exist. This cloak of numbness and apathy has only needed a spark to rekindle them. Happily, this spark has finally been supplied.
As you know, very recently the Secretary of State [Dean Acheson] proclaimed his loyalty to a man guilty of what has always been considered as the most abominable of all crimes – of being a traitor to the people who gave him a position of great trust [Alger Hiss]. The Secretary of State in attempting to justify his continued devotion to the man who sold out the Christian world to the atheistic world, referred to Christ's Sermon on the Mount as a justification and reason therefor, and the reaction of the American people to this would have made the heart of Abraham Lincoln happy.
When this pompous diplomat in striped pants, with a phony British accent, proclaimed to the American people that Christ on the Mount endorsed communism, high treason, and betrayal of a sacred trust, the blasphemy was so great that it awakened the dormant indignation of the American people.
He has lighted the spark which is resulting in a moral uprising and will end only when the whole sorry mess of twisted, warped thinkers are swept from the national scene so that we may have a new birth of national honesty and decency in Government.
> _The smear tactics of McCarthy and his philistine contempt for intellectuals did untold damage to the American tradition of freedom of thought. He even denounced General George Marshall as a front man for Communism._
>
> _McCarthyism, the practice of accusing individuals of belonging to Communist front organizations with little evidence for the accusation, destroyed the careers of many men and women and created a sense of Red menace which won the 1952 election for the Republicans._
>
> _Then McCarthy sought to discredit the army. The army demonstrated that McCarthy had sought preferential treatment for one of his aides. A Senate motion of censure condemned McCarthy's conduct in 1954 and he discredited his cause a few days later by attacking President Eisenhower by name._
•
## William Faulkner
Stockholm, 10 December 1950
#### 'The agony and the sweat'
> _When William Faulkner (1897–1962), the creator of Yoknapatawpha County and author of As I Lay Dying and The Sound and the Fury, won the Nobel Prize, he bought his first dress suit for the occasion and decided to go to Stockholm for the prize-giving._
>
> _At the state banquet, the quiet farmer from Oxford, Mississippi, appeared before a microphone and television camera for the first time and said that he declined to accept the end of man._
I feel that this award was not made to me as a man, but to my work – a life's work in the agony and sweat of the human spirit, not for glory and least of all for profit, but to create out of the materials of the human spirit something which did not exist before. So this award is only mine in trust. It will not be difficult to find a dedication for the money part of it commensurate with the purpose and significance of its origin. But I would like to do the same with the acclaim too, by using this moment as a pinnacle from which I might be listened to by the young men and women already dedicated to the same anguish and travail, among whom is already that one who will someday stand here where I am standing.
Our tragedy today is a general and universal physical fear so long sustained by now that we can even bear it. There are no longer problems of the spirit. There is only the question: when will I be blown up? Because of this, the young man or woman writing today has forgotten the problems of the human heart in conflict with itself which alone can make good writing because only that is worth writing about, worth the agony and the sweat.
He must learn them again. He must teach himself that the basest of all things is to be afraid; and, teaching himself that, forget it for ever, leaving no room in his workshop for anything but the old verities and truths of the heart, the old universal truths lacking which any story is ephemeral and doomed – love and honour and pity and pride and compassion and sacrifice. Until he does so, he labours under a curse. He writes not of love but of lust, of defeats in which nobody loses anything of value, of victories without hope, and, worst of all, without pity or compassion. His griefs grieve on no universal bones, leaving no scars. He writes not of the heart but of the glands.
Until he relearns these things, he will write as though he stood among and watched the end of man. I decline to accept the end of man. It is easy enough to say that man is immortal simply because he will endure; that when the last ding-dong of doom has clanged and faded from the last worthless rock hanging tideless in the last red and dying evening, that even then there will still be one more sound: that of his puny inexhaustible voice, still talking. I refuse to accept this. I believe that man will not merely endure: he will prevail. He is immortal, not because he alone among creatures has an inexhaustible voice, but because he has a soul, a spirit capable of compassion and sacrifice and endurance. The poet's, the writer's, duty is to write about these things. It is his privilege to help man endure by lifting his heart, by reminding him of the courage and honour and hope and pride and compassion and pity and sacrifice which have been the glory of his past. The poet's voice need not merely be the record of man; it can be one of the props, the pillars, to help him endure and prevail.
•
## Aneurin Bevan
London, 23 April 1951
#### 'There is only one hope for mankind'
> _Aneurin Bevan (1897–1960) was the son of a miner who left school at thirteen to work on the coal-face and rose to become the spokesman for the South Wales miners during the General Strike of 1926. He became an MP in 1929, was the most constructive of Churchill's critics during the Second World War and was one of the greatest Labour orators._
>
> _As minister of health from 1945 to 1951, he was the founder of the British National Health Service – but he resigned from the government on 21 April 1951 in protest at the imposition of health-service charges to meet defence costs. He told Clement Attlee, the prime minister, that he could not carry out policies which were 'repugnant' to his conscience._
>
> _Two days later he made his resignation speech to the Commons. He stood almost alone. There was no sympathy on the Conservative benches and Labour MPs feared he would destroy the government._
The western world has embarked upon a campaign of arms production upon a scale, so quickly, and of such an extent that the foundations of political liberty and Parliamentary democracy will not be able to sustain the shock. This is a very grave matter indeed. I have always said that the defence programme must always be consistent with the maintenance of the standard of life of the British people and the maintenance of the social services, and that as soon as it became clear we had engaged upon an arms programme inconsistent with those considerations, I could no longer remain a Member of the Government.
I therefore beg the House and the country, and the world, to think before it is too late. It may be that on such an occasion as this the dramatic nature of a resignation might cause even some of our American friends to think before it is too late. It has always been clear that the weapons of the totalitarian States are, first, social and economic, and only next military; and if in attempting to meet the military effect of those totalitarian machines, the economies of the western world are disrupted and the standard of living is lowered or industrial disturbances are created, then Soviet Communism establishes a whole series of Trojan horses in every nation of the western economy...
This great nation has a message for the world which is distinct from that of America or that of the Soviet Union. Ever since 1945 we have been engaged in this country in the most remarkable piece of social reconstruction the world has ever seen. By the end of 1950 we had assumed the moral leadership of the world. ( _Interruption._ ) It is no use Hon. Members opposite sneering, because when they come to the end of the road it will not be a sneer which will be upon their faces. There is only one hope for mankind, and that hope still remains in this little island. It is from here that we tell the world where to go and how to go there, but we must not follow behind the anarchy of American competitive capitalism which is unable to restrain itself at all, as is seen in the stockpiling that is now going on, and which denies to the economy of Great Britain even the means of carrying on our civil production...
The Chancellor of the Exchequer in this year's Budget proposes to reduce the Health expenditure by £13 million – only £13 million out of £4,000 million.
If he finds it necessary to mutilate, or begin to mutilate, the Health Services for £13 million out of £4,000 million, what will he do next year? Or are you next year going to take your stand on the upper denture? The lower half apparently does not matter, but the top half is sacrosanct. Is that right? If my Hon. Friends are asked questions at meetings about what they will do next year, what will they say?
The Chancellor of the Exchequer is putting a financial ceiling on the Health Service. With rising prices the Health Service is squeezed between that artificial figure and rising prices. What is to be squeezed out next year? Is it the upper half? When that has been squeezed out and the same principle holds good, what do you squeeze out the year after? Prescriptions? Hospital charges? Where do you stop? I have been accused of having agreed to a charge on prescriptions. That shows the danger of compromise. Because if it is pleaded against me that I agreed to the modification of the Health Service, then what will be pleaded against my Right Hon. Friends next year, and indeed what answer will they have if the vandals opposite come in? What answer? The Health Service will be like Lavinia – all the limbs cut off and eventually her tongue cut out, too.
I should like to ask my Right Hon. and Hon. Friends, where are they going? ( _Hon. Members: 'Where are you going?'_ ) Where am I going? I am where I always was. Those who live their lives in mountainous and rugged countries are always afraid of avalanches, and they know that avalanches start with the movement of a very small stone. First, the stone starts on a ridge between two valleys – one valley desolate and the other valley populous. The pebble starts, but nobody bothers about the pebble until it gains way, and soon the whole valley is overwhelmed. That is how the avalanche starts, that is the logic of the present situation, and that is the logic my Right Hon. and Hon. Friends cannot escape. Why, therefore, has it been done in this way?
After all, the National Health Service was something of which we were all very proud, and even the Opposition were beginning to be proud of it. It only had to last a few more years to become a part of our traditions, and then the traditionalists would have claimed the credit for all of it. Why should we throw it away? In the Chancellor's Speech there was not one word of commendation for the Health Service – not one word. What is responsible for that?
Why has the cut been made? He cannot say, with an overall surplus of over £220 million and a conventional surplus of £39 million, that he had to have the £13 million. That is the arithmetic of Bedlam. He cannot say that his arithmetic is so precise that he must have the £13 million, when last year the Treasury were £247 million out. Why?
What is the cause of it? Why has it been done?...
I say this, in conclusion. There is only one hope for mankind – and that is democratic Socialism. There is only one party in Great Britain which can do it – and that is the Labour Party. But I ask them carefully to consider how far they are polluting the stream. We have gone a long way – a very long way – against great difficulties. Do not let us change direction now. Let us make it clear, quite clear, to the rest of the world that we stand where we stood, that we are not going to allow ourselves to be diverted from our path by the exigencies of the immediate situation. We shall do what is necessary to defend ourselves – defend ourselves by arms, and not only with arms but with the spiritual resources of our people.
> _The speech stunned the House of Commons. Newspapers jeered and even the miners of Durham were critical. Bevan was defeated by Hugh Gaitskell (the chancellor who imposed the health charges) in the contest for the Labour leadership of 1955 but then became official spokesman on foreign affairs._
•
## Adlai Stevenson
Illinois, 26 July 1952
#### 'Let's talk sense to the American people'
> _When the Republicans selected General Eisenhower as their presidential candidate in 1952, the Democrats responded by nominating their best man, Governor Adlai Stevenson (1900–1965) of Illinois, who had proved himself an effective reforming governor._
>
> _Until then, few Americans had heard of Stevenson, although he had served in government, been a delegate to the UN General Assembly and was elected governor of Illinois by a record-breaking half million votes in 1948._
>
> _As Stevenson accepted the Democratic nomination, the nation heard for the first time the eloquence that made him so memorable a speaker._
The ordeal of the twentieth century – the bloodiest, most turbulent era of the Christian age – is far from over. Sacrifice, patience, understanding, and implacable purpose may be our lot for years to come.
Let's face it. Let's talk sense to the American people. Let's tell them the truth, that there are no gains without pains, that we are now on the eve of great decisions, not easy decisions, like resistance when you're attacked, but a long, patient, costly struggle which alone can assure triumph over the great enemies of man – war, poverty, and tyranny – and the assaults upon human dignity which are the most grievous consequences of each.
Let's tell them that the victory to be won in the twentieth century, this portal to the golden age, mocks the pretensions of individual acumen and ingenuity. For it is a citadel guarded by thick walls of ignorance and mistrust which do not fall before the trumpets' blast or the politicians' imprecations or even a general's baton. They are, my friends, walls that must be directly stormed by the hosts of courage, morality, and of vision, standing shoulder to shoulder, unafraid of ugly truth, contemptuous of lies, half-truths, circuses, and demagoguery.
The people are wise – wiser than the Republicans think. And the Democratic party is the people's party, not the labour party, not the farmers' party, not the employers' party – it is the party of no one because it is the party of everyone.
That, I think, is our ancient mission. Where we have deserted it we have failed. With your help there will be no desertion now. Better we lose the election than mislead the people; and better we lose than misgovern the people.
Help me do the job in this autumn of conflict and of campaign; help me to do the job in these years of darkness, of doubt, and of crisis which stretch beyond the horizon of tonight's happy vision, and we will justify our glorious past and the loyalty of silent millions who look to us for compassion, for understanding, and for honest purpose. Thus we will serve our great tradition greatly.
I ask of you all you have; I will give to you all I have, even as he who came here tonight and honoured me, as he has honoured you – the Democratic party – by a lifetime of service and bravery that will find him an imperishable page in the history of the Republic and of the Democratic party – President Harry S. Truman.
And finally, my friends, in the staggering task that you have assigned me, I shall always try 'to do justly, to love mercy, and walk humbly with my God'.
_Eisenhower won the election by a landslide and Stevenson lost again in 1956 – but his liberalism captured a generation of Democrats, saved the Republicans from falling back into the clutches of the Southern conservatives, and prepared the way for the reformers of the Kennedy and Johnson administrations._
•
## Kwame Nkrumah
Accra, 10 July 1953
#### 'The motion of destiny'
> _After graduating from Achimoto College at Lincoln University in Pennsylvania and the London School of Economics, Kwame Nkrumah (1909–72) returned to his homeland and founded the Convention People's Party in 1949. He sought immediate self-government for the Gold Coast, which he renamed Ghana. During his ten years in America he had acquired a strong sense of black solidarity and a burning vision of an independent United States of Africa._
>
> _His party won an overwhelming election victory in 1951 and Nkrumah, who had been imprisoned by the British for sedition, was released to head the government. He cooperated with the British governor in a peaceful transfer of power. A white paper on constitutional reform was published in July 1953 – and on 10 July Nkrumah moved his independence motion, known popularly as 'The motion of destiny'._
I am asking you to give my Government the power to bring to fruition the longing hopes, the ardent dreams, the fervent aspirations of the chiefs and people of our country. Throughout a century of alien rule our people have, with ever increasing tendency, looked forward to that bright and glorious day when they shall regain their ancient heritage, and once more take their place rightly as free men in the world.
Mr Speaker, we have frequent examples to show that there comes a time in the history of all colonial peoples when they must, because of their will to throw off the hampering shackles of colonialism, boldly assert their God-given right to be free of a foreign ruler. Today we are here to claim this right to our independence...
The right of a people to decide their own destiny, to make their way in freedom, is not to be measured by the yardstick of colour or degree of social development. It is an inalienable right of peoples which they are powerless to exercise when forces, stronger than they themselves, by whatever means, for whatever reasons, take this right away from them. If there is to be a criterion of a people's preparedness for self-government, then I say it is their readiness to assume the responsibilities of ruling themselves. For who but a people themselves can say when they are prepared? How can others judge when that moment has arrived in the destiny of a subject people? What other gauge can there be?
Mr Speaker, never in the history of the world has an alien ruler granted self-rule to a people on a silver platter. Therefore, Mr Speaker, I say that a people's readiness and willingness to assume the responsibilities of self-rule is the single criterion of their preparedness to undertake those responsibilities...
In the very early days of the Christian era, long before England had assumed any importance, long even before her people had united into a nation, our ancestors had attained a great empire, which lasted until the eleventh century, when it fell before the attacks of the Moors of the North. At its height that empire stretched from Timbuktu to Bamako, and even as far as to the Atlantic. It is said that lawyers and scholars were much respected in that empire and that the inhabitants of Ghana wore garments of wool, cotton, silk and velvet. There was trade in copper, gold and textile fabrics, and jewels and weapons of gold and silver were carried.
Thus may we take pride in the name of Ghana, not out of romanticism, but as an inspiration for the future. It is right and proper that we should know about our past. For just as the future moves from the present so the present has emerged from the past. Nor need we be ashamed of our past. There was much in it of glory. What our ancestors achieved in the context of their contemporary society gives us confidence that we can create, out of that past, a glorious future, not in terms of war and military pomp, but in terms of social progress and of peace. For we repudiate war and violence. Our battles shall be against the old ideas that keep men trammelled in their own greed; against the crass stupidities that breed hatred, fear and inhumanity. The heroes of our future will be those who can lead our people out of the stifling fog of disintegration through serfdom, into the valley of light where purpose, endeavour and determination will create that brotherhood which Christ proclaimed two thousand years ago, and about which so much is said, but so little done...
Honourable Members, you are called, here and now, as a result of the relentless tide of history, by Nemesis as it were, to a sacred charge, for you hold the destiny of our country in your hands. The eyes and ears of the world are upon you; yea, our oppressed brothers throughout this vast continent of Africa and the New World are looking to you with desperate hope, as an inspiration to continue their grim fight against cruelties which we in this corner of Africa have never known – cruelties which are a disgrace to humanity, and to the civilization which the white man has set himself to teach us. At this time, history is being made; a colonial people in Africa has put forward the first definite claim for independence. An African colonial people proclaim that they are ready to assume the stature of free men and to prove to the world that they are worthy of the trust.
I know that you will not fail those who are listening for the mandate that you will give to your Representative Ministers. For we are ripe for freedom, and our people will not be denied. They are conscious that the right is theirs, and they know that freedom is not something that one people can bestow on another as a gift. They claim it as their own and none can keep it from them.
As long as we remain subject to an alien power, too much of our energy is diverted from constructive enterprise. Oppressive forces breed frustration. Imperialism and colonialism are a twofold evil. This theme is expressed in the truism that 'no nation which oppresses another can itself be free'. Thus we see that this evil not only wounds the people which is subject, but the dominant nation pays the price in a warping of their finer sensibilities through arrogance and greed. Imperialism and colonialism are a barrier to true friendship...
In our daily lives, we may lack those material comforts regarded as essential by the standards of the modern world, because so much of our wealth is still locked up in our land; but we have the gifts of laughter and joy, a love of music, a lack of malice, an absence of the desire for vengeance for our wrongs, all things of intrinsic worth in a world sick of injustice, revenge, fear and want.
We feel that there is much the world can learn from those of us who belong to what we might term the pre-technological societies. These are values which we must not sacrifice unheedingly in pursuit of material progress. That is why we say that self-government is not an end in itself.
We have to work hard to evolve new patterns, new social customs, new attitudes to life, so that while we seek the material, cultural and economic advancement of our country, while we raise their standards of life, we shall not sacrifice their fundamental happiness. That, I should say, Mr Speaker, has been the greatest tragedy of Western society since the industrial revolution.
In harnessing the forces of nature, man has become the slave of the machine, and of his own greed. If we repeat these mistakes and suffer the consequences which have overtaken those that made them, we shall have no excuse. This is a field of exploration for the young men and women now in our schools and colleges, for our sociologists and economists, for our doctors and our social welfare workers, for our engineers and town planners, for our scientists and our philosophers.
Mr Speaker, when we politicians have long passed away and been forgotten, it is upon their shoulders that will fall the responsibility of evolving new forms of social institutions, new economic instruments to help build in our rich and fertile country a society where men and women may live in peace, where hate, strife, envy and greed, shall have no place.
Mr Speaker, we can only meet the challenge of our age as a free people. Hence our demand for our freedom, for only free men can shape the destinies of their future.
Mr Speaker, Honourable Members, we have great tasks before us. I say, with all seriousness, that it is rarely that human beings have such an opportunity for service to their fellows.
Mr Speaker, for my part, I can only re-echo the words of a great man: 'Man's dearest possession is life, and since it is given him to live but once, he must so live as not to be besmeared with the shame of a cowardly existence and trivial past, so live that dying he might say: all my life and all my strength were given to the finest cause in the world – the liberation of mankind.'
Mr Speaker, 'Now God be thank'd, Who has match'd us with His hour!' I beg to move.
> _'The acclamation that burst forth was such that one expected the roof and walls to collapse,' Nkrumah wrote later. Nkrumah became president when Ghana became a republic on 1 July 1960. He was respected as a Pan-African leader but once in power became increasingly dictatorial at home and was overthrown in a military coup in 1966. A statue was erected and a park opened in his memory in Accra in 1992. His body was reinterred in a mausoleum._
•
## Fidel Castro
Santiago, Cuba, 16 October 1953
#### 'History will absolve me'
> _On 26 July 1953 Fidel Castro, a Cuban lawyer and defender of the poor in Havana, led an unsuccessful armed revolt against the Moncada Barracks. A mass trial of Castro and 122 other defendants started in the Santiago Palace of Justice on 21 September. Castro was eventually confined to prison and his trial was held in virtual secrecy in a small nurses' lodge at the Saturnino Lora hospital – a decision made to perpetuate the official fiction that he was too ill to attend the Palace of Justice._
>
> _Castro's speech from the dock, inspired by his hero José Martí, the Cuban philosopher, remains the fundamental document of the subsequent Cuban revolution and the most venerated scripture of the rebel movement. The speech built up history's case to justify taking up arms against tyrants, summoning up the spirit of Luther and Calvin, Montesquieu and Rousseau, Milton, Locke, Paine and Balzac._
>
> _Castro practised the delivery of his speech in his cell until dawn. Then he went before the judges and declared: 'When men carry the same ideals in their hearts, nothing can isolate them – neither prison walls nor the sod of cemeteries. For a single memory, a single spirit, a single conscience, a single dignity will sustain them all.'_
Honourable Judges: If there is in your hearts a vestige of love for your country, love for humanity, love for justice, listen carefully. I know that I will be silenced for many years; I know that the regime will try to suppress the truth by all possible means; I know that there will be a conspiracy to bury me in oblivion. But my voice will not be stilled – it will rise from my breast even when I feel most alone, and my heart will give it all the fire that callous cowards deny it...
From a shack in the mountains on Monday, July the 27th, I listened to the dictator's voice on the air while there were still eighteen of our men in arms against the government. Those who have never experienced similar moments will never know that kind of bitterness and indignation. While the long cherished hopes of freeing our people lay in ruins about us we heard those crushed hopes gloated over by a tyrant more vicious, more arrogant than ever. The endless stream of lies and slanders, poured forth in his crude, odious, repulsive language, may only be compared to the endless stream of clean young blood which had flowed since the previous night – with his knowledge, consent, complicity and approval – being spilled by the most inhuman gang of assassins it is possible to imagine.
To have believed him for a single moment would have sufficed to fill a man of conscience with remorse and shame for the rest of his life. At that time I could not even hope to brand his miserable forehead with the mark of truth which condemns him for the rest of his days and for all time to come. Already a circle of more than a thousand men, armed with weapons more powerful than ours and with peremptory orders to bring in our bodies, was closing in around us. Now that the truth is coming out, now that speaking before you I am carrying out the mission I set for myself, I may die peacefully and content. So I shall not mince any words about those savage murderers...
Moncada Barracks were turned into a workshop of torture and death. Some shameful individuals turned their uniforms into butchers' aprons. The walls were splattered with blood. The bullets imbedded in the walls were encrusted with singed bits of skin, brains and human hair, the grisly reminders of rifle shots fired full in the face. The grass around the barracks was dark and sticky with human blood. The criminal hands that are guiding the destiny of Cuba had written for the prisoners at the entrance of that den of death the very inscription of Hell: 'Forsake all hope.'
They did not even attempt to cover appearances. They did not bother in the least to conceal what they were doing. They thought they had deceived the people with their lies and they ended up deceiving themselves. They felt themselves lords and masters of the universe, with power over life and death. So the fear they had experienced upon our attack at daybreak was dissipated in a feast of corpses, in a drunken orgy of blood...
Dante divided his _Inferno_ into nine circles. He put the criminals in the seventh, the thieves in the eighth and the traitors in the ninth. Difficult dilemma the devils will be faced with, when they try to find an adequate spot for this man's soul – if this man has a soul. The man who instigated the atrocious acts in Santiago de Cuba doesn't even have a heart.
In every society there are men of base instincts. The sadists, brutes, conveyors of all the ancestral atavisms go about in the guise of human beings, but they are monsters, only more or less restrained by discipline and social habit. If they are offered a drink from a river of blood, they will not be satisfied until they drink the river dry. All these men needed was the order. At their hands the best and noblest Cubans perished: the most valiant, the most honest, the most idealistic. The tyrant called them mercenaries. There they were dying as heroes at the hands of men who collect a salary from the Republic and who, with the arms the Republic gave them to defend her, serve the interests of a clique and murder her best citizens.
Throughout their torturing of our comrades, the Army offered them the chance to save their lives by betraying their ideology and falsely declaring that Prío had given them money. When they indignantly rejected that proposition, the Army continued with its horrible tortures. They crushed their testicles and they tore out their eyes. But no one yielded. No complaint was heard nor a favour asked. Even when they had been deprived of their virile organs, our men were still a thousand times more men than all their tormentors together. Photographs, which do not lie, show the bodies torn to pieces. Other methods were used. Frustrated by the valour of the men, they tried to break the spirit of our women. With a bleeding human eye in their hands, a sergeant and several other men went to the cell where our comrades Melba Hernández and Haydée Santamaría were held. Addressing the latter, and showing her the eye, they said: 'This eye belonged to your brother. If you will not tell us what he refused to say, we will tear out the other.' She, who loved her valiant brother above all things, replied full of dignity: 'If you tore out an eye and he did not speak, much less will I.' Later they came back and burned their arms with lit cigarettes until at last, filled with spite, they told the young Haydée Santamaría: 'You no longer have a fiancé because we have killed him too.' But, still imperturbable, she answered: 'He is not dead, because to die for one's country is to live forever.' Never had the heroism and the dignity of Cuban womanhood reached such heights...
We are Cubans and to be Cuban implies a duty; not to fulfil that duty is a crime, is treason. We are proud of the history of our country; we learned it in school and have grown up hearing of freedom, justice and human rights. We were taught to venerate the glorious example of our heroes and martyrs. Céspedes, Agramonte, Maceo, Gómez, and Martí were the first names engraved in our minds. We were taught that the Titan once said that liberty is not begged for but won with the blade of a machete. We were taught that for the guidance of Cuba's free citizens, the Apostle wrote in his book _The Golden Age_ : 'The man who abides by unjust laws and permits any man to trample and mistreat the country in which he was born, is not an honourable man... In the world there must be a certain degree of honour just as there must be a certain amount of light. When there are many men without honour, there are always others who bear in themselves the honour of many men. These are the men who rebel with great force against those who steal the people's freedom, that is to say, against those who steal human honour itself. In those men thousands more are contained, an entire people is contained, human dignity is contained...' We were taught that the 10th of October and the 24th of February are glorious anniversaries of national rejoicing because they mark days on which Cubans rebelled against the yoke of infamous tyranny. We were taught to cherish and defend the beloved flag of the lone star, and to sing every afternoon the verses of our National Anthem: 'To live in chains is to live in disgrace and in opprobrium' and 'To die for one's homeland is to live forever!' All this we learned and will never forget, even though today in our land there is murder and prison for the men who practise the ideas taught to them since the cradle. We were born in a free country that our parents bequeathed to us and the Island will sink into the sea before we consent to be slaves of anyone.
It seemed that the Apostle would die during his Centennial. It seemed that his memory would be extinguished forever. So great was the affront! But he is alive; he has not died. His people are rebellious. His people are worthy. His people are faithful to his memory. There are Cubans who have fallen defending his doctrines. There are young men who in magnificent selflessness came to die beside his tomb, giving their blood and their lives so that he could keep on living in the heart of his nation. Cuba, what would have become of you had you let your Apostle die?
I come to the close of my defence plea but I will not end it as lawyers usually do, asking that the accused be freed. I cannot ask freedom for myself while my comrades are already suffering in the ignominious prison of the Isle of Pines. Send me there to join them and to share their fate. It is understandable that honest men should be dead or in prison in a Republic where the President is a criminal and a thief...
I know that imprisonment will be harder for me than it has ever been for anyone, filled with cowardly threats and hideous cruelty. But I do not fear prison, as I do not fear the fury of the miserable tyrant who took the lives of seventy of my comrades. Condemn me. It does not matter. History will absolve me.
> _Castro was sentenced to fifteen years but was freed two years later and went into exile. He returned to Cuba with his brother Raúl and Che Guevara in December1956 and conducted guerrilla operations from the Sierra Maestra. On 8 January 1959, he entered Havana in triumph and became prime minister a year later. Castro and Guevara became worldwide symbols of rebellion during the student revolts of the 1960s in the United States and Europe._
•
## Bertrand Russell
BBC Radio, London, 30 December 1954
#### 'Shall we choose death?'
> _Bertrand Russell's claim to be remembered by history rests on his work in mathematical and symbolic logic and his profound influence on philosophy. Yet he was also constantly involved in political affairs. Russell (1872–1970) was deprived of his fellowship at Trinity College, Cambridge, during the First World War because of his pacifism. He was imprisoned in 1918. During the Second World War, however, he abandoned his pacifism because of his hatred of fascism. When the atom bomb was followed by the hydrogen bomb, he became a campaigner for nuclear disarmament – and this speech on BBC Radio was a characteristic example of the powerful rhetoric he used against the arms race that built up between the United States and the Soviet Union, the two great superpowers, and which, he argued, was endangering the human race._
>
> _The broadcast was made after the explosion of the first H-bomb, his thin singsong voice charged with the detached intensity of a prophet._
I am speaking not as a Briton, not as a European, not as a member of a western democracy, but as a human being, a member of the species Man, whose continued existence is in doubt. The world is full of conflicts: Jews and Arabs; Indians and Pakistanis; white men and Negroes in Africa; and, overshadowing all minor conflicts, the titanic struggle between communism and anti-communism.
Almost everybody who is politically conscious has strong feelings about one or more of these issues; but I want you, if you can, to set aside such feelings for the moment and consider yourself only as a member of a biological species which has had a remarkable history and whose disappearance none of us can desire. I shall try to say no single word which should appeal to one group rather than to another. All, equally, are in peril, and, if the peril is understood, there is hope that they may collectively avert it. We have to learn to think in a new way. We have to learn to ask ourselves not what steps can be taken to give military victory to whatever group we prefer, for there no longer are such steps. The question we have to ask ourselves is: What steps can be taken to prevent a military contest of which the issue must be disastrous to all sides?
The general public, and even many men in positions of authority, have not realized what would be involved in a war with hydrogen bombs. The general public still thinks in terms of the obliteration of cities. It is understood that the new bombs are more powerful than the old and that, while one atomic bomb could obliterate Hiroshima, one hydrogen bomb could obliterate the largest cities such as London, New York, and Moscow. No doubt in a hydrogen-bomb war great cities would be obliterated. But this is one of the minor disasters that would have to be faced. If everybody in London, New York, and Moscow were exterminated, the world might, in the course of a few centuries, recover from the blow. But we now know, especially since the Bikini test, that hydrogen bombs can gradually spread destruction over a much wider area than had been supposed. It is stated on very good authority that a bomb can now be manufactured which will be 25,000 times as powerful as that which destroyed Hiroshima. Such a bomb, if exploded near the ground or under water, sends radioactive particles into the upper air. They sink gradually and reach the surface of the earth in the form of a deadly dust or rain. It was this dust which infected the Japanese fishermen and their catch of fish although they were outside what American experts believed to be the danger zone. No one knows how widely such lethal radioactive particles might be diffused, but the best authorities are unanimous in saying that a war with hydrogen bombs is quite likely to put an end to the human race. It is feared that if many hydrogen bombs are used there will be universal death – sudden only for a fortunate minority, but for the majority a slow torture of disease and disintegration...
Here, then, is the problem which I present to you, stark and dreadful and inescapable: Shall we put an end to the human race; or shall mankind renounce war? People will not face this alternative because it is so difficult to abolish war. The abolition of war will demand distasteful limitations of national sovereignty. But what perhaps impedes understanding of the situation more than anything else is that the term 'mankind' feels vague and abstract. People scarcely realize in imagination that the danger is to themselves and their children and their grandchildren, and not only to a dimly apprehended humanity. And so they hope that perhaps war may be allowed to continue provided modern weapons are prohibited. I am afraid this hope is illusory. Whatever agreements not to use hydrogen bombs had been reached in time of peace, they would no longer be considered binding in time of war, and both sides would set to work to manufacture hydrogen bombs as soon as war broke out, for if one side manufactured the bombs and the other did not, the side that manufactured them would inevitably be victorious...
As geological time is reckoned, Man has so far existed only for a very short period – one million years at the most. What he has achieved, especially during the last 6,000 years, is something utterly new in the history of the Cosmos, so far at least as we are acquainted with it. For countless ages the sun rose and set, the moon waxed and waned, the stars shone in the night, but it was only with the coming of Man that these things were understood. In the great world of astronomy and in the little world of the atom, Man has unveiled secrets which might have been thought undiscoverable. In art and literature and religion, some men have shown a sublimity of feeling which makes the species worth preserving. Is all this to end in trivial horror because so few are able to think of Man rather than of this or that group of men? Is our race so destitute of wisdom, so incapable of impartial love, so blind even to the simplest dictates of self-preservation, that the last proof of its silly cleverness is to be the extermination of all life on our planet? – for it will be not only men who will perish, but also the animals, whom no one can accuse of communism or anti-communism.
I cannot believe that this is to be the end. I would have men forget their quarrels for a moment and reflect that, if they will allow themselves to survive, there is every reason to expect the triumphs of the future to exceed immeasurably the triumphs of the past. There lies before us, if we choose, continual progress in happiness, knowledge, and wisdom. Shall we, instead, choose death, because we cannot forget our quarrels? I appeal, as a human being to human beings: remember your humanity, and forget the rest. If you can do so, the way lies open to a new Paradise; if you cannot, nothing lies before you but universal death.
> _Russell reiterated his prophetic message for the rest of his life. He helped to found the Campaign for Nuclear Disarmament in 1958 and became its president. He was imprisoned in 1961for inciting the public to commit a breach of the peace as part of the protest movement against nuclear weapons. During the Cuban missile crisis of 1962 he corresponded directly with President Kennedy and President Khrushchev._
•
## Martin Luther King
Montgomery, Alabama, 5 December 1955
#### 'There comes a time when people get tired'
> _Martin Luther King (1929–68), a black American Baptist pastor, was the right man in the right place at a moment when history demanded a man of stature to become the leader of his people. That moment occurred in 1954, when King led the victorious campaign against segregated seating in Montgomery's buses. Never before in American history had any black leader succeeded in carrying out a prolonged and victorious attack upon oppression by white people. King subsequently led the civil-rights movement, insisting, like Gandhi, on non-violence._
>
> _About a thousand black Americans packed Holt Street Baptist Church on the night of 5 December 1955, the day when the first campaign started. Outside, another five thousand, mainly labourers and servants, listened to the speeches over loudspeakers. With only twenty minutes to prepare his speech, King wrote later that he decided that he would seek to arouse his followers to action by insisting their self-respect was at stake and that if they accepted such injustices without protesting theywould betray their own sense of dignity and the eternal edicts of God himself. 'But I would balance this with a strong affirmation of the Christian doctrine of love.'_
>
> _As King and Ralph Abernathy entered the church together, all heads turned. King led the congregation in singing 'Onward Christian Soldiers' and 'Leaning on the Everlasting Arms'. After prayers and a reading from the Scriptures, he advanced to the lectern. As the audience applauded and television cameras began to shoot from all sides, the crowd grew quiet. Then King, speaking without notes or a manuscript, delivered the speech that first drew him to national attention._
We're here this evening for serious business. We're here in a general sense because first and foremost, we are American citizens, and we are determined to acquire our citizenship to the fullness of its meaning. We are here also because of our deep-seated belief that democracy transformed from thin paper to thick action is the greatest form of government on earth.
There comes a time that people get tired. We are here this evening to say to those who have mistreated us so long that we are tired – tired of being segregated and humiliated; tired of being kicked about by the brutal feet of oppression.
There comes a time my friends when people get tired of being plunged across the abyss of humiliation, when they experience the bleakness of nagging despair. There comes a time when people get tired of being pushed out of the glimmering sunlight of last July and left standing amid the piercing chill of an Alpine November.
We had no alternative but to protest. For many years, we have shown amazing patience. We have sometimes given our white brothers the feeling that we liked the way we were being treated. But we come here tonight to be saved from that patience that makes us patient with anything less than freedom and justice.
One of the great glories of democracy is the right to protest for right.
These organizations [White Citizens' Councils and the Ku Klux Klan] are protesting for the perpetuation of injustice in the community, we are protesting for the birth of justice in the community. Their methods lead to violence and lawlessness. But in our protest there will be no cross burnings. No white person will be taken from his home by a hooded Negro mob and brutally murdered. There will be no threats and intimidation. We will be guided by the highest principles of law and order.
Our method will be that of persuasion, not coercion. We will only say to the people, 'Let your conscience be your guide.' Our actions must be guided by the deepest principles of our Christian faith. Love must be our regulating ideal. Once again we must hear the words of Jesus echoing across the centuries ('Love your enemies, bless them that curse you, and pray for them that despitefully use you'). If we fail to do this our protest will end up as a meaningless drama on the stage of history, and its memory will be shrouded with the ugly garments of shame. In spite of the mistreatment that we have confronted we must not become bitter, and end up by hating our white brothers. As Booker T. Washington said, 'Let no man pull you so low as to make you hate him.'
We are not wrong in what we are doing. If we are wrong, the Supreme Court of this nation is wrong. If we are wrong, the Constitution of the United States is wrong. If we are wrong, God Almighty is wrong. If we are wrong, Jesus of Nazareth was merely a Utopian dreamer who never came down to earth.
If you will protest courageously, and yet with dignity and Christian love, when the history books are written in future generations, the historians will have to pause and say, 'There lived a great people – a black people – who injected new meaning and dignity into the veins of civilization.' This is our challenge and our overwhelming responsibility.
•
## Nikita Khrushchev
Moscow, 25 February 1956
#### 'We must abolish the cult of the individual'
> _Six months after the death of Stalin, Nikita Khrushchev (1894–1971) became first secretary of the Communist Party and started to build his power at the top of the Soviet Union. He secured the succession of his nominee, Bulganin, to the premiership in 1955._
>
> _The twentieth congress of the party, in 1956, held at the Kremlin with 1,355 voting delegates, was the first since Stalin's death. At the first meeting, the delegates noticed that there was no photograph of Stalin in the conference hall. Khrushchev gave his seven-hour report with hardly any allusion to Stalin. After the regular session on 24 February, the delegates were summoned to a closely guarded night meeting. At this secret meeting, Khrushchev made one of the most sensational speeches of the century in which he attacked the cult of personality during Stalin's reign of terror and introduced an era of liberalization in which many of Stalin's victims were rehabilitated._
Comrades! In the report of the Central Committee of the party at the twentieth Congress, in a number of speeches by delegates to the Congress, and also formerly during the plenary CC-CPSU sessions, quite a lot has been said about the cult of the individual and about its harmful consequences.
After Stalin's death the Central Committee of the party began to implement a policy of explaining concisely and consistently that it is impermissible and foreign to the spirit of Marxism–Leninism to elevate one person, to transform him into a superman possessing supernatural characteristics akin to those of a god. Such a man supposedly knows everything, sees everything, thinks for everyone, can do anything, is infallible in his behaviour.
Such a belief about a man, and specifically about Stalin, was cultivated among us for many years...
In December 1922, in a letter to the Party Congress, Vladimir Ilyich wrote:
> After taking over the position of Secretary-General Comrade Stalin accumulated in his hands immeasurable power and I am not certain whether he will be always able to use this power with the required care.
This letter – a political document of tremendous importance, known in the party history as Lenin's 'testament' – was distributed among the delegates to the twentieth Party Congress. You have read it, and will undoubtedly read it again more than once. You might reflect on Lenin's plain words, in which expression is given to Vladimir Ilyich's anxiety concerning the party, the people, the State, and the future direction of party policy.
Vladimir Ilyich said:
> Stalin is excessively rude, and this defect, which can be freely tolerated in our midst and in contacts among us Communists, becomes a defect which cannot be tolerated in one holding the position of the Secretary-General. Because of this I propose that the comrades consider the method by which Stalin would be removed from this position and by which another man would be selected for it, a man who, above all, would differ from Stalin in only one quality, namely, greater tolerance, greater loyalty, greater kindness and more considerate attitude towards the comrades, a less capricious temper, &c.
This document of Lenin's was made known to the delegates at the thirteenth Party Congress, who discussed the question of transferring Stalin from the position of Secretary-General. The delegates declared themselves in favour of retaining Stalin in this post, hoping that he would heed the critical remarks of Vladimir Ilyich and would be able to overcome the defects which caused Lenin serious anxiety...
As later events have proven, Lenin's anxiety was justified: in the first period after Lenin's death Stalin still paid attention to his advice, but later he began to disregard the serious admonitions of Vladimir Ilyich.
When we analyse the practice of Stalin in regard to the direction of the party and of the country, when we pause to consider everything which Stalin perpetrated, we must be convinced that Lenin's fears were justified. The negative characteristics of Stalin, which, in Lenin's time, were only incipient, transformed themselves during the last years into a grave abuse of power by Stalin, which caused untold harm to our party.
We have to consider seriously and analyse correctly this matter in order that we may preclude any possibility of a repetition in any form whatever of what took place during the life of Stalin, who absolutely did not tolerate collegiality in leadership and in work, and who practised brutal violence, not only towards everything which opposed him but also towards that which seemed to his capricious and despotic character contrary to his concepts.
Stalin acted not through persuasion, explanation, and patient cooperation with people, but by imposing his concepts and demanding absolute submission to his opinion. Whoever opposed this concept or tried to prove his viewpoint, and the correctness of his position, was doomed to removal from the leading collective and to subsequent moral and physical annihilation. This was especially true during the period following the seventeenth Party Congress, when many prominent party leaders and rank-and-file party workers, honest and dedicated to the cause of Communism, fell victim to Stalin's despotism...
Stalin originated the concept 'enemy of the people'. This term automatically rendered it unnecessary that the ideological errors of a man or men engaged in a controversy be proven: this term made possible the usage of the most cruel repression, violating all norms of revolutionary legality, against anyone who in any way disagreed with Stalin, against those who were only suspected of hostile intent, against those who had bad reputations. This concept, 'enemy of the people', actually eliminated the possibility of any kind of ideological fight or the making of one's views known on this or that issue, even those of a practical character. In the main, and in actuality, the only proof of guilt used, against all norms of current legal science, was the 'confession' of the accused himself: and, as subsequent probing proved, 'confessions' were acquired through physical pressures against the accused.
This led to glaring violations of revolutionary legality, and to the fact that many entirely innocent persons, who in the past had defended the party line, became victims. We must assert that in regard to those persons who in their time had opposed the party line, there were often no sufficiently serious reasons for their physical annihilation. The formula 'enemy of the people' was specifically introduced for the purpose of physically annihilating such individuals.
Everyone knows how irreconcilable Lenin was with the ideological enemies of Marxism, with those who deviated from the correct party line. At the same time, however, Lenin, as is evident from the given document, in his practice of directing the party demanded the most intimate party contact with people who had shown indecision or temporary nonconformity with the party line, but whom it was possible to return to the party path. Lenin advised that such people should be patiently educated without the application of extreme methods. Lenin's wisdom in dealing with people was evident in his work with cadres.
An entirely different relationship with people characterized Stalin. Lenin's traits – patient work with people; stubborn and painstaking education of them; the ability to induce people to follow him without using compulsion, but rather through the ideological influence on them of the whole collective – were entirely foreign to Stalin. He discarded the Leninist method of convincing and educating: he abandoned the method of ideological struggle for that of administrative violence, mass repressions, and terror. He acted on an increasingly larger scale and more stubbornly through punitive organs, at the same time often violating all existing norms of morality and of Soviet laws.
Arbitrary behaviour by one person encouraged and permitted arbitrariness in others. Mass arrests and deportations of many thousands of people, execution without trial and without normal investigation...
Lenin used severe methods only in the most necessary cases, when the exploiting classes were still in existence and were vigorously opposing the Revolution, when the struggle for survival was decidedly assuming the sharpest forms, even including a Civil War.
Stalin, on the other hand, used extreme methods and mass repressions at a time when the Revolution was already victorious, when the Soviet State was strengthened, when the exploiting classes were already liquidated and Socialist relations were rooted solidly in all phases of national economy, when our party was politically consolidated and had strengthened itself both numerically and ideologically. It is clear that here Stalin showed in a whole series of cases his intolerance, his brutality, and his abuse of power. Instead of proving his political correctness and mobilizing the masses, he often chose the path of repression and physical annihilation, not only against actual enemies but also against individuals who had not committed any crimes against the party and the Soviet Government. Here we see no wisdom but only a demonstration of the brutal force which had once so alarmed V. I. Lenin...
I recall the first days when the conflict between the Soviet Union and Yugoslavia began artificially to be blown up. Once, when I came from Kiev to Moscow, I was invited to visit Stalin who, pointing to the copy of a letter lately sent to Tito, asked me: 'Have you read this?'
Not waiting for my reply, he answered: 'I will shake my little finger – and there will be no more Tito. He will fall.'
We have dearly paid for this 'shaking of the little finger'. This statement reflected Stalin's mania for greatness, but he acted just that way: 'I will shake my little finger – and there will be no Kossior'; 'I will shake my little finger once more and Postyshev and Chubar will be no more'; 'I will shake my little finger again – Voznesensky, Kuznetsov and many others will disappear.'
But this did not happen to Tito. No matter how much or how little Stalin shook, not only his little finger but everything else that he could shake, Tito did not fall. Why? The reason was that, in this case of disagreement with the Yugoslav comrades, Tito had behind him a State and a people who had gone through a severe school of fighting for liberty and independence, a people which gave support to its leaders.
You see to what Stalin's mania for greatness led. He had completely lost consciousness of reality; he demonstrated his suspicion and haughtiness not only in relation to individuals in the USSR but in relation to whole parties and nations.
Stalin's reluctance to consider life's realities and the fact that he was not aware of the real state of affairs in the provinces can be illustrated by his direction of agriculture. All those who interested themselves even a little in the national situation saw the difficult situation in agriculture, but Stalin never even noted it. Did we tell Stalin about this? Yes, we told him, but he did not support us. Why? Because Stalin never travelled anywhere, did not meet city and kolkhoz workers; he did not know the actual situation in the provinces. He knew the country and agriculture only from films. And these films had dressed up and beautified the existing situation in agriculture.
Many films so pictured kolkhoz life that the tables were bending from the weight of turkeys and geese. Evidently Stalin thought that it was actually so.
Vladimir Ilyich Lenin looked at life differently; he was always close to the people; he used to receive peasant delegates, and often spoke at factory gatherings; he used to visit villages and talk with the peasants.
Stalin separated himself from the people and never went anywhere. This went on for dozens of years. The last time he visited a village was in January 1928, when he went to Siberia in connection with grain deliveries. How then could he have known the situation in the provinces?
We should in all seriousness consider the question of the cult of the individual. We cannot let this matter get out of the party, especially not to the press. It is for this reason that we are considering it here at a closed congress session. We should know the limits: we should not give ammunition to the enemy: we should not wash our dirty linen before their eyes. I think that the delegates to the congress will understand and assess properly all these proposals. ( _Tumultuous applause._ )
Comrades! We must abolish the cult of the individual decisively, once and for all; we must draw the proper conclusions concerning both ideological-theoretical and practical work.
It is necessary for this purpose:
First, in a Bolshevik manner, to condemn and to eradicate the cult of the individual as alien to Marxism–Leninism and not consonant with the principles of party leadership and the norms of party life, and to fight inexorably all attempts at bringing back this practice in one form or another.
To return to and actually practise in all our ideological work the most important theses of Marxist–Leninist science about the people as the creator of history and as the creator of all material and spiritual good of humanity, about the decisive role of the Marxist party in the revolutionary fight for the transformation of society, about the victory of communism.
Comrades: The twentieth Congress of the Communist Party of the Soviet Union has manifested with a new strength the unshakable unity of our party, its cohesiveness around the Central Committee, its resolute will to accomplish the great task of building communism. ( _Tumultuous applause._ ) And the fact that we present in all their ramifications the basic problems of overcoming the cult of the individual which is alien to Marxism–Leninism, as well as the problem of liquidating its burdensome consequences, is evidence of the great moral and political strength of our party. ( _Prolonged applause._ )
We are absolutely certain that our party, armed with the historical resolutions of the twentieth congress, will lead the Soviet people along the Leninist path to new successes, to new victories. ( _Tumultuous, prolonged applause._ )
Long live the victorious banner of our party – Leninism! ( _Tumultuous, prolonged applause ending in standing ovation._ )
> _Although delivered in secret, the speech reached other Communist countries and eventually leaked out in the West. It encouraged restlessness in Poland, revolt in Hungary and hastened the rift with Chairman Mao and Peking, the main reasons for Khrushchev's downfall in 1964, two years after the United States and the Soviet Union nearly came to war over the Cuban missile crisis._
•
## Aneurin Bevan
London, 5 December 1956
#### 'We have to act up to different standards'
> _The Suez Crisis of 1956, initiated after President Nasser of Egypt nationalized the Suez Canal Company, divided British public opinion more bitterly than any other post-war dispute – and also diverted British and American attention from Soviet intervention to suppress the Hungarian national uprising. An Anglo-French invasion of Egypt started on 5 November but was halted two days later after being condemned by the United Nations, as well as the United States._
>
> _Aneurin Bevan, now the official Labour spokesman on foreign affairs, was the fiercest British critic of Suez. The first inquest on the disaster was held in the Commons on 5 December, when Bevan, according to his biographer Michael Foot, made what many considered the greatest speech of his life: 'Bevan welded the scattered indictment into a single, glittering synthesis; the wit merged with thewisdom and the wisdom with the wit, like two edges of the same sword.' This was the peroration._
The social furniture of modern society is so complicated and fragile that it cannot support the jackboot. We cannot run the processes of modern society by attempting to impose our will upon nations by armed force. If we have not learned that we have learned nothing. Whatever may have been the morality of the Government's action – and about that there is no doubt – there is no doubt about its imbecility. There is not the slightest shadow of doubt that we have attempted to use methods which were bound to destroy the objectives we had, and, of course, this is what we have discovered.
It has been proved over and over again now in the modern world that men and women are often prepared to put up with material losses for things that they really think worthwhile. It has been shown in Budapest, and it could be shown in the Middle East. That is why I beg Hon. Members to turn their backs on this most ugly chapter and realize that if we are to live in the world and are to be regarded as a decent nation, decent citizens in the world, we have to act up to different standards than the one that we have been following in the last few weeks.
I resent most bitterly this unconcern for the lives of innocent men and women. It may be that the dead in Port Said are 100, 200 or 300. If it is only one, we had no business to take it. Do Hon. Members begin to realize how this is going to revolt the world when it passes into the imagination of men and women everywhere, and in this country, that we, with eight million here in London, the biggest single civilian target in the world, with our crowded island exposed, as no nation in the world is exposed, to the barbarism of modern weapons, we ourselves set the example.
We ourselves conscript our boys and put guns and aeroplanes in their hands and say, 'Bomb there.' Really, this is so appalling that human language can hardly describe it. And for what? The Government resorted to epic weapons for squalid and trivial ends, and that is why all through this unhappy period Ministers – all of them – have spoken and argued and debated well below their proper form – because they have been synthetic villains. They are not really villains. They have only set off on a villainous course, and they cannot even use the language of villainy.
It is no use Hon. Members consoling themselves that they have more support in the country than many of them feared they might have. Of course they have support in the country. They have support among many of the unthinking and unreflective who still react to traditional values, who still think that we can solve all these problems in the old ways. Of course they have. Not all the human race has grown to adult state yet. But do not let them take comfort in that thought. The Right Hon. Member for Woodford (Sir Winston Churchill) has warned them before. In the first volume of his _Second World War_ , he writes about the situation before the war and he says this:
> Thus an Administration more disastrous than any in our history saw all its errors and shortcomings acclaimed by the nation. There was however a bill to be paid, and it took the new House of Commons nearly ten years to pay it.
> _The speech was acclaimed both inside and outside the House of Commons and made even Bevan's former critics believe that he should be the next Foreign Secretary._
•
## Aneurin Bevan
Brighton, 3 October 1957
#### 'Naked into the conference chamber'
> _Why has he done it? Why, why, why? was the angry, bemused reaction of the Bevanites, Aneurin Bevan's allies on the left of the Labour Party, after the speech to the party conference in which he opposed resolution 24 calling for unilateral British disarmament._
>
> _His speech in the 1957 H-bomb debate was the bravest of Bevan's career: hewas siding with his old enemy, Hugh Gaitskell, and denouncing the views of his closest political friends. 'I have thought about this very anxiously,' he said. 'I knew that I was going to make a speech that would offend and even hurt many of my friends.' He was interrupted by cries of protest. 'But do you think I am afraid?' There was no answer. 'I shall say what I believe.' This is what Bevan then said._
If you carry this resolution and follow out all its implications and do not run away from it you will send a British Foreign Secretary, whoever he may be, naked into the conference chamber. Able to preach sermons, of course; he could make good sermons. But action of that sort is not necessarily the way in which you take the menace of this bomb from the world. It might be that action of that sort will still be there available to us if our other actions fail. It is something you can always do. You can always, if the influence you have upon your allies and upon your opponents is not yielding any fruits, take unilateral action of that sort. ( _A cry of 'Do it now.'_ ) 'Do it now,' you say. This is the answer I give from the platform. Do it now as a Labour Party Conference? You cannot do it now. It is not in your hands to do it. All you can do is pass a resolution. What you are saying is that a British Foreign Secretary gets up in the United Nations, without consultation – mark this; this is a responsible attitude! – without telling any members of the Commonwealth, without concerting with them, that the British Labour movement decides unilaterally that this country contracts out of all its commitments and obligations entered into with other countries and members of the Commonwealth – without consultation at all. And you call that statesmanship? I call it an emotional spasm...
If any Socialist Foreign Secretary is to have a chance he must be permitted to substitute good policies for bad policies. Do not disarm him diplomatically, intellectually, and in every other way before he has a chance to turn round.
This country could be destroyed merely as an incident of a war between Russia and the USA. It is not necessary for any bombs to drop on us. If war broke out between the USA and the Soviet Union, this country would be poisoned with the rest of mankind. What we have, therefore, to consider is how far the policies we are considering can exert an influence and a leverage over the policies of the USA and of the Soviet Union...
I do seriously believe in the rejection of the bomb. But that is not the issue. That is what I am telling you. If resolution 24 only meant that we would have very little difficulty with it. But if resolution 24 is read with its implications it means that as decent folk you must immediately repudiate all the protection and all the alliances and all the entanglements you have with anybody who uses or possesses or manufactures hydrogen bombs. That is our dilemma. I find it a very, very serious dilemma. This problem is without precedent in the history of the world. I consider that it is not only a question of practical statesmanship...
No nation is entitled to try to exterminate an evil by invoking a greater evil than the one it is trying to get rid of. The hydrogen bomb is, of course, a greater evil than any evil it is intended to meet. But, unfortunately, the USSR and the USA are in possession of this weapon, and we are in danger of being exterminated as a consequence of their rivalries and their antagonisms. What I would like to have is the opportunity of exerting influence upon the policies of those countries, but this is not the way to do it. You do not give us a chance. It was said to me during the week, 'What is the use of getting up on the platform and saying you are going to stop or suspend the tests?' We have said that already. Are we thinking merely in terms of stronger and stronger resolutions accompanied by no action at all?
I am begging and praying our comrades here to reconsider the demands they have made, because I agree that those who support resolution No. 24 do it with complete sincerity. They do it because they believe that the resolution embodies their detestation of the bomb. But I am sure that in your secret hearts you will admit that you have not fully thought out the implications of that. You have not realized that the consequence of passing that resolution would be to drive Great Britain into a diplomatic purdah.
> _Bevan became deputy leader of the Labour Party in 1959._
•
## Enoch Powell
House of Commons, 27 July 1959
#### 'Hola Camp'
> _Enoch Powell (1912–98) was one of the most gifted, principled and controversial Conservative politicians of his era. Once a professor of Greek (and a future Minister of Health), Powell was still a backbencher when an official inquiry confirmed allegations of brutality at the Kenyan detention camp at Hola, where batons and rifle butts had been used on Mau Mau detainees and ten men had died (allegedly after drinking dirty water). His coruscating speech, insisting on ministerial responsibility, was remembered by many MPs on both sides of the House as the best they ever heard. As Powell ended, he sat down and cried. He said later: 'One of the exhilarations of being a member of the House of Commons, if you experience it, are the moments when you actually have it in your hand, in which you play upon it like an instrument.'_
>
> _The speech remained the most powerful memory of his long career._
I am as certain of this as I am of anything, that my Right Hon. Friend the Secretary of State from the beginning to the end of this affair is without any jot or tittle of blame for what happened in Kenya, that he could not be expected to know, that it could not be within the administrative conventions that these matters should be brought to his attention before or during the execution. When I say my Right Hon. Friend was in this matter utterly and completely blameless, that is of a piece with his administration of his high office generally, which has been the greatest exercise of the office of Colonial Secretary in modern times. It is in the name of that record, it is in the name of his personal blamelessness, that I beg of him to ensure that the responsibility is recognized and carried where it properly belongs, and is seen to belong.
I have heard it suggested that there were circumstances surrounding this affair at Hola Camp which, it is argued, might justify the passing over of this responsibility – which might justify one in saying, 'Well, of course, strictly speaking, that is quite correct: but then here there were special circumstances.'
It has been said – and it is a fact – that these eleven men were the lowest of the low; sub-human was the word which one of my Hon. Friends used. So be it. But that cannot be relevant to the acceptance of responsibility for their death. I know that it does not enter into my Right Hon. Friend's mind that it could be relevant, because it would be completely inconsistent with his whole policy of rehabilitation, which is based upon the assumption that whatever the present state of these men, they can be reclaimed. No one who supports the policy of rehabilitation can argue from the character and condition of these men that responsibility for their death should be different from the responsibility for anyone else's death. In general, I would say that it is a fearful doctrine, which must recoil upon the heads of those who pronounce it, to stand in judgement on a fellow human being and to say, 'Because he was such-and-such, therefore the consequences which would otherwise flow from his death shall not flow.'
It is then said that the morale of the Prison Service, the morale of the whole Colonial Service, is above all important and that whatever we do, whatever we urge, whatever we say, should have regard to that morale. 'Amen' say I. But is it for the morale of the Prison Service that those who executed a policy should suffer – whether inadequately or not is another question – and those who authorized it, those to whom they appealed, should be passed over? I cannot believe that that supports the morale of a service.
Going on beyond that, my Hon. Friend the Member for Leicester, South-East (Mr Peel) reminded the House how proud the Colonial Service is of the integrity of its administration and its record. Nothing could be more damaging to the morale of such a service than that there should be a breath of a blemish left upon it. No, sir; that argument from the morale of the Prison Service and the Colonial Service stands on its head if what we mean is that therefore the consequences of responsibility should not follow in this case as they would in any other similar case.
Finally it is argued that this is Africa, that things are different there. Of course they are. The question is whether the difference between things there and here is such that the taking of responsibility there and here should be upon different principles. We claim that it is our object – and this is something which unites both sides of the House – to leave representative institutions behind us wherever we give up our rule. I cannot imagine that it is a way to plant representative institutions to be seen to shirk the acceptance and the assignment of responsibility, which is the very essence of responsible government.
Nor can we ourselves pick and choose where and in what parts of the world we shall use this or that kind of standard. We cannot say, 'We will have African standards in Africa, Asian standards in Asia and perhaps British standards here at home.' We have not that choice to make. We must be consistent with ourselves everywhere. All government, all influence of man upon man, rests upon opinion. What we can do in Africa, where we still govern and where we no longer govern, depends upon the opinion which is entertained of the way in which this country acts and the way in which Englishmen act. We cannot, we dare not, in Africa of all places, fall below our own highest standards in the acceptance of responsibility.
•
## Aneurin Bevan
Blackpool, 29 November 1959
#### 'An ugly society, a vulgar society, a meretricious society'
> _The Labour Party, led by Hugh Gaitskell, had lost the 1959 general election to the Conservatives, led by Harold Macmillan. As it met for a special inquest on its defeat, Labour was once again divided over its commitment to nationalization, with the revisionist Gaitskell urging that the constitution should be brought 'up to date' and arguing that public ownership was no longer the be-all and end-all of party policy._
>
> _The next day, overcoming his sickness of the previous months, Aneurin Bevan, now deputy leader, reopened the socialist argument, yet preserved the unity of the party. 'It was the classic Bevan speech,' says Michael Foot, his biographer,'shaped to secure an immediate end and yet elevating the party debate to the realm of political philosophy... Samson's locks had grown again but he used his strength not to destroy but to sustain.'_
If it is said that we lost the election because of our belief in public ownership, then 12,250,000 people voted for us because they believed in public ownership. It is not a bad start-off, is it? Now you may say: 'Ah, but they did not vote for you because they believed in public ownership.' Well, you cannot have it both ways, can you? Or even suppose you were allowed to have it both ways, then you must conclude that 12,250,000 people did vote for us despite their distaste for public ownership. That is the biggest single vote ever given for public ownership in any country in the whole world. Then why the hell this defeatism? Why all this talk that we have actually gone back? Of course it is true that in the present-day affluent society a very large number of people are not as discontented as they were, and because we are a Party that stands for the redress of discontent and the wrongs caused by discontent, the absence of so much discontent therefore has reduced our popularity. But you know, comrades, I have been in this movement now for many years. I was in this movement in between the war years when there were two million unemployed, and still the Tories got a majority. You would have thought that there was some spontaneous generation of Socialist conviction; but we lost before the war years. Even the unemployed voted against us. Even in the areas where there was as much as 20 per cent and 30 per cent of unemployment we lost seats. Should we not therefore have voted in favour of unemployment?
The fact is – and that is accepted, and derive your lessons from it – that a very considerable number of young men and women in the course of the last five or ten years have had their material conditions improved and their status has been raised in consequence and their discontents have been reduced, so that temporarily their personalities are satisfied with the framework in which they live. They are not conscious of constriction; they are not conscious of frustration or of limitation as formerly they were, in exactly the same way as even before the war large numbers of workers were not sufficiently conscious of frustration and of limitation, even on unemployment benefit, to vote against the Tories.
What is the lesson for us? It is that we must enlarge and expand those personalities, so that they can become again conscious of limitation and constriction. The problem is one of education, not of surrender! This so-called affluent society is an ugly society still. It is a vulgar society. It is a meretricious society. It is a society in which priorities have gone all wrong. I once said – and I do not want to quote myself too frequently – that the language of priorities was the religion of Socialism, and there is nothing wrong with that statement either, but you can only get your priorities right if you have the power to put them right, and the argument, comrades, is about power in society. If we managed to get a majority in Great Britain by the clever exploitation of contemporary psychology, and we did not get the commanding heights of the economy in our power, then we did not get the priorities right. The argument is about power and only about power, because only by the possession of power can you get the priorities correct...
Frank Pakenham made a speech here yesterday in which he said that his beliefs were derived from his religion. I do not claim to be a very religious man; I never have. But I must remind Frank Pakenham that Christ drove the money-changers from the Temple. He did not open the doors wide for them to enter. He drove them away. If we go on to apply the principles of Christianity to contemporary British society, they have been done elsewhere rather better than they have been done here. I think there is something evil, something abominable, something disgraceful in a country that can turn its back on Hola, that can turn its back on the old-age pensioners, that can starve the Health Service, and reap £1,500 million from the Stock Exchange boom immediately after the election is over.
What are we going to say, comrades? Are we going to accept the defeat? Are we going to say to India, where Socialism has been adopted as the official policy despite all the difficulties facing the Indian community, that the British Labour movement has dropped Socialism here? What are we going to say to the rest of the world? Are we going to send a message from this great Labour movement, which is the father and mother of modern democracy and modern Socialism, that we in Blackpool in 1959 have turned our backs on our principles because of a temporary unpopularity in a temporarily affluent society?
Let me give you a personal confession of faith. I have found in my life that the burdens of public life are too great to be borne for trivial ends. The sacrifices are too much, unless we have something really serious in mind; and therefore, I hope we are going to send from this Conference a message of hope, a message of encouragement, to the youth and to the rest of the world that is listening very carefully to what we are saying.
I was rather depressed by what Denis Healey [a fellow Labour MP] said. I have a lot of respect for him: but you know, Denis, you are not going to be able to help the Africans if the levers of power are left in the hands of their enemies in Britain. You cannot do it! Nor can you inject the principles of ethical Socialism into an economy based upon private greed. You cannot do it! You cannot mix them, and therefore I beg and pray that we should wind this Conference up this time on a message of hope, and we should say to India and we should say to Africa and Indonesia, and not only to them, but we should say to China and we should say to Russia, that the principles of democratic Socialism have not been extinguished by a temporary defeat at the hands of the Tories a few weeks ago!
You know, comrades, parliamentary institutions have not been destroyed because the Left was too vigorous; they have been destroyed because the Left was too inert. You cannot give me a single illustration in the Western world where Fascism conquered because Socialism was too violent. You cannot give me a single illustration where representative government has been undermined because the representatives of the people asked for too much. But I can give you instance after instance we are faced with today where representative government has been rendered helpless because the representatives of the people did not ask enough. We have never suffered from too much vitality; we have suffered from too little. That is why I say that we are going to go from this Conference a united Party. We are going to go back to the House of Commons, and we are going to fight the Tories. But we are not only going to fight them there; we are going to fight them in the constituencies and inside the trade unions. And we are going to get the youth! Let them start. Do not let them wait for the Executive, for God's sake! Start getting your youth clubs, go in and start now! Go back home and start them, and we will give all the help and encouragement that we can.
I have enough faith in my fellow creatures in Great Britain to believe that when they have got over the delirium of the television, when they realize that their new homes that they have been put into are mortgaged to the hilt, when they realize that the moneylender has been elevated to the highest position in the land, when they realize that the refinements for which they should look are not there, that it is a vulgar society of which no decent person could be proud, when they realize all those things, when the years go by and they see the challenge of modern society not being met by the Tories who can consolidate their political powers only on the basis of national mediocrity, who are unable to exploit the resources of their scientists because they are prevented by the greed of their capitalism from doing so, when they realize that the flower of our youth goes abroad today because they are not being given opportunities of using their skill and their knowledge properly at home, when they realize that all the tides of history are flowing in our direction, that we are not beaten, that we represent the future: then, when we say it and mean it, then we shall lead our people to where they deserve to be led!
> _This characteristically emotional affirmation of British democratic socialism was almost Bevan's last speech and he won a tumultuous reception. He died the following summer._
•
## Harold Macmillan
Cape Town, 3 February 1960
#### 'The wind of change'
> _Harold Macmillan (1894–1986) had been British prime minister for three years when in January 1960 he left for a tour of Africa that took him through Ghana, Nigeria, Rhodesia, and Nyasaland and then to the apartheid state of South Africa, where he made the most famous speech of his life._
>
> _The speech to both houses of parliament was the most important event of the tour. 'I approached this ordeal with much trepidation,' Macmillan wrote in his memoirs. 'I knew that much of what I would be constrained to say would be disagreeable to many of my hearers.' Dr Hendrik Verwoerd, the South African prime minister [and also one of the prime movers of apartheid], had seen the outlines of the text and what Macmillan was to say had come as a shock._
>
> _Standing in the chamber of the Old Cape Colony parliament, Macmillan, who had encouraged independence in Britain's former colonies, delivered a fifty-minute speech in which he made plain Britain's deep distaste for the racial policies of his hosts, who were still then members of the British Commonwealth._
Ever since the break-up of the Roman Empire one of the constant facts of political life in Europe has been the emergence of independent nations. They have come into existence over the centuries in different forms, with different kinds of Government, but all have been inspired by a deep, keen feeling of nationalism, which has grown as the nations have grown.
In the twentieth century, and especially since the end of the war, the processes which gave birth to the nation states of Europe have been repeated all over the world. We have seen the awakening of national consciousness in peoples who have for centuries lived in dependence upon some other power. Fifteen years ago this movement spread through Asia. Many countries there of different races and civilizations pressed their claim to an independent national life. Today the same thing is happening in Africa, and the most striking of all the impressions I have formed is of the strength of this African national consciousness. In different places it takes different forms, but it is happening everywhere. The wind of change is blowing through this continent, and, whether we like it or not, this growth of national consciousness is a political fact. We must all accept it as a fact, and our national policies must take account of it.
Of course, you understand this better than anyone. You are sprung from Europe, the home of nationalism, and here in Africa you have yourselves created a new nation. Indeed, in the history of our times yours will be recorded as the first of the African nationalisms, and this tide of national consciousness which is now rising in Africa is a fact for which you and we and the other nations of the Western World are ultimately responsible. For its causes are to be found in the achievements of Western civilization, in the pushing forward of the frontiers of knowledge, in the applying of science in the service of human needs, in the expanding of food production, in the speeding and multiplying of the means of communication, and perhaps, above all, the spread of education...
As I see it the great issue in this second half of the twentieth century is whether the uncommitted peoples of Asia and Africa will swing to the East or to the West. Will they be drawn into the Communist camp? Or will the great experiments in self-government that are now being made in Asia and Africa, especially within the Commonwealth, prove so successful, and by their example so compelling, that the balance will come down in favour of freedom and order and justice?
The struggle is joined, and it is a struggle for the minds of men. What is now on trial is much more than our military strength or our diplomatic and administrative skill. It is our way of life. The uncommitted nations want to see before they choose.
What can we show them to help them choose right? Each of the independent members of the Commonwealth must answer that question for itself. It is a basic principle of our modern Commonwealth that we respect each other's sovereignty in matters of internal policy. At the same time we must recognize that in this shrinking world in which we live today the internal policies of one nation may have effects outside it. We may sometimes be tempted to say to each other, 'Mind your own business,' but in these days I would myself expand the old saying so that it runs: 'Mind your own business, but mind how it affects my business, too.'
Let me be very frank with you, my friends. What Governments and Parliaments in the United Kingdom have done since the war in according independence to India, Pakistan, Ceylon, Malaya and Ghana, and what they will do for Nigeria and other countries now nearing independence, all this, though we take full and sole responsibility for it, we do in the belief that it is the only way to establish the future of the Commonwealth and of the Free World on sound foundations. All this of course is also of deep and close concern to you for nothing we do in this small world can be done in a corner or remain hidden. What we do today in West, Central and East Africa becomes known tomorrow to everyone in the Union, whatever his language, colour or traditions. Let me assure you, in all friendliness, that we are well aware of this and that we have acted and will act with full knowledge of the responsibility we have to all our friends.
Nevertheless I am sure you will agree that in our own areas of responsibility we must each do what we think right. What we think right derives from a long experience both of failure and success in the management of our own affairs. We have tried to learn and apply the lessons of our judgement of right and wrong. Our justice is rooted in the same soil as yours – in Christianity and in the rule of law as the basis of a free society. This experience of our own explains why it has been our aim in the countries for which we have borne responsibility, not only to raise the material standards of living, but also to create a society which respects the rights of individuals, a society in which men are given the opportunity to grow to their full stature – and that must in our view include the opportunity to have an increasing share in political power and responsibility, a society in which individual merit and individual merit alone is the criterion for a man's advancement, whether political or economic...
The attitude of the United Kingdom towards this problem was clearly expressed by the Foreign Secretary, Mr Selwyn Lloyd, speaking at the United Nations General Assembly on 17 September 1959. These were his words:
> In those territories where different races or tribes live side by side the task is to ensure that all the people may enjoy security and freedom and the chance to contribute as individuals to the progress and well being of these countries. We reject the idea of any inherent superiority of one race over another. Our policy therefore is non-racial. It offers a future in which Africans, Europeans, Asians, the peoples of the Pacific and others with whom we are concerned, will all play their full part as citizens in the countries where they live, and in which feelings of race will be submerged in loyalty to new nations.
I have thought you would wish me to state plainly and with full candour the policy for which we in Britain stand. It may well be that in trying to do our duty as we see it we shall sometimes make difficulties for you. If this proves to be so we shall regret it. But I know that even so you would not ask us to flinch from doing our duty.
As a fellow member of the Commonwealth it is our earnest desire to give South Africa our support and encouragement, but I hope you won't mind my saying frankly that there are some aspects of your policies which make it impossible for us to do this without being false to our own deep convictions about the political destinies of free men to which in our own territories we are trying to give effect. I think we ought, as friends, to face together, without seeking to apportion credit or blame, the fact that in the world of today this difference of outlook lies between us...
The fact is that in this modern world no country, not even the greatest, can live for itself alone. Nearly two thousand years ago, when the whole of the civilized world was comprised within the confines of the Roman Empire, St Paul proclaimed one of the great truths of history – we are all members one of another. During this twentieth century that eternal truth has taken on a new and exciting significance. It has always been impossible for the individual man to live in isolation from his fellows, in the home, the tribe, the village, or the city. Today it is impossible for nations to live in isolation from one another. What Dr John Donne said of individual men three hundred years ago is true today of my country, your country, and all the countries of the world:
> Any man's death diminishes me, because I am involved in Mankind. And therefore never send to know for whom the bell tolls; it tolls for thee.
All nations now are interdependent one upon another, and this is generally realized throughout the Western World... Those of us who by grace of the electorate are temporarily in charge of affairs in your country and in mine, we fleeting transient phantoms on the great stage of history, we have no right to sweep aside on this account the friendship that exists between our countries, for that is the legacy of history. It is not ours alone to deal with as we wish. To adapt a famous phrase, it belongs to those who are living, but it also belongs to those who are dead and to those who are yet unborn. We must face the differences, but let us try to see beyond them down the long vista of the future.
I hope – indeed, I am confident – that in another fifty years we shall look back on the differences that exist between us now as matters of historical interest, for as time passes and one generation yields to another, human problems change and fade. Let us remember these truths. Let us resolve to build, not to destroy, and let us remember always that weakness comes from division, strength from unity.
> _Verwoerd made an impromptu defence of 'justice for the white man' within his official vote of thanks. White South Africans voted eight months later to leave the British Commonwealth and the Independent Republic of South Africa was formed on 31 May 1961._
•
## Eugene McCarthy
Los Angeles, 13 July 1960
#### 'Do not reject this man'
> _There were five strong candidates for the Democratic nomination for the presidential election in 1960: Adlai Stevenson, Stuart Symington, Hubert Humphrey, Lyndon Baines Johnson and John F. Kennedy._
>
> _Stevenson had lost the two previous elections to Eisenhower but was still keen for the nomination that was to be denied to him when the convention opted for Kennedy. Among those who were thinking uneasily of deserting Stevenson for Kennedy, there were many who nevertheless thought Stevenson alone had the intellectual stature and integrity required by the next American president – and this address by Senator Eugene McCarthy of Minnesota, an eloquent and moving tribute to Stevenson's distinguished career in American politics, stood out from the other nomination speeches for its dramatic boldness._
These times, men say, are out of joint. They say these are the worst of times without being the best of times – this may be true. But I say to you these external signs, these practical problems which face us, are nothing compared to the problems of the mind and of the spirit which face the United States and the free world today.
If the mind is clouded and if the will is confused and uncertain, there can be no sound decision and no sound action.
There's demagoguery abroad in the land at all times, and demagoguery, I say to you, takes many forms. There's that which says 'here is wealth, and here is material comfort'. We suffer a little from that in the United States.
There's demagoguery which promises people power, which is used for improper purposes and ends. And we have seen in this century and in this generation what happens when power is abused.
I say to you there's a subtle kind of demagoguery which erodes the spirit. And this is the demagoguery which has affected this United States in the last eight years.
What are we told? What have we been told? We've been told that we can be strong without sacrifice. This is what we've been told. We've been told that we can be good without any kind of discipline if we just say we're humble and sincere – this is the nature of goodness. We've been told that we can be wise without reflection. We can be wise without study, we've been told. I say this is the erosion of the spirit which has taken place in this United States in the last eight years. And I say to you that the time has come to raise again the cry of the ancient prophet. What did he say? He said the prophets prophesy falsely and the high priests, he said, ruled by their word, and my people love to have it so. But what will be the end?
I say to you the political prophets have prophesied falsely in these eight years. And the high priests of government have ruled by that false prophecy. And the people seemed to have loved it so.
But there was one man – there was one man who did not prophesy falsely, let me remind you. There was one man who said: Let's talk sense to the American people.
What did the scoffers say? The scoffers said: Nonsense. They said: Catastrophic nonsense. But we know it was the essential and the basic and the fundamental truth that he spoke to us.
There was a man who talked sense to the American people. There was one man who said: This is a time for self-examination. This is a time for us to take stock, he said. This is a time to decide where we are and where we're going.
This, he said, is a time for virtue. But what virtues did he say we needed? Oh yes, he said we need the heroic virtues – we always do. We need fortitude; we need courage; we need justice. Everyone cheers when you speak out for those virtues.
But what did he say in addition to that? He said we need the unheroic virtues in America. We need the virtue, he said, of patience. There were those who said we've had too much of patience.
We need, he said, the virtue of tolerance. We need the virtue of forbearance. We need the virtues of patience and understanding.
This was what the prophet said. This is what he said to the American people. I ask you, did he prophesy falsely? Did he prophesy falsely?
He said this is a time for greatness. This is a time for greatness for America. He did not say he possessed it. He did not even say he was destined for it. He did say that the heritage of America is one of greatness.
And he described the heritage to us. And he said the promise of America is a promise of greatness. And he said, this promise we must fulfill.
This was his call to greatness. This was the call to greatness that was issued in 1952.
He did not seek power for himself in 1952. He did not seek power in 1956.
He does not seek it for himself today.
This man knows – this man knows, as all of us do from history, that power often comes to those who seek it. But history does not prove that power is always well used by those who seek it.
On the contrary, the whole history of democratic politics is to this end, that power is best exercised by those who are sought out by the people, by those to whom power is given by a free people.
And so I say to you Democrats here assembled: Do not turn away from this man. Do not reject this man. He has fought gallantly. He has fought courageously. He has fought honourably. In 1952 in the great battle. In 1956 he fought bravely. And between those years and since, he has stood off the guerrilla attacks of his enemies and the sniping attacks of those who should have been his friends. Do not reject this man who has made us all proud to be called Democrats. Do not reject this man who, his enemies said, spoke above the heads of the people, but they said it only because they didn't want the people to listen. He spoke to the people. He moved their minds and stirred their hearts, and this was what was objected to. Do not leave this prophet without honour in his own party. Do not reject this man.
I submit to you a man who is not the favourite son of any one state. I submit to you the man who is the favourite son of fifty states.
And not only of fifty states but the favourite son of every country in the world in which he is known – the favourite son in every country in which he is unknown but in which some spark even though unexpressed of desire for liberty and freedom still lives.
This favourite son I submit to you: Adlai E. Stevenson of Illinois.
> _Stevenson became ambassador to the United Nations in the Kennedy administration. McCarthy challenged President Johnson in 1968 and got forty per cent of the vote in the New Hampshire primary – which caused Robert Kennedy to declare and persuaded Johnson to stand down. After the assassination of Kennedy, Hubert Humphrey won the nomination._
•
## John F. Kennedy
Los Angeles, 15 July 1960
#### 'A new frontier'
> _After the stolid, dull Eisenhower years, Senator John Fitzgerald Kennedy (1917–63) offered new horizons and new hope to Americans, summoning them to join him on the new frontier._
>
> _At the Democratic Convention in Los Angeles he had defeated Hubert Humphrey, Stuart Symington, Lyndon Johnson and Adlai Stevenson to win the nomination for the presidential election. As he spoke at the ceremony of acceptance, he was flanked by his mother and sister, and by his defeated rivals. As the sun set he spoke, facing west, to 80,000 Democrats in the Los Angeles Coliseum – and to thirty-five million Americans watching him on television._
>
> _His face was tired and haggard after a year of strain and a week of sleeplessness. His voice was high and sad._
The American people expect more from us than cries of indignation and attack. The times are too grave, the challenge too urgent, and the stakes too high – to permit the customary passions of political debate. We are not here to curse the darkness, but to light the candle that can guide us through that darkness to a safe and sane future. As Winston Churchill said on taking office some twenty years ago:
'If we open a quarrel between the present and the past, we shall be in danger of losing the future.'
Today our concern must be with that future. For the world is changing. The old era is ending. The old ways will not do.
All over the world, particularly in the newer nations, young men are coming to power – men who are not bound by the traditions of the past – men who are not blinded by the old fears and hates and rivalries – young men who can cast off the old slogans and delusions and suspicions.
The Republican nominee-to-be,* of course, is also a young man. But his approach is as old as McKinley. His party is the party of the past. His speeches are generalities from Poor Richard's Almanac. Their platform, made up of left-over Democratic planks, has the courage of our old convictions. Their pledge is a pledge to the status quo – and today there can be no status quo.
For I stand tonight facing west on what was once the last frontier. From the lands that stretch 3,000 miles behind me, the pioneers of old gave up their safety, their comfort and sometimes their lives to build a new world here in the West.
They were not the captives of their own doubts, the prisoners of their own price tags. Their motto was not 'every man for himself' – but 'all for the common cause'. They were determined to make that new world strong and free, to overcome its hazards and its hardships, to conquer the enemies that threatened from without and within.
Today some would say that those struggles are all over – that all the horizons have been explored – that all the battles have been won – that there is no longer an American frontier.
But I trust that no one in this assemblage will agree with those sentiments. For the problems are not all solved and the battles are not all won – and we stand today on the edge of a new frontier – the frontier of the 1960s – a frontier of unknown opportunities and perils – a frontier of unfulfilled hopes and threats.
Woodrow Wilson's New Freedom promised our nation a new political and economic framework. Franklin Roosevelt's New Deal promised security and succour to those in need. But the New Frontier of which I speak is not a set of promises – it is a set of challenges.
It sums up not what I intend to offer the American people, but what I intend to ask of them. It appeals to their pride, not their pocketbook – it holds out the promise of more sacrifice instead of more security.
But I tell you the New Frontier is here, whether we seek it or not. Beyond that frontier are uncharted areas of science and space, unsolved problems of peace and war, unconquered pockets of ignorance and prejudice, unanswered questions of poverty and surplus.
It would be easier to shrink back from that frontier, to look to the safe mediocrity of the past, to be lulled by good intentions and high rhetoric – and those who prefer that course should not cast their votes for me, regardless of party.
But I believe the times demand invention, innovation, imagination, decision. I am asking each of you to be new pioneers on that New Frontier. My call is to the young in heart, regardless of age – to the stout in spirit, regardless of party – to all who respond to the scriptural call:
'Be strong and of good courage; be not afraid, neither be thou dismayed.'
For courage – not complacency – is our need today – leadership – not salesmanship. And the only valid test of leadership is the ability to lead, and lead vigorously. A tired nation, said David Lloyd George, is a tory nation – and the United States today cannot afford to be either tired or tory.
There may be those who wish to hear more – more promises to this group or that – more harsh rhetoric about the men in the Kremlin – more assurances of a golden future, where taxes are always low and subsidies ever high. But my promises are in the platform you have adopted. Our ends will not be won by rhetoric and we can have faith in the future only if we have faith in ourselves.
For the harsh facts of the matter are that we stand on this frontier at a turning-point in history. We must prove all over again whether this nation – or any nation so conceived – can long endure – whether our society – with its freedom of choice, its breadth of opportunity, its range of alternatives – can compete with the single-minded advance of the Communist system.
Can a nation organized and governed such as ours endure? That is the real question. Have we the nerve and the will? Can we carry through in an age where we will witness not only new breakthroughs in weapons of destruction – but also a race for mastery of the sky and the rain, the ocean and the tides, the far side of space and the inside of men's minds?
Are we up to the task? Are we equal to the challenge? Are we willing to match the Russian sacrifice of the present for the future? Or must we sacrifice our future in order to enjoy the present?
That is the question of the New Frontier. That is the choice our nation must make – a choice that lies not merely between two men or two parties, but between the public interest and private comfort – between national greatness and national decline – between the fresh air of progress and the stale, dank atmosphere of 'normalcy' – between determined dedication and creeping mediocrity.
All mankind waits upon our decision. A whole world looks to see what we will do. We cannot fail their trust; we cannot fail to try.
> _John Kennedy won the election by a narrow margin over Richard Nixon and became in January the following year the youngest – and first Roman Catholic – president in_ US _history._
•
## John F. Kennedy
Washington, DC, 20 January 1961
#### 'The torch has been passed to a new generation of Americans'
> _For men and women born during or after the Second World War, John Kennedy's inaugural address, signalling the arrival in power of a new generation and a forty-four-year-old president, still burns in the memory. The new president instructed his speechwriter, Theodore Sorensen, to find the secret of Abraham Lincoln's Gettysburg Address. Kennedy (1917–63) adopted the cadences of Lincoln. Most Lincolnesque of all was his use of the oratorical 'Let', a device used to start eight sentences. Many phrases were made memorable by his use of contrapuntalism, as in 'Let us never negotiate out of fear. But let us never fear to negotiate.'_
>
> _Critics have since ranked Kennedy's inaugural with Jefferson (the first), Lincoln (the second), Wilson (the first) and Franklin D. Roosevelt (first and second). According to the American student of oratory William Safire, Kennedy set the standard by which modern presidential inaugurals are judged._
We observe today not a victory of party, but a celebration of freedom – symbolizing an end, as well as a beginning – signifying renewal, as well as change. For I have sworn before you and Almighty God the same solemn oath our forebears prescribed nearly a century and three-quarters ago.
The world is very different now. For man holds in his mortal hands the power to abolish all forms of human poverty and all forms of human life. And yet the same revolutionary beliefs for which our forebears fought are still at issue around the globe – the belief that the rights of man come not from the generosity of the state, but from the hand of God.
We dare not forget today that we are the heirs of that first revolution. Let the word go forth from this time and place, to friend and foe alike, that the torch has been passed to a new generation of Americans – born in this century, tempered by war, disciplined by a hard and bitter peace, proud of our ancient heritage – and unwilling to witness or permit the slow undoing of those human rights to which this nation has always been committed, and to which we are committed today at home and around the world.
Let every nation know, whether it wishes us well or ill, that we shall pay any price, bear any burden, meet any hardship, support any friend, oppose any foe, in order to assure the survival and the success of liberty.
This much we pledge – and more.
To those old allies whose cultural and spiritual origins we share, we pledge the loyalty of faithful friends. United, there is little we cannot do in a host of cooperative ventures. Divided, there is little we can do – for we dare not meet a powerful challenge at odds and split asunder.
To those new states whom we welcome to the ranks of the free, we pledge our word that one form of colonial control shall not have passed away merely to be replaced by a far more iron tyranny. We shall not always expect to find them supporting our view. But we shall always hope to find them strongly supporting their own freedom – and to remember that, in the past, those who foolishly sought power by riding the back of the tiger ended up inside.
To those peoples in the huts and villages across the globe struggling to break the bonds of mass misery, we pledge our best efforts to help them help themselves, for whatever period is required – not because the Communists may be doing it, not because we seek their votes, but because it is right. If a free society cannot help the many who are poor, it cannot save the few who are rich.
To our sister republics south of our border, we offer a special pledge – to convert our good words into good deeds – in a new alliance for progress – to assist free men and free governments in casting off the chains of poverty. But this peaceful revolution of hope cannot become the prey of hostile powers. Let all our neighbours know that we shall join with them to oppose aggression or subversion anywhere in the Americas. And let every other power know that this hemisphere intends to remain the master of its own house.
To that world assembly of sovereign states, the United Nations, our last best hope in an age where the instruments of war have far outpaced the instruments of peace, we renew our pledge of support – to prevent it from becoming merely a forum for invective – to strengthen its shield of the new and the weak – and to enlarge the area in which its writ may run.
Finally, to those nations who would make themselves our adversary, we offer not a pledge but a request: that both sides begin anew the quest for peace, before the dark powers of destruction unleashed by science engulf all humanity in planned or accidental self-destruction.
We dare not tempt them with weakness. For only when our arms are sufficient beyond doubt can we be certain beyond doubt that they will never be employed.
But neither can two great and powerful groups of nations take comfort from our present course – both sides overburdened by the cost of modern weapons, both rightly alarmed by the steady spread of the deadly atom, yet both racing to alter that uncertain balance of terror that stays the hand of mankind's final war.
So let us begin anew – remembering on both sides that civility is not a sign of weakness, and sincerity is always subject to proof. Let us never negotiate out of fear. But let us never fear to negotiate.
Let both sides explore what problems unite us instead of belabouring those problems which divide us.
Let both sides, for the first time, formulate serious and precise proposals for the inspection and control of arms – and bring the absolute power to destroy other nations under the absolute control of all nations.
Let both sides seek to invoke the wonders of science instead of its terrors. Together let us explore the stars, conquer the deserts, eradicate disease, tap the ocean depths, and encourage the arts and commerce.
Let both sides unite to heed in all corners of the earth the command of Isaiah – to 'undo the heavy burdens... and to let the oppressed go free'.
And if a beachhead of cooperation may push back the jungle of suspicion, let both sides join in creating a new endeavour, not a new balance of power, but a new world of law, where the strong are just and the weak secure and the peace preserved.
All this will not be finished in the first 100 days. Nor will it be finished in the first 1,000 days, nor in the life of this Administration, nor even perhaps in our lifetime on this planet. But let us begin.
In your hands, my fellow citizens, more than in mine, will rest the final success or failure of our course. Since this country was founded, each generation of Americans has been summoned to give testimony to its national loyalty. The graves of young Americans who answered the call to service surround the globe.
Now the trumpet summons us again – not as a call to bear arms, though arms we need; not as a call to battle, though embattled we are – but a call to bear the burden of a long twilight struggle, year in and year out, 'rejoicing in hope, patient in tribulation' – a struggle against the common enemies of man: tyranny, poverty, disease, and war itself.
Can we forge against these enemies a grand and global alliance, North and South, East and West, that can assure a more fruitful life for all mankind? Will you join in that historic effort?
In the long history of the world, only a few generations have been granted the role of defending freedom in its hour of maximum danger. I do not shrink from this responsibility – I welcome it. I do not believe that any of us would exchange places with any other people or any other generation. The energy, the faith, the devotion which we bring to this endeavour will light our country and all who serve it – and the glow from that fire can truly light the world.
And so, my fellow Americans, ask not what your country can do for you – ask what you can do for your country.
My fellow citizens of the world, ask not what America will do for you, but what together we can do for the freedom of man.
Finally, whether you are citizens of America or citizens of the world, ask of us the same high standards of strength and sacrifice which we ask of you. With a good conscience our only sure reward, with history the final judge of our deeds, let us go forth to lead the land we love, asking His blessing and His help, but knowing that here on earth God's work must truly be our own.
•
## Gideon Hausner
Jerusalem, 17–18 April 1961
#### 'That man was Eichmann'
> _As a young Nazi SS officer, Adolf Eichmann (1906–62) was appointed head of the Central Office for Jewish Emigration in Vienna in 1938 and from 1942 assumed responsibility for the extinction of unwanted Jewish internees._
>
> _He supervised the deportation of slave labourers from among them. After the war he fled to South America. He was kidnapped in Argentina by Israeli agents in 1960 and charged with crimes against the Jewish people at his trial in Jerusalem in 1961._
>
> _As Attorney-General of the State of Israel, Gideon Hausner, at the age of forty-six, led the prosecution of Eichmann – the spokesman for six million Jews. He spoke for ten hours._
>
> _The following extracts are from his speeches at the opening and conclusion of the trial._
When I stand before you, O Judges of Israel, to lead the prosecution of Adolf Eichmann, I do not stand alone. With me here are six million accusers. But they cannot rise to their feet and point their finger at the man in the dock with the cry ' _J'accuse'_ on their lips. For they are now only ashes – ashes piled high on the hills of Auschwitz and the fields of Treblinka and strewn in the forests of Poland. Their graves are scattered throughout Europe. Their blood cries out, but their voice is stilled. Therefore will I be their spokesman. In their name will I unfold this terrible indictment...
... never, down the long, bloodstained road travelled by this people, never since the first days of its nationhood, has any man arisen who succeeded in dealing so grievous a blow as did Hitler and his regime, and Adolf Eichmann, as its executive arm for the destruction of Jewry. Human history knows no other example of a man against whom could be drawn up such a bill of indictment. The deeds of those classic figures of barbarism, Nero, Attila, Genghis Khan, pale into insignificance when set against the abominations, the murderous horrors, which will be presented to you in this trial... only in our generation has an organized state set upon an entire defenceless and peaceful population, men, women, and children, greybeards and babies, incarcerated them behind electrified fences, imprisoned them in concentration camps, and resolved to destroy them utterly...
In this trial, we shall encounter a new kind of killer, the kind that exercises his bloody craft behind a desk, and only occasionally does the deed with his own hands... But it was his word that put gas chambers into action; he lifted the telephone, and railway trains left for the extermination centres; his signature it was that sealed the doom of tens of thousands. He had but to give the order, and troopers took off to rout Jews out of their homes, to beat and torture them and drive them into ghettos, to steal their property and, after brutality and pillage, after all had been wrung from them, when even their hair had been taken, to transport them en masse to their slaughter. Even their dead bodies were not immune. Gold teeth were extracted and wedding rings torn from fingers...
Eichmann was the one who _planned, initiated and organized,_ who instructed others to spill this ocean of blood, and to use all the means of murder, theft and torture. He is responsible, therefore, as though he with his own hands had knotted the hangman's noose, lashed the victims into the gas chambers, shot and thrust into the open pits every single one of the millions who were murdered. Such is his responsibility in the eyes of the law. And such is his responsibility by every standard of conscience and morality. His accomplices in the crime were... the leaders of a nation – including professors and scholars, robed dignitaries with academic degrees, educated persons, the 'intelligentsia'. We shall encounter them – the doctors and lawyers, scholars, bankers and economists – in those councils which resolved to exterminate the Jews, and among them officers and directors of the work of murder in all its terrible phases...
... words exist to express what man's reason can conceive and his heart contain, and here we are dealing with actions which transcend our human grasp. Yet this is what did happen: millions were condemned to death, not for any crime, not for anything they had done, but only because they belonged to the Jewish people. The development of technology placed at the disposal of the destroyers efficient equipment for the execution of their appalling designs...
... there was only one man who had been concerned almost entirely with the Jews, whose business had been their destruction, whose role in the establishment of the iniquitous regime had been limited to them. That man was Adolf Eichmann. If we charge him also with crimes against people who were not Jews, committed, as it were, 'by the way', this is because we make no ethnic distinctions. But we should remember that the mission of the accused, in which for years he saw his destiny and calling, and to which he devoted himself with enthusiasm and endless zeal, was the destruction of the Jews...
Eichmann will tell you that he carried out the orders of his superiors. But the conscience of the world, speaking with the voice of the International Military Tribunal, has declared that orders contrary to the principles of conscience and morality, orders that violate the essential imperatives on which human society is based and negate the basic rules without which men cannot live together – such orders constitute no defence, legal or moral. Therefore, in the light of the ruling, our own law in Israel has denied the accused the legal right to submit such a defence. But that is by no means all. We shall prove to the court that he went far beyond his actual orders, that he took the initiative in extermination operations for which he had been given no orders whatsoever, and carried them out only because of his devotion to the task in which he saw his life's mission...
... the first and principal means of repression used by the SS was the concentration camp, in which were developed and perfected systems of terror employing all the resources available to modern technology. The Nazi, the romantic mystic, the family man, who on the surface seemed to be a loving husband to his wife and a merciful father to his children, the lover of nature, was revealed in the concentration camps as a monster of insane brutality, who did not hesitate to trample on human beings, without blinking an eye, as if they were insects. One of the shocking chapters in _Commandant of Auschwitz_ the story of Rudolf Hoess, is the part where Hoess describes his own peaceful family life at home: the education he gave his sons, his affectionate regard for his wife – and all this going on just on the other side of the high-tension barbed-wire fence of the terrible extermination camp in which between five and ten thousand people were being put to death _each day_ – and sometimes even more.
The Gestapo knew well how to exploit all the human frailties of their victims. They knew that starvation and torture, given time, can break even strong men; that by brutality and humiliation it is possible to efface the divine image, leaving a man insensitive, inert, an obedient robot doing as he is told, even when he is ordered to dig his own grave... Every means of humiliation was deliberately employed to destroy the Jew's faith in himself. When a man is whipped across the face and he is unable to react; when he is deprived of food until he aches with hunger; when men and women, boys and girls, are given orders to perform their excretory functions in full sight of one another, like beasts; when women are made to run naked before the guards; when, morning and night, executions by shooting and hanging prove that the lives of Jews are absolutely worthless; when senseless butchery takes place before your eyes for the sport of capricious guards; when twenty times a day you are made aware that you are abandoned and defenceless, your life dependent on the mood of any one of the SS men on that particular day – under such circumstances it was not difficult to create a condition in which most of these unfortunates were stripped of all faith and feeling, bereft for the most part of any will to go on living, their supreme desire being a speedy and painless death...
The Nazis... were skilled in lies and chicanery. They knew how to use every expedient to deceive their victims. After every manhunt, in which thousands and tens of thousands of Jews would be sent to their deaths and others would manage to hide or escape, a rumour would be deliberately spread by the Nazis that this was the last operation of its kind, and that the survivors would no longer be touched, that there would be no more transports. Many individuals of the type that cling to hope, those who could not or would not believe that the fate of all the Jews had indeed been sealed, or who were exhausted by hunger, misery and suffering, would venture out of their hiding places or return from the forests, only to be captured by their persecutors in a new manhunt. The tiger played with his victims at his own sweet will. We shall find some Jews among those carrying out Nazi orders, in the Jewish police in the ghettos and in the Councils of Elders. Even at the entrance to the gas chambers there were often Jews whose task it was to calm the victims and persuade them that they were merely going to showers. This was one of the most satanic aspects of the entire programme: to deaden men's senses, to deprive them of all emotional and intellectual vigour, to leave no more than a terrified and lifeless robot, so that it was possible to use the prisoners in the camps themselves as part of the murder machine against their own people...
You will hear evidence of deeds which the mind of man does not want to believe. You will hear about little ones thrown out of windows of hospitals when they failed to respond to orders that they report for parade.
We shall present to you the instructions issued by Eichmann and his office about the transport of children. One of these said that the children were to be divided among the transports intended for Auschwitz. Children of fourteen were considered 'independent' for purposes of transport to the extermination camps. Nor can we say who suffered the more terrible fate: those who died, or those who concealed themselves in every conceivable hiding-place and crevice, who lived in perpetual terror of expulsion, who survived through the kindness of Christian neighbours who agreed to hide them. Children would come home from the schools and centres organized by the community to find their parents' home was empty, for they had been sent by some 'aktion' or 'operation' to their deaths; and the apartment had in the meantime been occupied by others.
You will hear evidence of tender infants pressed by their mothers to their bodies in the gas chambers so that they should not inhale the poisonous gas, until the executioners came and threw them alive into the furnaces or the waiting graves.
Those unhappy children who lived for years in fear of the beating of a rifle butt on their door; who had been sent by their parents to the woods in an attempt to save them, who had been taught to choke their tears and sighs because a weeping child would be shot on the spot; who had been ordered to deny their origins and pretend to be Christians; who saw their fathers being lashed with whips before their eyes; in front of whom 'discussions' would be carried on by the German executioners as to who should be killed first – the father or the son; who went to the open grave with 'Hear, O Israel!' on their lips – these children and youths... are the very soul and hard core of the indictment. Those Anne Franks and Justine Drangers and a million others.
We shall present the pictures of some of those children swollen with hunger, frightened and crushed, with eyes frozen with terror. We shall show you the photographs of their starved bodies thrown into manure wagons, of the helpless little ones on the threshold of the extermination chambers.
At Auschwitz the killings were carried out by every method, shooting, hanging, and beating, but mainly in the massive gas chambers. In each such chamber 2,000 people were herded together for a 'shower' – a flow of poison gas. The death factory operated unceasingly. The extermination of 2,000 people lasted 25 minutes, after which the bodies were taken to one of the five giant furnaces. Medical experiments were made on human beings as if they were guinea pigs. Parts of female sex organs were cut out, or limbs were subjected to X-rays until the unfortunate creatures writhed in pain prior to their death. Men were castrated. Experiments were made on the influence of paraffin and petrol injections on human skin and the effects of chemical substances on mental resistance. The methods of punishment would not have shamed the most cruel barbarians in history. Beating on the naked body was a comparatively light punishment. Water was poured into people's ears, fingernails were extracted, prisoners starved until they went out of their minds. In the bunker of those sentenced for punishment by starvation a dead prisoner was found, bent over whom was a second prisoner, also dead, grasping the liver from the corpse of the first. He had died while tearing at the liver of a fellow human being. The Nazi contribution to European culture was the reintroduction of cannibalism...
We shall prove that the accused performed all these deeds with the set purpose of destroying the Jewish people, wholly or in part. Adolf Eichmann will enjoy a privilege which he did not accord to a single one of his victims. He will be able to defend himself before the court. His fate will be decided according to law and according to the evidence, with the burden of proof resting upon the prosecution. And the judges of Israel will pronounce true and righteous judgement.
It is no wonder that the German Foreign Ministry passed on for Eichmann's information the warning, broadcast by London Radio, that those responsible for the murders in Auschwitz would be brought to judgement. Even on the verge of the German collapse in April 1945, in that atmosphere of the twilight of the gods, when the Allies from the East, West and South were closing in – Eichmann still told a German Red Cross representative that he could not agree to the more humanitarian methods of dealing with Jews then being considered by Himmler.
Many millions of non-Jews also perished in the Great War. We shall not attempt to decide here, at this trial, which of the acts of hostility were contrary to the laws and customs of war as laid down by international law. But we shall say, with all the emphasis at our command, that the extermination of the Jewish people was not connected with any military action. It cannot be compared with the bombing of cities or with submarine warfare. These were acts of war, and whether they were legitimate or not they were carried out in connection with and in the process of waging war. The extermination of the Jews had no connection with the war effort of Germany and her allies. The extermination was carried out _at the time_ of the war, when the battle-smoke to some extent covered and concealed the atrocities; but it was not done in pursuit of war, nor was it impelled by the needs or necessities of war.
> _Eichmann was hanged on 31 May 1962._
•
## Hugh Gaitskell
Scarborough, 5 October 1961
#### 'We will fight, fight and fight again'
> _As leader of the Labour Party since 1955, Hugh Gaitskell (1906–63) had led opposition to the Suez invasion of 1956 but clashed with his left wing over nationalization and unilateral nuclear disarmament._
>
> _At the 1961 party conference, he faced a challenge to his leadership from Harold Wilson (which he defeated) as well as a resolution seeking to commit Labour to unilateral disarmament._
>
> _His speech was therefore the most important of his political life. He had not slept the previous night and wrote the peroration at 4 a.m. Gaitskell thought he would lose and be forced to resign the leadership. As he rose to speak he looked overtired and white with tension and he was continually interrupted by boos and howls of protest, particularly when he referred to 'fellow travellers'._
I would not wish for one day to remain a Leader who had lost the confidence of his colleagues in Parliament. It is perfectly reasonable to try to get rid of somebody, to try to get rid of a man you do not agree with, who you think perhaps is not a good Leader. But there are ways of doing this. What would be wrong, in my opinion, and would not be forgiven, is if, in order to get rid of a man, you supported a policy in which you did not wholeheartedly believe, a policy which, as far as the resolution is concerned, is not clear.
Before you take the vote on this momentous occasion, allow me a last word. Frank Cousins [leader of the unilateralist Transport and General Workers' Union] has said this is not the end of the problem. I agree with him. It is not the end of the problem because Labour Members of Parliament will have to consider what they do in the House of Commons. What do you expect of them? You know how they voted in June overwhelmingly for the policy statement. It is not in dispute that the vast majority of Labour Members of Parliament are utterly opposed to unilateralism and neutralism. So what do you expect them to do? Change their minds overnight? To go back on the pledges they gave to the people who elected them from their constituencies? And supposing they did do that. Supposing all of us, like well-behaved sheep, were to follow the policies of unilateralism and neutralism, what kind of an impression would that make upon the British people? You do not seem to be clear in your minds about it, but I will tell you this. I do not believe that the Labour Members of Parliament are prepared to act as time servers. I do not believe they will do this, and I will tell you why: because they are men of conscience and honour. People of the so-called Right and so-called Centre have every justification for having a conscience, as well as people of the so-called Left. I do not think they will do this because they are honest men, loyal men, steadfast men, experienced men, with a lifetime of service to the Labour Movement.
There are other people too, not in Parliament, in the Party who share our convictions. What sort of people do you think they are? What sort of people do you think we are? Do you think we can simply accept a decision of this kind? Do you think that we can become overnight the pacifists, unilateralists and fellow travellers that other people are? How wrong can you be? As wrong as you are about the attitude of the British people.
In a few minutes the Conference will make its decision. Most of the votes, I know, are predetermined and we have been told what is likely to happen. We know how it comes about. I sometimes think, frankly, that the system we have, by which great unions decide their policy before even their conferences can consider the Executive recommendation, is not really a very wise one or a good one. Perhaps in a calmer moment this situation could be looked at.
I say this to you: we may lose the vote today and the result may deal this Party a grave blow. It may not be possible to prevent it, but I think there are many of us who will not accept that this blow need be mortal, who will not believe that such an end is inevitable. There are some of us, Mr Chairman, who will fight and fight and fight again to save the Party we love. We will fight and fight and fight again to bring back sanity and honesty and dignity, so that our Party with its great past may retain its glory and its greatness.
It is in that spirit that I ask delegates who are still free to decide how they vote, to support what I believe to be a realistic policy on defence, which yet could so easily have united the great Party of ours, and to reject what I regard as the suicidal path of unilateral disarmament which will leave our country defenceless and alone.
> _Gaitskell was greeted by the biggest ovation of his life and one journalist wrote that this was his finest hour. Although the Left won the vote, the margin was only 300,000 instead of the expected million or more. Gaitskell's political courage and integrity and his appeal to those 'still free to decide' switched votes and turned a triumph into a hollow victory._
•
## Iain Macleod
Brighton, 11 October 1961
#### 'The brotherhood of man'
> _As British Colonial Secretary from 1959 to 1961, Iain Macleod (1913–70) pursued a historic policy of granting independence to the British colonies in Africa more quickly than many Conservatives wished and defying some of the most powerful sectors of the Tory Party. Although he was woundingly described as 'too clever by half' (by the Marquess of Salisbury), he achieved his purpose in ensuring that Britain's withdrawal from most parts of Africa was accomplished with more speed and goodwill than it otherwise would have been._
>
> _Speaking to the Conservative conference on the day before Harold Macmillan made him chairman of the party and leader of the House of Commons, Macleoddefined the British imperial mission and the moral principles on which it was based. Its most memorable phrase was based on Robert Burns:_
>
> _That man to man the whole world o'er_
>
> _Shall brothers be for a' that._
>
> _Many contemporaries considered Macleod, with his rasping voice, with scorn or passion controlled, the best parliamentary debater of his generation – and this speech to an audience in which many disagreed violently with his policy was one of his finest._
At the end of the last war, something like 630 million people lived in the dependent territories of the Crown. Now, that figure is about 40 million. Indeed, when this week started, the figure was 30 million. Think, then, of that change from 630 million and reflect that at the same time, over the same period, Russian imperialism has shackled 100 million men and women who once were free. And when you compare those two records, I hope you will share my indignation that in international forums, in the United Nations itself, most of all in the countries where tyranny itself reigns, our British colonial record should be attacked...
It has fallen to me to be Colonial Secretary during two of the most tremendous years of advance that the world has ever seen. You must be in no doubt that you are watching one of the great dramas of history, as so many countries thrust forwards through nationalism towards their independence...
The tightrope of timing which the Colonial Secretary has to walk in every territory every week, sometimes almost every day, is the most difficult of all his tasks – how you try to reconcile the emerging nationalism of these countries with the need for the surest possible protection for the minority. As you walk this tightrope, you must realize that if you fall from it it will bring disaster and perhaps bloodshed to so many people to whom you stand in a position of trustee.
How, then, do you go forward? On what moral principles should you base your policy, for be very sure that in this field, as in every other field, if your policies are not based on principle they will fail? I can only give you my own personal belief. First, I believe in the rights and duties of men, and that means of all men. But do not ever fall into the error of assuming that, because you give a man better housing, because you give a man better education, because you improve the health services, somehow that will satisfy his craving for basic political rights. It cannot do. Indeed, it is bound to sharpen it.
Remember also that however great your services may have been to a country, however noble the contribution we have made in the five continents of the world to the developing countries has been – and it has been noble – that will never always be accepted as a reason why automatically you should govern. We would never have accepted – we did not accept – this from the Romans. The Irish never accepted it from us. Be quite sure that the inheritors of the British Empire equally would not accept it from our people. But yet there is a way. Let me remind you of something that I said at last year's Conference when I quoted the Prime Minister of Nigeria. He was referring to the British Colonial record in Nigeria. He said that we had been, first, masters, then leaders, and finally partners, but always friends. This is the answer – in partnership and in friendship. This can be done.
Secondly, I believe in what our grandfathers would have called the British Imperial mission. It is not yet completed. Since the world began, empires have grown and flourished and decayed, some into a sort of genteel obscurity, some leaving little heritage and culture behind them, some even no more than stones covered by the sand. They are one with Nineveh and Tyre, but we are the only empire leaving behind us a coherent political scheme of development. We are the only people who, with all the hesitations and failures that there have been, are genuinely resolved on turning, to use Harold Macmillan's phrase, an empire into a commonwealth and a commonwealth into a family. This is what we are doing.
... The third principle is that I believe quite simply in the brother-hood of man – men of all races, of all colours, of all creeds. I think it is this that must be in the centre of our thinking.
And now what lies ahead in this event? It is perhaps strange to an English and to a Welsh audience to quote the greatest of our Scottish native poets, but nobody has put this in simpler or finer words than Burns:
> It is coming yet for a' that,
>
> That man to man the whole world o'er,
>
> Shall brothers be for a' that.
And this is coming. There are foolish men who will deny it, but they will be swept away; but if we are wise then indeed the task of bringing these countries towards their destiny of free and equal partners and friends with us in the Commonwealth of Nations can be a task as exciting, as inspiring and as noble as the creation of empire itself.
> _Macleod became Chancellor of the Exchequer when Edward Heath was elected prime minister in 1970 but died within a month of taking office._
•
## Douglas MacArthur
West Point, New York, 12 May 1962
#### 'Duty – Honour – Country'
> _As Supreme Allied Commander in the south-west Pacific during the Second World War, General Douglas MacArthur (1880–1964) halted the advance of the Japanese and then, as commander of the occupation forces in Japan from 1945 to 1957, was virtually a pro-consul, organizing the rehabilitation of the defeated nation._
>
> _After becoming commander-in-chief of US forces in the Korean War, he was relieved of command by President Truman in 1951 after advocating carrying the war into China._
>
> _On his return to America he was given a hero's welcome and made a moving speech to Congress which he concluded by saying:_
>
> _'When I joined the Army even before the turn of the century, it was the fulfilment of all my boyish hopes and dreams. The world has turned over many times since I took the oath on the Plain at West Point, and the hopes and dreams havelong since vanished. But I still remember the refrain of one of the most popular barrack ballads of that day which proclaimed most proudly that –_
>
> _'Old soldiers never die, they just fade away._
>
> _'And like the old soldier of that ballad, I now close my military career and just fade away – an old soldier who tried to do his duty as God gave him the light to see that duty._
>
> _'Goodbye.'_
>
> _Three weeks later MacArthur was awarded the Sylvanus Thayer Medal, the highest honour of the United States Military Academy. He reviewed the Corps of Cadets on the Plain at West Point and then, speaking without preparation, responded to the presentation. This speech was the real soldier's farewell. After this speech, MacArthur really did fade away._
Duty – Honour – Country. Those three hallowed words reverently dictate what you ought to be, what you can be, what you will be. They are your rallying points; to build courage when courage seems to fail; to regain faith when there seems to be little cause for faith; to create hope when hope becomes forlorn. Unhappily, I possess neither that eloquence of diction, that poetry of imagination, nor that brilliance of metaphor to tell you all that they mean. The unbelievers will say they are but words, but a slogan, but a flamboyant phrase. Every pedant, every demagogue, every cynic, every hypocrite, every troublemaker, and, I am sorry to say, some others of an entirely different character, will try to downgrade them even to the extent of mockery and ridicule.
But these are some of the things they do. They build your basic character; they mould you for your future roles as custodians of the nation's defence; they make you strong enough to know when you are weak, and brave enough to face yourself when you are afraid. They teach you to be proud and unbending in honest failure, but humble and gentle in success, not to substitute words for actions, not to seek the path of comfort, but to face the stress and spur of difficulty and challenge; to learn to stand up in the storm but to have compassion on those who fail; to master yourself before you seek to master others; to have a heart that is clean, a goal that is high; to learn to laugh yet never forget how to weep; to reach into the future yet never neglect the past; to be serious yet never to take yourself too seriously; to be modest so that you will remember the simplicity of true greatness, the open mind of true wisdom, the meekness of true strength. They give you a temper of the will, a quality of the imagination, a vigour of the emotions, a freshness of the deep springs of life, a temperamental predominance of courage over timidity, an appetite for adventure over love of ease. They create in your heart the sense of wonder, the unfailing hope of what next, and the joy and inspiration of life. They teach you in this way to be an officer and a gentleman.
And what sort of soldiers are those you are to lead? Are they reliable, are they brave, are they capable of victory? Their story is known to all of you; it is the story of the American man-at-arms. My estimate of him was formed on the battlefield many years ago, and has never changed. I regarded him then as I regard him now – as one of the world's noblest figures, not only as one of the finest military characters, but also as one of the most stainless. His name and fame are the birthright of every American citizen. In his youth and strength, his love and loyalty, he gave all that mortality can give. He needs no eulogy from me or from any other man. He has written his own history and written it in red on his enemy's breast. But when I think of his patience under adversity, of his courage under fire, and of his modesty in victory, I am filled with an emotion of admiration I cannot put into words. He belongs to history as furnishing one of the greatest examples of successful patriotism; he belongs to posterity as the instructor of future generations in the principles of liberty and freedom; he belongs to the present, to us, by his virtues and by his achievements. In twenty campaigns, on a hundred battlefields, around a thousand campfires, I have witnessed that enduring fortitude, that patriotic self-abnegation, and that invincible determination which have carved his status in the hearts of his people. From one end of the world to the other he has drained deep the chalice of courage.
As I listened to those songs of the glee club, in memory's eye I could see those staggering columns of the First World War, bending under soggy packs, on many a weary march from dripping dusk to drizzling dawn, slogging ankle deep through the mire of shell-shocked roads, to form grimly for the attack, blue-lipped, covered with sludge and mud, chilled by the wind and rain, driving home to their objective, and, for many, to the judgement seat of God. I do not know the dignity of their birth but I do know the glory of their death. They died unquestioning, uncomplaining, with faith in their hearts, and on their lips the hope that we would go on to victory. Always for them – Duty – Honour – Country; always their blood and sweat and tears as we sought the way and the light and the truth.
And twenty years after, on the other side of the globe, again the filth of murky foxholes, the stench of ghostly trenches, the slime of dripping dugouts; those broiling suns of relentless heat, those torrential rains of devastating storm, the loneliness and utter desolation of jungle trails, the bitterness of long separation from those they loved and cherished, the deadly pestilence of tropical disease, the horror of stricken areas of war; their resolute and determined defence, their swift and sure attack, their indomitable purpose, their complete and decisive victory – always victory – always through the bloody haze of their last reverberating shot, the vision of gaunt, ghastly men reverently following your password of Duty – Honour – Country.
The code which those words perpetrate embraces the highest moral laws and will stand the test of any ethics or philosophies ever promulgated for the uplift of mankind. Its requirements are for the things that are right, and its restraints are from the things that are wrong. The soldier, above all other men, is required to practise the greatest act of religious training – sacrifice. In battle and in the face of danger and death, he discloses those divine attributes which his Maker gave when He created man in His own image. No physical courage and no brute instinct can take the place of the Divine help which alone can sustain him. However horrible the incidents of war may be, the soldier who is called upon to offer and to give his life for his country is the noblest development of mankind.
You now face a new world – a world of change. The thrust into outer space of the satellites, spheres and missiles marked the beginning of another epoch in the long story of mankind – the chapter of the space age. In the five or more billions of years the scientists tell us it has taken to form the earth, in the three or more billion years of development of the human race, there has never been a greater, a more abrupt or staggering evolution. We deal now not with things of this world alone, but with the illimitable distances and as yet unfathomed mysteries of the universe. We are reaching out for a new and boundless frontier. We speak in strange terms: of harnessing the cosmic energy; of making winds and tides work for us; of creating unheard-of synthetic materials to supplement or even replace our old standard basics; of purifying sea water for our drink; of mining ocean floors for new fields of wealth and food; of disease preventatives to expand life into the hundreds of years; of controlling the weather for a more equitable distribution of heat and cold, of rain and shine; of space ships to the moon; of the primary target in war, no longer limited to the armed forces of an enemy, but instead to include his civil populations; of ultimate conflict between a united human race and the sinister forces of some other planetary galaxy; of such dreams and fantasies as to make life the most exciting of all time.
And through all this welter of change and development, your mission remains fixed, determined, inviolable – it is to win our wars. Everything else in your professional career is but a corollary to this vital dedication. All other public purposes, all other public projects, all other public needs, great or small, will find others for their accomplishment; but you are the ones who are trained to fight; yours is the profession of arms – the will to win, the sure knowledge that in war there is no substitute for victory; that if you lose, the nation will be destroyed; that the very obsession of your public service must be Duty – Honour – Country. Others will debate the controversial issues, national and international, which divide men's minds; but serene, calm, aloof, you stand as the nation's war guardian, as its lifeguard from the raging tides of international conflict; as its gladiator in the arena of battle. For a century and a half, you have defended, guarded, and protected its hallowed traditions of liberty and freedom, of right and justice. Let civilian voices argue the merits or demerits of our processes of government; whether our strength is being sapped by deficit financing, indulged in too long; by federal paternalism grown too mighty; by power groups grown too arrogant; by politics grown too corrupt; by crime grown too rampant; by morals grown too low; by taxes grown too high; by extremists grown too violent; whether our personal liberties are as thorough and complete as they should be. These great national problems are not for your professional participation or military solution. Your guidepost stands out like a tenfold beacon in the night – Duty – Honour – Country.
You are the leaven which binds together the entire fabric of our national system of defence. From your ranks come the great captains who hold the nation's destiny in their hands the moment the war tocsin sounds. The Long Grey Line has never failed us. Were you to do so, a million ghosts in olive drab, in brown khaki, in blue and grey, would rise from their white crosses thundering those magic words – Duty – Honour – Country.
This does not mean that you are war mongers. On the contrary, the soldier, above all other people, prays for peace, for he must suffer and bear the deepest wounds and scars of war. But always in our ears ring the ominous words of Plato, that wisest of all philosophers, 'Only the dead have seen the end of war.'
The shadows are lengthening for me. The twilight is here. My days of old have vanished tone and tint; they have gone glimmering through the dreams of things that were. Their memory is one of wondrous beauty, watered by tears, and coaxed and caressed by the smiles of yesterday. I listen vainly, but with thirsty ear, for the witching melody of faint bugles blowing reveille, of far drums beating the long roll. In my dreams I hear again the crash of guns, the rattle of musketry, the strange mournful mutter of the battlefield. But in the evening of my memory, always I come back to West Point. Always there echoes and re-echoes in my ears – Duty – Honour – Country.
•
## Hugh Gaitskell
Brighton, 3 October 1962
#### 'The end of a thousand years of history'
> _Hugh Gaitskell was a fighter, a politician with a stubborn faith in the power of reasoned argument. A year earlier he had defeated a challenge to his leadership and won acceptance for his opposition to unilateral disarmament. Now he was determining the policy of the Labour Party on joining the European Common Market, the issue that has dominated and divided British politics ever since. To the anguish of his right-wing supporters, most of whom backed entry into Europe, Gaitskell swung the party into a position of hostility towards the Common Market._
>
> _No other living British politician could have so dominated a mass conference by the sheer force of intellect and personality, said Anthony Crosland, one of Gaitskell's friends. Yet Dora, Gaitskell's wife, observed during the standing ovation: 'All the wrong people are cheering.'_
I understand and deeply sympathize with the people of France and of Germany in their desire to get rid of the conflicts which have so often broken out between them and which indeed are all too fresh in our minds. But I sometimes wonder whether the great problems of the world today are to be found in the unity or disunity of Western Europe. I would have said there were two problems outstanding above all others: the problem of peace and the problems of poverty; the problem of East–West relations that plagues us and the problem of the division of the world into the 'haves' and the 'have nots'.
I know some will say with great sincerity: 'But we recognize that and we believe that by Britain going into Europe a great contribution can be made to these problems.' Maybe so, but it is for them to submit the proof. So far it is hard to be convinced. For although, of course, Europe has had a great and glorious civilization, although Europe can claim Goethe and Leonardo, Voltaire and Picasso, there have been evil features in European history too – Hitler and Mussolini and today the attitude of some Europeans to the Congo problem, the attitude of at least one European government to the United Nations. You cannot say what this Europe will be: it has its two faces and we do not know as yet which is the one which will dominate.
But here is another question we have to ask; what exactly is involved in the concept of political union? We hear a lot about it; we are told that the Economic Community is not just a customs union, that all who framed it saw it as a stepping stone towards political integration. We ought to be told what is meant by that, for if this be true our entry into the Common Market carries with it some very serious political obligations. But when you ask it is not easy to get a clear answer...
I can see only three possibilities outside the obligations that we accept specifically in the Treaty of Rome. It may mean that there is no obligation upon the Government of Britain to do more than talk, consult more frequently with the President of France and the Chancellor of Germany. I see no harm in these talks, but I am not terribly optimistic about what they will produce...
But what else? If it is not just talking, what is it? The second possibility is majority decisions on political issues, just as we are to have majority decisions on economic issues. Do we want that? Well, I suppose you might say we would be able somehow or other to outvote those we disagree with. I would like to be very sure of that before I committed myself.
Then, of course, there is the idea and the ideal of Federal Europe. Now I know it will be said by some, 'Why bring up federation? It is not immediate, it is not imposed upon us, it may not happen.' But we would be foolish to deny, not to recognize and indeed sympathize with the desire of those who created the Economic Community for political federation. That is what they mean, that is what they are after when they admit freely that under the present constitution of EEC the Assembly has no powers except the very far-reaching, overriding one, which they are most unlikely to use, of dismissing the Commission by a two-thirds majority. When it is pointed out that the Commission is a body which has powers but is not responsible or under anybody's control, what is the answer? The answer they give us: 'That is why we should set up a Federal Assembly with powers over them.' This is what they are arguing.
What does federation mean? It means that powers are taken from national governments and handed over to federal governments and to federal parliaments. It means – I repeat it – that if we go into this we are no more than a state (as it were) in the United States of Europe, such as Texas and California. They are remarkably friendly examples, you do not find every state as rich or having such good weather as those two! But I could take others: it would be the same as in Australia, where you have Western Australia, for example, and New South Wales. We should be like them. This is what it means; it does mean the end of Britain as an independent nation state. It may be a good thing or a bad thing but we must recognize that this is so...
We must be clear about this: it does mean, if this is the idea, the end of Britain as an independent European state. I make no apology for repeating it. It means the end of a thousand years of history. You may say, 'Let it end,' but, my goodness, it is a decision that needs a little care and thought. And it does mean the end of the Commonwealth. How can one really seriously suppose that if the mother country, the centre of the Commonwealth, is a province of Europe (which is what federation means) it could continue to exist as the mother country of a series of independent nations? It is sheer nonsense.
> _Although nobody knew it at the time, Gaitskell was making his last speech to a Labour Party conference. He died unexpectedly early the following year and his epitaph from his political allies was that he was the greatest prime minister who never was._
•
## John F. Kennedy
Berlin, 11 June 1963
#### 'Ich bin ein Berliner'
> _When President Kennedy went to West Berlin for an eight-hour visit in 1963, his motorcade was cheered every foot of the way. He got his first sight of the Berlin Wall as he approached the Brandenburg Gate. He had been scheduled to gaze over the wall through the gate on to the Unter den Linden, once the main avenue of the German capital, but the five arches of the gate were covered by red banners blocking his view of East Berlin._
>
> _Kennedy's speech that day, from the city where the Iron Curtain showed the great divide between Communist East and capitalist West at its most cruel in the symbolism of the Berlin Wall, struck a chord that reverberated around the world._
Two thousand years ago the proudest boast was 'civis Romanus sum'. Today in the world of freedom the proudest boast is 'Ich bin ein Berliner.'
There are many people in the world who really don't understand – or say they don't – what is the great issue between the free world and the Communist world. Let them come to Berlin.
There are some who say that Communism is the wave of the future. Let them come to Berlin.
And there are some who say in Europe and elsewhere 'We can work with the Communists.' Let them come to Berlin.
And there are even a few who say that it's true that Communism is an evil system but it permits us to make economic progress. Let them come to Berlin.
Freedom has many difficulties and democracy is not perfect. But we have never had to put a wall up to keep our people in, to prevent them from leaving us.
I want to say on behalf of my countrymen who live many miles away on the other side of the Atlantic, who are far distant from you, that they take the greatest pride that they have been able to share with you, even from a distance, the story of the last eighteen years.
I know of no town, no city that has been besieged for eighteen years that still lives with the vitality and the force and the hope and the determination of the city of West Berlin.
While the wall is the most obvious and vivid demonstration of the failures of the Communist system, all the world can see we take no satisfaction in it, for it is, as your Mayor has said, an offence not only against history, but an offence against humanity, separating families, dividing husbands and wives and brothers and sisters and dividing a people who wish to be joined together.
What is true of this city is true of Germany. Real lasting peace in Europe can never be assured as long as one German out of four is denied the elementary right of free men, and that is to make a free choice.
In eighteen years of peace and good faith this generation of Germans has earned the right to be free, including the right to unite their families and their nation in lasting peace with goodwill to all people.
You live in a defended island of freedom, but your life is part of the main. So let me ask you as I close, to lift your eyes beyond the dangers of today to the hopes of tomorrow, beyond the freedom merely of this city of Berlin and all your country of Germany to the advance of freedom everywhere, beyond the wall to the day of peace with justice, beyond yourselves and ourselves to all mankind.
Freedom is indivisible and when one man is enslaved who are free? When all are free, then we can look forward to that day when this city will be joined as one and this country and this great continent of Europe in a peaceful and hopeful globe.
When that day finally comes, as it will, the people of West Berlin can take sober satisfaction in the fact that they were in the front lines for almost two decades.
All free men, wherever they may live, are citizens of Berlin. And therefore, as a free man, I take pride in the words 'Ich bin ein Berliner.'
•
## Nigel Birch
London, 17 June 1963
#### 'Never glad confident morning again'
> _The Profumo scandal of 1963 arose after John Profumo, Secretary of State for War, was forced to resign after admitting to an affair with Christine Keeler, a call-girl who was simultaneously involved with a Russian naval attaché, about which he had lied to the House of Commons._
>
> _In a statement to the Commons, Harold Macmillan, the prime minister, emphasized that Profumo was dismissed from the government for lying – but the general effect of his speech and his conduct throughout the scandal was to show Macmillan as naïve and out of touch._
>
> _Nigel Birch, who had resigned from Macmillan's government in 1958 in protest at increases in government spending, was one of the most accomplished speakers in the Commons. He was pithy, with a coruscating wit, and his interventions often turned a parliamentary debate into an occasion._
>
> _The most notable was when he attacked Macmillan in the Profumo debate and ended his speech with a quotation from Robert Browning, as deadly a use of quotation as Leo Amery's dismissal of Neville Chamberlain._
We know a deal more now about Profumo than we did at the time of the statement, but we have all known him pretty well for a number of years in this House. I must say that he never struck me as a man at all like a cloistered monk; and Miss Keeler was a professional prostitute... Here one had an active, busy man and a professional prostitute. On his own admission, Profumo had a number of meetings with her, and, if we are to judge by the published statements, she is not a woman who would be intellectually stimulating. Is it really credible that the association had no sexual content? There seems to me to be a certain basic improbability about the proposition that their relationship was purely platonic. What are whores about? Yet Profumo's word was accepted. It was accepted from a colleague. Would that word have been accepted if Profumo had not been a colleague or even if he had been a political opponent? Everyone must, I think, make his own judgement about that.
We were told that special consideration ought to have been given to Profumo because he was a colleague. It is certainly true that a Prime Minister owes to his subordinates all the help, comfort and protection that he can give them. But surely that help, that comfort and that protection must stop short of condoning a lie in a personal statement to this House.
Then we are told that special weight ought to have been given to Profumo's words because he was a Privy Councillor and a Secretary of State. I am a Privy Councillor and I have been a Secretary of State, but when I sustained the burden of both offices I did not feel that any sea change had taken place in my personality. I remained what I was, what I had always been and what I am today; and I do not believe it reasonable to suppose that any sea change took place in Mr Profumo's personality.
He was not a man who was ever likely to tell the absolute truth in a tight corner, and at the time the statement was made he was in a very tight corner indeed. There are people – and it is to the credit of our poor, suffering humanity that it is so – who will tell the whole truth about themselves whatever the consequences may be. Of such are saints and martyrs, but most of us are not like that. Most people in a tight corner either prevaricate – or, as in this case, they lie.
This lie was accepted. I have meditated very deeply on this, and though I have given some rather tough reasons for not accepting that Profumo's statement was credible, I have after deep consideration come to the conclusion that my Right Hon. Friend did absolutely genuinely believe it. I will give my reasons now for taking that view, and these reasons concern the competence and the good sense with which the affair was handled.
Profumo on his own admission had been guilty of a very considerable indiscretion, for a Minister at any rate. He was not a particularly successful Minister. He had no great place in this House or in the country. I cannot really see that the Prime Minister was under any obligation whatever to retain his services, nor do I think that getting rid of Mr Profumo would, in fact, have made the political situation any worse than it then was. On the other hand, to retain him entailed a colossal risk and a colossal gamble. The difficulties and dangers were obvious enough. The Press were in full cry. They were in possession of letters. They were hardly likely to have bought letters unless they had something of interest in them. Miss Keeler was pretty certain to turn up again, and if she did, editors were sure to make use of her literary talent. The dangers were enormous, and yet this colossal gamble was taken, and in this gamble, as it seems to me, the possible gain was negligible and the possible loss devastating.
The conclusion that I draw from that is that the course adopted by my Right Hon. Friend the Prime Minister could have been adopted only by someone who genuinely and completely believed the statements of Profumo, and therefore, I absolutely acquit my Right Hon. Friend of any sort of dishonour. On the other hand, on the question of competence and good sense I cannot think that the verdict can be favourable.
What is to happen now? I cannot myself see at all that we can go on acting as if nothing had happened. We cannot just have business as usual. I myself feel that the time will come very soon when my Right Hon. Friend ought to make way for a much younger colleague. I feel that that ought to happen. I certainly will not quote at him the savage words of Cromwell, but perhaps some of the words of Browning might be appropriate in his poem on 'The Lost Leader', in which he wrote:
>... let him never come back to us!
>
> There would be doubt, hesitation and pain.
>
> Forced praise on our part – the glimmer of twilight,
>
> Never glad confident morning again!
'Never glad confident morning again!' – so I hope that the change will not be too long delayed.
Ahead of us we have a Division. We have the statement of my Right Hon. and noble Friend Lord Hailsham, in a personal assurance on television, that a Whip is not a summons to vote but a summons to attend. I call the Whips to witness that I at any rate have attended.
> _The speech electrified the Commons. The publicity it received and its effect on Birch's fellow Tories weakened Macmillan's hold over the Tory Party. Macmillan retired four months later. Birch was created a life peer and became Lord Rhyl in 1970._
•
## Martin Luther King
Washington, DC, 28 August 1963
#### I have a dream'
> _As the centenary of Abraham Lincoln's emancipation proclamation was celebrated in 1963, the National Association for the Advancement of Colored People, using the slogan 'Free by '63', launched a massive campaign for justice for America's blacks. The most important demonstrations were in Birmingham, Alabama (where Martin Luther King, 1929–68, led a march on the city hall, was twice thrown into gaol but won substantial measures of desegregation) and in Selma where a grand march of protest to Montgomery was addressed by King and Ralph Bunche, until then the only black American winner of the Nobel Peace Prize._
>
> _Then Philip Randolph, dean of the black American leaders, proposed a march on Washington for jobs and freedom. 'There was no precedent for a convocation of national scope and gargantuan size,' King wrote later. 'Complicating the situation were innumerable prophets of doom who feared that the slightest incident of violence would alienate Congress and destroy all hope of legislation.'_
>
> _Yet 210,000 gathered at the Washington Monument in August and marched to the Lincoln Memorial, where the high point of the day was the speech by Martin Luther King, the voice of black Americans. He had written it in longhand the night before and did not finish it until 4 a.m. Now, standing before the marchers, King rose to the drama of the occasion, and delivered one of the most memorable speeches of the century. No public figure of his generation could match the skill with which he made a mastery of the spoken word the servant of his cause._
Five score years ago, a great American, in whose symbolic shadow we stand, signed the Emancipation Proclamation. This momentous decree came as a great beacon light of hope to millions of Negro slaves who had been seared in the flames of withering injustice. It came as a joyous daybreak to end the long night of captivity.
But one hundred years later, we must face the tragic fact that the Negro is still not free. One hundred years later, the life of the Negro is still sadly crippled by the manacles of segregation and the chains of discrimination. One hundred years later, the Negro lives on a lonely island of poverty in the midst of a vast ocean of material prosperity. One hundred years later, the Negro is still languished in the corners of American society and finds himself an exile in his own land. So we have come here today to dramatize an appalling condition.
In a sense we have come to our nation's Capital to cash a cheque. When the architects of our republic wrote the magnificent words of the Constitution and the Declaration of Independence, they were signing a promissory note to which every American was to fall heir. This note was a promise that all men would be guaranteed the unalienable rights of life, liberty, and the pursuit of happiness.
It is obvious today that America has defaulted on this promissory note insofar as her citizens of colour are concerned. Instead of honouring this sacred obligation, America has given the Negro people a bad cheque; a cheque which has come back marked 'insufficient funds'. But we refuse to believe that the bank of justice is bankrupt. We refuse to believe that there are insufficient funds in the great vaults of opportunity of this nation. So we have come to cash this cheque – a cheque that will give us upon demand the riches of freedom and the security of justice. We have also come to this hallowed spot to remind America of the fierce urgency of _now_. This is no time to engage in the luxury of cooling off or to take the tranquillizing drug of gradualism.
_Now_ is the time to make real the promises of Democracy.
_Now_ is the time to rise from the dark and desolate valley of segregation to the sunlit path of racial justice.
_Now_ is the time to open the doors of opportunity to all of God's children.
_Now_ is the time to lift our nation from the quicksands of racial injustice to the solid rock of brotherhood.
It would be fatal for the nation to overlook the urgency of the moment and to underestimate the determination of the Negro. This sweltering summer of the Negro's legitimate discontent will not pass until there is an invigorating autumn of freedom and equality. Nineteen sixty-three is not an end, but a beginning. Those who hope that the Negro needed to blow off steam and will now be content will have a rude awakening if the nation returns to business as usual. There will be neither rest nor tranquillity in America until the Negro is granted his citizenship rights. The whirlwinds of revolt will continue to shake the foundations of our nation until the bright day of justice emerges.
But there is something that I must say to my people who stand on the warm threshold which leads into the palace of justice. In the process of gaining our rightful place we must not be guilty of wrongful deeds. Let us not seek to satisfy our thirst for freedom by drinking from the cup of bitterness and hatred. We must forever conduct our struggle on the high plane of dignity and discipline. We must not allow our creative protest to degenerate into physical violence. Again and again we must rise to the majestic heights of meeting physical force with soul force. The marvellous new militancy which has engulfed the Negro community must not lead us to a distrust of all white people, for many of our white brothers, as evidenced by their presence here today, have come to realize that their destiny is tied up with our destiny and their freedom is inextricably bound to our freedom. We cannot walk alone.
And as we walk, we must make the pledge that we shall march ahead. We cannot turn back. There are those who are asking the devotees of civil rights, 'When will you be satisfied?' We can never be satisfied as long as the Negro is the victim of the unspeakable horrors of police brutality. We can never be satisfied as long as our bodies, heavy with the fatigue of travel, cannot gain lodging in the motels of the highways and the hotels of the cities. We cannot be satisfied as long as the Negro's basic mobility is from a smaller ghetto to a larger one. We can never be satisfied as long as a Negro in Mississippi cannot vote and a Negro in New York believes he has nothing for which to vote. No, no, we are not satisfied, and we will not be satisfied until justice rolls down like waters and righteousness like a mighty stream.
I am not unmindful that some of you have come here out of great trials and tribulations. Some of you have come fresh from narrow jail cells. Some of you have come from areas where your quest for freedom left you battered by the storms of persecution and staggered by the winds of police brutality. You have been the veterans of creative suffering. Continue to work with the faith that unearned suffering is redemptive.
Go back to Mississippi, go back to Alabama, go back to South Carolina, go back to Georgia, go back to Louisiana, go back to the slums and ghettos of our northern cities, knowing that somehow this situation can and will be changed. Let us not wallow in the valley of despair.
I say to you today, my friends, that in spite of the difficulties and frustrations of the moment I still have a dream. It is a dream deeply rooted in the American dream.
I have a dream that one day this nation will rise up and live out the true meaning of its creed: 'We hold these truths to be self-evident; that all men are created equal.'
I have a dream that one day on the red hills of Georgia the sons of former slaves and the sons of former slaveowners will be able to sit down together at the table of brotherhood.
I have a dream that one day even the state of Mississippi, a desert state sweltering with the heat of injustice and oppression, will be transformed into an oasis of freedom and justice.
I have a dream that my four little children will one day live in a nation where they will not be judged by the colour of their skin but by the content of their character.
I have a dream today.
I have a dream that one day the state of Alabama, whose governor's lips are presently dripping with the words of interposition and nullification, will be transformed into a situation where little black boys and black girls will be able to join hands with little white boys and white girls and walk together as sisters and brothers.
I have a dream today.
I have a dream that one day every valley shall be exalted, every hill and mountain shall be made low, the rough places will be made plains, and the crooked places will be made straight, and the glory of the Lord shall be revealed, and all flesh shall see it together.
This is our hope. This is the faith with which I return to the South. With this faith we will be able to hew out of the mountain of despair a stone of hope. With this faith we will be able to transform the jangling discords of our nation into a beautiful symphony of brotherhood. With this faith we will be able to work together, to pray together, to struggle together, to go to jail together, to stand up for freedom together, knowing that we will be free one day.
This will be the day when all of God's children will be able to sing with new meaning
> My country, 'tis of thee,
>
> Sweet land of liberty,
>
> Of thee I sing:
>
> Land where my fathers died,
>
> Land of the pilgrims' pride,
>
> From every mountainside
>
> Let freedom ring.
And if America is to be a great nation this must become true. So let freedom ring from the prodigious hilltops of New Hampshire. Let freedom ring from the mighty mountains of New York. Let freedom ring from the heightening Alleghenies of Pennsylvania!
Let freedom ring from the snowcapped Rockies of Colorado!
Let freedom ring from the curvacious peaks of California!
But not only that; let freedom ring from Stone Mountain of Georgia!
Let freedom ring from Lookout Mountain of Tennessee!
Let freedom ring from every hill and molehill of Mississippi. From every mountainside, let freedom ring.
When we let freedom ring, when we let it ring from every village and every hamlet, from every state and every city, we will be able to speed up that day when all of God's children, black men and white men, Jews and Gentiles, Protestants and Catholics, will be able to join hands and sing in the words of the old Negro spiritual, 'Free at last! free at last! thank God almighty, we are free at last!'
> _James Reston, one of America's most distinguished journalists, described the speech as 'an anguished echo from all the old American reformers' – from Roger Williams calling for religious liberty, Sam Adams for political liberty and Thoreau denouncing coercion to William Lloyd Garrison demanding emancipation and Eugene V. Debs crying for economic equality. King echoed them all._
>
> _Martin Luther King was_ Time _'s Man of the Year in 1963 and was awarded the Nobel Peace Prize in 1964. Civil-rights Acts, initiated by President Kennedy, were put on the statute book by President Johnson in 1964 and 1965. King was assassinated on a civil-rights mission to Memphis, Tennessee, on 4 April 1968._
•
## Harold Wilson
Scarborough, 1 October 1963
#### 'The white heat of technology'
> _Harold Wilson (1916–95) became leader of the Labour Party in 1963 after the death of Hugh Gaitskell. His challenge to the Tories, now led after the retirement of Harold Macmillan by the aristocratic Sir Alec Douglas-Home, was mounted with dramatic effect at the Labour Party conference, an annual platform for a major speech by the party leader._
>
> _In a speech that was rewritten during the small hours of the morning, Wilson summoned Labour to embrace the cult of the new and to harness the white heat of the technological revolution, and identified himself with the technicians and white-coat workers. There should be more scientists in government, he urged, more investment in scientific research and a new minister of technology. There was no room in the Labour movement for Luddites or antique working practices._
>
> _The contrast between Wilson and Douglas-Home, who confessed to doing his sums with matchsticks, was dramatic. 'We are living in the jet age,' Wilson said in other speeches, 'but we are governed by an Edwardian establishment mentality.' Wilson's message swept the political board. After twelve years of Tory rule,it chimed with the public mood and was compared to President Kennedy's 'new frontier'._
We are redefining and we are restating our Socialism in terms of the scientific revolution. But that revolution cannot become a reality unless we are prepared to make far-reaching changes in economic and social attitudes which permeate our whole system of society.
The Britain that is going to be forged in the white heat of this revolution will be no place for restrictive practices or for outdated methods on either side of industry. We shall need a totally new attitude to the problems of apprenticeship, of training and retraining for skill. If there is one thing where the traditional philosophy of capitalism breaks down it is in training for apprenticeship, because quite frankly it does not pay any individual firm, unless it is very altruistic or quixotic or farsighted, to train apprentices if it knows at the end of the period of training they will be snapped up by some unscrupulous firm that makes no contribution to apprenticeship training. That is what economists mean when they talk about the difference between marginal private cost and net social cost.
So we are going to need a new attitude. In some industries we shall have to get right away from the idea of apprenticeship to a single firm. There will have to be apprenticeship with the industry as a whole, and the industry will have to take responsibility for it. Indeed, if we are going to end demarcation and snobbery in our training for skill and for science why should not these apprenticeship contracts be signed with the State itself? Then again, in the Cabinet room and the board room alike those charged with the control of our affairs must be ready to think and to speak in the language of our scientific age.
For the commanding heights of British industry to be controlled today by men whose only claim is their aristocratic connections or the power of inherited wealth or speculative finance is as irrelevant to the twentieth century as would be the continued purchase of commissions in the armed forces by lordly amateurs. At the very time that even the MCC has abolished the distinction between amateurs and professionals, in science and industry we are content to remain a nation of Gentlemen in a world of Players.
For those of us who have studied the formidable Soviet challenge in the education of scientists and technologists, and above all, in the ruthless application of scientific techniques in Soviet industry, know that our future lies not in military strength alone but in the efforts, the sacrifices, and above all the energies which a free people can mobilize for the future greatness of our country. Because we are democrats, we reject the methods which Communist countries are deploying in applying the results of scientific research to industrial life, but because we care deeply about the future of Britain, we must use all the resources of democratic planning, all the latent and underdeveloped energies and skills of our people, to ensure Britain's standing in the world. That is the message which I believe will go out from this Conference to the people of Britain and to the people of the world.
> _The speech was greeted with a long standing ovation. Almost every correspondent was instantly seduced by Wilson's pseudo-scientific jargon, a disenchanted critic wrote later. Yet it had a big impact on floating middle-class voters and Wilson became prime minister in 1964. He won two subsequent elections in 1966 and 1974 and retired in 1976._
•
## Lyndon B. Johnson
Washington, DC, 27 November 1963
#### 'Let us continue'
> _According to the historian Theodore White, there was no word less than superb to describe the performance of Lyndon Johnson (1908–73) as he became president of the United States after the assassination of John Kennedy. All accounts of his behaviour through that week of tragedy endowed him with 'superlative grace'. At his inauguration, Kennedy had declared: 'Let us begin.' Now Johnson used the healing words: 'Let us continue' and proceeded to make continuity the watchword of Washington._
>
> _On the Sunday after the assassination, Johnson detailed some of the bestbrains of Kennedy's staff – Theodore Sorensen, McGeorge Bundy and J. K. Galbraith – to draft his first speech to Congress, adding to the team his old friend Abe Fortas, a Washington lawyer, and Bill Moyers and Horace Busby from his personal staff to add ideas._
>
> _He laboured on the speech throughout the next two days, changing words and phrases as he sought the right tone. When Bundy and Moyers brought him the finished speech, he pencilled in freshly the words that came from his own heart – 'For thirty-two years Capitol Hill has been my home' – and was ready to deliver the address that made his personal policy into national policy._
Mr Speaker, Mr President, Members of the House, Members of the Senate, my fellow Americans:
All I have I would have given gladly not to be standing here today.
The greatest leader of our time has been struck down by the foulest deed of our time. Today John Fitzgerald Kennedy lives on in the immortal words and works that he left behind. He lives on in the mind and memories of mankind. He lives on in the hearts of his countrymen.
No words are sad enough to express our sense of loss. No words are strong enough to express our determination to continue the forward thrust of America that he began.
The dream of conquering the vastness of space – the dream of partnership across the Atlantic – and across the Pacific as well – the dream of a Peace Corps in less developed nations – the dream of education for all of our children – the dream of jobs for all who seek them and need them – the dream of care for our elderly – the dream of an all-out attack on mental illness – and above all, the dream of equal rights for all Americans, whatever their race or colour – these and other American dreams have been vitalized by his drive and by his dedication.
And now the ideas and the ideals which he so nobly represented must and will be translated into effective action.
Under John Kennedy's leadership, this Nation has demonstrated that it has the courage to seek peace, and it has the fortitude to risk war. We have proved that we are a good and reliable friend to those who seek peace and freedom. We have shown that we can also be a formidable foe to those who reject the path of peace and those who seek to impose upon us or our allies the yoke of tyranny.
This Nation will keep its commitments from South Viet-Nam to West Berlin. We will be unceasing in the search for peace; resourceful in our pursuit of areas of agreement even with those with whom we differ; and generous and loyal to those who join with us in common cause.
In this age when there can be no losers in peace and no victors in war, we must recognize the obligation to match national strength with national restraint. We must be prepared at one and the same time for both the confrontation of power and the limitation of power. We must be ready to defend the national interest and to negotiate the common interest. This is the path that we shall continue to pursue. Those who test our courage will find it strong, and those who seek our friendship will find it honourable. We will demonstrate anew that the strong can be just in the use of strength; and the just can be strong in the defence of justice.
And let all know we will extend no special privilege and impose no persecution. We will carry on the fight against poverty and misery, and disease and ignorance, in other lands and in our own.
We will serve all the Nation, not one section or one sector, or one group, but all Americans. These are the United States – a united people with a united purpose.
Our American unity does not depend upon unanimity. We have differences; but now, as in the past, we can derive from those differences strength, not weakness, wisdom, not despair. Both as a people and a government, we can unite upon a programme, a programme which is wise and just, enlightened and constructive.
For thirty-two years Capitol Hill has been my home. I have shared many moments of pride with you, pride in the ability of the Congress of the United States to act, to meet any crisis, to distil from our differences strong programmes of national action.
An assassin's bullet has thrust upon me the awesome burden of the Presidency. I am here today to say I need your help; I cannot bear this burden alone. I need the help of all Americans, and all America. This Nation has experienced a profound shock, and in this critical moment, it is our duty, yours and mine, as the Government of the United States, to do away with uncertainty and doubt and delay, and to show that we are capable of decisive action; that from the brutal loss of our leader we will derive not weakness, but strength; that we can and will act and act now.
From this chamber of representative government, let all the world know and none misunderstand that I rededicate this Government to the unswerving support of the United Nations, to the honourable and determined execution of our commitments to our allies, to the maintenance of military strength second to none, to the defence of the strength and the stability of the dollar, to the expansion of our foreign trade, to the reinforcement of our programmes of mutual assistance and cooperation in Asia and Africa, and to our Alliance for Progress in this hemisphere.
On the 20th day of January, in 1961, John F. Kennedy told his countrymen that our national work would not be finished 'in the first thousand days, nor in the life of this administration, nor even perhaps in our lifetime on this planet. But,' he said, 'let us begin.'
Today, in this moment of new resolve, I would say to all my fellow Americans, let us continue.
This is our challenge – not to hesitate, not to pause, not to turn about and linger over this evil moment, but to continue on our course so that we may fulfil the destiny that history has set for us.
•
## Nelson Mandela
Johannesburg, 20 April 1964
#### 'An ideal for which I am prepared to die'
> _After being sentenced to life imprisonment in 1964, Nelson Mandela (1918–) became a worldwide symbol of heroic black resistance to the apartheid regime of South Africa. He was described as the Black Pimpernel._
>
> _He joined the African National Congress in 1952 and became a member of a small action group whose main task was to launch Umkhonto we Sizwe (Spearof the Nation) or MK. From a safe house in Rivonia, MK planned sabotage of strategic targets – after its first terrorist attacks in 1961 bombs exploded in Johannesburg, Port Elizabeth and Durban._
>
> _When the ANC was banned in 1961, Mandela evaded arrest for a year but was gaoled for five years in 1962 and sent to Robben Island. His prison term was interrupted by the Rivonia trial, brought after a police raid on ANC headquarters in 1963. Mandela and his colleagues were charged under the Suppression of Communism Act._
>
> _The trial opened on 9 October 1963, with Mandela named as Accused Number One and facing the death penalty. As he entered the court, wearing prison clothes of khaki shorts and flimsy sandals, Mandela and the other accused made a clenched fist ANC salute. The defence case opened the following April._
>
> _Mandela decided to make a statement of ANC ideals and politics from the dock. It meant that he could not be cross-examined. The speech lasted four hours. He denied he was a Communist and described himself as an African patriot who admired the Magna Carta and the Bill of Rights. This extract covers his opening words and the peroration – which inspired support throughout the world._
I am the First Accused. I hold a Bachelor's Degree in Arts and practised as an attorney in Johannesburg for a number of years in partnership with Oliver Tambo. I am a convicted prisoner serving five years for leaving the country without a permit and for inciting people to go on strike at the end of May 1961.
At the outset, I want to say that the suggestion made by the State in its opening that the struggle in South Africa is under the influence of foreigners or Communists is wholly incorrect. I have done whatever I did, both as an individual and as a leader of my people, because of my experience in South Africa and my own African background, not because of what any outsider might have said.
I admit immediately that I was one of the persons who helped to form Umkhonto we Sizwe, and that I played a prominent role in its affairs until I was arrested in August 1962. I, and the others who started the organization, did so for two reasons. Firstly, we believed that as a result of government policy, violence by the African people had become inevitable, and that unless responsible leadership was given to channel and control the feelings of our people, there would be outbreaks of terrorism which would produce an intensity of bitterness and hostility between the various races of this country which is not produced even by war. Secondly, we felt that without violence there would be no way open to the African people to succeed in their struggle against the principle of white supremacy. All lawful methods of expressing opposition to this principle had been closed by legislation, and we were placed in a position in which we had either to accept a permanent state of inferiority, or to defy the government. We chose to defy the law. We first broke the law in a way which avoided any recourse to violence; when this form was legislated against, and the government resorted to a show of force to crush opposition to its policies, only then did we decide to answer violence with violence.
But the violence which we chose to adopt was not terrorism. We who formed Umkhonto were all members of the African National Congress, and had behind us the ANC tradition of nonviolence and negotiation as a means of solving political disputes. We believed that South Africa belonged to all the people who lived in it, and not to one group, be it black or white. We did not want an interracial war, and tried to avoid it to the last. But the hard facts were that fifty years of nonviolence had brought the African people nothing but more and more repressive legislation, and fewer and fewer rights. Four forms of violence were considered – sabotage, guerrilla warfare, terrorism, and open revolution. We chose to adopt the first method and to exhaust it before making any other decision.
The initial plan was based on a careful analysis of the political and economic situation of our country. We believed that South Africa depended to a large extent on foreign capital and foreign trade. We felt that planned destruction of power plants, and interference with rail and telephone communications, would tend to scare away capital from the country, make it more difficult for goods from the industrial areas to reach the seaports on schedule, and would in the long run be a heavy drain on the economic life of the country, thus compelling the voters of the country to reconsider their position.
Attacks on the economic lifelines of the country were to be linked with sabotage on government buildings and other symbols of apartheid. These attacks would serve as a source of inspiration to our people. In addition, they would provide an outlet for those people who were urging the adoption of violent methods and would enable us to give concrete proof to our followers that we had adopted a stronger line and were fighting back against government violence. In addition, if mass action was successfully organized, and mass reprisals taken, we felt that sympathy for our cause would be roused in other countries, and that greater pressure would be brought to bear on the South African government.
This then was the plan. Umkhonto was to perform sabotage, and strict instructions were given to its members that on no account were they to injure or kill people in planning or carrying out operations.
Experience convinced us that rebellion would offer the government limitless opportunities for the indiscriminate slaughter of our people, but it was precisely because the soil of South Africa was already drenched with the blood of innocent Africans that we felt it our duty to make preparations as a long-term undertaking to use force in order to defend ourselves against force. If war was inevitable, we wanted the fight to be conducted on terms most favourable to our people. The fight which held out prospects best for us and the least risk of life to both sides was guerrilla warfare. We decided, therefore, in our preparations for the future, to make provision for the possibility of guerrilla warfare. All whites undergo compulsory military training, but no such training was given to Africans. It was in our view essential to build up a nucleus of trained men who would be able to provide the leadership which would be required if guerrilla warfare started...
I turn now to my own position. I have denied that I am a Communist, and I think that in the circumstances I am obliged to state exactly what my political beliefs are. I have always regarded myself, in the first place, as an African patriot. I am attracted by the idea of a classless society, an attraction which springs partly from Marxist reading and partly from my admiration of the structure and organization of early African societies in this country. The land, then the main means of production, belonged to the tribe. There were no rich or poor and there was no exploitation.
Yes, I have been influenced by Marxist thought, but so have other leaders such as Gandhi, Nehru, Nkrumah, and Nasser. We all accept the need for some form of socialism to enable our people to catch up with the advanced countries of this world and to overcome their legacy of extreme poverty. But this does not mean we are Communists, or even Marxists. Indeed, for my own part, I believe that it is open to debate whether the Communist Party has any specific role to play at this particular stage of our political struggle. The basic task at the present moment is the removal of race discrimination and the attainment of democratic rights on the basis of the Freedom Charter. Insofar as that party furthers this task, I welcome its assistance. I realize that it is one of the means by which people of all races can be drawn into our struggle...
Our fight is against real, and not imaginary hardships, or, to use the language of the State Prosecutor, 'so-called hardships'. We fight against two features which are the hallmarks of African life in South Africa, and which are entrenched by legislation which we seek to have repealed. These features are poverty and lack of human dignity, and we do not need Communists, or so-called 'agitators', to teach us about these things.
The whites enjoy what may well be the highest standard of living in the world, whilst Africans live in poverty and misery. Forty per cent of the Africans live in hopelessly overcrowded and, in some cases, drought-stricken reserves, where soil erosion and the overworking of the soil make it impossible for them to live properly off the land. Thirty per cent are labourers, labour tenants, and squatters on white farms and work and live under conditions similar to those of the serfs of the Middle Ages. The other thirty per cent live in towns where they have developed economic and social habits which bring them closer, in many respects, to white standards. Yet forty-six per cent of all African families in Johannesburg do not earn enough to keep them going.
The complaint of Africans, however, is not only that they are poor and whites are rich, but that the laws which are made by the whites are designed to preserve this situation. There are two ways to break out of poverty. The first is by formal education, and the second is by the worker acquiring a greater skill at his work and thus higher wages. As far as Africans are concerned, both these avenues of advancement are deliberately curtailed by legislation.
The present Government has always sought to hamper Africans in their search for education. There is compulsory education for all white children at virtually no cost to their parents, be they rich or poor. Similar facilities are not provided for African children. In 1960–61, the per capita government spending on African students at state-funded schools was estimated at R12.46. In the same year, the per capita spending on white children in the Cape Province (which are the only figures available to me) was R144.57. The present Prime Minister said during the debate on the Bantu Education Bill in 1953: 'When I have control of Native education, I will reform it so that Natives will be taught from childhood to realize that equality with Europeans is not for them... People who believe in equality are not desirable teachers for Natives. When my Department controls Native education, it will know for what class of higher education a Native is fitted, and whether he will have a chance in life to use his knowledge.'
The other main obstacle to the economic advancement of the Africans is the industrial colour bar by which all the better jobs of industry are reserved for whites only. Moreover, Africans are not allowed to form trade unions, which have recognition under the Industrial Conciliation Act. The Government often answers its critics by saying that Africans in South Africa are economically better off than the inhabitants of the other countries in Africa. Our complaint is not that we are poor by comparison with people in other countries, but that we are poor by comparison with white people in our own country, and that we are prevented by legislation from altering this imbalance.
Hundreds and thousands of Africans are thrown into gaol each year under pass laws. Even worse than this is the fact that pass laws keep husband and wife apart and lead to the breakdown of family life.
Poverty and the breakdown of family life have secondary effects. Children wander about the streets of the townships because they have no schools to go to, or no money to enable them to go to school, or no parents at home to see that they go to school because both parents, if there be two, have to work to keep the family alive. This leads to a breakdown in moral standards, to an alarming rise in illegitimacy and to growing violence which erupts not only politically but everywhere. Life in the townships is dangerous; there is not a day that goes by without somebody being stabbed or assaulted. And violence is carried out of the townships into the white living areas. People are afraid to walk alone in the streets after dark. House-breakings and robberies are increasing despite the fact that the death sentence can now be imposed for such offences. Death sentences cannot cure the festering sore. The only cure is to alter the conditions under which the Africans are forced to live, and to meet their legitimate grievances.
We want to be part of the general population, and not confined to living in our ghettos. African men want to have their wives and children to live with them where they work, and not to be forced into an unnatural existence in men's hostels. Our women want to be left with their men folk, and not to be left permanently widowed in the Reserves. We want to be allowed out after 11 p.m. and not to be confined to our rooms like little children. We want to be allowed to travel in our own country, and seek work where we want to, and not where the Labour Bureau tells us to. We want a just share in the whole of South Africa; we want security and a stake in society.
Above all, my lord, we want equal political rights, because without them our disabilities will be permanent. I know this sounds revolutionary to the whites in this country, because the majority of voters will be Africans. This makes the white man fear democracy. But this fear cannot be allowed to stand in the way of the only solution which will guarantee racial harmony and freedom for all. It is not true that the enfranchisement of all will result in racial domination. Political division, based on colour, is entirely artificial, and when it disappears, so will the domination of one colour group by another. The ANC has spent half a century fighting against racialism. When it triumphs, as it certainly must, it will not change that policy.
This then is what the ANC is fighting. Our struggle is a truly national one. It is a struggle of the African people, inspired by our own suffering and our own experience. It is a struggle for the right to live.
During my lifetime I have dedicated my life to this struggle of the African people. I have fought against white domination, and I have fought against black domination. I have cherished the ideal of a democratic and free society in which all persons live together in harmony with equal opportunities. It is an ideal which I hope to live for, and to see realized. But my lord, if needs be, it is an ideal for which I am prepared to die.
> _On 11 June, Mandela and the seven other defendants were sentenced to life imprisonment. Mandela returned to Robben Island, where he was put in a stone cell measuring two metres by two metres, lit by a forty-watt bulb and set to hard labour in a quarry. He spent twenty-seven years in prison._
•
## Lyndon B. Johnson
Ann Arbor, Michigan, 22 May 1964
#### 'The Great Society'
> _At first, as he sought a slogan to encapsulate the mission of his presidency and to follow the idealism of the New Deal, Lyndon Johnson thought of A Better Deal._
>
> _It was one of his speechwriters, Richard Goodwin, who had earlier worked with President Kennedy, who dreamt up the phrase The Great Society. When Johnson failed to arouse any strong enthusiasm for A Better Deal, he began to weave the theme of The Great Society into his speeches – and used the phrase on nineteen occasions in March and April, but it was not recognized as his slogan until Goodwin wrote Johnson's speech for the University of Michigan._
For a century we laboured to settle and to subdue a continent. For half a century we called upon unbounded invention and untiring industry to create an order of plenty for all of our people.
The challenge of the next half century is whether we have the wisdom to use that wealth to enrich and elevate our national life, and to advance the quality of our American civilization.
Your imagination, your initiative, and your indignation will determine whether we build a society where progress is the servant of our needs, or a society where old values and new visions are buried under unbridled growth. For in your time we have the opportunity to move not only towards the rich society and the powerful society, but upward to the Great Society.
The Great Society rests on abundance and liberty for all. It demands an end to poverty and racial injustice, to which we are totally committed in our time. But that is just the beginning.
The Great Society is a place where every child can find knowledge to enrich his mind and to enlarge his talents. It is a place where leisure is a welcome chance to build and reflect, not a feared cause of boredom and restlessness. It is a place where the city of man serves not only the needs of the body and the demands of commerce but the desire for beauty and the hunger for community.
It is a place where man can renew contact with nature. It is a place which honours creation for its own sake and for what it adds to the understanding of the race. It is a place where men are more concerned with the quality of their goals than the quantity of their goods.
But most of all, the Great Society is not a safe harbour, a resting place, a final objective, a finished work. It is a challenge constantly renewed, beckoning us towards a destiny where the meaning of our lives matches the marvellous products of our labour...
Our society will never be great until our cities are great. Today the frontier of imagination and innovation is inside those cities and not beyond their borders.
New experiments are already going on. It will be the task of your generation to make the American city a place where future generations will come, not only to live but to live the good life...
A second place where we begin to build the Great Society is in our countryside. We have always prided ourselves on being not only America the strong and America the free, but America the beautiful. Today that beauty is in danger. The water we drink, the food we eat, the very air that we breathe, are threatened with pollution. Our parks are overcrowded, our seashores overburdened. Green fields and dense forests are disappearing.
A few years ago we were greatly concerned about the 'Ugly American'. Today we must act to prevent an ugly America.
For once the battle is lost, once our natural splendour is destroyed, it can never be recaptured. And once man can no longer walk with beauty or wonder at nature his spirit will wither and his sustenance be wasted.
A third place to build the Great Society is in the classrooms of America. There your children's lives will be shaped. Our society will not be great until every young mind is set free to scan the farthest reaches of thought and imagination. We are still far from that goal.
Today, eight million adult Americans, more than the entire population of Michigan, have not finished five years of school. Nearly twenty million have not finished eight years of school. Nearly fifty-four million – more than one-quarter of all America – have not even finished high school...
In many places, classrooms are overcrowded and curricula are outdated. Most of our qualified teachers are underpaid, and many of our paid teachers are unqualified. So we must give every child a place to sit and a teacher to learn from. Poverty must not be a bar to learning, and learning must offer an escape from poverty...
There are those timid souls who say this battle cannot be won; that we are condemned to a soulless wealth. I do not agree. We have the power to shape the civilization that we want. But we need your will, your labour, your hearts, if we are to build that kind of society.
Those who came to this land sought to build more than just a new country. They sought a new world. So I have come here today to your campus to say that you can make their vision our reality. So let us from this moment begin our work so that in the future men will look back and say: It was then, after a long and weary way, that man turned the exploits of his genius to the full enrichment of his life.
> _The Civil Rights bill, which was part of the Kennedy legislative programme, was hurried on to the statute book by Johnson and became law on 2 July 1964. It was the most important measure passed in the aftermath of President Kennedy's assassination and tackled almost all the problems about which Southern blacks had been protesting so strongly._
•
## Barry Goldwater
San Francisco, 16 July 1964
#### 'Extremism in defence of liberty is no vice'
> _By the summer of 1964, Barry Goldwater (1909–98), the leading Conservative political spokesman in the United States during the Kennedy administration, had arrived centre stage in American history at a time when intellectual vitality seemed to have run out of the generations-old liberal orthodoxy that had dominated American politics since Roosevelt._
>
> _At the Cow Palace, Richard Nixon was about to nominate him as Republican candidate against Lyndon Johnson in the presidential election. His speechwriters had worked on his speech for more than two weeks. Goldwater had gone through it five times. No word was unmeasured. The speech was to proclaim a new morality, an uncompromising challenge to the course American politics had followed for the past thirty years within his own party as well as the Democrats._
>
> _After being portrayed as crazy, stupid and bloodthirsty, Goldwater was an embittered man who decided to go it alone and offer no compromise. The speech signalled the tenor of his campaign which became notorious for his advocacy of increased opposition to world Communism and hostility to the power of federal government. The last two lines were underlined in his text._
The Good Lord raised this mighty Republican Republic to be a home for the brave and to flourish as the land of the free – not to stagnate in the swampland of collectivism, not to cringe before the bully of Communism.
Now my fellow Americans, the tide has been running against freedom. Our people have followed false prophets. We must, and we shall, return to proven ways – not because they are old, but because they are true.
We must, and we shall, set the tide running again in the cause of freedom. And this party, with its every action, every word, every breath and every heartbeat, has but a single resolve, and that is freedom.
Freedom made orderly for this nation by our constitutional government. Freedom under a government limited by laws of nature and of nature's God. Freedom balanced so that order lacking liberty will not become the slavery of the prison cell; balanced so that liberty lacking order will not become the licence of the mob and of the jungle.
Now, we Americans understand freedom. We have earned it: we have lived for it, and we have died for it. This nation and its people are freedom's models in a searching world. We can be freedom's missionaries in a doubting world...
Those who seek to live your lives for you, to take your liberty in return for relieving you of yours; those who elevate the state and downgrade the citizen, must see ultimately a world in which earthly power can be substituted for Divine Will. And this nation was founded upon the rejection of that notion and upon the acceptance of God as the author of freedom.
Now those who seek absolute power, even though they seek it to do what they regard as good, are simply demanding the right to enforce their own version of heaven on earth, and let me remind you they are the very ones who always create the most hellish tyranny.
Absolute power does corrupt, and those who seek it must be suspect and must be opposed. Their mistaken course stems from false notions, ladies and gentlemen, of equality. Equality, rightly understood as our founding fathers understood it, leads to liberty and to the emancipation of creative differences; wrongly understood, as it has been so tragically in our time, it leads first to conformity and then to despotism.
Fellow Republicans, it is the cause of Republicanism to resist concentrations of power, private or public, which enforce such conformity and inflict such despotism.
It is the cause of Republicanism to insure that power remains in the hands of the people – and, so help us God, that is exactly what a Republican President will do with the help of a Republican Congress.
It is further the cause of Republicanism to restore a clear understanding of the tyranny of man over man in the world at large. It is our cause to dispel the foggy thinking which avoids hard decisions in the delusion that a world of conflict will somehow resolve itself into a world of harmony, if we just don't rock the boat or irritate the forces of aggression – and this is hogwash.
It is, further, the cause of Republicanism to remind ourselves, and the world, that only the strong can remain free: that only the strong can keep the peace.
Today – today in our beloved country – we have an Administration which seems eager to deal with Communism in every coin known – from gold to wheat; from consulates to confidence, and even human freedom itself.
Now the Republican cause demands that we brand Communism as the principal disturber of peace in the world. Indeed, we should brand it as the only significant disturber of the peace...
And I want to make this abundantly clear – I don't intend to let peace or freedom be torn from our grasp, because of lack of strength, or lack of will – and that I promise you Americans.
I can see a day when all the Americas – North and South – will be linked in a mighty system – a system in which the errors and misunderstandings of the past will be submerged one by one in a rising tide of prosperity and interdependence...
Balance, diversity, creative difference – these are the elements of the Republican equation. Republicans agree, Republicans agree heartily, to disagree on many, many of their applications. But we have never disagreed on the basic fundamental issues of why you and I are Republicans.
This is a party – this Republican party is a party – for free men. Not for blunt followers and not for conformists.
Back in 1858 Abraham Lincoln said this of the Republican party, and I quote him because he probably could have said it during the last week or so: it was so composed of strained, discordant, and even hostile elements...
Yet all of these elements agreed on one paramount objective: to arrest the programme of slavery, and place it in the course of its ultimate extinction.
Anyone who joins us in all sincerity we welcome. Those, those who do not care for our cause, we don't expect to enter our ranks in any case. And let our Republicanism so focused and so dedicated not be made fuzzy and futile by unthinking and stupid labels.
I would remind you that extremism in the defence of liberty is no vice!
And let me remind you also that moderation in the pursuit of justice is no virtue!
> _Goldwater's speech ended not only the Eisenhower era in American politics but also the reign of pragmatism in the Republican party. He won only five states in the election which Johnson won with sixty-one per cent of the popular vote, the biggest majority ever achieved by an American president at that time. Goldwater returned to the Senate in 1969 and was later influential in persuading Richard Nixon to step down from the presidency after the Watergate scandal in 1974._
•
## Ronald Reagan
Nationwide television address, 27 October 1964
#### 'A time for choosing'
> _A lifelong Democrat, Ronald Reagan (1911–2004) switched sides and became co-chairman of Californians for Barry Goldwater in 1964. Reagan got his first real exposure to the airwaves as a salesman for General Electric, travelling the country to boost GE Theater. As he campaigned for Goldwater, his campaign speeches were similar in their tone and message to those he had been giving in his GE presentations._
>
> _'One night a few weeks before the election,' Reagan recalled later, 'I addressed a fundraiser at the Coconut Grove in Los Angeles. When the evening was over, a delegation of high-powered Republicans waited for me. They asked whether I would deliver that same speech on nationwide TV if they raised the money to buy the time.'_
>
> _Goldwater at one stage wanted to cancel the address, since he had been attacked for his views on social security, but relented after he heard a copy of the soundtrack. Reagan's election address, which became known as The Speech, was broadcast on NBC._
Those who would trade our freedom for the soup kitchen of the welfare state have told us that they have a utopian solution of peace without victory. They call their policy 'accommodation'. And they say if we only avoid any direct confrontation with the enemy, he will forget his evil ways and learn to love us. All who oppose them are indicted as warmongers. They say we offer simple answers to complex problems. Well, perhaps there is a simple answer... not an easy one... but a simple one, if you and I have the courage to tell our elected officials that we want our _national_ policy based upon what we know in our hearts is morally right.
We cannot buy our security, our freedom from the threat of the bomb by committing an immorality so great as saying to a billion human beings now in slavery behind the Iron Curtain, 'Give up your dreams of freedom because to save our own skin, we are willing to make a deal with your slave-masters.' Alexander Hamilton said, 'A nation which can prefer disgrace to danger is prepared for a master, and deserves one!' Let's set the record straight. There is no argument over the choice between peace and war, but there is only one guaranteed way you can have peace... and you can have it in the next second... surrender!
Admittedly there is a risk in any course we follow other than this, but every lesson in history tells us that the greater risk lies in appeasement, and this is the spectre our well-meaning liberal friends refuse to face... that their policy of accommodation is appeasement, and it gives no choice between peace and war, only between fight or surrender. If we continue to accommodate, continue to back and retreat, eventually we have to face the final demand – the ultimatum. And what then? When Nikita Khrushchev has told his people he knows what our answer will be? He has told them that we are retreating under the pressure of the Cold War, and someday when the time comes to deliver the ultimatum, our surrender will be voluntary because by that time we will have been weakened from within spiritually, morally, and economically. He believes this because from our side he has heard voices pleading for 'peace at any price' or 'better Red than dead', or as one commentator put it, he would rather 'live on his knees than die on his feet'. And therein lies the road to war, because those voices don't speak for the rest of us. You and I know and do not believe that life is so dear and peace so sweet as to be purchased at the price of chains and slavery. If nothing in life is worth dying for, when did this begin – just in the face of this enemy? – or should Moses have told the children of Israel to live in slavery under the pharaohs? Should Christ have refused the cross? Should the patriots at Concord Bridge have thrown down their guns and refused to fire the shot heard round the world? The martyrs of history were not fools, and our honoured dead who gave their lives to stop the advance of the Nazis didn't die in vain! Where, then, is the road to peace? Well, it's a simple answer after all.
You and I have the courage to say to our enemies, 'There is a price we will not pay.' There is a point beyond which they must not advance! This is the meaning in the phrase of Barry Goldwater's 'peace through strength!' Winston Churchill said that 'the destiny of man is not measured by material computation. When great forces are on the move in the world, we learn we are spirits – not animals.' And he said, 'There is something going on in time and space, and beyond time and space, which, whether we like it or not, spells duty.' You and I have a rendezvous with destiny. We will preserve for our children this, the last best hope of man on earth, or we will sentence them to take the last step into a thousand years of darkness.
We will keep in mind and remember that Barry Goldwater has faith in us. He has faith that you and I have the ability and the dignity and the right to make our own decisions and determine our own destiny.
Thank you.
> _Reagan's speech raised $8 million. Whatever its effect on Goldwater's defeat, it soon changed Reagan's entire life and contributed significantly to his emergence as the spokesman of the Republican right._
•
## Malcolm X
Detroit, 14 February 1965
#### 'More African than American'
> _Malcolm X (1925–65) was born in Nebraska, the son of a radical Baptist minister who was murdered by the Ku Klux Klan, and raised in Michigan and Boston. His name, he said, symbolized his life – ex-smoker, ex-drinker, ex-Christian, ex-slave. He became a pimp and hustler and was jailed for drug pushing and burglary in 1946. In 1952 he discovered the Nation of Islam and became a Black Muslim minister preaching vengeance against the 'white devil' and advocating violence and black separation. He was suspended from the Black Muslims in 1963 after a conflict with their leader Elijah Muhammad and travelled to Mecca. He realized that orthodox Muslims preached racial equality, abandoned his attacks on the white devils and founded the Organization of Afro-American Unity._
>
> _He was the most articulate Black Muslim of the early 1960s. He delivered this speech to the Afro-American Broadcasting Company on the evening after his house had been bombed by Black Muslims enraged by his change of heart. What effect did the struggle over Africa have on black Americans, he asked?_
>
> _A week later, as he began another speech in New York, he was assassinated._
Why should the black man in America concern himself since he's been away from the African continent for three or four hundred years? Why should we concern ourselves? What impact does what happens to them have upon us? Number one, you have to realize that up until 1959 Africa was dominated by the colonial powers. Having complete control over Africa, the colonial powers of Europe projected the image of Africa negatively. They always project Africa in a negative light: jungle savages, cannibals, nothing civilized. Why then, naturally it was so negative that it was negative to you and me, and you and I began to hate it. We didn't want anybody telling us anything about Africa, much less calling us Africans. In hating Africa and in hating the Africans, we ended up hating ourselves, without even realizing it. Because you can't hate the roots of a tree, and not hate the tree. You can't hate your origin and not end up hating yourself. You can't hate Africa and not hate yourself.
You show me one of these people over here who has been thoroughly brainwashed and has a negative attitude toward Africa, and I'll show you one who has a negative attitude toward himself. You can't have a positive attitude toward yourself and a negative attitude toward Africa at the same time. To the same degree that your understanding of and attitude toward Africa becomes positive, you'll find that your understanding of and your attitude toward yourself will also become positive. And this is what the white man knows. So they very skilfully make you and me hate our African identity, our African characteristics.
You know yourself that we have been a people who hated our African characteristics. We hated our heads, we hated the shape of our nose, we wanted one of those long doglike noses, you know; we hated the colour of our skin, hated the blood of Africa that was in our veins. And in hating our features and our skin and our blood, why, we had to end up hating ourselves. And we hated ourselves. Our colour became to us a chain – we felt that it was holding us back; our colour became to us like a prison which we felt was keeping us confined, not letting us go this way or that way. We felt that all of these restrictions were based solely upon our colour, and the psychological reaction to that would have to be that as long as we felt imprisoned or chained or trapped by black skin, black features, and black blood, that skin and those features and that blood holding us back automatically had to become hateful to us. And it became hateful to us.
It made us feel inferior; it made us feel inadequate, made us feel helpless. And when we fell victims to this feeling of inadequacy or inferiority or helplessness, we turned to somebody else to show us the way. We didn't have confidence in another black man to show us the way, or black people to show us the way. In those days we didn't. We didn't think a black man could do anything except play some horns – you know, make some sound and make you happy with some songs and in that way. But in serious things, where our food, clothing, shelter, and education were concerned, we turned to the man. We never thought in terms of bringing these things into existence for ourselves, we never thought in terms of doing things for ourselves. Because we felt helpless. What made us feel helpless was our hatred for ourselves. And our hatred for ourselves stemmed from our hatred for things African...
One of the things that made the Black Muslim movement grow was its emphasis upon things African. This was the secret to the growth of the Black Muslim movement. African blood, African origin, African culture, African ties. And you'd be surprised – we discovered that deep within the subconscious of the black man in this country, he is still more African than he is American. He _thinks_ that he's more American than African, because the man is jiving him, the man is brainwashing him every day. He's telling him, 'You're an American, you're an American.' Man, how could you think you're an American when you haven't ever had any kind of an American treat over here? You have never, never. Ten men can be sitting at a table eating, you know, dining, and I can come and sit down where they're dining. They're dining; I've got a plate in front of me, but nothing is on it. Because all of us are sitting at the same table, are all of us diners? I'm not a diner until you let me dine. Just being at the table with others who are dining doesn't make me a diner, and this is what you've got to get in your head here in this country.
Just because you're in this country doesn't make you an American. No, you've got to go farther than that before you can become an American. You've got to enjoy the fruits of Americanism. You haven't enjoyed those fruits. You've enjoyed the thorns. You've enjoyed the thistles. But you have not enjoyed the fruits, no sir. You have fought harder for the fruits than the white man has, but you've enjoyed less. When the man put the uniform on you and sent you abroad, you fought harder than they did. Yes, I know you – when you're fighting for them, you can fight...
Brothers and sisters, let me tell you, I spend my time out there in the streets with people, all kinds of people, listening to what they have to say. And they're dissatisfied, they're disillusioned, they're fed up, they're getting to the point of frustration where they begin to feel, 'What do we have to lose?' When you get to that point, you're the type of person who can create a very dangerously explosive atmosphere. This is what's happening in our neighbourhoods, to our people.
I read a poll taken by _Newsweek_ magazine this week saying that Negroes are satisfied. Oh, yes, _Newsweek_ , you know, supposed to be a top magazine with a top pollster, talking about how satisfied Negroes are. Maybe I haven't met the Negroes he met. Because I know he hasn't met the ones that I've met. And this is dangerous. This is where the white man does himself the most harm. He invents statistics to create an image, thinking that that image is going to hold things in check. You know why they always say Negroes are lazy? Because they want Negroes to be lazy. They always say Negroes can't unite, because they don't want Negroes to unite. And once they put this thing in the Negro's mind, they feel that he tries to fulfil their image. If they say you can't unite black people, and then you come to them to unite them, they won't unite, because it's been said that they're not supposed to unite. It's a psycho that they work, and it's the same way with these statistics.
When they think that an explosive era is coming up, then they grab their press again and begin to shower the Negro public, to make it appear that all Negroes are satisfied. Because if you know you're dissatisfied all by yourself and ten others aren't, you play it cool; but if you know that all ten of you are dissatisfied, you get with it. This is what the man knows. The man knows that if these Negroes find out how dissatisfied they really are – even Uncle Tom is dissatisfied, he's just playing his part for now – this is what makes the man frightened. It frightens them in France and frightens them in England, and it frightens them in the United States.
And it is for this reason that it is so important for you and me to start organizing among ourselves, intelligently, and try to find out: 'What are we going to do if this happens, that happens or the next thing happens?' Don't think that you're going to run to the man and say, 'Look, boss, this is me.' Why, when the deal goes down, you'll look just like me in his eyesight; I'll make it tough for you. Yes, when the deal goes down, he doesn't look at you in any better light than he looks at me...
I say again that I'm not a racist, I don't believe in any form of segregation or anything like that. I'm for brotherhood for everybody, but I don't believe in forcing brotherhood upon people who don't want it. Let us practise brotherhood among ourselves, and then if others want to practise brotherhood with us, we're for practising it with them also. But I don't think that we should run around trying to love somebody who doesn't love us.
•
## Lyndon B. Johnson
Washington, DC, 15 March 1965
#### 'We shall overcome'
> _Although his achievements were to be overshadowed by Vietnam, Lyndon Johnson's five years in the White House saw the completion of civil-rights legislation, the Federal Education Act of 1965 and the establishment of Medicare in pursuit of his ideal of The Great Society._
>
> _As he contemplated the Voting Rights Act of 1965, Johnson was worried about the reaction of Congress but was persuaded that a speech to the House would not be interpreted as a sign of panic and would also show that he was being bipartisan._
>
> _At 8 p.m. and due to deliver his speech at 9 p.m., he was still writing. The speech never made the teleprompter and was read from a rough copy. As he came to the most famous section, Johnson paused for breath. 'In that fleeting moment,' he wrote in his memoirs, 'my thoughts turned to the picket lines in Birmingham, the sit-ins in North Carolina, the marches in Selma. A picture rose before my eyes – a picture of blacks and whites marching together, side by side, chanting and singing the anthem of the civil rights movement. I raised my arms.'_
Mr Speaker, Mr President, members of the Congress, I speak tonight for the dignity of man and the destiny of democracy.
I urge every member of both parties, Americans of all religions and of all colours, from every section of this country, to join me in that cause.
At times, history and fate meet at a single time in a single place to shape a turning-point in man's unending search for freedom.
So it was at Lexington and Concord. So it was a century ago at Appomattox. So it was last week in Selma, Alabama.
There, long suffering men and women peacefully protested the denial of their rights as Americans. Many were brutally assaulted. One good man – a man of God – was killed.
There is no cause for pride in what has happened in Selma. There is no cause for self-satisfaction in the long denial of equal rights of millions of Americans. But there is cause for hope and for faith in our democracy in what is happening here tonight.
For the cries of pain and the hymns of oppressed people have summoned into convocation all the majesty of great Government – the Government of the greatest nation on earth.
Our mission is at once the oldest and the most basic of this country – to right wrong, to do justice, to serve man.
In our time we have come to live with the moments of great crisis. Our lives have been marked with debate about great issues, issues of war and peace, issues of prosperity and depression.
But rarely in any time does an issue bare the secret heart of America itself. Rarely are we met with a challenge, not to our growth or abundance, or our welfare or our security, but rather to the values and the purposes and the meaning of our beloved nation.
The issue of equal rights for American Negroes is such an issue.
And should we defeat every enemy, and should we double our wealth and conquer the stars, and still be unequal to this issue, then we will have failed as a people and as a nation.
For, with a country as with a person, 'What is a man profited if he shall gain the whole world, and lose his own soul?'
There is no Negro problem. There is no Southern problem. There is no Northern problem. There is only an American problem.
And we are met here tonight as Americans – not as Democrats or Republicans; we're met here as Americans to solve that problem.
This was the first nation in the history of the world to be founded with a purpose. The great phrases of that purpose still sound in every American heart, North and South:
'All men are created equal.' 'Government by consent of the governed.' 'Give me liberty or give me death.'
And those are not just clever words, and those are not just empty theories.
In their name Americans have fought and died for two centuries and tonight around the world they stand there as guardians of our liberty risking their lives.
Those words are promised to every citizen that he shall share in the dignity of man. This dignity cannot be found in a man's possessions. It cannot be found in his power or in his position: it really rests on his right to be treated as a man equal in opportunity to all others.
It says that he shall share in freedom. He shall choose his leaders, educate his children, provide for his family according to his ability and his merits as a human being.
To apply any other test, to deny a man his hopes because of his colour or race or his religion or the place of his birth is not only to do injustice, it is to deny America and to dishonour the dead who gave their lives for American freedom.
Our fathers believed that if this noble view of the rights of man was to flourish it must be rooted in democracy. The most basic right of all was the right to choose your own leaders.
The history of this country in large measure is the history of expansion of that right to all of our people. Many of the issues of civil rights are very complex and most difficult. But about this there can and should be no argument: every American citizen must have an equal right to vote.
There is no reason which can excuse the denial of that right. There is no duty which weighs more heavily on us than the duty we have to insure that right. Yet the harsh fact is that in many places in this country men and women are kept from voting simply because they are Negroes.
Every device of which human ingenuity is capable has been used to deny this right. The Negro citizen may go to register only to be told that the day is wrong, or the hour is late, or the official in charge is absent.
And if he persists and if he manages to present himself to the registrar, he may be disqualified because he did not spell out his middle name, or because he abbreviated a word on the application. And if he manages to fill out an application, he is given a test.
The registrar is the sole judge of whether he passes this test. He may be asked to recite the entire Constitution, or explain the most complex provisions of state law.
And even a college degree cannot be used to prove that he can read and write. For the fact is that the only way to pass these barriers is to show a white skin.
Experience has clearly shown that the existing process of law cannot overcome systematic and ingenious discrimination. No law that we now have on the books, and I have helped to put three of them there, can insure the right to vote when local officials are determined to deny it. In such a case, our duty must be clear to all of us.
The Constitution says that no person shall be kept from voting because of his race or his colour. We have all sworn an oath before God to support and to defend that Constitution. We must now act in obedience to that oath.
On Wednesday, I will send to Congress a law designed to eliminate illegal barriers to the right to vote...
Outside this chamber is the outraged conscience of a nation, the grave concern of many nations and the harsh judgement of history on our acts.
But even if we pass this bill the battle will not be over.
What happened in Selma is part of a far larger movement which reaches into every section and state of America. It is the effort of American Negroes to secure for themselves the full blessings of American life.
Their cause must be our cause too. Because it's not just Negroes but really it's all of us who must overcome the crippling legacy of bigotry and injustice. And we shall overcome.
As a man whose roots go deeply into Southern soil, I know how agonizing racial feelings are. I know how difficult it is to reshape the attitudes and the structure of our society. But a century has passed – more than one hundred years – since the Negro was freed.
And he is not fully free tonight.
It was more than one hundred years ago that Abraham Lincoln – a great President of another party – signed the Emancipation Proclamation. But emancipation is a proclamation and not a fact.
A century has passed – more than one hundred years – since equality was promised, and yet the Negro is not equal.
A century has passed since the day of promise, and the promise is unkept. The time of justice has now come, and I tell you that I believe sincerely that no force can hold it back. It is right in the eyes of man and God that it should come, and when it does, I think that day will brighten the lives of every American.
For Negroes are not the only victims. How many white children have gone uneducated? How many white families have lived in stark poverty? How many white lives have been scarred by fear, because we wasted energy and our substance to maintain the barriers of hatred and terror?
And so I say to all of you here and to all in the nation tonight that those who appeal to you to hold on to the past do so at the cost of denying you your future. This great rich, restless country can offer opportunity and education and hope to all – all, black and white, all, North and South, sharecropper and city dweller.
These are the enemies: poverty, ignorance, disease. They are our enemies, not our fellow man, not our neighbour. And these enemies too – poverty, disease and ignorance – we shall overcome.
> _The speech was seen as the zenith of the first three years of Johnson's presidency. Johnson signed the Voting Rights Bill four months later on 6 August._
•
## Roy Jenkins
London, 23 May 1966
#### 'This is the goal'
> _Roy Jenkins (1920–2003) was one of the great reforming Labour home secretaries of twentieth-century British politics as well as one of the best chancellors._
>
> _He quickly determined to strike a more upbeat note on race relations andwanted to provide a 'favourable splash' for the launching of Mark Bonham Carter as the first chairman of the new Race Relations Board. The speech was memorable in its definition of racial integration, which became one of the most provocative issues in British politics in the 1960s._
>
> _The weekend before the speech Jenkins stayed in the Provost's Lodge at King's College, Cambridge. 'On the Saturday evening,' he wrote in his memoirs, 'we went to the Founder's Obit Service in the chapel, during which, in the obscurity of the provostial stalls, I continued to scribble away...' That was when he wrote the passage about the universities and culture, of which he was subsequently 'rather proud'._
Integration is perhaps rather a loose word. I do not regard it as meaning the loss, by immigrants, of their own national characteristics and culture. I do not think that we need in this country a 'melting-pot', which will turn everybody out in a common mould, as one of a series of carbon copies of someone's misplaced vision of the stereotyped Englishman.
It would be bad enough if that were to occur to the relatively few in this country who happen to have pure Anglo-Saxon blood in their veins. If it were to happen to the rest of us, to the Welsh (like myself), to the Scots, to the Irish, to the Jews, to the mid-European, and to still more recent arrivals, it would be little short of a national disaster. It would deprive us of most of the positive advantages of immigration, which, as I shall develop in a moment, I believe to be very great indeed.
I define integration, therefore, not as a flattening process of assimilation but as equal opportunity, accompanied by cultural diversity, in an atmosphere of mutual tolerance. This is the goal. We may fall a little short of its full attainment, as have other communities both in the past and in the present. But if we are to maintain any sort of world reputation for civilized living and social cohesion, we must get far nearer to its achievement than is the case today. In so far as this is something which can be brought about by Government action, this is now a Home Office responsibility. I welcome this. We have traditionally had the responsibility for the control of admission – of aliens for many years past, and more recently of Commonwealth citizens. I regard this as a distasteful but necessary duty. My instincts are all against the restriction of free movement, whether for work or education or pleasure, from one country to another. Distasteful though it may be, however, it remains a duty.
In present circumstances we are bound, as almost everyone now recognizes, to contain the flow of immigrants within the economic and social capacity of the country to absorb them – the social factor being for the moment, I believe, more restrictive than the economic. There are of course differing views about that absorptive capacity, but the Government has a clear responsibility to see that it is not put so high as to create a widespread resistance to effective integration policies. Equally it must not be so unreasonably low as to create an embittered sense of apartness in the immigrant community itself. But this will depend, in my view, not only on the numerical decisions but on the way these decisions are administered; and it is my firm intention to do so as sympathetically as I possibly can, especially when dealing with hard borderline cases.
There are some people, many of them by no means illiberal, who believe that if everybody would only stay at home in their own countries, the world would be a much easier and better place. From this view I firmly dissent. Easier it might conceivably be, but certainly not better or more civilized or innovating.
For centuries past this and every other country which has played a part in the mainstream of world events has benefited immensely from its immigrants. Some of them came in much more aggressive ways than those we are discussing today, but at least from the Norman Conquest, to the wave of German and Austrian and Czechoslovak refugees in the thirties, we have been constantly stimulated and jolted out of our natural island lethargy by a whole series of immigrations. Those who came were always made unwelcome by some people, but they have rarely failed to make a contribution out of proportion to their numbers. If anyone doubts this let them look at British business today, and at the phenomenal extent to which the more successful companies have been founded – or rejuvenated – by men whose origin was outside these islands.
But this is not merely a matter of business. Where in the world is there a university which could preserve its fame, or a cultural centre which would keep its eminence, or a metropolis which could hold its drawing power if it were to turn inwards and serve only its own hinterland and its own racial group? To live apart, for a person, a city, a country, is to lead a life of declining intellectual stimulation.
Nor should we underestimate the special contribution which has been made by the recent immigrants from the West Indies, from India and Pakistan, and from other Commonwealth countries. Some are highly gifted with outstanding talents in a wide variety of human activities. They and many others are making a major contribution to our national welfare and prosperity. They work in our hospitals as doctors and nurses, they build houses and run transport services in our cities. They help to fill the many labour shortages, particularly in urban areas, particularly in vital but undermanned public services which go with a full employment society.
Let there be no suggestion therefore that immigration, in reasonable numbers, is a cross we have to bear, and no pretence that if only those who have come could find jobs back at home, our problems could be at an end. So far from this being the case, our doctor shortage would become still more chronic; many of our hospitals and institutions, particularly those performing tasks (like the care of the aged) which are medically unglamorous but socially essential, would have to close down; and our urban public transport systems would be reduced to skeleton services with mounting public inconvenience and a disastrous effect upon private car road congestion.
There is therefore no overall rational basis for resentment of the coloured immigrant population in our midst. Far from hindering our successful national development, they positively help it. But resentment does not always spring from rational causes, particularly when, as is the case with coloured immigrants, their skin and their cultural differences make them natural targets for those who are looking for scapegoats.
A few people, whether out of political opportunism or personal inadequacy, have deliberately whipped up prejudice, playing on fear and ignorance, and blaming the immigrants for problems which were none of their making – but which stemmed from previous parsimony in housing, schools and welfare services. Of course there are some who have legitimate individual grievances against an immigrant, just as white men can have against white men, or black men against black men. But this is not the root of the problem. The root is community prejudice, and it is that with which, whether it springs from fear or inadequacy or less reputable motives, we have to deal.
I say _have to deal_ because I am perfectly sure, first, that American experience, although it can sometimes be misleading in this field, shows clearly that this is not a problem which solves itself without positive action; and, secondly, because, unless we can solve it this will be a major blot on our record for the rest of this century, a constant source of weakness abroad, a handicap to full economic development...
The task which confronts us all is a crucial but not a daunting one. We have a population which is only two per cent coloured, although the proportion is of course appreciably higher in some areas. More important perhaps is the fact that we have as yet no established habit of hostility or bitterness on either side of the colour frontier. Such a habit could grow and grow quickly but it is hardly there yet. The problem is too new for that. We therefore start not indeed with a clean slate – there are already a few ugly marks upon it, but they are still relatively few.
But what we do have in this country is a great absorptive and adaptative tradition. For three centuries we have softened civil conflicts and adjusted our political system to the demands of a constantly changing economic and class structure. The problem we are discussing today makes less demands upon our capacity for tolerance and change than many which we have successfully surmounted in the past. But the way in which we face it, particularly in the next few years, can have a great effect upon our future. If we overcome we shall have a new message to offer the world. If we fail we shall be building up, both inside and outside the country, vast difficulties for future generations of English people.
•
## Robert Kennedy
Cape Town, 7 June 1966
#### 'A tiny ripple of hope'
> _The address by Robert Kennedy (1925–68) to the National Union of South African Students' Day of Affirmation, an annual protest affirming the students' commitment to human liberty and academic freedom in the face of government oppression, was his finest speech._
>
> _As Attorney-General in his brother's administration, Robert Kennedy had championed civil rights for black Americans. After his election as senator for New York in 1965, he began campaigning for the Democratic nomination for the presidency in 1968 and won wide support from the blacks and underprivileged._
>
> _His visit to South Africa was ignored by the Verwoerd Government but there was pandemonium when Kennedy arrived at the University of Cape Town where he was greeted by a crowd of 18,000. An unlit Grecian torch, carried at the head of the procession, symbolized the fate of academic freedom in South Africa._
>
> _In a speech that skilfully placed the South African struggle for freedom in the context of the worldwide campaign to break down the barriers of nationality, race and class, Kennedy expressed his fundamental political philosophy. He spoke not only to the students of South Africa but to the youth of the world._
We stand here in the name of freedom.
At the heart of that Western freedom and democracy is the belief that the individual man, the child of God, is the touchstone of value and all society, groups, the state, exist for his benefit. Therefore the enlargement of liberty for individual human beings must be the supreme goal and the abiding practice of any Western society.
The first element of this individual liberty is the freedom of speech.
The right to express and communicate ideas, to set oneself apart from the dumb beasts of field and forest; to recall governments to their duties and obligations; above all, the right to affirm one's membership and allegiance to the body politic – to society – to the men with whom we share our land, our heritage and our children's future.
Hand in hand with freedom of speech goes the power to be heard – to share in the decisions of government which shape men's lives. Everything that makes life worthwhile – family, work, education, a place to rear one's children and a place to rest one's head – all this rests on decisions of government; all can be swept away by a government which does not heed the demands of its people. Therefore, the essential humanity of men can be protected and preserved only where government must answer – not just to those of a particular religion, or a particular race; but to all its people.
And even government by the consent of the governed, as in our own Constitution, must be limited in its power to act against its people: so that there may be no interference with the right to worship, or with the security of the home; no arbitrary imposition of pains or penalties by officials high or low; no restriction on the freedom of men to seek education or work or opportunity of any kind, so that each man may become all he is capable of becoming.
These are the sacred rights of Western society. These are the essential differences between us and Nazi Germany as they were between Athens and Persia.
They are the essence of our difference with Communism today. I am inalterably opposed to Communism because it exalts the state over the individual and the family, and because of the lack of freedom of speech, of protest, of religion and of the press, which is characteristic of totalitarian states.
The way of opposition to Communism is not to imitate its dictatorship, but to enlarge individual human freedom – in our own countries and all over the globe. There are those in every land who would label as 'Communist' every threat to their privilege. But as I have seen on my travels in all sections of the world, reform is not Communism. And the denial of freedom, in whatever name, only strengthens the very Communism it claims to oppose.
For two centuries, my own country has struggled to overcome the self-imposed handicap of prejudice and discrimination based on nationality, social class or race – discrimination profoundly repugnant to the theory and command of our Constitution. Even as my father grew up in Boston, signs told him that 'No Irish need apply.'
Two generations later President Kennedy became the first Catholic to head the nation; but how many men of ability had, before 1961, been denied the opportunity to contribute to the nation's progress because they were Catholic, or of Irish extraction.
In the last five years, the winds of change have blown as fiercely in the United States as anywhere in the world. But they will not – they cannot – abate.
For there are millions of Negroes untrained for the simplest of jobs, and thousands every day denied their full equal rights under the law; and the violence of the disinherited, the insulted and injured, looms over the streets of Harlem and Watts and Southside Chicago.
But a Negro American trains as an astronaut, one of mankind's first explorers into outer space; another is the chief barrister of the United States Government, and dozens sit on the benches of court; and another, Dr Martin Luther King, is the second man of African descent to win the Nobel Peace Prize for his nonviolent efforts for social justice between the races.
We must recognize the full human equality of all our people – before God, before the law, and in the councils of government. We must do this not because it is economically advantageous – although it is; not because the laws of God and man command it – although they do command it; not because people in other lands wish it so. We must do it for the single and fundamental reason that it is the right thing to do.
And this must be our commitment outside our borders as it is within.
It is your job, the task of the young people of this world, to strip the last remnants of that ancient, cruel belief from the civilization of man.
Each nation has different obstacles and different goals, shaped by the vagaries of history and experience. Yet as I talk to young people around the world I am impressed not by diversity but by the closeness of their goals, their desires and concerns and hope for the future. There is discrimination in New York, apartheid in South Africa and serfdom in the mountains of Peru. People starve in the streets in India; intellectuals go to jail in Russia; thousands are slaughtered in Indonesia; wealth is lavished on armaments everywhere. These are differing evils. But they are the common works of man.
And therefore they call upon common qualities of conscience and of indignation, a shared determination to wipe away the unnecessary sufferings of our fellow human beings at home and particularly around the world.
It is these qualities which make of youth today the only true international community. More than this I think that we could agree on what kind of a world we want to build. It would be a world of independent nations, moving towards international community, each of which protected and respected basic human freedoms. It would be a world which demanded of each government that it accept its responsibility to insure social justice.
Just to the north here are lands of challenge and opportunity – rich in natural resources, land and minerals and people. Yet they are also lands confronted by the greatest odds – overwhelming ignorance, internal tensions and strife, and an often destructive and hostile nature. Many of these nations, as colonies, were oppressed and exploited. Yet they have not estranged themselves from the broad traditions of the West; they are hoping and gambling their progress and stability on the chance that we will meet our responsibilities to help them overcome their poverty.
In another world, cleansed of hate and fear and artificial barriers, South Africa could play an outstanding role in that effort. This is without question a pre-eminent repository of the wealth and knowledge and skill of the continent. Here are the greater part of Africa's research scientists and steel production, most of its reservoirs of coal and electric power. In your faculties and councils, here in this very audience, are hundreds and thousands of men who could transform the lives of millions for all time to come.
But that help cannot be accepted if we – within our own countries or in our relations with others – deny individual integrity and the common humanity of man.
Our answer is the world's hope; it is to rely on youth. The cruelties and obstacles of this swiftly changing planet will not yield to obsolete dogmas and outworn slogans. It cannot be moved by those who cling to a present which is already dying, who prefer the illusion of security to the excitement of danger.
It demands the qualities of youth: not a time of life but a state of mind, a temper of the will, a quality of the imagination, a predominance of courage over timidity, of the appetite for adventure over the love of ease.
As I have seen, and as I have said – in Europe, in Asia, in Latin America, and now in South Africa – it is a revolutionary world we live in; and thus, I have said in Latin America, in Asia, in Europe and in the United States, it is young people who must take the lead.
'There is,' said an Italian philosopher, 'nothing more difficult to take in hand, more perilous to conduct, or more uncertain in its success than to take the lead in the introduction of a new order of things.' Yet this is the measure of the task of your generation and the road is strewn with many dangers.
First, is the danger of futility; the belief there is nothing one man or one woman can do against the enormous array of the world's ills – against misery and ignorance, injustice and violence. Yet many of the world's great movements of thought and action have flowed from the world of a single man. A young monk began the Protestant Reformation, a young general extended an empire from Macedonia to the borders of the earth and a young woman reclaimed the territory of France.
Each time a man stands up for an ideal, or acts to improve the lot of others, or strikes out against injustice, he sends forth a tiny ripple of hope, and crossing each other from a million different centres of energy and daring, those ripples build a current that can sweep down the mightiest walls of oppression and resistance.
The second danger is that of practicality; of those who say that hopes and beliefs must bend before immediate necessities. Of course if we would act effectively we must deal with the world as it is. We must get things done.
But if there was one thing President Kennedy stood for that touched the most profound feeling of young people across the world, it was the belief that idealism, high aspirations and deep convictions are not incompatible with the most practical and efficient of programmes – that there is no basic inconsistency between ideals and realistic possibilities – no separation between the deepest desires of heart and mind and the rational application of human effort to human problems.
A third danger is timidity. For every ten men who are willing to face the guns of an enemy there is only one willing to brave the disapproval of his fellow, the censure of his colleagues, the wrath of his society. Moral courage is a rarer commodity than bravery in battle or great intelligence. Yet it is the one essential, vital quality for those who seek to change a world which yields most painfully to change.
For the fortunate among us is comfort; the temptation to follow the easy and familiar paths of personal ambition and financial success so grandly spread before those who have the privilege of education. But that is not the road history has marked out for us.
There is a Chinese curse which says, 'May he live in interesting times.' Like it or not, we live in interesting times. They are times of danger and uncertainty; but they are also more open to the creative energy of men than any other time in history. And everyone here will ultimately be judged – will ultimately judge himself – on the effort he has contributed to building a new world society and the extent to which his ideals and goals have shaped that effort.
So we part, I to my country and you to remain. We are – if a man of forty can claim that privilege – fellow members of the world's largest younger generation. Each of us have our own work to do. I know at times you must feel very alone with your problems and difficulties. But I want to say how impressed I am with what you stand for and the effort you are making.
Like the young people of my own country and of every country I have visited, you are in many ways more closely united to these brothers of your time than to the older generations in your nation; determined to build a better future; that you know, as President Kennedy said to the youth of my country, that 'the energy, the faith, the devotion which we bring to this endeavour will light our country and all who serve it – and the glow from that fire can truly light the world.'
> _Robert Kennedy won a thundering ovation. Two years later, after winning the California primary election, he was shot and died on_ 6 _June. On the stark white wall over his grave is carved a sentence from his South African speech: 'Each time a man stands up for an ideal, or acts to improve the lot of others, or strikes out against injustice, he sends forth a tiny ripple of hope.'_
•
## Eugene Mccarthy
Chicago, 2 December 1967
#### 'The decent opinion of mankind'
> _After waiting in vain for Senator Robert Kennedy ( John F. Kennedy's brother) to move against President Johnson, the Minnesota Democrat Senator Eugene McCarthy (1916–91) announced his candidacy for the presidential nomination in 1968 and won forty per cent of the vote in the New Hampshire primary. His move prompted Johnson to stand down and Kennedy to enter the race. He was in sight of winning the nomination when he was assassinated. Hubert Humphrey became the candidate._
>
> _As the Vietnam dissenters awaited the politician who would speak for them, McCarthy lit the candle in this December speech to the Conference of Concerned Democrats. The critical word in America's new vocabulary, he declared, was war – war on poverty, ignorance, crime, pollution, none of which could be solved by war._
But we do have one war which is properly called a war – the war in Vietnam, which is central to all of the problems of America.
A war of questionable legality and questionable constitutionality.
A war which is diplomatically indefensible; the first war in this century in which the United States, which at its founding made an appeal to the decent opinion of mankind in the Declaration of Independence, finds itself without the support of the decent opinion of mankind.
A war which cannot be defended in the context of the judgement of history. It is being presented in the context of an historical judgement of an era which is past. Munich appears to be the starting point of history for the secretary of state and for those who attempt to support his policies. What is necessary is a realization that the United States is a part of the movement of history itself; that it cannot stand apart, attempting to control the world by imposing covenants and treaties and by violent military intervention; that our role is not to police the planet but to use military strength with restraint and within limits, while at the same time we make available to the world the great power of our economy, of our knowledge, and of our goodwill.
A war which is not defensible even in military terms, which runs contrary to the advice of our greatest generals – Eisenhower, Ridgway, Bradley, and MacArthur – all of whom admonished us against becoming involved in a land war in Asia. Events have proved them right, as estimate after estimate as to the time of success and the military commitment necessary to success has had to be revised – always upward: more troops, more extensive bombing, a widening and intensification of the war. Extension and intensification have been the rule, and projection after projection of success have been proved wrong.
With the escalation of our military commitment has come a parallel of overleaping of objectives: from protecting South Vietnam, to nation building in South Vietnam, to protecting all of Southeast Asia, and ultimately to suggesting that the safety and security of the United States itself is at stake.
Finally, it is a war which is morally wrong. The most recent statement of objectives cannot be accepted as an honest judgement as to why we are in Vietnam. It has become increasingly difficult to justify the methods we are using and the instruments of war which we are using as we have moved from limited targets and somewhat restricted weapons to greater variety and more destructive instruments of war, and also have extended the area of operations almost to the heart of North Vietnam.
Even assuming that both objectives and methods can be defended, the war cannot stand the test of proportion and of prudent judgement. It is no longer possible to prove that the good that may come with what is called victory, or projected as victory, is proportionate to the loss of life and property and to other disorders that follow from this war...
Beyond all of these considerations, two further judgements must be passed: a judgement of individual conscience, and another in the broader context of the movement of history itself.
The problem of individual conscience is, I think, set most clearly before us in the words of Charles Péguy in writing about the Dreyfus case: 'a single injustice, a single crime, a single illegality, if it is officially recorded,... will bring about the loss of one's honour, the dishonour of a whole people.'
And the broader historical judgement as suggested by Arnold Toynbee in his comments on Rome's war with Carthage: 'Nemesis is a potent goddess... War posthumously avenges the dead on the survivors, and the vanquished on the victors. The nemesis of war is intrinsic. It did not need the invention of the atomic weapon to make this apparent. It was illustrated more than two thousand years before our time, by Hannibal's legacy to Rome. Hannibal gained a posthumous victory over Rome. Although he failed to defeat the great nation militarily because of the magnitude of her military manpower and solidity of the structure of the Roman Commonwealth, he did succeed in inflicting grievous wounds on the Commonwealth's body social and economic. They were so grievous that they festered into the revolution that was precipitated by Tiberius Gracchus and that did not cease till it was arrested by Augustus a hundred years later... This revolution,' Toynbee said, 'was the nemesis of Rome's superficially triumphant career of military conquest,' and ended, of course, the Republic and substituted for it the spirit of the dictators and of the Caesars.
Those of us who are gathered here tonight are not advocating peace at any price. We are willing to pay a high price for peace – for an honourable, rational, and political solution to this war, a solution which will enhance our world position, which will permit us to give the necessary attention to our other commitments abroad, both military and nonmilitary, and leave us with both human and physical resources and with moral energy to deal effectively with the pressing domestic problems of the United States itself.
I see little evidence that the administration has set any limits on the price which it will pay for a military victory which becomes less and less sure and more hollow and empty in promise.
The scriptural promise of the good life is one in which the old men see visions and the young men dream dreams. In the context of this war and all of its implications, the young men of America do not dream dreams, but many live in the nightmare of moral anxiety, of concern and great apprehension; and the old men, instead of visions which they can offer to the young, are projecting, in the language of the secretary of state, a spectre of one billion Chinese threatening the peace and safety of the world... a frightening and intimidating future.
The message from the administration today is a message of apprehension, a message of fear, yes – even a message of fear of fear.
This is not the real spirit of America. I do not believe that it is. This is a time to test the mood and spirit:
To offer in place of doubt – trust.
In place of expediency – right judgement.
In place of ghettos, let us have neighbourhoods and communities.
In place of incredibility – integrity.
In place of murmuring, let us have clear speech; let us again hear America singing.
In place of disunity, let us have dedication of purpose.
In place of near despair, let us have hope.
This is the promise of greatness which was stated for us by Adlai Stevenson and which was brought to form and positive action in the words and actions of John Kennedy.
Let us pick up again these lost strands and weave them again into the fabric of America.
Let us sort out the music from the sounds and again respond to the trumpet and the steady drum.
•
## Melina Mercouri
Washington, 23 January 1968
#### 'We will be free'
> _The Greek film actress and politician Melina Mercouri (1923–94) was born into a political family. Her grandfather was mayor of Athens and her father was deputy mayor and Minister of State. Against her parents' wishes, she became an actress and is still remembered for her dazzling performance in the film _Never on Sunday_. After 1967, however, she devoted all her energy to campaigning against the military junta – the Greek colonels – who seized power and imposed a dictatorship in 1967. She was declared an enemy of the state and lived in exile in Paris and the United States._
>
> _She made this powerful speech to the Women's Democratic Club. This is the first half. She went on to plead with the United States to help Greece instead of aiding the colonels and asked: 'Is America the moral leader of the world – or is it not?'_
I have been asked to speak on the subject 'The Artist and Politics'. I'll try to do so. But I must immediately tell you that I consider the artist no less a citizen than anyone else. And I believe that those who say the artist has no place in politics not only would strip him of his citizenship but would also deny all of history. I know that some artists have accepted the address of the ivory tower. Perhaps they are comfortable, but they collaborate with those who want them excluded from the movement of the world.
I am an artist by vocation and profession. I am a citizen by obligation and responsibility. And as an actress I am happiest when I work in a play or a film that makes both artistic and social contribution.
There is a beautiful story about Picasso. It was during the Nazi occupation in France. The great painter was summoned to Gestapo headquarters. He found a Nazi officer studying one of Picasso's most famous paintings. The canvas depicted the brutal destruction of the town of Guernica by the Nazis during the Spanish Civil War. The Gestapo man looked with menace at Picasso and pointed to the painting.
'Did you do this?' he asked. Picasso looked at the Nazi and said, 'No, you did.'
That was a fine moment. A moment when the artist and the citizen were one. I am a Greek artist, a Greek citizen. Technically, perhaps there might be some question of this. When the military junta seized power in Greece and destroyed the constitution and the freedom of my people, I spoke out against them. The colonels then declared me _anti-Greek_. They announced that my citizenship was taken away and my property confiscated. Perhaps they have the means to take my property. That is physical and tangible. But my citizenship is within me. I drank it with my mother's milk. It is my identity. It is my love for Greece, for my friends, for Greek music and art.
It is my soul. And as the Russian girl says in the story, 'My soul they cannot touch.'
Like everything else, dictatorship has its textbooks and manuals. One of the first things to do is to silence the artist. The artist by his very nature, must have the most immediate, the most intimate contact with people. His life is communication. And dictatorship would keep the people incommunicado. So beware of the artist who _informs_ , who exposes, who inspires, who enflames. Silence the composer Mikis Theodorakis. He might write another 'La Marseillaise'. Beware even of the dead. Sophocles, Euripides, Aeschylus, those giant artists, those giant citizens, are censored in Greece. They are dangerous because they wrote of freedom and the excellence of man. This junta stands for slavery and the degradation of man.
The artist is never attacked as such. Ibsen, Shelley, Byron, Keats, Picasso, Leger, Rivera, Joyce, Sinyavsky, Pasternak, Miller, Charlie Chaplin and countless more all through history, were attacked not because they were artists, but because they used their art to uplift, to expose, to protest, to make man better, to make man free.
So, I think I have made myself clear. I am here to talk politically. _Politically_ , not _politics_. I am not a politician. Politicians are more dangerous than artists and often funnier.
In 1964 the people of Greece having fought for free elections proceeded to choose the Centre-Union Party to govern Greece. They elected George Papandreou to be prime minister. And this by a majority without precedent in Greece. I will immediately confess to you that I am not an admirer of George Papandreou but, of course, that is beside the point. The people of Greece voted for him. I was not quite sure of his liberalism but to the conservatives and the extreme right wing he was considered a dangerous radical. He _did_ talk of reform, a more fair distribution of wealth and free education. This obviously made him a Bolshevik. He took every opportunity to denounce the Communists in Greece, but that did not stop his enemies from calling him a 'sympathizer', a 'fellow traveller' or a 'bedfellow'. We know these clichés in Greece just as well as you do. But it didn't work. His popular support remained strong.
Yet on 15 July 1965, Greece was stunned to learn that he had been dismissed from office by King Constantine and his government was dissolved. The country was shocked. The eyebrows of constitutional experts were raised in horror.
Why was he so rudely and illegally dismissed? He and his son Andreas, the Minister of Economic Co-ordination, insisted that the army needed some reorganization. They naively believed that the army's loyalty should be to the constitution and the government and not to the extreme right or to the palace.
And in 1967 the world learned how right they were.
On 21st April of that year the army tanks crashed through the streets of Athens and democracy was destroyed.
But let me talk a little of those two years between 1965 and 1967. Nothing makes me angrier than to read those so-called 'authorities' who say that prior to the coming of the junta, Greece was in political chaos. I have seen this statement repeated a thousand times and it makes my blood boil. Who created this chaos?
For two years after the dismissal of the freely elected government the palace made repeated attempts to create a government of its own. But always with unpopular, right-wing elements and not one of them could stand up. It drives me crazy to hear this chaos attributed to the forces of democracy. You all remember the definition of the Hebrew word 'chutzpah'. 'Chutzpah' is when a man kills his mother and father and then asks for clemency on the grounds that he is an orphan.
I shall not dwell upon the role of King Constantine except to make a short review. He created the crisis. Then when the junta came, and all of Greece would have supported him if he opposed them, he made no move. He himself swore in the junta. He himself collaborated in the elimination from the army of all democratic elements. He said that he behaved this way to spare Greece from shedding its blood. But eight months later when he saw his own position threatened, he asked the Greek people to shed its blood to save his crown. His counter-coup was a pitiful operetta, a masterpiece of ineptitude, a tragic farce. Now he is in Rome working out a deal for an ignominious return. He is a king without a people, a king of shreds and patches. And I charge that those individuals and those governments who are working for his return do so with the knowledge that he will never have the support of the people. So here we are. Greece that made the gift of democracy to the world is in chains. The constitution destroyed, parliament dissolved, trade unions illegal. The civil services, the schools, the church have been purged. The press, the artist, totally censored and muzzled. The court martials make a mockery of justice. The junta rules by terror, by imprisonment and by torture. And when I say torture, it is not a phrase. The authenticated stories and checked reports of inhuman tortures are at the same time revolting and heartbreaking. I shall spare you the details but if you really want to know them ask me and I will tell you. And then there is the most horrible crime of all, the plot to corrupt the youth of Greece. The school system is being completely revised, the textbooks are being rewritten, teachers who believe in democracy are thrown out of the schools. The young people are being taught ideals that are Nazi. The junta's intention is to create a generation of fascists. And so there is the most terrible of fears, the father afraid of his son. The son afraid of his father, the teacher afraid of his student.
How then are the Greek people to understand the apologists for this medieval, this barbarous regime? I could understand approval from the dead Hitler, from the dead Mussolini, from the dead Stalin, but how can I understand the _live_ Dean Acheson?
In a letter to the _Washington Post_ , Mr Acheson expressed an opinion that authoritarian rule is what the Greeks need. Now we all know that Mr Acheson is an honourable man, yet he comes to bury democracy in Greece. He is an honourable man and he adds his spadeful of earth into democracy's grave. Evil tongues say that Mr Acheson has a pique against the former Greek government because they rejected his solution to the Cyprus issue. I must doubt this because Mr Acheson is an honourable man. It is his honourable judgement that the people of Greece are ignorant and backward and not ready for democracy. I am only an unlearned actress and the honourable Mr Acheson is a former secretary of state, yet I will stand up to my full height and say, 'Mr Secretary, you are wrong. You are tragically wrong. We know the meaning of democracy. We invented it. We will refuse your counsel, Mr Secretary. We will be free.'
> _The speech was read into the Congressional record by Don Edwards of California. Mercouri returned to Greece in 1974 after the fall of the colonels and became Minister of Culture from 1981 to 1990. She led the campaign, so far unsuccessful, to persuade the British government to return the Elgin Marbles._
•
## Lyndon B. Johnson
Washington, DC, 31 March 1968
#### 'I shall not seek nor will I accept nomination as your president'
> _As America sank deeper into the quagmire of the Vietnam War in 1968, President Johnson was spiritually and physically exhausted. Television screens were filled with images of horror showing the devastation of Vietnam, the sufferings of its people and the sufferings of American soldiers._
>
> _On 20 January, the Vietcong launched the Tet offensive, which involved American troops in desperate battles for control of their bases at Da Nang andKhe Sanh and even the grounds of the US embassy in Saigon. Robert Kennedy and Eugene McCarthy were openly campaigning for the Democratic nomination for the presidential election. Johnson, who said in his memoirs that he had always intended to retire at the end of his first full term, read the signals._
>
> _He hoped that by suspending the bombing of North Vietnam he would open the way to peace negotiations and accepted that his candidacy would both split the Democrats further and weaken the United States' negotiating position._
>
> _Johnson prepared two perorations for his speech, given from the White House at the end of March. At 9.35 p.m. and well into his speech, his mind was made up. Watched by eighty-five million Americans, his face registering powerful emotions, he glanced at his wife and raised his right arm – the prearranged signal that he was going, after all, to speak the extra words that had been prepared._
>
> _Then the president looked into the camera. 'Fifty-two months and ten days ago...' he began, and gave up his burden._
Of those to whom much is given, much is asked. I cannot say and no man could say that no more will be asked of us.
Yet, I believe that now, no less than when the decade began, this generation of Americans is willing to 'pay any price, bear any burden, meet any hardship, support any friend, oppose any foe to assure the survival and the success of liberty'.
Since those words were spoken by John F. Kennedy, the people of America have kept that compact with mankind's noblest cause.
And we shall continue to keep it.
Yet, I believe we must always be mindful of this one thing, whatever the trials and the tests ahead. The ultimate strength of our country and our cause will lie not in powerful weapons or infinite resources or boundless wealth, but will lie in the unity of our people.
This I believe very deeply.
Throughout my entire public career I have followed the personal philosophy that I am a free man, an American, a public servant, and a member of my party, in that order always and only.
For thirty-seven years in the service of our Nation, first as a Congressman, as a Senator, and as Vice-President, and now as your President, I have put the unity of the people first. I have put it ahead of any divisive partisanship.
And in these times as in times before, it is true that a house divided against itself by the spirit of faction, of party, of region, of religion, of race, is a house that cannot stand.
There is division in the American house now. There is divisiveness among us all tonight. And holding the trust that is mine, as President of all the people, I cannot disregard the peril to the progress of the American people and the hope and the prospect of peace for all peoples.
So, I would ask all Americans, whatever their personal interests or concern, to guard against divisiveness and all its ugly consequences.
Fifty-two months and ten days ago, in a moment of tragedy and trauma, the duties of this office fell upon me. I asked then for your help and God's, that we might continue America on its course, binding up our wounds, healing our history, moving forward in new unity, to clear the American agenda and to keep the American commitment for all of our people.
United we have kept that commitment. United we have enlarged that commitment.
Through all time to come, I think America will be a stronger nation, a more just society, and a land of greater opportunity and fulfilment because of what we have all done together in these years of unparalleled achievement.
Our reward will come in the life of freedom, peace, and hope that our children will enjoy through ages ahead.
What we won when all of our people united just must not now be lost in suspicion, distrust, selfishness, and politics among any of our people.
Believing this as I do, I have concluded that I should not permit the Presidency to become involved in the partisan divisions that are developing in this political year.
With America's sons in the fields far away, with America's future under challenge right here at home, with our hopes and the world's hopes for peace in the balance every day, I do not believe that I should devote an hour or a day of my time to any personal partisan causes or to any duties other than the awesome duties of this office – the Presidency of your country.
Accordingly, I shall not seek, and I will not accept, the nomination of my party for another term as your President.
But let men everywhere know, however, that a strong, a confident, and a vigilant America stands ready tonight to seek an honourable peace – and stands ready tonight to defend an honoured cause – whatever the price, whatever the burden, whatever the sacrifice that duty may require.
> _Hubert Humphrey, Johnson's chosen successor, was narrowly defeated in the election by Richard Nixon._
•
## Enoch Powell
Birmingham, 20 April 1968
#### 'I seem to see "the River Tiber foaming with much blood" '
> _No speech in Britain in the past fifty years had so violent and powerful an impact on public opinion or was more notorious and memorable than the address Enoch Powell gave in Birmingham in 1968. It was one of a series of inflammatory speeches, initially attacking Kenyan Asian immigrants, which Powell's critics considered a particularly potent stimulus to racial antagonism but which nevertheless articulated the fears and prejudices of many Britons, particularly in working-class inner cities._
>
> _Powell had become a right-wing nationalist who had quarrelled violently with the Tory leader Edward Heath. He believed that the British Nationality Act had enabled the arrival of a big immigrant population with consequences so long ignored that when it was no longer possible for the government and parliament to remain blind to them they had become all but irremediable._
>
> _In this speech in April, Powell openly raised the spectre of racial conflict and called for the repatriation of black and other Commonwealth immigrants._
The supreme function of statesmanship is to provide against preventable evils. In seeking to do so, it encounters obstacles which are deeply rooted in human nature. One is that by the very order of things such evils are not demonstrable until they have occurred: at each stage in their onset there is room for doubt and for dispute whether they be real or imaginary. By the same token, they attract little attention in comparison with current troubles, which are both indisputable and pressing. Hence the besetting temptation of all politics to concern itself with the immediate present at the expense of the future. Above all, people are disposed to mistake predicting troubles for causing troubles and even for desiring troubles: 'if only', they love to think, 'if only people wouldn't talk about it, it probably wouldn't happen'. Perhaps this habit goes back to the primitive belief that the word and the thing, the name and the object, are identical. At all events, the discussion of future grave but, with effort now, avoidable evils is the most unpopular and at the same time the most necessary occupation for the politician. Those who knowingly shirk it, deserve, and not infrequently receive, the curses of those who come after.
A week or two ago I fell into conversation with a constituent, a middle-aged, quite ordinary working man employed in one of our nationalized industries. After a sentence or two about the weather, he suddenly said: 'If I had the money to go, I wouldn't stay in this country.' I made some deprecatory reply, to the effect that even this government wouldn't last for ever; but he took no notice, and continued: 'I have three children, all of them been through grammar school and two of them married now, with family. I shan't be satisfied till I have seen them all settled overseas. In this country in fifteen or twenty years' time the black man will have the whip hand over the white man.'
I can already hear the chorus of execration. How dare I say such a horrible thing? How dare I stir up trouble and inflame feelings by repeating such a conversation? The answer is that I do not have the right not to do so. Here is a decent, ordinary fellow-Englishman, who in broad daylight in my own town says to me, his Member of Parliament, that this country will not be worth living in for his children. I simply do not have the right to shrug my shoulders and think about something else. What he is saying, thousands and hundreds of thousands are saying and thinking – not throughout Great Britain, perhaps, but in the areas that are already undergoing the total transformation to which there is no parallel in a thousand years of English history.
In fifteen or twenty years, on present trends, there will be in this country three and a half million Commonwealth immigrants and their descendants. That is not my figure. That is the official figure given to Parliament by the spokesman of the Registrar-General's office. There is no comparable official figure for the year 2000; but it must be in the region of five to seven million, approximately one-tenth of the whole population, and approaching that of Greater London. Of course, it will not be evenly distributed from Margate to Aberystwyth and from Penzance to Aberdeen. Whole areas, towns and parts of towns across England will be occupied by different sections of the immigrant and immigrant-descended population.
As time goes on, the proportion of this total who are immigrant descendants, those born in England, who arrived here by exactly the same route as the rest of us, will rapidly increase. Already by 1985 those born here would constitute the majority. It is this fact above all which creates the extreme urgency of action now, of just that kind of action which is hardest for politicians to take, action where the difficulties lie in the present but evils to be prevented or minimized lie several parliaments ahead.
The natural and rational first question for a nation confronted by such a prospect is to ask: 'How can its dimensions be reduced?' Granted it be not wholly preventable, can it be limited, bearing in mind that numbers are of the essence. The significance and consequences of an alien element introduced into a country or population are profoundly different according to whether that element is one per cent or ten per cent. The answers to the simple and rational question are equally simple and rational: by stopping, or virtually stopping, further inflow, and by promoting the maximum outflow. Both answers are part of the official policy of the Conservative Party.
It almost passes belief that at this moment twenty or thirty additional immigrant children are arriving from overseas in Wolverhampton alone every week – and that means fifteen or twenty additional families a decade or two hence. Those whom the gods wish to destroy, they first make mad. We must be mad, literally mad, as a nation to be permitting the annual inflow of some fifty thousand dependants, who are for the most part the material of the future growth of the immigrant-descended population. It is like watching a nation busily engaged in heaping up its own funeral pyre. So insane are we that we actually permit unmarried persons to immigrate for the purpose of founding a family with spouses and fiancés whom they have never seen. Let no one suppose that the flow of dependants will automatically tail off. On the contrary, even at the present admission rate of only five thousand a year by voucher, there is sufficient for a further twenty-five thousand dependants per annum _ad infinitum_ , without taking into account the huge reservoir of existing relations in this country – and I am making no allowance at all for fraudulent entry. In these circumstances nothing will suffice but that the total inflow for settlement be reduced at once to negligible proportions, and that the necessary legislative and administrative measures be taken without delay. I stress the words 'for settlement'. This has nothing to do with the entry of Commonwealth citizens, any more than of aliens, into this country, for the purposes of study or of improving their qualifications, like (for instance) the Commonwealth doctors who, to the advantage of their own countries, have enabled our hospital service to be expanded faster than would otherwise have been possible. These are not, and never have been, immigrants.
I turn to re-emigration. If all immigration ended tomorrow, the rate of growth of the immigrant-descended population would be substantially reduced, but the prospective size of this element in the population would still leave the basic character of the national danger unaffected. This can only be tackled while a considerable proportion of the total still comprises persons who entered this country during the last ten years or so. Hence the urgency of implementing now the second element of the Conservative Party's policy: the encouragement of re-emigration. Nobody can make an estimate of the numbers which, with generous grants and assistance would choose either to return to their countries of origin or go to other countries anxious to receive the manpower and the skills they represent. Nobody knows, because no such policy has yet been attempted. I can only say that, even at present, immigrants in my own constituency from time to time come to me, asking if I can find them assistance to return home. If such a policy were adopted and pursued, with the determination which the gravity of the alternative justifies, the resultant outflow could appreciably alter the prospects for the future.
It can be no part of any policy that existing families should be kept divided; but there are two directions in which families can be reunited, and if our former and present immigration laws have brought about the division of families, albeit voluntary or semi-voluntary, we ought to be prepared to arrange for them to be reunited in their countries of origin. In short, suspension of immigration and encouragement of re-emigration belong together, logically and humanly, as two aspects of the same approach.
The third element of the Conservative Party's policy is that all who are in this country as citizens should be equal before the law and that there shall be no discrimination or difference made between them by public authority. As Mr Heath has put it, we will have no 'first-class citizens' and 'second-class citizens'. This does not mean that the immigrant and his descendants should be elevated into a privileged or special class or that the citizen should be denied his right to discriminate in the management of his own affairs between one fellow-citizen and another or that he should be subjected to inquisition as to his reasons and motives for behaving in one lawful manner rather than another.
There could be no grosser misconception of the realities than is entertained by those who vociferously demand legislation as they call it 'against discrimination', whether they be leaderwriters of the same kidney and sometimes on the same newspapers which year after year in the 1930s tried to blind this country to the rising peril which confronted it, or archbishops who live in palaces, faring delicately, with the bedclothes pulled right over their heads. They have got it exactly and diametrically wrong. The discrimination and the deprivation, the sense of alarm and of resentment, lies not with the immigrant population but with those among whom they have come and are still coming. This is why to enact legislation of the kind before Parliament at this moment is to risk throwing a match on to gunpowder. The kindest thing that can be said about those who propose and support it is that they know not what they do.
Nothing is more misleading than comparison between the Commonwealth immigrant in Britain and the American Negro. The Negro population of the United States, which was already in existence before the United States became a nation, started literally as slaves and were later given the franchise and other rights of citizenship, to the exercise of which they have only gradually and still incompletely come. The Commonwealth immigrant came to Britain as a full citizen, to a country which knew no discrimination between one citizen and another, and he entered instantly into the possession of the rights of every citizen, from the vote to free treatment under the National Health Service. Whatever drawbacks attended the immigrants – and they were drawbacks which did not, and do not, make admission into Britain by hook or by crook appear less than desirable – arose not from the law or from public policy or from administration but from those personal circumstances and accidents which cause, and always will cause, the fortunes and experience of one man to be different from another's.
But while to the immigrant entry to this country was admission to privileges and opportunities eagerly sought, the impact upon the existing population was very different. For reasons which they could not comprehend, and in pursuance of a decision by default, on which they were never consulted, they found themselves made strangers in their own country. They found their wives unable to obtain hospital beds in childbirth, their children unable to obtain school places, their homes and neighbourhoods changed beyond recognition, their plans and prospects for the future defeated; at work they found that employers hesitated to apply to the immigrant worker the standards of discipline and competence required of the native-born worker; they began to hear, as time went by, more and more voices which told them that they were now the unwanted. On top of this, they now learn that a one-way privilege is to be established by Act of Parliament: a law, which cannot, and is not intended, to operate to protect them or redress their grievances, is to be enacted to give the stranger, the disgruntled and the _agent provocateur_ the power to pillory them for their private actions.
In the hundreds upon hundreds of letters I received when I last spoke on this subject two or three months ago, there was one striking feature which was largely new and which I find ominous. All Members of Parliament are used to the typical anonymous correspondent; but what surprised and alarmed me was the high proportion of ordinary, decent, sensible people, writing a rational and often well-educated letter, who believed that they had to omit their address because it was dangerous to have committed themselves to paper to a Member of Parliament agreeing with the views I had expressed, and that they would risk either penalties or reprisals if they were known to have done so. The sense of being a persecuted minority which is growing among ordinary English people in the areas of the country which are affected is something that those without direct experience can hardly imagine. I am going to allow just one of those hundreds of people to speak for me. She did give her name and address, which I have detached from the letter which I am about to read. She was writing from Northumberland about something which is happening at this moment in my own constituency:
> Eight years ago in a respectable street in Wolverhampton a house was sold to a Negro. Now only one white (a woman old-age pensioner) lives there. This is her story. She lost her husband and both her sons in the war. So she turned her seven-roomed house, her only asset, into a boarding house. She worked hard and did well, paid off her mortgage and began to put something by for her old age. Then the immigrants moved in. With growing fear, she saw one house after another taken over. The quiet street became a place of noise and confusion. Regretfully, her white tenants moved out.
>
> The day after the last one left, she was awakened at 7 a.m. by two Negroes who wanted to use her phone to contact their employer. When she refused, as she would have refused any stranger at such an hour, she was abused and feared she would have been attacked but for the chain on her door. Immigrant families have tried to rent rooms in her house, but she always refused. Her little store of money went, and after paying her rates, she has less than £2 per week. She went to apply for a rate reduction and was seen by a young girl, who on hearing she had a seven-roomed house, suggested she should let part of it. When she said the only people she could get were Negroes, the girl said 'racial prejudice won't get you anywhere in this country'. So she went home.
>
> The telephone is her lifeline. Her family pay the bill, and help her out as best they can. Immigrants have offered to buy her house – at a price which the prospective landlord would be able to recover from his tenants in weeks, or at most a few months. She is becoming afraid to go out. Windows are broken. She finds excreta pushed through her letterbox. When she goes to the shops, she is followed by children, charming, wide-grinning piccaninnies. They cannot speak English, but one word they know. 'Racialist', they chant. When the new Race Relations Bill is passed, this woman is convinced she will go to prison. And is she so wrong? I begin to wonder.
The other dangerous delusion from which those who are wilfully or otherwise blind to realities suffer, is summed up in the word 'integration'. To be integrated into a population means to become for all practical purposes indistinguishable from its other members. Now, at all times, where there are marked physical differences, especially of colour, integration is difficult, though over a period, not impossible. There are among the Commonwealth immigrants who have come to live here in the last fifteen years or so, many thousands whose wish and purpose is to be integrated and whose every thought and endeavour is bent in that direction. But to imagine that such a thing enters the heads of a great and growing majority of immigrants and their descendants is a ludicrous misconception, and a dangerous one to boot.
We are on the verge of a change. Hitherto it has been force of circumstance and of background which has rendered the very idea of integration inaccessible to the greater part of the immigrant population – that they never conceived or intended such a thing, and that their numbers and physical concentration meant the pressures towards integration which normally bear upon any small minority did not operate. Now we are seeing the growth of positive forces acting against integration, of vested interests in the preservation and sharpening of racial and religious differences, with a view to the exercise of actual domination, first over fellow-immigrants and then over the rest of the population. The cloud no bigger than a man's hand, that can so rapidly overcast the sky, has been visible recently in Wolverhampton and has shown signs of spreading quickly. The words I am about to use, verbatim as they appeared in the local press of 17 February [1968], are not mine, but those of a Labour Member of Parliament who is a Minister in the Government. 'The Sikh community's campaign to maintain customs inappropriate in Britain is much to be regretted. Working in Britain, particularly in the public services, they should be prepared to accept the terms and conditions of their employment. To claim special communal rights (or should one say rites?) leads to a dangerous fragmentation within society. This communalism is a canker; whether practised by one colour or another it is to be strongly condemned.' All credit to John Stonehouse for having had the insight to perceive that, and the courage to say it.
For these dangerous and divisive elements the legislation proposed in the Race Relations Bill is the very pabulum they need to flourish. Here is the means of showing that the immigrant communities can organize to consolidate their members, to agitate and campaign against their fellow-citizens, and to overawe and dominate the rest with legal weapons which the ignorant and the ill-informed have provided. As I look ahead, I am filled with foreboding. Like the Roman, I seem to see 'the River Tiber foaming with much blood'. The tragic and intractable phenomenon which we watch with horror on the other side of the Atlantic but which there is interwoven with the history and existence of the States itself, is coming upon us here by our own volition and our own neglect. Indeed, it has all but come. In numerical terms, it will be of American proportions long before the end of the century. Only resolute and urgent action will avert it even now. Whether there will be the public will to demand and obtain that action, I do not know. All I know is that to see, and not to speak, would be the great betrayal.
> _After the uproar provoked by the speech, Powell was disowned by Tory leader Edward Heath – but in the East End of London dockers and immigrationofficers from Heathrow airport marched on behalf of Powell's views. The Race Relations Act, introducing measures against discrimination on grounds of race, colour or ethnic or national origin, became law the following November._
•
## Richard Nixon
Miami, 8 August 1968
#### 'The time has come for an honest government'
> _Richard Nixon (1913–94) was General Eisenhower's vice-president but lost the presidential battle narrowly to John F. Kennedy in 1960. Two years later he failed to become governor of California, ascribing his defeat to the hostility of the media. His political career seemed over. Yet the Republican disaster of 1964, when Goldwater lost to Lyndon Johnson, encouraged Nixon's supporters to run him for the presidency in 1968 and he gained the nomination._
>
> _Nixon declared that his nomination address was designed to let his audience see the whole man. After his years in the political wilderness, the speech was the most important of Nixon's political life and was made even as news of the violence in the Miami ghetto was starting to filter out. Nixon cribbed an oratorical device from Martin Luther King. I have a dream, said King. I see a day, declared Nixon._
As we look at America, we see cities enveloped in smoke and flame. We hear sirens in the night. We see Americans dying on distant battlefields abroad. We see Americans hating each other, fighting each other, killing each other at home.
And as we see and hear these things, millions of Americans cry out in anguish: Did we come all this way for this? Did American boys die in Normandy and Korea and in Valley Forge for this?
Listen to the answers to those questions.
It is another voice, it is a quiet voice in the tumult of the shouting. It is the voice of the great majority of Americans, the forgotten Americans, the nonshouters, the nondemonstrators. They're not racists or sick; they're not guilty of the crime that plagues the land; they are black, they are white; they're native born and foreign born; they're young and they're old.
They work in American factories, they run American businesses. They serve in government; they provide most of the soldiers who die to keep it free. They give drive to the spirit of America. They give lift to the American dream. They give steel to the backbone of America.
They're good people. They're decent people; they work and they save and they pay their taxes and they care.
Like Theodore Roosevelt, they know that this country will not be a good place for any of us to live in unless it's a good place for all of us to live in...
America's in trouble today not because her people have failed, but because her leaders have failed. And what America needs are leaders to match the greatness of her people.
And this great group of Americans – the forgotten Americans and others – know that the great question Americans must answer by their votes in November is this: whether we shall continue for four more years the policies of the last five years.
And this is their answer, and this is my answer to that question. When the strongest nation in the world can be tied down for four years in a war in Vietnam with no end in sight, when the richest nation in the world can't manage its own economy, when the nation with the greatest tradition of the rule of law is plagued by unprecedented lawlessness, when a nation that has been known for a century for equality of opportunity is torn by unprecedented racial violence, and when the President of the United States cannot travel abroad or to any major city at home without fear of a hostile demonstration – then it's time for new leadership for the United States of America.
My fellow Americans, tonight I accept the challenge and the commitment to provide that new leadership for America and I ask you to accept it with me.
And let us accept this challenge not as a grim duty but as an exciting adventure in which we are privileged to help a great nation realize its destiny and let us begin by committing ourselves to the truth, to see it like it is and tell it like it is, to find the truth, to speak the truth and to live the truth. That's what we will do.
We've had enough of big promises and little action. The time has come for an honest government in the United States of America.
My fellow Americans, I believe that historians will recall that 1968 marked the beginning of the American generation in world history. Just to be alive in America, just to be alive at this time is an experience unparalleled in history. Here's where the action is.
Think: thirty-two years from now most of Americans living today will celebrate a New Year that comes once in a thousand years.
Eight years from now, in the second term of the next President, we will celebrate the 200th anniversary of the American Revolution.
And by our decision in this we – all of us here, all of you listening on television and radio – we will determine what kind of nation America will be on its 200th birthday. We will determine what kind of a world America will live in in the year 2000.
This is the kind of day I see for America on that glorious Fourth eight years from now: I see a day when Americans are once again proud of their flag; when once again at home and abroad it is honoured as the world's greatest symbol of liberty and justice.
I see a day when the President of the United States is respected and his office is honoured because it is worthy of respect and worthy of honour. I see a day when every child in this land, regardless of his background, has a chance for the best education that our wisdom and schools can provide, and an equal chance to go just as high as his talents will take him...
Government can provide opportunity, but opportunity means nothing unless people are prepared to seize it.
A President can ask for reconciliation in the racial conflict that divides Americans, but reconciliation comes only from the hearts of people.
And tonight, therefore, as we make this commitment, let us look into our hearts, and let us look down into the faces of our children.
Is there anything in the world that should stand in their way? None of the old hatreds mean anything when you look down into the faces of our children. In their faces is our hope, our love and our courage.
Tonight, I see the face of a child. He lives in a great city, he's black or he's white, he's Mexican, Italian, Polish, none of that matters. What matters: he's an American child.
That child in that great city is more important than any politician's promise. He is America, he is a poet, he is a scientist, he's a great teacher, he's a proud craftsman, he's everything we've ever hoped to be in everything we dare to dream about.
He sleeps the sleep of a child, and he dreams the dreams of a child. And yet when he awakens, he awakens to a living nightmare of poverty, neglect and despair.
He fails in school, he ends up on welfare. For him the American system is one that feeds his stomach and starves his soul. It breaks his heart. And in the end it may take his life on some distant battlefield.
To millions of children in this rich land this is their prospect, but this is only part of what I see in America.
I see another child tonight. He hears a train go by. At night he dreams of faraway places where he'd like to go. It seems like an impossible dream. But he is helped on his journey through life. A father who had to go to work before he finished the sixth grade sacrificed everything he had so that his sons could go to college.
A gentle Quaker mother with a passionate concern for peace quietly wept when he went to war but she understood why he had to go.
A great teacher, a remarkable football coach, an inspirational minister encouraged him on his way. A courageous wife and loyal children stood by him in victory and also in defeat.
And in his chosen profession of politics, first there were scores, then hundreds, then thousands, and finally millions who worked for his success.
And tonight he stands before you, nominated for President of the United States of America.
You can see why I believe so deeply in the American dream.
For most of us the American revolution has been won, the American dream has come true. What I ask of you tonight is to help me make that dream come true for millions to whom it's an impossible dream today.
•
## Betty Friedan
Chicago, 1969
#### 'A woman's civil right'
> _A forty-two-year-old housewife and mother of three shocked American social structures to the core in 1963 when she published_ The Feminine Mystique _,_ _the bestseller that launched the modern women's movement. Betty Friedan_ _(1921_ – _2006)_ _contended that deeply entrenched attitudes and social barriers imprisoned women in a 'housewife trap'. She called for expanded career opportunities and equality with men, and set out to destroy the myth of the happy housewife. Some women burned their bras; others cast off their aprons – or their husbands._
>
> _'I did not set out consciously to start a revolution when I wrote_ The Feminine Mystique _,'_ _Friedan wrote later, 'but it changed my life, as a woman and as a writer, and other women tell me it changed theirs.' She went on to become the first president of the National Organization of Women and Founder of the National Women's Political Caucus._
>
> _At the first national conference for repeal of abortion laws, Betty Friedan gave this powerful speech proclaiming abortion as a woman's civil right._
Women, even though they're almost too visible as sex objects in this country, are invisible people. As the Negro was the invisible man, so women are the invisible people in America today: women who have a share in the decisions of the mainstream of government, of politics, of the church – who don't just cook the church supper, but preach the sermon; who don't just look up the ZIP codes and address the envelopes, but make the political decisions; who don't just do the housework of industry, but make some of the executive decisions. Women, above all, who say what their own lives and personalities are going to be, and no longer listen to or even permit male experts to define what 'feminine' is or isn't.
The essence of the denigration of women is our definition as sex object. To confront our inequality, therefore, we must confront both society's denigration of us in these terms and our own self-denigration as people.
Am I saying that women must be liberated from sex? No. I am saying that sex will only be liberated to be a human dialogue, sex will only cease to be a sniggering, dirty joke and an obsession in this society, when women become active self-determining people, liberated to a creativity beyond motherhood, to a full human creativity.
Am I saying that women must be liberated from motherhood? No. I am saying that motherhood will only be a joyous and responsible human act when women are free to make, with full conscious choice and full human responsibility, the decisions to become mothers. Then, and only then, will they be able to embrace motherhood without conflict, when they will be able to define themselves not just as somebody's mother, not just as servants of children, not just as breeding receptacles, but as people for whom motherhood is a freely chosen part of life, freely celebrated while it lasts, but for whom creativity has many more dimensions, as it has for men.
Then, and only then, will motherhood cease to be a curse and a chain for men and for children. For despite all the lip service paid to motherhood today, all the roses sent on Mother's Day, all the commercials and the hypocritical ladies' magazines' celebration of women in their roles as housewives and mothers, the fact is that all television or night-club comics have to do is go before a microphone and say the words 'my wife', and the whole audience erupts into gales of guilty, vicious and obscene laughter.
The hostility between the sexes has never been worse. The image of women in avant-garde plays, novels and movies, and behind the family situation comedies on television is that mothers are man-devouring, cannibalistic monsters, or else Lolitas, sex objects – and objects not even of heterosexual impulse, but of sadomasochism. That impulse – the punishment of women – is much more of a factor in the abortion question than anybody ever admits.
Motherhood is a bane almost by definition, or at least partly so, as long as women are forced to be mothers – and only mothers – against their will. Like a cancer cell living its life through another cell, women today are forced to live too much through their children and husbands (they are too dependent on them, and therefore are forced to take too much varied resentment, vindictiveness, inexpressible resentment and rage out on their husbands and children).
Perhaps it is the least understood fact of American political life: the enormous buried violence of women in this country today. Like all oppressed people, women have been taking their violence out on their own bodies, in all the maladies with which they plague the MDs and the psychoanalysts. Inadvertently, and in subtle and insidious ways, they have been taking their violence out, too, on their children and on their husbands, and sometimes they're not so subtle.
The battered-child syndrome that we are hearing more and more about from our hospitals is almost always to be found in the instance of unwanted children, and women are doing the battering, as much or more than men. In the case histories of psychologically and physically maimed children, the woman is always the villain, and the reason is our definition of her not only as passive sex object, but as mother, servant, someone else's mother, someone else's wife.
Am I saying that women have to be liberated from men? That men are the enemy? No. I am saying the _men_ will only be truly liberated to love women and to be fully themselves when women are liberated to have a full say in the decisions of their lives and their society.
Until that happens, men are going to bear the guilty burden of the passive destiny they have forced upon women, the suppressed resentment, the sterility of love when it is not between two fully active, joyous people, but has in it the element of exploitation. And men will not be free to be all they can be as long as they must live up to an image of masculinity that disallows all the tenderness and sensitivity in a man, all that might be considered feminine. Men have enormous capacities in them that they have to repress and fear in order to live up to the obsolete, brutal, bear-killing, Ernest Hemingway, crew-cut Prussian, napalm-all-the-children-in-Vietnam, bang-bang-you're-dead image of masculinity. Men are not allowed to admit that they sometimes are afraid. They are not allowed to express their own sensitivity, their own need to be passive sometimes and not always active. Men are not allowed to cry. So they are only half-human, as women are only half-human, until we can go this next step forward. All the burdens and responsibilities that men are supposed to shoulder alone makes them, I think, resent women's pedestal, much as that pedestal may be a burden for women.
This is the real sexual revolution. Not the cheap headlines in the papers about at what age boys and girls go to bed with each other and whether they do it with or without the benefit of marriage. That's the least of it. The real sexual revolution is the emergence of women from passivity, from the point where they are the easiest victims for all the seductions, the waste, the worshipping of false gods in our affluent society, to full self-determination and full dignity. And it is the emergence of men from the stage where they are inadvertent brutes and masters to sensitive, complete humanity.
This revolution cannot happen without radical changes in the family as we know it today; in our concepts of marriage and love, in our architecture, our cities, our theology, our politics, our art. Not that women are special. Not that women are superior. But these expressions of human creativity are bound to be infinitely more various and enriching when women and men are allowed to relate to each other beyond the strict confines of the _Ladies' Home Journal_ 's definition of the Mamma and Papa marriage.
If we are finally allowed to become full people, not only will children be born and brought up with more love and responsibility than today, but we will break out of the confines of that sterile little suburban family to relate to each other in terms of all of the possible dimensions of our personalities – male and female, as comrades, as colleagues, as friends, as lovers. And without so much hate and jealousy and buried resentment and hypocrisies, there will be a whole new sense of love that will make what we call love on Valentine's Day look very pallid.
It's crucial, therefore, that we see this question of abortion as more than a quantitative move, more than a politically expedient move. Abortion repeal is not a question of political expediency. It is part of something greater. It is historic that we are addressing ourselves this weekend to perhaps the first national confrontation of women and men. Women's voices are finally being heard aloud, saying it the way it is about the question of abortion both in its most basic sense of morality and in its new political sense as part of the unfinished revolution of sexual equality.
In this confrontation, we are making an important milestone in this marvellous revolution that began long before any of us here were born and which still has a long way to go. As the pioneers from Mary Wollstonecraft to Margaret Sanger gave us the consciousness that brought us from our several directions here, so we here, in changing the very terms of the debate on abortion to assert woman's right to choose, and to define the terms of our lives ourselves, move women further to full human dignity. Today, we moved history forward...
•
## Edward Heath
London, 28 October 1971
#### 'Millions will rejoice'
> _Edward Heath_ _(1916_ – _2005),_ _who became British prime minister in 1970, had always been a strong supporter of British entry into the European Common Market. The Schuman plan for a European Iron and Steel Commission was the subject of his maiden speech in 1950. He had been Britain's chief negotiator when Harold Macmillan tried to join the Common Market in 1961 but was foiled by Charles de Gaulle, the French president._
>
> _Negotiations to join the Common Market began again as soon as Heath became prime minister. There were crucial talks with de Gaulle's successor, Georges Pompidou, in May 1971 which removed many of the obstacles to British membership._
>
> _When the House of Commons debated the decision of principle of whether to apply for membership in October 1971, both the Labour and Tory parties were split. Heath made the concluding speech of the great debate which marked a decisive turning-point in British history._
I have sometimes felt that among those who have been in this debate seeking to balance up the advantages and disadvantages there was a desire for a degree of certainty which is never obtainable in human affairs. Hon. Members will not ask for it in their lives, in their own businesses. As a nation we have never hitherto asked for it in a trading agreement or in international affairs, either economic or political. Anyone who studies the length of our trading agreements outside will accept that that is the case...
It is understandable after ten years of negotiation and frustration that many in debate and many in the country outside have fought and talked in terms of 'we' and 'they'. Some, I think, have been overwhelmed by a fear that this country in an organization such as the Community must always be dominated by 'they'. That is certainly not how the rest of the Community sees it. But we are approaching the point where, if this House so decides tonight, it will become just as much our Community as their Community. We shall be partners, or shall be cooperating, and we shall be trying to find common solutions to common problems of all the members of an enlarged Community.
We have confidence that we can benefit as well as contribute, that we can further our own interests and the interests of the Community at one and the same time. After all, the leaders of all three parties in this House accept the principle of entry into the European Community, as the Right Hon. Gentleman reaffirmed this afternoon. The Community is not governed by any particular party ideology. How can it be, with a Socialist Government in the Federal Republic, with a Right-wing Government in France, with a coalition in Italy containing Socialists? Of course not. What is more, all the opposition parties in the member countries of the Community support membership of the Community just as much as the governing parties...
Surely we must consider the consequences of staying out. We cannot delude ourselves that an early chance would be given us to take the decision again. We should be denying ourselves and succeeding generations the opportunities which are available to us in so many spheres; opportunities which we ourselves in this country have to seize. We should be leaving so many aspects of matters affecting our daily lives to be settled outside our own influence. That surely cannot be acceptable to us. We should be denying to Europe, also – let us look outside these shores for a moment – its full potential, its opportunities of developing economically and politically, maintaining its security, and securing for all its people a higher standard of prosperity.
All the consequences of that for many millions of people in Europe must be recognized tonight in the decision the House is taking. In addition, many projects for the future of Europe have been long delayed. There has been great uncertainty, and tonight all that can be removed – ( _Hon. Members: 'No.'_ )
Throughout my political career it is well known that I have had the vision of a Britain in a united Europe; a Britain which would be united economically to Europe and which would be able to influence decisions affecting our own future, and which would enjoy a better standard of life and a fuller life. I have worked for a Europe which will play an increasing part in meeting the needs of those parts of the world which still lie in the shadow of want... I want Britain as a member of a Europe which is united politically, and which will enjoy lasting peace and the greater security which would ensue.
Nor do I believe that the vision of Europe – and the Right Hon. Gentleman raised this specific point – is an unworthy vision, or an ignoble vision or an unworthy cause for which to have worked – ( _Interruption._ ) I have always made it absolutely plain to the British people that consent to this course would be given by Parliament – ( _Hon. Members: 'Resign.'_ ) Parliament is the Parliament of all the people.
When we came to the end of the negotiations in 1963, after the veto had been imposed, the negotiator on behalf of India said:
> When you left India some people wept. And when you leave Europe tonight some will weep. And there is no other people in the world of whom these things could be said.
That was a tribute from the Indian to the British. But tonight when this House endorses this Motion many millions of people right across the world will rejoice that we have taken our rightful place in a truly united Europe.
> _Sixty-seven Labour MPs defied the party whip and voted with the Tories. Another twenty abstained. Acceptance of applying for entry to Europe was passed by a majority of 112. The European Community Bill passed through the Commons in 1972 by seventeen votes. Britain became a member of the European Economic Community on 1 January 1973._
•
## Richard Nixon
Washington, DC, 9 August 1974
#### 'Au revoir'
> _The Watergate scandal arose after employees of a Republican Party organization were caught seeking to remove bugging devices from the Democratic Party campaign headquarters in the Watergate apartment block in 1972. As the scandal grew, mainly because of the reporting of the_ Washington Post _,_ _it became clear that Richard Nixon had secretly taped all conversations in his White House office. Many also became convinced that he was either implicated in illegal activities or so abnormally suspicious that he was not fit to be president._
>
> _Steps were taken to secure his removal by impeachment – but Nixon became the first United States president to resign from office. Gerald Ford, his successor, gave him a comprehensive pardon._
>
> _As he left the White House, Nixon made this speech to the staff._
You are here to say goodbye to us, and we don't have a good word for it in English – the best is _au revoir_. We will see you again...
Sure, we have done some things wrong in this Administration, and the top man always takes the responsibility, and I have never ducked it. But I want to say one thing: We can be proud of it – five and a half years. No man or no woman came into this Administration and left it with more of this world's goods than when he came in. No man or no woman ever profited at the public expense or the public till. That tells something about you.
Mistakes, yes. But for personal gain, never. You did what you believed in. Sometimes right, sometimes wrong. And I only wish that I were a wealthy man – at the present time, I have got to find a way to pay my taxes – ( _laughter_ ) – and if I were, I would like to recompense you for the sacrifices that all of you have made to serve in government.
But you are getting something in government – and I want you to tell this to your children, and I hope the Nation's children will hear it, too – something in government service that is far more important than money. It is a cause bigger than yourself. It is the cause of making this the greatest nation in the world, the leader of the world, because without our leadership, the world will know nothing but war, possibly starvation or worse, in the years ahead. With our leadership it will know peace, it will know plenty...
We think sometimes when things happen that don't go the right way; we think that when you don't pass the bar exam the first time – I happened to, but I was just lucky; I mean, my writing was so poor the bar examiner said, 'We have just got to let the guy through.' We think that when someone dear to us dies, we think that when we lose an election, we think that when we suffer a defeat that all is ended.
Not true. It is only a beginning, always. The young must know it; the old must know it. It must always sustain us, because the greatness comes not when things go always good for you, but the greatness comes and you are really tested, when you take some knocks, some disappointments, when sadness comes, because only if you have been in the deepest valley can you ever know how magnificent it is to be on the highest mountain.
•
## Sir Keith Joseph
Birmingham, 19 October 1974
#### 'Our human stock is threatened'
> _Sir Keith Joseph_ _(1918_ – _94)_ _was Secretary of State for Social Services in Edward Heath's Conservative government from 1970 to 1974. He was an intellectual, a fellow of All Souls, Oxford, and a One-Nation Tory who became disillusionedby Heath's policies which led to defeat in 1974. He founded the Centre for Policy Studies with Margaret Thatcher and challenged Conservative economic and social philosophy from the right._
>
> _Joseph was a serious candidate to lead the party in the event of a challenge to Heath but the uproar created by this speech, mostly on the moral or spiritual state of the nation, in which he advocated restraint on the breeding capacities of the poorest social classes, effectively ended any ambition he may have held to lead his party. 'Our human stock is threatened,' he declared_. _(Joseph protested that he had been referring to children born to unmarried or single parent, teenage households_ NOT NOT NOT _– as he wrote in capital letters in_ The Times – _because they were in solo-economic classes 4 and 5, but the damage was done and he had failed to check his statistics_. _)_
>
> _Joseph became the main supporter of Margaret Thatcher who beat Heath in the 1975 Tory leadership election. He was her first Industry Secretary from 1979 to 1981 and was Secretary of State for Education from 1981 to 1986._
The facile rhetoric of absolute liberty has become a cover for irresponsibility; instant social protest an excuse for anti-social behaviour.
The old virtues of patriotism and national pride have been denigrated in the name of internationalism, love of all our fellow men. But no one can love mankind if he does not love his own countrymen.
It was the radical socialist writer and patriot, the late George Orwell, who described the left-wing intellectuals as men motivated primarily by hatred of their own country. Socialists who spoke most about brotherhood of man could not bear their fellow Englishmen, he complained. Their well-orchestrated sneers from their strongpoint in the educational system and media have weakened the national will to transmit to future generations those values, standards and aspirations which made England admired the world over.
It is just because their message is that self-discipline is out of date and that the poor cannot be expected to help themselves, that they want the state to do more. That is why they believe in state ownership and control of economic life, education, health. Their wish to end parental choice in where and how their children shall be educated, in spending their money on better education and health for their children instead of on a new car, leisure, pleasure, is all part of the attempt to diminish self and self-discipline and real freedoms in favour of the state, ruled by socialists – the new class, as one disillusioned Communist leader called them.
Of course I shall be misrepresented, but let me ward off what misunderstanding I can. I am not saying that we should not help the poor, far from it. But the only real lasting help we can give to the poor is helping them to help themselves; to do the opposite, to create more dependence, is to destroy them morally while throwing an unfair burden on society. The populist rulers of Rome thought they had hit on a foolproof method of achieving a permanent curb on their patrician rivals when they created a dependent proletariat relying on them for bread and circuses: but in the end it destroyed the political stability of Rome, and so Rome itself fell, destroyed from inside.
Are we to be destroyed from inside too, a country which successfully repelled and destroyed Philip of Spain, Napoleon, the Kaiser, Hitler, are we to be destroyed by ideas, mischievous, wrongheaded, debilitating, yet seductive because they are fashionable and promise so much on the cheap?
It is up to us. History is not made by abstract forces, or classes; it is made by people. If we have the moral courage to say what we believe to be true, right and good, the people will be with us.
Let us take inspiration from that admirable woman Mary Whitehouse. I do not accept all her ideas, she will not accept all mine. Yet we can see in her a shining example of what one person can do singlehandedly when inspired by faith and compassion. An unknown middle-aged woman, a schoolteacher in the Midlands, set out to protect adolescents against the permissiveness of our time.
Look at the scale of the opposing forces. On the one side, the whole of the new establishment with their sharp words and sneers poised; against them stood this one middle-aged woman. Today her name is a household word, made famous by the very assaults of her by her enemies. She has mobilized and given fresh heart to many who see where this current fashion is leading. Her book, _Who Does She Think She Is?_ , took its title from the outraged cry of an acolyte of the new hierarchy, who asked how an unknown woman dare speak up against the BBC, the educators and false shepherds.
We too can take courage from her, and dedicate ourselves to fighting back on issues which will decide the nation's future far more than economics, however important it remains. And I welcome the opportunity to express my admiration for another brave woman with us tonight, Mrs Jill Knight, who speaks up when others prefer discretion in public and speak their minds only in private.
What are we to do? Are we to place it all in the lap of the government, the police, the courts? No, not all.
Gladstone, who entered politics as a field for moral endeavour, and never forgot the supremacy of the moral over the expedient, put the matter cogently: he argued that his colleagues were right in thinking that 'there are great evils in the state of society, but wrong when they think them so superficial that they can be cured by legislation'. How well he understood matters too serious to be left to government!
We must do more as Tories to make our voices heard and our influence felt, as a party, as people in public life, high or lowly, in religious life, on councils, voluntary bodies, educational institutions. The arguments are on our side and we have good friends among the teachers, the sociologists, the psychologists, if only we will call on them, give the lead for them to follow.
We must fight the battle of ideas in every school, university, publication, committee, TV studio even if we have to struggle for our toehold there. We have the truth – if we fail to make it shine clear, we shall be to blame no less than the exploiters, the casuists, the commercializers.
There is much for government to do as well. But we shall need intellectual as well as moral courage to grapple with the dilemmas inherent in the remoralization of public life. I shall confine myself to one example here, because I have been talking longer than you may have bargained for already.
The balance of our population, our human stock is threatened. A recent article in _Poverty_ , published by the Child Poverty Action Group, showed that a high and rising proportion of children are being born to mothers least fitted to bring children into the world and bring them up. They are born to mothers who were first pregnant in adolescence in social classes four and five. Many of these girls are unmarried, many are deserted or divorced or soon will be. Some are of low intelligence, most of low educational attainment.
They are unlikely to be able to give children the stable emotional background, the consistent combination of love and firmness which are more important than riches. They are producing problem children, the future unmarried mothers, delinquents, denizens of our borstals, subnormal educational establishments, prisons, hostels for drifters. Yet, these mothers, the under-twenties in many cases, single parents, from classes four and five, are now producing a third of all births. A high proportion of these births are a tragedy for the mother, the child and for us.
Yet what shall we do? If we do nothing, the nation moves towards degeneration, however much resources we pour into preventative work and the over-burdened educational system. It is all the more serious when we think of the loss of people with talent and initiative through emigration as our semi-socialism deprives them of adequate opportunities, rewards and satisfaction.
Yet proposals to extend birth control facilities to these classes of people, particularly the young unmarried girls, the potential young unmarried mothers, evokes entirely understandable moral opposition. Is it not condoning immorality? I suppose it is. But which is the lesser evil, until we are able to remoralize whole groups of classes of people, undoing the harm done when already weak restraints on strong instincts are further weakened by permissiveness in television, in films, on bookstalls?...
[According to the Press Association, Sir Keith, at this point in his speech, added a passage to the prepared text 'in view of misunderstandings'.]
The worship of instinct, of spontaneity, the rejection of self-discipline, is not progress: it is degeneration.
It was Freud who argued that repression of instincts is the price we pay for civilization. He considered the price well paid. So can we, now. But we must see the dilemmas, we must argue it out among ourselves to find a way through these moral dilemmas, while we fight for our ideals in wider form through words and deeds. But you may ask what can fallible politicians in short-lived governments do in the face of all these tidal forces? Most of what needs to be done, I have stressed, is for individuals as themselves, and as members of all manner of bodies. But some tasks are for government, and to these I will return on a future occasion.
This could be a watershed in our national existence. Are we to move towards moral decline, reflected and intensified by economic decline, by the corrosive effects of inflation? Or can we remoralize our national life in which the economy is an integral part? It is up to us, to people like you and me.
•
## Margaret Thatcher
Brighton, 10 October 1975
#### 'Let me give you my vision'
> _Margaret Thatcher_ _(1925_ – _)_ _became the first woman leader of the Conservative Party when she beat Edward Heath in the leadership ballot of February 1975. Her election marked a significant shift within the party towards a more radical version of Toryism and away from the consensual centrism of the Keynesian mixed-economy policies of the previous thirty years. Monetarism, denationalization, tax cuts and control of the money supply were the policies that were soon to be espoused._
>
> _She set out the new Thatcherite political stall in her first speech as leader to the Conservative Party conference and was greeted by rolling breakers of cheers, shouts and foot-stamping. The speech had a difficult birth. Sir Ronald Millar, her principal speechwriter, has described how it was not finished until ten past five on the morning it was to be delivered as Mrs Thatcher sought a peroration that satisfied her. 'Oh no! No, that won't do at all,' she said at one stage. 'Sorry, what's wrong with it?' 'It's just not me, dear.'_
Whenever I visit Communist countries their politicians never hesitate to boast about their achievements. They know them all by heart; they reel off the facts and figures, claiming this is the rich harvest of the Communist system. Yet they are not prosperous as we in the West are prosperous, and they are not free as we in the West are free.
Our capitalist system produces a far higher standard of prosperity and happiness because it believes in incentive and opportunity, and because it is founded on human dignity and freedom. Even the Russians have to go to a capitalist country – America – to buy enough wheat to feed their people – and that after more than fifty years of a State-controlled economy. Yet they boast incessantly, while we, who have so much more to boast about, for ever criticize and decry. Is it not time we spoke up for our way of life? After all, no Western nation has to build a wall round itself to keep its people in.
So let us have no truck with those who say the free-enterprise system has failed. What we face today is not a crisis of capitalism but of Socialism. No country can flourish if its economic and social life is dominated by nationalization and State control.
The cause of our shortcomings does not, therefore, lie in private enterprise. Our problem is not that we have too little Socialism. It is that we have too much. If only the Labour Party in this country would act like Social Democrats in West Germany. If only they would stop trying to prove their Socialist virility by relentlessly nationalizing one industry after another.
Of course, a halt to further State control will not on its own restore our belief in ourselves, because something else is happening to this country. We are witnessing a deliberate attack on our values, a deliberate attack on those who wish to promote merit and excellence, a deliberate attack on our heritage and our great past, and there are those who gnaw away at our national self-respect, rewriting British history as centuries of unrelieved gloom, oppression and failure – as days of hopelessness, not days of hope. And others, under the shelter of our education system, are ruthlessly attacking the minds of the young... blatant tactics of intimidation designed to undermine the fundamental beliefs and values of every student, tactics pursued by people who are the first to insist on their own civil rights while seeking to deny them to the rest of us.
We must not be bullied or brainwashed out of our beliefs. No wonder so many of our people, some of the best and the brightest, are depressed and talking of emigrating. Even so, I think they are wrong. They are giving up too soon. Many of the things we hold dear are threatened as never before, but none has yet been lost, so stay here, stay and help us defeat Socialism so that the Britain you have known may be the Britain your children will know.
These are the two great challenges of our time – the moral and political challenge, and the economic challenge. They have to be faced together and we have to master them both.
What are our chances of success? It depends on what kind of people we are. What kind of people are we? We are the people that in the past made Great Britain the workshop of the world, the people who persuaded others to buy British, not by begging them to do so but because it was best.
We are a people who have received more Nobel Prizes than any other nation except America, and head for head we have done better than America, twice as well in fact.
We are the people who, among other things, invented the computer, the refrigerator, the electric motor, the stethoscope, rayon, the steam turbine, stainless steel, the tank, television, penicillin, radar, the jet engine, hovercraft, float glass and carbon fibres, et cetera – and the best half of Concorde.
We export more of what we produce than either West Germany, France, Japan or the United States, and well over ninety per cent of these exports come from private enterprise. It is a triumph for the private sector and all who work in it, and let us say so loud and clear.
With achievements like that who can doubt that Britain can have a great future, and what our friends abroad want to know is whether that future is going to happen.
Well, how can we Conservatives make it happen?
Let me give you my vision: a man's right to work as he will, to spend what he earns, to own property, to have the State as servant and not as master – these are the British inheritance. They are the essence of a free country and on that freedom all our other freedoms depend.
But we want a free economy, not only because it guarantees our liberties, but also because it is the best way of creating wealth and prosperity for the whole country, and it is this prosperity alone which can give us the resources for better services for the community, better services for those in need.
By their attack on private enterprise, this Labour Government has made certain that there will be next to nothing available for improvements in our social services over the next few years. We must get private enterprise back on the road to recovery, not merely to give people more of their own money to spend as they choose, but to have more money to help the old and the sick and the handicapped. And the way to recovery is through profits, good profits today leading to high investment, leading to well-paid jobs, leading to a better standard of living tomorrow. No profits mean no investment and that means a dying industry geared to yesterday's world, and that means fewer jobs tomorrow.
Some Socialists seem to believe that people should be numbers in a State computer. We believe they should be individuals. We are all unequal. No one, thank heavens, is quite like anyone else, however much the Socialists may pretend otherwise. We believe that everyone has the right to be unequal. But to us, every human being is equally important. Engineers, miners, manual workers, shop assistants, farm-workers, postmen, housewives – these are the essential foundations of our society, and without them there would be no nation. But there are others with special gifts who should also have their chance, because if the adventurers who strike out in new directions in science, technology, medicine, commerce and industry are hobbled, there can be no advance. The spirit of envy can destroy; it can never build. Everyone must be allowed to develop the abilities he knows he has within him, and she knows she has within her, in the way they choose.
Freedom to choose is something we take for granted until it is in danger of being taken away. Socialist Governments set out perpetually to restrict the area of choice, and Conservative Governments to increase it. We believe that you become a responsible citizen by making decisions for yourself, not by having them made for you. But they are made for you by Labour all right!
•
## Chaim Herzog
New York, 10 November 1975
#### 'Hate, ignorance and evil'
> _The United Nations offered the state of Israel almost immediate recognition in 1948._
>
> _By the 1970s, however, the twenty Arab states, the Soviet Union and a majority of Third World countries under dictatorships, controlled most of the votes in the UN General Assembly, and on 10 November 1975, Resolution 3379, calling on all nations to combat Zionism as a form of racism, was passed by 72 votes to 35, with 32 abstentions. All Jews became vulnerable to the charge of racism._
>
> _One of the most dramatic moments in the UN's history occurred when Chaim Herzog_ _(1918_ – _97),_ _Israel's ambassador to the UN, after making this speech opposing the resolution, tore it in half and left the podium._
I do not come to this rostrum to defend the moral and historical values of the Jewish people. They do not need to be defended. They speak for themselves. They have given to mankind much of what is great and eternal. They have done for the spirit of man more than can readily be appreciated in a forum such as this one.
I come here to denounce the two great evils which menace society in general and a society of nations in particular. These two evils are hatred and ignorance. These two evils are the motivating force behind the proponents of this draft resolution and their supporters. These two evils characterize those who would drag this world organization, the idea of which was first conceived by the prophets of Israel, to the depths to which it has been dragged today.
The key to understanding Zionism lies in its name. In the Bible, the easternmost of the two hills of ancient Jerusalem was called Zion. The period was the tenth century BC. In fact, the name 'Zion' appears 152 times in the Old Testament, referring to Jerusalem. The name is overwhelmingly a poetic and prophetic designation. The religious and emotional qualities of the name arise from the importance of Jerusalem as the Royal City and the City of the Temple. 'Mount Zion' is the place where God dwells according to the Bible. Jerusalem or Zion is a place where the Lord is King according to Isaiah and where he has installed his King, David, as quoted in the Psalms.
King David made Jerusalem the capital of Israel almost 3,000 years ago, and Jerusalem has remained the capital ever since. During the centuries the term 'Zion' grew and expanded to mean the whole of Israel. The Israelites in exile could not forget Zion.
The Hebrew psalmist sat by the waters of Babylon and swore 'If I forget thee, O Jerusalem, let my right hand forget her cunning.' This oath has been repeated for thousands of years by Jews throughout the world. It is an oath which was made over 700 years before the advent of Christianity and over 1,200 years before the advent of Islam.
In view of all these connotations, Zion came to mean the Jewish homeland, symbolic of Judaism, of Jewish national aspirations.
Every Jew, while praying to his God, wherever he is in the world, faces towards Jerusalem. These prayers have expressed for over 2,000 years of exile the yearning of the Jewish people to return to its ancient homeland, Israel. In fact, a continuous Jewish presence, in larger or smaller numbers, has been maintained in the country over the centuries.
Zionism is the name of the national movement of the Jewish people and is the modern expression of the ancient Jewish heritage. The Zionist ideal, as set out in the Bible, has been, and is, an integral part of the Jewish religion.
Zionism is to the Jewish people what the liberation movements of Africa and Asia have been to their peoples. Zionism is one of the most stirring and constructive national movements in human history. Historically, it is based on a unique and unbroken connection, extending some 4,000 years, between the People of the Book and the Land of the Bible.
In modern times, in the late nineteenth century, spurred by the twin forces of anti-Semitic persecution and of nationalism, the Jewish people organized the Zionist movement in order to transform its dream into reality. Zionism as a political movement was the revolt of an oppressed nation against the depredations and wicked discrimination and oppression of the countries in which anti-Semitism flourished. It is indeed no coincidence at all and not surprising that the sponsors and supporters of this draft resolution include countries which are guilty of the horrible crime of anti-Semitism and discrimination to this very day.
Support for the aim of Zionism was written into the League of Nations Mandate for Palestine, and was again endorsed by the United Nations in 1947 when the General Assembly voted by an overwhelming majority for the restoration of Jewish independence in our ancient land.
The re-establishment of Jewish independence in Israel after centuries of struggle to overcome foreign conquest and exile is a vindication of the fundamental concepts of the equality of nations and self-determination. To question the Jewish people's right to national existence and freedom is not only to deny to the Jewish people the right accorded to every other people on this globe but is also to deny the central precepts of the United Nations.
For Zionism is nothing more – and nothing less – than the Jewish people's sense of origin and destination in the land linked eternally with its name. It is also the instrument whereby the Jewish nation seeks an authentic fulfilment of itself. And the drama is enacted in the region in which the Arab nation has realized its sovereignty in twenty states comprising a hundred million people in four and a half million square miles, with vast resources. The issue therefore is not whether the world will come to terms with Arab nationalism. The question is at what point Arab nationalism, with its prodigious glut of advantage, wealth, and opportunity, will come to terms with the modest but equal rights of another Middle Eastern nation to pursue its life in security and peace...
Over the centuries it has fallen to the lot of my people to be the testing agent of human decency, the touchstone of civilization, the crucible in which enduring human values are to be tested. A nation's level of humanity could invariably be judged by its behaviour towards its Jewish population. It always began with the Jews but never ended with them.
The anti-Jewish pogroms in Czarist Russia were but the tip of the iceberg which revealed the inherent rottenness of the regime which was soon to disappear in the storm of revolution. The anti-Semitic excesses of the Nazis merely foreshadowed the catastrophe which was to befall mankind in Europe.
This wicked resolution must sound the alarm for all decent people in the world. The Jewish people as a testing agent has unfortunately never erred. The implications inherent in this shameful move are terrifying indeed.
On this issue, the world as represented in this hall has divided itself into good and bad, decent and evil, human and debased. We, the Jewish people, will recall in history our gratitude to those nations who stood up and were counted and who refused to support this wicked proposition. I know that this episode will have strengthened the forces of freedom and decency in the world and will have fortified them in their resolve to strengthen the ideals they so value. I know that this episode will have strengthened Zionism, as it has weakened the United Nations.
As I stand on this rostrum, the long and proud history of my people unravels itself before my inward eye. I see the oppressors of our people over the ages as they pass one after another in evil procession into oblivion. I stand here before you as the representative of a strong and flourishing people which has survived them all and which will survive this shameful exhibition and the proponents of this resolution. I stand here as the representative of a people one of whose prophets gave to this world the sublime prophecy which animated the founders of this world organization and which graces the entrance to this building: '... nation shall not lift up sword against nation, neither shall they learn war any more' (Isaiah 2:4). In the verses before that, the prophet Isaiah proclaimed: 'And it shall come to pass in the last days... for out of Zion shall go forth the law, and the word of the Lord from Jerusalem' (Isaiah 2:2–3).
As I stand on this rostrum, the great moments of Jewish history come to mind as I face you, once again outnumbered and the would-be victim of hate, ignorance and evil. I look back on those great moments. I recall the greatness of a nation which I have the honour to represent in this forum. I am mindful at this moment of the Jewish people throughout the world wherever they may be, be it in freedom or in slavery, whose prayers and thoughts are with me at this moment.
I stand not here as a supplicant. Vote as your moral conscience dictates to you. For the issue is not Israel or Zionism. The issue is the continued existence of the organization, which has been dragged to its lowest point of discredit by a coalition of despotisms and racists.
The vote of each delegation will record in history its country's stand on anti-Semitic racism and anti-Judaism. You yourselves bear the responsibility for your stand before history, for as such will you be viewed in history. But we, the Jewish people, will not forget.
For us, the Jewish people, this is but a passing episode in a rich and an event-filled history. We put our trust in our Providence, in our faith and beliefs, in our time-hallowed tradition, in our striving for social advance and human values and in our people, wherever they may be. For us, the Jewish people, this resolution, based on hatred, falsehood, and arrogance, is devoid of any moral or legal value. For us, the Jewish people, this is no more than a piece of paper, and we shall treat it as such.
> _The resolution was rescinded in 1992._
•
## Michael Foot
Blackpool, 29 September 1976
#### 'The red flame of Socialist courage'
> _Michael Foot_ _(1913_ – _2010)_ _was one of the great dissenters and romantics of British politics, a man whose heroes were Swift, Hazlitt and Byron. He identified with the Levellers as well as Cromwell and Whigs as well as Nonconformists. According to the British historian Kenneth O. Morgan, he embodied a powerful creative thrust of popular radicalism that has been constant in British public life for two centuries._
>
> _Foot was also a magnificent orator, at his best when defying and denouncingTories and defending his beloved Labour Party against the slurs and sneers of its opponents. After years as a rebel on the left wing of the Party, he became Secretary of State for Employment in Harold Wilson's third government in 1974._
>
> _Trade unionists were angry with the Labour government in 1976. It was dealing with an inflation rate of twenty per cent and the unions were opposing government intervention in collective wage bargaining and wanted utterly to reject statutory incomes control._
>
> _On the first day of the Labour Party conference, Foot, for many years the idol of the conference as the bitterest critic of official policies but now a Cabinet minister, made a dramatic appeal to the conference to endorse the Wilson government's anti-inflation policy. If they failed to support the government's policy, he said in a passionate speech, they could bring about the end of the Labour government._
No one is less surprised than myself that this Conference has been dominated, and will continue to be dominated in my judgement, by the rising anxieties and fears and anger of our people about unemployment up and down this country... Unemployment on this level is totally unacceptable to the Labour Movement. Of course, our unemployment is part of an affliction affecting the whole Western world; the Western world is gripped by the most complex and perilous recession which we have seen since 1945. It is indeed, in my judgement, a crisis of Capitalism of a most formidable character, and we have to muster all our energies, all our skill, to deal with it.
Let me start therefore by telling you what is my deepest instinct about the whole of this situation; it is of first importance for our country, and no less for our Labour Movement, that this crisis should be faced and surmounted by a Labour Government acting in the closest alliance and good faith with the trade-union movement of this country. ( _Applause_.) If we were to fall apart, I shudder to think what would be the consequences for our people, for our young people and old alike, in unemployment and in all the other associated consequences. I shudder to think also what would be the consequence for our democratic institutions themselves. It is only three or four years ago that a Conservative Government used the opportunity which we gave them after 1970 to introduce the most insidious attack on trade unionism in this country which we have seen in this century.
If we were ever fools enough to allow them to get the levers of power again, the whips would be changed to scorpions for our chastisement. Let us not make any mistake about that...
People sometimes say: we will agree to some arrangement between the Government and the trade unions about wages, but only when you have the full panoply of Socialist measures actually put into full operation. I understand the argument, but I say it is unworkable. There is not a single Government in the world aspiring to change society that could work upon that system of transition, whether it is Communist, Maoist, Yugoslav, anything. Of course you could not work on that basis, and so I say, for anyone to argue that there shall be no concession to a Labour Government on these measures until all the other measures are in operation, that is not merely a recipe for the destruction of this Labour Government, it is a recipe for the destruction of any Labour Government. That has to be faced, too.
I am very glad that this Conference is going to be dominated also by the demand for new systems of investment, in the National Enterprise Board and the planning agreements and all the other matters that we have discussed and which we have had in our Party programmes. Of course, that is of paramount importance. But do not let anybody imagine that investment is a soft option. Investment is not a soft option. You can learn it from _Das Kapital_ as well as from anywhere else, and I hope I will not be convicted for that. You can read it all there. Investment means very often, almost always, forgoing present claims in order to have future benefits. And you can do it by not so many methods. You can do it by the brutal capitalist methods of the nineteenth century, or you can do it by the equally brutal, or maybe even more outrageous, methods of twentieth-century Stalinism, or you can do it by the politics of persuasion, by the Social Contract. You can do it that way. You can do it the democratic way, which is the heart and soul of our Labour Movement, and always has been. And it is that method by which we are going to seek for our success.
We must face the crisis, beat the inflation, start the regeneration of British industry, lift this scourge of unemployment from our people. This is what we must do. It is the greatest summons that has come to our Labour Party in the seventy-five years of its existence.
We face an economic typhoon of unparalleled ferocity, the worst the world has seen since the 1930s. Joseph Conrad wrote a book called _Typhoon_ , and at the end he told people how to deal with it. He said, 'Always facing it, Captain McWhirr: that's the way to get through.' Always facing it, that is the way we have got to solve this problem. We do not want a Labour Movement that tries to dodge it; we do not want people in a Labour Cabinet to try to dodge it. We want people who are prepared to show how they are going to face it, and we need the united support of the Labour Movement to achieve it.
I believe that we can make this Conference one of the greatest in our history, not by stifling dissent or criticism or debate, however ferociously the criticisms may be put: of course not. Indeed, there would not be any life left in this Party if it had not been for those prepared to come along and advocate sometimes unpopular opinions and stand up for them, and discover that those unpopular opinions sometimes became accepted. So I am not asking for any dull uniformity or anything of the sort. I am asking this Movement to exert itself as it has never done before, to show the qualities which we have, the Socialist imagination that exists in our Movement, the readiness to re-forge the alliance, stronger than ever, between the Government and the trade unions, and above all to show the supreme quality in politics, the red flame of Socialist courage. That is what we have got to do to save our country, and that is what can come from this Conference. ( _Applause. A standing ovation._ )
> _When Harold Wilson resigned in 1976, James Callaghan defeated Michael Foot for the leadership of the Labour Party and became prime minister. Foot became leader of the House of Commons and succeeded Callaghan in 1980 as leader of the party which had been defeated in the 1979 general election by Margaret Thatcher. Foot was beaten by Margaret Thatcher in the election of 1983. He retired from the House of Commons in 1992._
•
## Alexander Solzhenitsyn
Cambridge, Massachusetts, 8 June 1978
#### 'What is the joy about?'
> _After serving in the Red Army and being decorated for bravery during the Second World War, Alexander Solzhenitsyn_ _(1918_ – _2008)_ _was sent to a labour camp from 1945 to 1953 after making critical remarks about Stalin in letters to a friend. He was then sent into exile in Siberia until 1956._
>
> One Day in the Life of Ivan Denisovich _,_ _his novel exposing the misery of Stalin's 'gulags', was published in 1962 and approved by Khrushchev. His experience of the gulags also inspired_ Cancer Ward _,_ The First Circle _and_ The Gulag Archipelago _,_ _all of which were banned._
>
> _Although Solzhenitsyn was awarded the Nobel Prize for Literature in 1970, he was harangued in the Soviet press, charged with treason and sent into exile in 1974 after_ The Gulag Archipelago _was published in the West_.
>
> _As this speech at Harvard University's annual commencement ceremony demonstrated, Solzhenitsyn did not trumpet his gratitude to the West. Instead he denounced a Western way of life that he saw as spoilt, silly and empty of spiritual values._
A decline in courage may be the most striking feature which an outside observer notices in the West today. The Western world has lost its civic courage, both as a whole and separately, in each country, in each government, in each political party and, of course, in the United Nations. Such a decline in courage is particularly noticeable among the ruling and intellectual élites, causing an impression of a loss of courage by the entire society. There remain many courageous individuals, but they have no determining influence on public life. Political and intellectual functionaries exhibit this depression, passivity and perplexity in their actions and in their statements, and even more so in their self-serving rationales as to how realistic, reasonable and intellectually and even morally justified it is to base state policies on weakness and cowardice...
Must one point out that from ancient times a decline in courage has been considered the beginning of the end?...
When the modern Western states were being formed, it was proclaimed as a principle that governments are meant to serve man and that man lives in order to be free and pursue happiness. (See, for example, the American Declaration of Independence.) Now at last during past decades technical and social progress has permitted the realization of such aspirations: the welfare state. Every citizen has been granted the desired freedom and material goods in such quantity and of such quality as to guarantee in theory the achievement of happiness, in the debased sense of the word which has come into being during those same decades. (In the process, however, one psychological detail has been overlooked: the constant desire to have still more things and a still better life, and the struggle to this end imprints many Western faces with worry and even depression, though it is customary to carefully conceal such feelings. This active and tense competition comes to dominate all human thought and does not in the least open a way to free spiritual development.) The individual's independence from many types of state pressure has been guaranteed; the majority of the people have been granted well-being to an extent their fathers and grandfathers could not even dream about; it has become possible to raise young people according to these ideals, preparing them for and summoning them towards physical bloom, happiness, possession of material goods, money and leisure, towards an almost unlimited freedom in the choice of pleasures. So who should now renounce all this, why and for the sake of what should one risk one's precious life in defence of the common good, and particularly in the nebulous case when the security of one's nation must be defended in an as yet distant land?
Even biology tells us that a high degree of habitual well-being is not advantageous to a living organism. Today, well-being in the life of Western society has begun to reveal its pernicious mask...
Should I be asked whether I would propose the West, such as it is today, as a model to my country, I would frankly have to answer negatively. No, I could not recommend your society as an ideal for the transformation of ours. Through deep suffering, people in our country have now achieved a spiritual development of such intensity that the Western system in its present state of spiritual exhaustion does not look attractive. Even those characteristics of your life which I have just enumerated are extremely saddening.
A fact which cannot be disputed is the weakening of human personality in the West, while in the East it has become firmer and stronger. Six decades for our people and three decades for the people of Eastern Europe; during that time we have been through a spiritual training far in advance of Western experience. The complex and deadly crush of life has produced stronger, deeper and more interesting personalities than those generated by standardized Western wellbeing. Therefore, if our society were to be transformed into yours, it would mean an improvement in certain aspects, but also a change for the worse on some particularly significant points. Of course, a society cannot remain in an abyss of lawlessness as is the case in our country. But it is also demeaning for it to stay on such a soulless and smooth plane of legalism as is the case in yours. After the suffering of decades of violence and oppression, the human soul longs for things higher, warmer and purer than those offered by today's mass living habits, introduced as by a calling card by the revolting invasion of commercial advertising, by TV stupor and by intolerable music.
All this is visible to numerous observers from all the worlds of our planet. The Western way of life is less and less likely to become the leading model.
There are telltale symptoms by which history gives warning to a threatened or perishing society. Such are, for instance, a decline of the arts or a lack of great statesmen. Indeed, sometimes the warnings are quite explicit and concrete. The centre of your democracy and of your culture is left without electric power for a few hours only, and all of a sudden crowds of American citizens start looting and creating havoc. The smooth surface film must be very thin, then, the social system quite unstable and unhealthy.
But the fight for our planet, physical and spiritual, a fight of cosmic proportions, is not a vague matter of the future; it has already started. The forces of Evil have begun their decisive offensive; you can feel their pressure, yet your screens and publications are full of prescribed smiles and raised glasses. What is the joy about?
> _Solzhenitsyn was pardoned in 1991, after the collapse of the Soviet Union._
•
## Roy Jenkins
London, 22 November 1979
#### 'Home Thoughts from Abroad'
> _The 1979 Dimbleby Lecture, broadcast annually by the BBC in memory of the great broadcaster Richard Dimbleby, helped to change the course of British politics._
>
> _Roy Jenkins had resigned as the Labour government's Home Secretary in 1976 to prepare for his appointment as president of the European Economic Community commission and had left the Labour Party. He used the opportunity of the Dimbleby Lecture to voice his disenchantment with the warring ideologies of the two main British political parties and offered the hope of a new party of the centre based on European models._
>
> _Jenkins offers in his memoirs a fascinating insight into the hard work of writing such a speech. His first attempt at composition occurred on 14 August and by 15 October he had a text, nearly sufficient to fill the forty-eight minutes required. But it was not right. 'It was far too long and leisurely on historical analysis and not nearly strong enough on prescription.' On 1 November he wrote from 9.15 a.m. to 1.00 and then from 3.15 to 8.15 p.m. and had a comprehensive text, about fifteen hundred words too long._
>
> _Six days later he read a tautened and typed version through during a train journey and did a run-through of the full text at a BBC studio on 12 November. He then continued to titivate the lecture in Brussels until he had to seal it up for the release of copies to the press._
>
> _On the day of the lecture, he also made three speeches in Brussels before departing for London._
A few decades ago there were quite a lot of people who believed that a single election victory could be the beginning of the millennium. It was a view perhaps more prevalent, because of greater optimism or utopianism, on the Left than on the Right. It was certainly held by many Labour supporters in 1945. More recently, however, I have the impression that it applies equally or more strongly on the Right.
A governing party must have the self-confidence to want power and to believe that its exercise of it can tilt the country in the right direction. But it should also have the humility to recognize on any likely projection of the past, its power will come to an end, probably in about six years, maybe less, only exceptionally more. The test of its statesmanship in the context of history will not therefore be how many trees it pulls up by the roots but how it fits into a continuous process of adaptation in which leadership is combined with sensitivity to national mood...
This is not a recipe for inaction or for the avoidance of controversy. Some of the most bitterly contested measures of the past 150 years – the electoral reform bills, the repeal of the Corn Laws, the curbing of the powers of the House of Lords, the initiation of social security, or, to take an example from the Right, the setting up of independent television – have been inviolate once they were on the statute book because they quickly became part of the social fabric and could only have been undone at the cost of unacceptable electoral damage to the opposing party.
All this implies a certain respect by politicians for the opinions of their opponents. But that is surely both possible and desirable. In their memoirs, written with the benignity of old age, it generally comes through. Indeed, where bitterness remains, it is more often directed against previous colleagues than against previous opponents.
Yet when they are seeking or exercising power there is only too often a shrill and unconvincing attempt to portray almost everyone on the other side as either a fool or a knave. Each successive Tory government is the most reactionary since that of Lord Liverpool, or some other hobgoblin figure shrouded in the past. Each successive Labour government has been the most rapacious, doctrinaire and unpatriotic conspiracy to be seen this side of the Iron Curtain. Either might, I suppose, be true in the future, but it cannot all have been true in the past, and I do not believe that it either convinces or pleases the electorate.
One major disadvantage of excessive political partisanship is that it fosters precisely the sort of industrial mood which is rapidly turning Britain into a manufacturing desert. If, on the House of Commons floor, it is always the fault of the other side, how can politicians preach convincingly against the prevalence of such a mood on the shop-floor?
This, some people will say with horror, is an unashamed plea for the strengthening of the political centre. Why not? The vocation of politicians ought to be to represent, to channel, to lead the aspirations of the electorate. These aspirations, not on every issue, but in essential direction, pull far more towards the centre than towards the extremes. The general mood is not that of reaction or of putting the clock back. But nor is it one of support for class selfishness or for revolution, whether it be utopian or malevolent.
Our great failure, now for decades past, has been lack of adaptability. Sometimes this rigidity is a source of strength. It was very good not to be too adaptable in 1940. But overall it is a source of weakness. Some societies – France in the second half of the Third Republic, pre-revolutionary Russia, the Austro-Hungarian Empire – have been still less adaptable than our own. But they hardly provide grounds for comfort. Compared with post-war Germany, post-war Japan, Fifth Republican France (industrially at least), the United States for virtually the whole of its history, compared for that matter with early Victorian Britain – modern Britain has been sluggish, uninventive and resistant to voluntary change, not merely economically but socially and politically as well. We cannot successfully survive unless we can make our society more adaptable; and an unadaptable political system works heavily against this. Politicians cannot cling defensively to their present somewhat ossified party and political system while convincingly advocating the acceptance of change everywhere else in industry and society. 'Everybody change but us' is never a good slogan.
The paradox is that we need more change accompanied by more stability of direction. It is a paradox but not a contradiction. Too often we have superficial and quickly reversed political change without much purpose or underlying effect. This is not the only paradox. We need the innovating stimulus of the free-market economy without either the unacceptable brutality of its untrammelled distribution of rewards or its indifference to unemployment. This is by no means an impossible combination. It works well in a number of countries. It means that you accept the broad line of division between the public and the private sectors and do not constantly threaten those in the private sector with nationalization or expropriation.
You encourage them without too much interference to create as much wealth as possible, but use the wealth so created both to give a return for enterprise and to spread the benefits throughout society in a way that avoids the disfigurement of poverty, gives a full priority to public education and health services, and encourages cooperation and not conflict in industry and throughout society. You use taxation for this purpose, but not just to lop off rewards. The state must know its place, which should be an important but far from an omnipotent one. You recognize that there are certain major economic objectives, well beyond merely regulatory ones like the control of the money supply, which can only be achieved by public action, often on an international scale. Two clear contemporary examples are first the breaking of the link, now fairly long-standing, but by no means inevitable, between economic growth and the consumption of oil; and second, by coordinated government purchasing policy, ensuring that this country and Europe as a whole is a major producer and not merely a passive purchaser of the products of the electronic/telecommunications revolution. Success or failure on these two points will largely determine whether we with our partners are a leading or second-rate industrial group in the world of the 1990s. You use market forces to help achieve such objectives but do not for a moment pretend that they, unguided and unaided, can do the whole job.
You also make sure that the state knows its place, not only in relation to the economy, but in relation to the citizen. You are in favour of the right of dissent and the liberty of private conduct. You are against unnecessary centralization and bureaucracy. You want to devolve decision-making wherever you sensibly can. You want parents in the school system, patients in the health service, residents in the neighbourhood, customers in both nationalized and private industry, to have as much say as possible. You want the nation to be self-confident and outward-looking, rather than insular, xenophobic and suspicious. You want the class system to fade without being replaced either by an aggressive and intolerant proletarianism or by the dominance of the brash and selfish values of a 'get rich quick' society. You want the nation, without eschewing necessary controversy, to achieve a renewed sense of cohesion and common purpose.
These are some of the objectives which I believe could be assisted by a strengthening of the radical centre. I believe that such a development could bring into political commitment the energies of many people of talent and goodwill who, although perhaps active in many other voluntary ways, are at present alienated from the business of government, whether national or local, by the sterility and formalism of much of the political game. I am sure this would improve our politics. I think the results might also help to improve our national performance. But of that I cannot be certain. I am against too much dogmatism here. We have had more than enough of it. But at least we could escape from the pessimism of Yeats's 'Second Coming', where
> The best lack all conviction, while the worst
>
> Are full of passionate intensity
and
> Things fall apart; the centre cannot hold.
> _Two Saturdays later both Shirley Williams and Bill Rodgers, who with Jenkins were to be three of the Gang of Four who founded the Social Democratic Party in 1981, visited Jenkins. Neither had been frightened off by the lecture and both were prepared in certain circumstances to break with the Labour Party._
>
> _Jenkins's lecture proved to be the single most important event in placing on the agenda for serious discussion the idea of a new party in the middle ground of British politics; it was a seminal text of what a new party could stand for._
>
> _After the SDP was formed, initially with Jenkins as leader, it subsequentlyentered an alliance with the Liberal Party – and the alliance briefly threatened to overtake the Labour Party and become the dominant party of opposition to the Tories. After the 1987 general election, the SDP faded away and many members joined a new Liberal Democrat Party. But the threat from the alliance transformed the Labour Party, whose policies became similar to those that Jenkins espoused in his Dimbleby Lecture._
•
## Edward Kennedy
New York, 12 August 1980
#### 'The dream shall never die'
> _Senator Edward Kennedy's campaign for president in 1980 ended when he was decisively beaten by President Jimmy Carter at the Democratic Convention. Yet although Carter won the nomination, it was Kennedy_ _(1932_ – _2009)_ _who made the best speech and who got the loudest cheers when he and Carter appeared together on the platform._
>
> _On the day after his defeat, Kennedy brought the convention alive with a brilliant defence of the Democrats' traditional policies, a scathing attack on Ronald Reagan, and a moving and defiant statement of the Kennedys' faith._
There were hard hours on our journey, and often we sailed against the wind. But always we kept our rudder true, and there were so many of you who stayed the course and shared our hope. You gave your help; but even more, you gave your hearts.
Because of you, this has been a happy campaign. You welcomed Joan, me and our family into your homes and neighbourhoods, your churches, your campuses, your union halls. When I think back of all the miles and all the months and all the memories, I think of you. I recall the poet's words, and I say: What golden friends I have.
Among you, my golden friends across this land, I have listened and learned.
I have listened to Kenny Dubois, a glassblower in Charleston, West Virginia, who has ten children to support but has lost his job after thirty-five years, just three years short of qualifying for his pension...
I have listened to the grandmother in East Oakland who no longer has a phone to call her grandchildren because she gave it up to pay the rent on her small apartment.
I have listened to young workers out of work, to students without the tuition for college, and to families without the chance to own a home. I have seen the closed factories and the stalled assembly lines of Anderson, Indiana and South Gate, California, and I have seen too many, far too many idle men and women desperate to work. I have seen too many, far too many working families desperate to protect the value of their wages from the ravages of inflation.
Yet I have also sensed a yearning for new hope among the people in every state where I have been. And I have felt it in their handshakes, I saw it in their faces, and I shall never forget the mothers who carried children to our rallies. I shall always remember the elderly who have lived in an America of high purpose and who believe that it can all happen again.
Tonight, in their name, I have come here to speak for them. And for their sake, I ask you to stand with them. On their behalf I ask you to restate and reaffirm the timeless truth of our party.
I congratulate President Carter on his victory here. ( _Applause._ )
I am confident that the Democratic Party will reunite on the basis of Democratic principles, and that together we will march towards a Democratic victory in 1980. ( _Applause._ )
And someday, long after this convention, long after the signs come down, and the crowds stop cheering, and the bands stop playing, may it be said of our campaign that we kept the faith. May it be said of our party in 1980 that we found our faith again.
And may it be said of us, both in dark passages and in bright days, in the words of Tennyson that my brothers quoted and loved, and that have special meaning for me now: 'I am a part of all that I have met/Tho' much is taken, much abides/That which we are, we are –/One equal temper of heroic hearts/strong in will/To strive, to seek, to find, and not to yield.'
For me, a few hours ago, this campaign came to an end. For all those whose cares have been our concern, the work goes on, the cause endures, the hope still lives, and the dream shall never die.
•
## Michael Heseltine
Blackpool, 15 October 1981
#### 'We are reaping the whirlwind of all our yesterdays'
> _As Secretary of State for the Environment in Margaret Thatcher's first government, Michael Heseltine_ _(1933_ – _),_ _one of the outstanding orators of the contemporary British Tory Party, was charged with studying the problems of Merseyside, the region around the declining seaport of Liverpool, after the summer riots of 1980. Heseltine always sat uncomfortably in Thatcher governments: he still believed in what had become the unfashionable view that state intervention could help to reverse decades of decline in Britain's inner cities._
>
> _Speaking to the Conservative conference a year later, he made an impassioned call that Conservative politics must deny rioters and wreckers any fertile ground to sow the seeds of discontent. He appealed to the one-nation doctrines of Disraeli and Iain Macleod that had kept the Tory Party in the forefront of British politics. Self-help_ _(the Thatcherite creed)_ _had a limited meaning in an inner-city community where forty per cent of young kids were without work, he declared._
>
> _Then he moved into the main thrust of his speech._
I come from South Wales. This nation is still suffering from the legacies, from the folklore and from the memories of those bitter inter-war years. They have fuelled a venom in the Labour Party and in the trade unions that has set back our industrial society almost beyond redemption.
This is the great challenge for our party, for we alone believe in politics as a process of healing, of drawing together and of building together on common strengths. There is not a person here who has not cheered to the echo the great names, the great phrases that secured for our party a well-nigh incredible record of governing Britain over so long a period.
It required great courage when Disraeli first talked of one nation. It did not represent a conventional view of the time. It flew in the teeth of much that was contemporary experience. But he led the Tory Party through the great traumas of his day because he, in advance of his time, had the vision to lead in his time. Today we cheer the memory of that man. When I joined this party Iain Macleod was a deeply controversial politician, fighting against bitter criticism to keep us close to those same traditions of compassion and tolerance. Those traditions are not ours to squander or abuse. For a brief time they are entrusted to us to make relevant in today's world. They are the traditions that have kept our party in the forefront of British politics in the centre of power.
In our generation we must show the same courage and vision as the leaders whose memories we so frequently applaud. What talk of equality of opportunity? What do those words actually mean in the inner cities today? What do they mean to the black communities? We now have large immigrant communities in British cities. Let this party's position be absolutely clear. They are British. They live here. They vote here. However tight the immigration legislation – and in everyone's interests it should be tight – there will be a large black community in this country tomorrow, just as there is today. There are no schemes of significant repatriation that have any moral, social or political credibility.
I will and I do condemn the handful of blacks who rioted. But I condemn just as strongly the whites who rioted alongside them. I totally support the police in their brave and unenviable task of restoring stability in our society.
But the rioters were a tiny section of the black and white populations, the overwhelming majority of whom deplore the riots as vehemently as we do. But the fact remains that of those black communities, who stand for the same values that I have described, far too many – our people – know that the education they obtain, the jobs they are offered and the careers that are opened to them do not match up to the finest traditions upon which we pride ourselves.
There is a challenge here in the conditions that we took on from the Labour Party – because it totally failed to match the scale of the challenge to be found in the inner cities...
Few of us can remember such testing times for this nation... we are reaping the whirlwind of all our yesterdays. Decade after decade we have denied our industry the climate for sufficient innovation and investment. Too often we have slaughtered the capital programmes to pay for the over-burgeoning consumption of the public sector. We have extracted as wages today what we should have left as investment for tomorrow. We have, too often, squandered our inheritance, and our inner cities are just a signpost of a journey of despair.
There will be no recovery without more resources. Preferably those resources will be in the form of investment from the private sector or from the better use of existing public programmes. But if the case can be made it may also be from extra public expenditure. From wherever it comes it will require an effort of will by a community of people for a common purpose.
You will say to me, 'What of the wreckers? What of those who will not work, those who strike without cause, those who thump the elderly, smash in the windows and thrive on a life of crime?' Every generation has its wreckers. There have been riots in other times, but our faith has always told us that one cannot sow the seeds of discontent on a stable society. They can flourish only if they find fertile ground. Our politics and policies must deny that fertile ground. Yes, of course, our political opponents will fight us – as soon as they stop fighting each other. But we have the mettle for that fight.
> _Heseltine won a standing ovation. He resigned from Margaret Thatcher's government in 1986 and challenged her for the leadership of the Tory Party in 1990. On the first ballot he won more votes than Mrs Thatcher and precipitated her downfall, but lost to John Major, whose Cabinet he subsequently joined._
•
## Margaret Thatcher
Cheltenham, 3 July 1982
#### 'The Falklands Factor'
> _When Margaret Thatcher decided to send a task force of 10,000 men to recapture the Falkland Islands after they had been invaded by Argentina, she played for the highest stakes and won triumphantly. The British success was attributed to Mrs Thatcher's nerve and determination. The 'Iron Lady' of Soviet propaganda proved iron indeed. From being the least popular British prime minister of modern times, Mrs Thatcher became the new Boadicea, the embodiment of toughness and resolve._
>
> _The 'Falklands Factor', noted in this nationalistic speech to a rally of Conservative women, ensured that she won the general election of 1983, her second election victory._
Today we meet in the aftermath of the Falklands Battle. Our country has won a great victory and we are entitled to be proud. This nation had the resolution to do what it knew had to be done – to do what it knew was right.
We fought to show that aggression does not pay, and that the robber cannot be allowed to get away with his swag. We fought with the support of so many throughout the world: the Security Council, the Commonwealth, the European Community, and the United States. Yet we also fought alone – for we fought for our own people and for our own sovereign territory.
Now that it is all over, things cannot be the same again, for we have learnt something about ourselves – a lesson which we desperately needed to learn. When we started out, there were the waverers and the faint-hearts: the people who thought that Britain could no longer seize the initiative for herself; the people who thought we could no longer do the great things which we once did; and those who believed that our decline was irreversible – that we could never again be what we were. There were those who would not admit it – even perhaps some here today – people who would have strenuously denied the suggestion but – in their heart of hearts – they too had their secret fears that it was true: that Britain was no longer the nation that had built an Empire and ruled a quarter of the world.
Well, they were wrong. The lesson of the Falklands is that Britain has not changed and that this nation still has those sterling qualities which shine through our history. This generation can match their fathers and grandfathers in ability, in courage, and in resolution. We have not changed. When the demands of war and the dangers to our own people call us to arms – then we British are as we have always been – competent, courageous and resolute.
When called to arms – ah, that's the problem. It took the battle in the South Atlantic for the shipyards to adapt ships way ahead of time; for dockyards to refit merchantmen and cruise liners, to fix helicopter platforms, to convert hospital ships – all faster than was thought possible; it took the demands of war for every stop to be pulled out and every man and woman to do their best.
British people had to be threatened by foreign soldiers and British territory invaded and then – why then – the response was incomparable. Yet why does it need a war to bring out our qualities and reassert our pride? Why do we have to be invaded before we throw aside our selfish aims and begin to work together as only we can work, and achieve as only we can achieve?
That really is the challenge we as a nation face today. We have to see that the spirit of the South Atlantic – the real spirit of Britain – is kindled not only by war but can now be fired by peace.
We have the first prerequisite. We know we can do it – we haven't lost the ability. That is the Falklands Factor. We have proved ourselves to ourselves. It is a lesson we must not now forget. Indeed, it is a lesson which we must apply to peace just as we have learnt it in war. The faltering and the self-doubt has given way to achievement and pride. We have the confidence and we must use it.
Just look at the Task Force as an object lesson. Every man had his own task to do and did it superbly. Officers and men, senior NCO and newest recruit – every one realized that his contribution was essential for the success of the whole. All were equally valuable – each was differently qualified. By working together, each was able to do more than his best. As a team they raised the average to the level of the best and by each doing his utmost together they achieved the impossible. That's an accurate picture of Britain at war – not yet of Britain at peace. But the spirit has stirred and the nation has begun to assert itself. Things are not going to be the same again.
•
## Robert Runcie
London, 26 July 1982
#### 'Our neighbours are indeed like us'
> _Although it continued to lose members during the 1970s and 1980s, the Church of England remained a powerful source of social criticism and often upset Conservative ministers._
>
> _Dr Robert Runcie_ _(1921_ – _2000),_ _who won the Military Cross during the Second World War, was appointed Archbishop of Canterbury by Margaret Thatcher but their relationship was uneasy. After her own triumphalism over victory in the Falklands war, she was said to be particularly upset by this muted and moderate sermon from Dr Runcie at a service of thanksgiving in St Paul's Cathedral, although she never commented publicly on her views of the sermon. Runcie dared to suggest that people were mourning Argentina as well as Britain – and that they should also be remembered in the nation's prayers._
Our hope as Christians is not fundamentally in man's naked goodwill and rationality. We believe that he can overcome the deadly selfishness of class or sect or race by discovering himself as a child of the universal God of love. When a man realizes that he is a beloved child of the Creator of all, then he is ready to see his neighbours in the world as brothers and sisters. That is one reason why those who dare to interpret God's will must never claim him as an asset for one nation or group rather than another. War springs from the love and loyalty which should be offered to God being applied to some God-substitute, one of the most dangerous being nationalism.
This is a dangerous world where evil is at work nourishing the mindless brutality which killed and maimed so many in this city last week. Sometimes, with the greatest reluctance, force is necessary to hold back the chaos which injustice and the irrational element in man threaten to make of the world. But having said that, all is not lost and there is hope. Even in the failure of war there are springs of hope. In that great war play by Shakespeare, Henry V says: 'There is some soul of goodness in things evil, would men observingly distill it out.' People are mourning on both sides of this conflict. In our prayers we shall quite rightly remember those who are bereaved in our own country and the relations of the young Argentinian soldiers who were killed. Common sorrow could do something to reunite those who were engaged in this struggle. A shared anguish can be a bridge of reconciliation. Our neighbours are indeed like us.
I have had an avalanche of letters and advice about this service. Some correspondents have asked 'why drag God in?' as if the intention was to wheel up God to endorse some particular policy or attitude rather than another. The purpose of prayer and of services like this is very different and there is hope for the world in the difference. In our prayers we come into the presence of the living God. We come with our very human emotions, pride in achievement and courage, grief at loss and waste. We come as we are and not just mouthing opinions and thanksgiving which the fashion of the moment judges acceptable. As we pour into our prayer our mourning, our pride, our shame and our convictions, which will inevitably differ from person to person, if we are really present and really reaching out to God and not just demanding his endorsement, then God is able to work upon us. He is able to deepen and enlarge our compassion and to purify our thanksgiving. The parent who comes mourning the loss of a son may find here consolation, but also a spirit which enlarges our compassion to include all those Argentinian parents who have lost sons.
Man without God finds it difficult to achieve this revolution inside himself. But talk of peace and reconciliation is just fanciful and theoretical unless we are prepared to undergo such a revolution. Many of the reports I have heard about the troops engaged in this war refer to moments when soldiers have been brought face to face with what is fundamental in life and have found new sources of strength and compassion even in the midst of conflict. Ironically, it has sometimes been those spectators who remained at home, whether supporters or opponents of the conflict, who continue to be most violent in their attitudes and untouched in their deepest selves.
Man without God is less than man. In meeting God, a man is shown his failures and his lack of integrity, but he is also given strength to turn more and more of his life and actions into love and compassion for other men like himself. It is necessary to the continuance of life on this planet that more and more people make this discovery. We have been given the choice. Man possesses the power to obliterate himself, sacrificing the whole race on the altar of some God-substitute. Or he can choose life in partnership with God the Father of all. I believe that there is evidence that more and more people are waking up to the realization that this crucial decision peers us in the face here and now.
Cathedrals and churches are always places into which we bring human experiences – birth, marriage, death, our flickering communion with God, our fragile relationships with each other, so that they may be deepened and directed by the spirit of Christ. Today we bring our mixture of thanksgiving, sorrows and aspirations for a better ordering of this world. Pray God that he may purify, enlarge and redirect these in the ways of his kingdom of love and peace. Amen.
> _Dr Runcie retired in 1991._
•
## Neil Kinnock
Bridgend, 7 June 1983
#### 'I warn you'
> _The Labour Party, led by Michael Foot, was in deep disarray during the British general election of 1983 and its manifesto was described as the longest suicide note in history. One of Foot's most devoted lieutenants was Neil Kinnock_ _(1942_ –), _a Welsh Labour MP on the left wing of the party and a rising star._
>
> _Kinnock showed in this speech, delivered on the eve of the election, that he is a natural orator. It was clear, he declared, that a new Thatcher government would cut spending on health, education, and pensions and increase unemployment, taxes and interest rates. 'I warn you,' he went on..._
If Margaret Thatcher is re-elected as Prime Minister, _I warn you_
I warn you that you will have pain –
When healing and relief depend upon payment.
I warn you that you will have ignorance –
When talents are untended and wits are wasted, when learning is a privilege and not a right.
I warn you that you will have poverty –
When pensions slip and benefits are whittled away by a Government that won't pay in an economy that can't pay.
I warn you that you will be cold –
When fuel charges are used as a tax system that the rich don't notice and the poor can't afford.
I warn you that you must not expect work –
When many cannot spend, more will not be able to earn. When they don't earn, they don't spend. When they don't spend, work dies.
I warn you not to go into the streets alone after dark or into the streets in large crowds of protest in the light.
I warn you that you will be quiet –
When the curfew of fear and the gibbet of unemployment make you obedient.
I warn you that you will have defence of a sort –
With a risk and at a price that passes all understanding.
I warn you that you will be home-bound –
When fares and transport bills kill leisure and lock you up.
I warn you that you will borrow less –
When credit, loans, mortgages and easy payments are refused to people on your melting income.
If Margaret Thatcher wins, she will be more a Leader than a Prime Minister. That power produces arrogance and when it is toughened by Tebbitry and flattered and fawned upon by spineless sycophants, the boot-licking tabloid Knights of Fleet Street and placemen in the Quangos, the arrogance corrupts absolutely.
If Margaret Thatcher wins –
I warn you not to be ordinary.
I warn you not to be young.
I warn you not to fall ill.
I warn you not to get old.
> _The successful resolution of the Falklands conflict was still vivid in the British memory and Margaret Thatcher won an easy election victory._
>
> _Four months later Neil Kinnock was elected leader of the Labour Party._
•
## Pope John Paul II
Częstochowa, Poland, 18 June 1983
#### 'We do not want a Poland which costs us nothing'
> _John Paul II, the Polish Pope, made three visits to his native land. The third of these, in 1983, when Solidarity, the Polish workers' union, had been banned,was the most significant. On this visit, John Paul II said he had come to cry out before Europe and the world for the forgotten people of Eastern Europe._
>
> _On Saturday, 18 June, the Pope's helicopter took him to Cze¸stochowa where he spoke, often in code, to what the London_ Times _described as 'a ragamuffin army of a million young pilgrims' from the weather-worn battlement of the Jasna Góra monastery._
>
> _Dozens of Solidarity banners sprouted in the crowd as the Pope uttered certain trigger words – 'workers', or 'solidarity'_ ( _with a small 's'_ ) _– or made any reference to truth or oppression or human rights._
>
> _He was greeted by huge applause, applause that was almost frightening, according to_ The Times _,_ _when voiced by so many people in such a confined space._
Our Lady of Jasna Góra is the teacher of true love for all. And this is particularly important for you, dear young people. In you, in fact, is decided that form of love which all of your life will have and, through you, human life on Polish soil: the matrimonial, family, social and national form – but also the priestly, religious and missionary one. Every life is determined and evaluated by the interior form of love. Tell me what you love, and I will tell you who you are.
I watch! How beautiful it is that this word is found in the call of Jasna Góra. It possesses a profound evangelical ancestry: Christ says many times: 'Watch' (Matt. 26: 41). Perhaps also from the Gospel it passed into the tradition of scouting. In the call of Jasna Góra it is the essential element of the reply that we wish to give to the love by which we are surrounded in the sign of the Sacred Icon.
The response to this love must be precisely the fact that I watch!
What does it mean, 'I watch'?
It means that I make an effort to be a person with a conscience. I do not stifle this conscience and I do not deform it; I call good and evil by name, and I do not blur them; I develop in myself what is good, and I seek to correct what is evil, by overcoming it in myself. This is a fundamental problem which can never be minimized or put on a secondary level. No! It is everywhere and always a matter of the first importance. Its importance is all the greater in proportion to the increase of circumstances which seem to favour our tolerance of evil and the fact that we easily excuse ourselves from this, especially if adults do so.
My dear friends! It is up to you to put up a firm barrier against immorality, a barrier – I say – to those social vices which I will not here call by name but which you yourselves are perfectly aware of. You must demand this of yourselves, even if others do not demand it of you. Historical experiences tell us how much the immorality of certain periods cost the whole nation. Today when we are fighting for the future form of our social life, remember that this form depends on what people will be like. Therefore: watch!
Christ said to the apostles, during his prayer in Gethsemane: 'Watch and pray that you may not enter into temptation' (Matt. 26: 41).
'I watch' also means: I see another. I do not close in on myself, in a narrow search for my own interests, my own judgements. 'I watch' means: love of neighbour; it means: fundamental interhuman solidarity.
Before the Mother of Jasna Góra I wish to give thanks for all the proofs of this solidarity which have been given by my compatriots, including Polish youth, in the difficult period of not many months ago. It would be difficult for me to enumerate here all the forms of this solicitude which surrounded those who were interned, imprisoned, dismissed from work, and also their families. You know this better than I. I received only sporadic news about it.
May this good thing, which appeared in so many places and so many ways, never cease on Polish soil. May there be a constant confirmation of that 'I watch' of the call of Jasna Góra, which is a response to the presence of the Mother of Christ in the great family of the Poles.
'I watch' also means: I feel responsible for this great common inheritance whose name is Poland. This name defines us all. This name obliges us all. This name costs us all.
Perhaps at times we envy the French, the Germans or the Americans because their name is not tied to such a historical price and because they are so easily free: while our Polish freedom costs so much.
My dear ones, I will not make a comparative analysis. I will only say that it is what costs that constitutes value. It is not, in fact, possible to be truly free without an honest and profound relationship with values. We do not want a Poland which costs us nothing. We watch, instead, beside all that makes up the authentic inheritance of the generations, seeking to enrich it. A nation, then, is first of all rich in its people. Rich in man. Rich in youth. Rich in every individual who watches in the name of truth: it is truth, in fact, that gives form to love.
My dear young friends! Before our common Mother and the Queen of our hearts, I desire finally to say to you that she knows your sufferings, your difficult youth, your sense of injustice and humiliation, the lack of prospects for the future that is so often felt, perhaps the temptations to flee to some other world.
Even if I am not among you every day, as was the case for many years in the past, nevertheless I carry in my heart a great solicitude. A great, enormous solicitude. A solicitude for you. Precisely because 'on you depends tomorrow'.
I pray for you every day.
It is good that we are here together at the hour of the call of Jasna Góra. In the midst of the trials of the present time, in the midst of the trial through which your generation is passing, this call of the millennium continues to be a programme.
In it is contained a fundamental way out. Because the way out in whatever dimension – economic, social, political – must happen first in man. Man cannot remain with no way out.
Mother of Jasna Góra, you who have been given to us by Providence for the defence of the Polish nation, accept this evening this call of the Polish youth together with the Polish Pope, and help us to persevere in hope! Amen.
> _When freedom came to Eastern Europe in 1989, the Pope's speeches in Poland in 1983 were considered as one of the main contributions in bolstering the defiant human spirit that brought the walls of oppression tumbling down._
•
## Denis Healey
London, 27 February 1984
#### 'The great she-elephant, she who must be obeyed'
> _One of the earliest and most memorable attacks on the prime ministerial style of Margaret Thatcher was made by Denis Healey_ _(1917_ – _),_ _one of the most combative and bruising speakers in the House of Commons. Healey, a former Labour Defence Secretary and Chancellor of the Exchequer, was speaking during a debate on a proposal by the Thatcher government to abolish the right of workers at GCHQ, the British intelligence eavesdropping station at Cheltenham, to belong to a union._
Every trade unionist in Britain feels threatened by what the Government have done. The anger felt by trade unionists was felt deeply by everyone, not least Mr Murray [Lionel 'Len' Murray, leader of the Trades Union Congress], who attended the meeting with the Prime Minister last week, because she was felt to be accusing trade unions of lack of patriotism, of being prepared to risk people's lives and to break their promises. The Foreign Secretary made it crystal clear in his speech that that, in his view, is what trade union membership at GCHQ must imply. I ask the Government to recognize that they really cannot talk in those terms to people such as Terry Duffy and Kate Losinska, who are now leading the campaign against the Government. What a miracle the Government have achieved in the trade union movement.
I have not wasted time on the Foreign Secretary this afternoon, although I am bound to say that I feel that some of his colleagues must be a bit tired by now of his hobbling around from one of the doorsteps to another, with a bleeding hole in his foot and a smoking gun in his hand, telling them that he did not know it was loaded.
The Foreign Secretary, however, is not the real villain in this case; he is the fall guy. Those of us with long memories will feel that he is rather like poor van der Lubbe in the Reichstag fire trial. We are asking ourselves the question that was asked at the trial: who is the Mephistopheles behind this shabby Faust? The answer to that is clear. The handling of this decision by – I quote her own Back Benchers – the great she-elephant, she who must be obeyed, the Catherine the Great of Finchley, the Prime Minister herself, has drawn sympathetic trade unionists, such as Len Murray, into open revolt. Her pig-headed bigotry has prevented her closest colleagues and Sir Robert Armstrong from offering and accepting a compromise.
The Right Hon. Lady, for whom I have a great personal affection, has formidable qualities, a powerful intelligence and immense courage, but those qualities can turn into horrendous vices, unless they are moderated by colleagues who have more experience, understanding and sensitivity. As she has got rid of all those colleagues, no one is left in the Cabinet with both the courage and the ability to argue with her.
I put it to all Conservative Members, but mainly to the Government Front Bench, that to allow the Right Hon. Lady to commit Britain to another four years of capricious autocracy would be to do fearful damage not just to the Conservative Party but to the state. She has faced them with the most damaging of all conflicts of loyalty. They must choose between the interests of their country, our nation's security and our cohesion as a people and the obstinacy of an individual. I hope that they resolve this conflict in the interests of the nation. If not, they will carry a heavy responsibility for the tragedies that are bound to follow.
•
## Prince Charles
London, 30 May 1984
#### 'A monstrous carbuncle'
> _It was the 150th anniversary of the Royal Institute of British Architects and the anniversary dinner was being held in the historic setting of Hampton Court, a few miles from central London. The hall was lit by candles, the evening wasgraced by the first masque commissioned since the eighteenth century – and the annual gold medal was being presented by Britain's future king, Charles, Prince of Wales._
>
> _The 700 architects were in for a shock if they were expecting princely platitudes from their honoured guest. Instead the prince launched into a forthright attack on architects who designed houses for the approval of fellow architects instead of the tenants. Ever since, however, the speech has been remembered for his damning indictment of a proposed extension to the National Gallery in London's Trafalgar Square as a 'monstrous carbuncle'._
At last people are beginning to see that it is possible, and important in human terms, to respect old buildings, street plans and traditional scales and at the same time not to feel guilty about a preference for façades, ornaments and soft materials. At last, after witnessing the wholesale destruction of Georgian and Victorian housing in most of our cities, people have begun to realize that it _is_ possible to restore old buildings and, what is more, that there are architects willing to undertake such projects.
For far too long, it seems to me, some planners and architects have consistently ignored the feelings and wishes of the mass of ordinary people in this country. Perhaps, when you think about it, it is hardly surprising as architects tend to have been trained to design buildings from scratch – to tear down and rebuild... A large number of us have developed a feeling that architects tend to design houses for the approval of fellow architects and critics, not for the tenants.
To be concerned about the way people live, about the environment they inhabit and the kind of community that is created by that environment should surely be one of the prime requirements of a really good architect. It has been most encouraging to see the development of community architecture as a natural reaction to the policy of decanting people to new towns and overspill estates where the extended family patterns of support were destroyed and the community life was lost. Now, moreover, we are seeing the gradual expansion of housing cooperatives, particularly in the inner-city areas of Liverpool, where the tenants are able to work with an architect of their own who listens to their comments and their ideas and tries to design the kind of environment they want, rather than the kind which tends to be imposed upon them without any degree of choice...
What I believe is important about community architecture is that it has shown ordinary people that their views are worth having; that architects and planners do not necessarily have the monopoly of knowing best about taste, style and planning; that they need not be made to feel guilty or ignorant if their natural preference is for the more traditional designs – for a small garden, for courtyards, arches and porches – and that there is a growing number of architects prepared to listen and to offer imaginative ideas...
It would be a tragedy if the character and skyline of our capital city were to be further ruined and St Paul's dwarfed by yet another giant glass stump, better suited to downtown Chicago than the City of London. It is hard to imagine that London before the last war must have had one of the most beautiful skylines of any great city, if those who recall it are to be believed. Those who do, say that the affinity between buildings and the earth, in spite of the city's immense size, was so close and organic that the houses looked almost as though they had grown out of the earth and had not been imposed upon it – grown, moreover, in such a way that as few trees as possible were thrust out of the way. Those who knew it then and loved it, as so many British love Venice without concrete stumps and glass towers, and those who can imagine what it was like, must associate with the sentiments in one of Aldous Huxley's earliest and most successful novels, _Antic Hay_ , where the main character, an unsuccessful architect, reveals a model of London as Christopher Wren wanted to rebuild it after the Great Fire and describes how Wren was so obsessed with the opportunity the fire gave the city to rebuild itself into a greater and more glorious vision. What, then, are we doing to our capital city now? What have we done to it since the bombing during the war? What are we shortly going to do to one of its most famous areas – Trafalgar Square? Instead of designing an extension to the elegant façade of the National Gallery which complements it and continues the concept of columns and domes, it looks as if we may be presented with a kind of vast municipal fire station, complete with the sort of tower that contains the siren.
I would understand better this type of High Tech approach if you demolished the whole of Trafalgar Square and started again with a single architect responsible for the entire layout, but what is proposed is like a monstrous carbuncle on the face of a much loved and elegant friend. Apart from anything else, it defeats me why anyone wishing to display the early Renaissance pictures belonging to the gallery should do so in a new gallery so manifestly at odds with the whole spirit of that age of astonishing proportion. Why can't we have those curves and arches that express feeling in design? What is wrong with them? Why has everything got to be vertical, straight, unbending, only at right angles – and functional?
> _The 'monstrous carbuncle' was never built. The plan by Peter Abrends was scrapped and Robert Venturi, an American architect, won a competition to design the gallery's new Sainsbury wing. In 1988 Prince Charles wrote and produced_ A Vision of Britain _,_ _a television documentary about his views on architecture which was later published as a book._
•
## Ronald Reagan
Pointe du Hoc, Normandy, 6 June 1984
#### 'Let us make a vow to the dead'
> _According to his speechwriter Peggy Noonan, Ronald Reagan would and did read out anything she put in front of him. Even so, there was a quality to Reagan's speeches, whatever their cosy folksiness or the showbiz schmaltz that so infuriated his detractors, that touched hearts and made people weep genuine tears – as they did on this occasion commemorating the Normandy invasion of the Second World War._
>
> _It was an emotional day which became a celebration of heroism and sacrifice, Reagan wrote in his retirement. 'I stood there on that windswept point with the ocean behind me. Before me were the boys who forty years before had fought their way up from the ocean. Some rested under the white crosses and Stars of David that stretched out across the landscape. Others sat right in front of me. They looked like elderly businessmen, yet these were the kids who climbed the cliffs.'_
We're here to mark that day in history when the Allied peoples joined in battle to reclaim this continent to liberty. For four long years, much of Europe had been under a terrible shadow. Free nations had fallen, Jews cried out in the camps, millions cried out for liberation. Europe was enslaved, and the world prayed for its rescue. Here in Normandy the rescue began. Here the Allies stood and fought against tyranny in a giant undertaking unparalleled in human history.
We stand on a lonely, windswept point on the northern shore of France. The air is soft, but forty years ago at this moment, the air was dense with smoke and the cries of men, and the air was filled with the crack of rifle fire and the roar of cannon. At dawn, on the morning of the 6th of June 1944, 225 Rangers jumped off the British landing craft and ran to the bottom of these cliffs. Their mission was one of the most difficult and daring of the invasion: to climb these sheer and desolate cliffs and take out the enemy guns. The Allies had been told that some of the mightiest of these guns were here and they would be trained on the beaches to stop the Allied advance.
The Rangers looked up and saw the enemy soldiers – at the edge of the cliffs shooting down at them with machine-guns and throwing grenades. And the American Rangers began to climb. They shot rope ladders over the face of these cliffs and began to pull themselves up. When one Ranger fell, another would take his place. When one rope was cut, a Ranger would grab another and begin his climb again. They climbed, shot back, and held their footing. Soon, one by one, the Rangers pulled themselves over the top, and in seizing the firm land at the top of these cliffs, they began to seize back the continent of Europe. Two hundred and twenty-five came here. After two days of fighting only ninety could still bear arms.
Behind me is a memorial that symbolizes the Ranger daggers that were thrust into the top of these cliffs. And before me are the men who put them there.
These are the boys of Pointe du Hoc. These are the men who took the cliffs. These are the champions who helped free a continent. These are the heroes who helped end a war.
Gentlemen, I look at you and I think of the words of Stephen Spender's poem. You are men who in your 'lives fought for life... and left the vivid air signed with your honour'...
Forty summers have passed since the battle that you fought here. You were young the day you took these cliffs; some of you were hardly more than boys, with the deepest joys of life before you. Yet you risked everything here. Why? Why did you do it? What impelled you to put aside the instinct for self-preservation and risk your lives to take these cliffs? What inspired all the men of the armies that met here? We look at you, and somehow we know the answer. It was faith, and belief; it was loyalty and love.
The men of Normandy had faith that what they were doing was right, faith that they fought for all humanity, faith that a just God would grant them mercy on this beachhead or on the next. It was the deep knowledge – and pray God we have not lost it – that there is a profound moral difference between the use of force for liberation and the use of force for conquest. You were here to liberate, not to conquer, and so you and those others did not doubt your cause. And you were right not to doubt.
You all knew that some things are worth dying for. One's country is worth dying for, and democracy is worth dying for, because it's the most deeply honourable form of government ever devised by man. All of you loved liberty. All of you were willing to fight tyranny, and you knew the people of your countries were behind you.
•
## Neil Kinnock
Bournemouth, 1 October 1985
#### 'You can't play politics with people's jobs'
> _As Labour leader from 1983, Neil Kinnock, by insisting on the modernization of the party, prepared the ground which led to New Labour's historic election victory under Tony Blair in 1997. Kinnock made his reputation as leader in this scornful denunciation of the militants of Merseyside in his address to the party conference._
>
> _Forty-eight hours before the conference the Militant Tendency, which effectively controlled Liverpool City Council, hired a fleet of taxis to send redundancy notices to all council employees. For Militant, led by Derek Hatton, the tactic was a consciousness-raising element of its strategy of confronting the Thatcher government, but Kinnock saw it as cynical extremism that would give Labour a bad name._
>
> _When the conference met, with Hatton sitting only twenty feet away, Kinnock made a searing denunciation of Militant tactics. Hatton rose to his feet, shouting 'Liar, liar', which only heightened the drama of the leader's declaration of war on the Trotskyists._
If socialism is to be successful in this country, it must relate to the practical needs and the mental and moral traditions of the men and women of this country. We must emphasize what we have in common with those people who are our neighbours, workmates and fellow countrymen and women – and we have everything in common with them – in a way we could not do if we were remote, if, like the Tories, we were in orbit around the realities of our society, if, like the Social Democrats and the Liberals, we stood off from those realities, retreated from them, deserted them. But we are of, from, for the people. That is our identity, that is our commitment, that is how much we have in common with the people. Let us emphasize that, let us demonstrate it, let us not hide it away as if it was something extraordinary or evidence of reaction. Let us emphasize what we have in common with the people of this country.
We must not dogmatize or browbeat. We have got to reason with people; we have got to persuade people. That is their due. We have voluntarily, every one of us, joined a political party. We wish a lot more people would come and join us, help us, give us their counsel, their energies, their advice, broaden our participation. But in making the choice to join a political party we took a decision, and it was that, by persuasion, we hoped that we could bring more people with us. So that is the basis on which we have got to act, want to act...
[There is] something else you know. There is anger in this country at the devastation brought about by these last six years of Tory government, but strangely that anger is mixed with despair, a feeling that the problems are just too great, too complex, to be dealt with by any government or any policy. That feeling is abroad. We disagree with it, we contend it, we try to give people the rational alternatives, but it exists. If our response to that despair, anger and confusion amounts to little more than slogans, if we give the impression to the British people that we believe that we can just make a loud noise and the Tory walls of Jericho will fall down, they are not going to treat us very seriously at all – and we won't deserve to be treated very seriously...
I shall tell you again what you know. Because you are from the people, because you are of the people, because you live with the same realities as everybody else lives with, implausible promises don't win victories. I'll tell you what happens with impossible promises. You start with far-fetched resolutions. They are then pickled into a rigid dogma, a code, and you go through the years sticking to that, out-dated, misplaced, irrelevant to the real needs, and you end in the grotesque chaos of a Labour council – a _Labour council_ – hiring taxis to scuttle round a city handing out redundancy notices to its own workers. I am telling you, no matter how entertaining, how fulfilling to short-term egos – I'm telling you, and you'll listen – you can't play politics with people's jobs and with people's services or with their homes. Comrades, the voice of the people – not the people here; the voice of the real people with real needs – is louder than all the boos that can be assembled. Understand that, please, comrades. In your socialism, in your commitment to those people, understand it. The people will not, cannot, abide posturing. They cannot respect the gesture-generals or the tendency-tacticians.
Comrades, it seems to me lately that some of our number have become like latter-day public school-boys. It seems it matters not whether you won or lost, but how you played the game. We cannot take that inspiration from Rudyard Kipling. Those game players get isolated, hammered, blocked off. They might try to blame others – workers, trade unions, some other leadership, the people of the city – for not showing sufficient revolutionary consciousness, always somebody else, and then they claim a rampant victory. Whose victory? Not victory for the people, not victory for them. I see the casualties; we all see the casualties. They are not to be found amongst the leaders and some of the enthusiasts; they are to be found amongst the people whose jobs are destroyed, whose services are crushed, whose living standards are pushed down to deeper depths of insecurity and misery. Comrades, these are vile times under this Tory government for local democracy, and we have got to secure power to restore real local democracy.
But I look around this country and I see Labour councils, I see socialists, as good as any other socialists, who fought the good fight and who, at the point when they thought they might jeopardize people's jobs and people's services, had the intelligence, yes, and the courage to adopt a different course. They truly put jobs and services first before other considerations. They had to make hellish choices. I understand it. You must agonize with them in the choices they had to make – very unpalatable, totally undesirable, but they did it. They found ways. They used all their creativity to find ways that would best protect those whom they employed and those whom they were elected to defend. Those people are leaders prepared to take decisions, to meet obligations, to give service. They know life is real, life is earnest – too real, too earnest to mistake a Conference Resolution for an accomplished fact; too real, too earnest to mistake a slogan for a strategy; too real, too earnest to allow them to mistake their own individual enthusiasms for mass movement; too real, too earnest to mistake barking for biting. I hope that becomes universal too.
Comrades, I offer you this counsel. The victory of socialism, said a great socialist, does not have to be complete to be convincing. I have no time, he went on, for those who appear to threaten the whole of private property but who in practice would threaten nothing; they are purists and therefore barren. Not the words of some hypnotized moderate, not some petrified pragmatist, but Aneurin Bevan in 1950 at the height of his socialist vision and his radical power and conviction. There are some who will say that power and principle are somehow in conflict. Those people who think that power and principle are in conflict only demonstrate the superficiality, the shallowness, of their own socialist convictions; for whilst they are bold enough to preach those convictions in little coteries, they do not have the depth of conviction to subject those convictions, those beliefs, that analysis, to the real test of putting them into operation in power.
> _Most delegates were delighted by the speech. Kinnock's rating in a Harris poll two days later climbed fourteen points and he overtook Thatcher._
•
## Ronald Reagan
Oval Office of the White House, 28 January 1986
#### 'The future doesn't belong to the fainthearted'
> _A few hours after the spectacular_ Challenger _space shuttle disaster, President Reagan delivered this address to the nation. It was a characteristic example of the Reagan style – homely, almost conversational but achieving exactly the right emotion. The speech was memorable for its closing lines, which were from the poem 'High Flight', a sonnet written by John Gillespie Magee, a Canadian pilot who flew Spitfires from Britain during the Second World War and who was killed at the age of nineteen in December 1941._
>
> _This was a classic case of a speechwriter – Peggy Noonan, who learned the poem at school – remembering the appropriate quotation at the right moment. Reagan was present when the actor Tyrone Power returned from the war and recited 'High Flight' from memory at a homecoming party. The poem was used for years as the close-down reading of a Washington television station._
Nineteen years ago, almost to the day, we lost three astronauts in a terrible accident on the ground. But we've never lost an astronaut in flight; we've never had a tragedy like this. And perhaps we've forgotten the courage it took for the crew of the shuttle; but they, the _Challenger_ Seven, were aware of the dangers, but overcame them and did their jobs brilliantly. We mourn seven heroes: Michael Smith, Dick Scobee, Judith Resnik, Ronald McNair, Ellison Onizuka, Gregory Jarvis, and Christa McAuliffe. We mourn their loss as a nation together.
For the families of the seven, we cannot bear, as you do, the full impact of this tragedy. But we feel the loss, and we're thinking about you so very much. Your loved ones were daring and brave, and they had that special grace, that special spirit that says, 'Give me a challenge and I'll meet it with joy.' They had a hunger to explore the universe and discover its truths. They wished to serve, and they did. They served all of us.
We've grown used to wonders in this century. It's hard to dazzle us. But for twenty-five years the United States space programme has been doing just that. We've grown used to the idea of space, and perhaps we forget that we've only just begun. We're still pioneers. They, the members of the _Challenger_ crew, were pioneers.
And I want to say something to the schoolchildren of America who were watching the live coverage of the shuttle's takeoff. I know it is hard to understand, but sometimes painful things like this happen. It's all part of the process of exploration and discovery. It's all part of taking a chance and expanding man's horizons. The future doesn't belong to the fainthearted; it belongs to the brave. The _Challenger_ crew was pulling us into the future, and we'll continue to follow them...
There's a coincidence today. On this day 390 years ago, the great explorer Sir Francis Drake died aboard ship off the coast of Panama. In his lifetime the great frontiers were the oceans, and a historian later said, 'He lived by the sea, died on it, and was buried in it.' Well, today we can say of the _Challenger_ crew: their dedication was, like Drake's, complete.
The crew of the space shuttle _Challenger_ honoured us by the manner in which they lived their lives. We will never forget them, nor the last time we saw them, this morning, as they prepared for the journey and waved goodbye and 'slipped the surly bonds of earth' to 'touch the face of God.'
•
## Neil Kinnock
Llandudno, 15 May 1987
#### 'Why am I the first Kinnock in a thousand generations to be able to get to university?'
> _Even his rivals acknowledged that Neil Kinnock, in his first election as leader of the Labour Party in 1987, fought an energetic and effective campaign. That was particularly true on television where his party political broadcasts were made by Hugh Hudson, the celebrated director of the Oscar-winning_ Chariots of Fire.
>
> _The most memorable of the television broadcasts showed Kinnock and Glenys, his wife, strolling in the hills above Llandudno on the North Wales coast, and included extracts from this speech to the Welsh Labour Party._
>
> _The rousing passion of his speech and the emotional atmosphere in the packed conference hall became a hallmark of Kinnock's election rallies and demonstrated that, when he spoke from the soul rather than a sanitized script prepared so as not to frighten away potential voters with the bogy of a socialist government, he was the greatest British orator of his generation._
We are democratic socialists. We care all the time. We don't think it's a soft sentiment, we don't think it's 'wet'.
We think that care is the essence of strength.
And we believe that because we know that strength without care is savage and brutal and selfish.
Strength with care is compassion – the practical action that is needed to help people lift themselves to their full stature.
That's real care – it is not soft or weak. It is tough and strong.
But where do we get that strength to provide that care?
Do we wait for some stroke of good fortune, some benign giant, some socially conscious Samson to come along and pick up the wretched of the earth?
Of course we don't.
We cooperate, we collect together, we coordinate so that everyone can contribute and everyone can benefit, everyone has responsibilities, everyone has rights. That is how we put care into action. That is how we make the weak strong, that is how we lift the needy, that is how we make the sick whole, that is how we give talent the chance to flourish, that is how we turn the unemployed claimant into the working contributor.
We do it together. It is called collective strength, collective care. And its whole purpose is individual freedom.
When we speak of collective strength and collective freedom, collectively achieved, we are not fulfilling that nightmare that Mrs Thatcher tries to paint, and all her predecessors have tried to saddle us with.
We're not talking about uniformity; we're not talking about regimentation; we're not talking about _conformity_ – that's their creed. The uniformity of the dole queue; the regimentation of the unemployed young and their compulsory work schemes. The _conformity_ of people who will work in conditions, and take orders, and accept pay _because of_ mass unemployment that they would laugh at in a free society with full employment.
That kind of freedom for the individual, that kind of liberty can't be secured by most of the people for most of the time if they're just left to themselves, isolated, stranded, with their whole life chances dependent upon luck!
Why am I the first Kinnock in a thousand generations to be able to get to university? Why is Glenys the first woman in her family in a thousand generations to be able to get to university?
Was it because _all_ our predecessors were 'thick'? Did they lack talent – those people who could sing, and play, and recite and write poetry; those people who could make wonderful, beautiful things with their hands; those people who could dream dreams, see visions; those people who had such a sense of perception as to know in times so brutal, so oppressive, that they could win their way out of that by coming together?
Were those people not university material? Couldn't they have knocked off all their A-levels in an afternoon?
But why didn't they get it?
Was it because they were weak? – those people who could work eight hours underground and then come up and play football?
Weak? Those women who could survive eleven childbearings, were they weak? Those people who could stand with their backs and their legs straight and face the people who had control over their lives, the ones who owned their workplaces and tried to own them, and tell them, 'No. I won't take your orders.' Were they weak?
Does anybody really think that they didn't get what we had because they didn't have the talent, or the strength, or the endurance, or the commitment?
Of course not. It was because there was no platform upon which they could stand; no arrangement for their neighbours to subscribe to their welfare; no method by which the communities could translate their desires for those individuals into provision for those individuals.
And now, Mrs Thatcher, by dint of privatization, and means test, and deprivation, and division, wants to nudge us back into the situation where everybody can either stand on their own feet, or live on their knees.
> _The 1987 British general election marked the high noon of Margaret Thatcher's three governments and she won her third victory – but Kinnock destroyed the Alliance of the Liberals and the Social Democrats as the main alternative to the Tories. The American politician Joe Biden was later to pinch a theme from Kinnock's speech and ask 'Why am I the fourteenth Joe Biden...?' Kinnock lost his second general election in 1992 and subsequently resigned as leader of the Labour Party._
•
## Edward Kennedy
Atlanta, 19 July 1988
#### 'Now is the time'
> _At the Democrat Convention in Atlanta in 1988, Senator Edward Kennedy introduced by his nephew John Fitzgerald Kennedy Jr, spoke in support of Michael Dukakis, who had been chosen to fight George Bush._
>
> _As his speech ended, he pledged 'every resource' of his mind and spirit to the Democrat cause – and then movingly recalled the dream, and the dreamers, who had inspired Democrats since the 1960s._
You and I have stood together many times, but no time has been more important than this.
The campaign that stretches before us now is a struggle for the souls and the future of America. For we are more than a political coalition, more than a collection of programmes, more than the sum of our prospects and our strategy. Most of all, we are the trustees of a dream.
Twenty years ago, in 1968, we lost two of the most powerful voices of that dream. But they left us their vision, their values, and the hopes they awakened.
In the countless millions of people whose hearts they touched, we remember them now to remind ourselves that the American journey is unfinished, that we stand for change in order to march again towards enduring ideals, that we do not have to settle for things as they are.
Martin Luther King Jr told us something we need to hear anew. He said, 'We are now faced with the fact that tomorrow is today. We are confronted with the fierce urgency of now, in the unfolding life and history. There is such a thing as being too late.' ( _Applause._ )
And Dr King also said, 'We must work unceasingly to lift this Nation to a higher destiny, to a new plateau of compassion.'
And in that time there was another voice, only briefly heard, but whose words too have outlasted all the loss in years. Robert Kennedy said, 'Each time a man stands up for an ideal, or acts to improve the lot of others, or strikes out against injustice, he sends forth a tiny ripple of hope. And crossing each other from a million different centres of energy and daring, those ripples build a current that can sweep down the mightiest walls of oppression and resistance.' ( _Applause._ )
He was my brother. But he and Dr King were also in the deepest sense brothers to us all. These two, these valiant two, lived for the same dream and were gone only months apart.
And if they were here with us, two decades later, I think I know what they would say: 'Now is the time. Some men see things as they are and say, why? We dream things that never were and say, why not? Now is the time.' ( _Spontaneous demonstration._ )
•
## Jesse Jackson
Atlanta, 19 July 1988
#### 'Keep hope alive'
> _As a charismatic preacher and black activist, Jesse Jackson (1941_ – _) worked with Martin Luther King and was ordained a Baptist minister in 1968, the year King was assassinated. He subsequently assumed King's mantle as America's most articulate spokesman for black rights and established PUSH (People United to Save Humanity) in 1971 to promote the economic advancement of black people._
>
> _He was the first black American to mount a serious campaign for the presidency when in 1984 he constructed a 'rainbow coalition' of minority groups. He lost to Walter Mondale._
>
> _Four years later he came second to Michael Dukakis. He made this memorable speech, of which this is the peroration, as he accepted the nomination as vice-president._
I'm often asked, 'Jesse, why do you take on these tough issues? They're not very political. We can't win that way.'
If an issue is morally right, it will eventually be political. It may be political and never be right. Fannie Lou Hamer didn't have the most votes in Atlantic City, but her principles have outlasted every delegate who voted to lock her out. Rosa Parks did not have the most votes, but she was morally right. Dr King didn't have the most votes about the Vietnam war, but he was morally right. If we're principled first, our politics will fall in place.
'Jesse, why did you take these big bold initiatives?' A poem by an unknown author went something like this: We mastered the air, we've conquered the sea, and annihilated distance and prolonged life, we were not wise enough to live on this earth without war and without hate.
As for Jesse Jackson, I'm tired of sailing my little boat, far inside the harbour bar. I want to go out where the big ships float, out on the deep where the great ones are. And should my frail craft prove too slight, the waves that sweep those billows o'er, I'd rather go down in a stirring fight than drown to death in the sheltered shore.
We've got to go out, my friends, where the big boats are.
And then, for our children, young America, hold your head high now. We can win. We must not lose you to drugs and violence, premature pregnancy, suicide, cynicism, pessimism and despair. We can win.
Wherever you are tonight, I challenge you to hope and to dream. Don't submerge your dreams. Exercise above all else, even on drugs, dream of the day you're drug-free. Even in the gutter, dream of the day that you'll be upon your feet again. You must never stop dreaming. Face reality, yes. But don't stop with the way things are; dream of things as they ought to be. Dream. Face pain, but love, hope, faith, and dreams will help you rise above the pain.
Use hope and imagination as weapons of survival and progress, but you keep on dreaming, young America. Dream of peace. Peace is rational and reasonable. War is irrational in this age and unwinnable.
Dream of teachers who teach for life and not for living. Dream of doctors who are concerned more about public health than private wealth. Dream of lawyers more concerned about justice than a judgeship. Dream of preachers who are concerned more about prophecy than profiteering. Dream on the high road of sound values.
And in America, as we go forth to September, October and November and then beyond, America must never surrender to a high moral challenge.
Do not surrender to drugs. The best drug policy is a no first use. Don't surrender with needles and cynicism. Let's have no first use on the one hand, or clinics on the other. Never surrender, young America.
Go forward. America must never surrender to malnutrition. We can feed the hungry and clothe the naked. We must never surrender. We must go forward. We must never surrender to illiteracy. Invest in our children. Never surrender; and go forward.
We must never surrender to inequality. Women cannot compromise ERA [Equal Rights Amendment] or comparable worth. Women are making 60 cents on the dollar to what a man makes. Women cannot buy milk cheaper. Women deserve to get paid for the work that you do. It's right and it's fair.
Don't surrender, my friends. Those who have AIDS tonight, you deserve our compassion. Even with AIDS you must not surrender in your wheelchairs. I see you sitting here tonight in those wheelchairs. I've stayed with you. I've reached out to you across our nation. Don't you give up. I know it's tough sometimes. People look down on you. It took you a little more effort to get here tonight.
And no one should look down on you, but sometimes mean people do. The only justification we have for looking down on someone is that we're going to stop and pick them up. But even in your wheelchairs, don't you give up. We cannot forget fifty years ago when our backs were against the wall, [Franklin D.] Roosevelt was in a wheelchair. I would rather have Roosevelt in a wheelchair than Reagan and [George] Bush on a horse. Don't you surrender and don't give up.
Don't surrender and don't give up. Why can I challenge you this way? 'Jesse Jackson, you don't understand my situation. You be on television. You don't understand. I see you with the big people. You don't understand my situation.' I understand. You're seeing me on TV but you don't know the me that makes me, me. They wonder why does Jesse run, because they see me running for the White House. They don't see the house I'm running from.
I have a story. I wasn't always on television. Writers were not always outside my door. When I was born late one afternoon, October 8th, in Greenville, SC, no writers asked my mother her name. Nobody chose to write down her address. My mama was not supposed to make it. And I was not supposed to make it. You see, I was born to a teenage mother who was born to a teenage mother.
I understand. I know abandonment and people being mean to you, and saying you're nothing and nobody, and can never be anything. I understand. Jesse Jackson is my third name. I'm adopted. When I had no name, my grandmother gave me her name. My name was Jesse Burns until I was twelve. So I wouldn't have a blank space, she gave me a name to hold me over. I understand when nobody knows your name. I understand when you have no name. I understand.
I wasn't born in the hospital. Mama didn't have insurance. I was born in the bed at the house. I really do understand. Born in a three-room house, bathroom in the backyard, slop jar by the bed, no hot and cold running water. I understand. Wallpaper used for decoration? No. For a windbreaker. I understand. I'm a working person's person, that's why I understand you whether you're black or white.
I understand work. I was not born with a silver spoon in my mouth. I had a shovel programmed for my hand. My mother, a working woman. So many days she went to work with runs in her stockings. She knew better, but she wore runs in her stockings so that my brother and I could have matching socks and not be laughed at at school.
I understand. At three o'clock on Thanksgiving Day we couldn't eat turkey because mama was preparing someone else's turkey at three o'clock. We had to play football to entertain ourselves and then around six o'clock she would get off the Alta Vista bus when we would bring up the leftovers and eat our turkey – leftovers, the carcass, the cranberries around eight o'clock at night. I really do understand.
Every one of these funny labels they put on you, those of you who are watching this broadcast tonight in the projects, on the corners, I understand. Call you outcast, low down, you can't make it, you're nothing, you're from nobody, subclass, underclass – when you see Jesse Jackson, when my name goes in nomination, your name goes in nomination.
I was born in the slum, but the slum was not born in me. And it wasn't born in you, and you can make it. Wherever you are tonight you can make it. Hold your head high, stick your chest out. You can make it. It gets dark sometimes, but the morning comes. Don't you surrender. Suffering breeds character. Character breeds faith. In the end faith will not disappoint.
You must not surrender. You may or may not get there, but just know that you're qualified and you hold on and hold out. We must never surrender. America will get better and better. Keep hope alive. Keep hope alive. Keep hope alive. On tomorrow night and beyond, keep hope alive.
I love you very much. I love you very much.
> _The presidential election was won by George Bush, the Republican candidate._
•
## Margaret Thatcher
Bruges, 20 September 1988
#### 'The frontiers of the State'
> _Margaret Thatcher's attitude to the European Community, which constantly made Britain appear the odd nation out, split her Cabinet, led to the resignation of both Nigel Lawson, Chancellor of the Exchequer, and Sir Geoffrey Howe, Foreign Secretary, and was one of the main reasons for her downfall in 1990. Thatcher was suspicious that the European Community was a recipe for the creeping state socialism and trade-union power that she had seen off in Britain._
>
> _No speech by Mrs Thatcher provoked more controversy during her eleven years as prime minister of Britain than her address – drafted by Sir Charles Powell, her adviser on foreign affairs – to the College of Europe in Bruges. The Bruges speech set out in the sharpest focus her opposition to any form of European federalism that would undermine the sovereignty of the nation state – the F-word issue that has since been a dominant theme of principle in British politics._
Europe is not the creation of the Treaty of Rome. Nor is the European idea the property of any group or institution. We British are as much heirs to the legacy of European culture as any other nation. Our links to the rest of Europe, the continent of Europe, have been the _dominant_ factor in our history. For 300 years we were part of the Roman Empire and our maps still trace the straight lines of the roads the Romans built. Our ancestors – Celts, Saxons and Danes – came from the continent.
Our nation was – in that favourite Community word – 'restructured' under Norman and Angevin rule in the eleventh and twelfth centuries.
This year we celebrate the three-hundredth anniversary of the Glorious Revolution in which the British crown passed to Prince William of Orange and Queen Mary.
Visit the great churches and cathedrals of Britain, read our literature and listen to our language: all bear witness to the cultural riches which we have drawn from Europe – and other Europeans from us.
We in Britain are rightly proud of the way in which, since Magna Carta in 1215, we have pioneered and developed representative institutions to stand as bastions of freedom. And proud too of the way in which for centuries Britain was a home for people from the rest of Europe who sought sanctuary from tyranny.
But we know that without the European legacy of political ideas we could not have achieved as much as we did. From classical and medieval thought we have borrowed that concept of the rule of law which marks out a civilized society from barbarism. And on that idea of Christendom – for long synonymous with Europe – with its recognition of the unique and spiritual nature of the individual, we still base our belief in personal liberty and other human rights.
Too often the history of Europe is described as a series of interminable wars and quarrels. Yet from our perspective today surely what strikes us most is our common experience. For instance, the story of how Europeans explored and colonized and – yes, without apology – civilized much of the world is an extraordinary tale of talent, skill and courage.
We British have in a special way contributed to Europe. Over the centuries we have fought to prevent Europe from falling under the dominance of a single power. We have fought and we have died for her freedom. Only miles from here in Belgium lie the bodies of 120,000 British soldiers who died in the First World War. Had it not been for that willingness to fight and to die, Europe _would_ have been united long before now – but not in liberty, not in justice. It was British support to resistance movements throughout the last war that helped to keep alive the flame of liberty in so many countries until the day of liberation.
All these things alone are proof of our commitment to Europe's future.
The European Community is _one_ manifestation of that European identity. But it is not the only one. We must never forget that east of the Iron Curtain peoples who once enjoyed a full share of European culture, freedom and identity have been cut off from their roots. We shall always look on Warsaw, Prague and Budapest as great European cities.
Nor should we forget that European values have helped to make the United States of America into the valiant defender of freedom which she has become.
This is no arid chronicle of obscure facts from the dust-filled libraries of history. It is the record of nearly two thousand years of British involvement _in_ Europe, cooperation _with_ Europe and contribution _to_ Europe, a contribution which today is as valid and as strong as ever. Yes, we have looked also to wider horizons – as have others – and thank goodness for that, because Europe never would have prospered and never will prosper as a narrow-minded, inward-looking club.
The European Community belongs to _all_ its members. It must reflect the traditions and aspirations of _all_ its members.
And let me be quite clear. Britain does not dream of some cosy, isolated existence on the fringes of the European Community. Our destiny is in Europe, as part of the Community. That is not to say that our future lies _only_ in Europe. But nor does that of France or Spain, or indeed any other member.
The Community is not an end in itself. Nor is it an institutional device to be constantly modified according to the dictates of some abstract intellectual concept. Nor must it be ossified by endless regulation.
The European Community is the practical means by which Europe can ensure the future prosperity and security of its people in a world in which there are many other powerful nations and groups of nations...
To try to suppress nationhood and concentrate power at the centre of a European conglomerate would be highly damaging and would jeopardize the objectives we seek to achieve.
Europe will be stronger precisely because it has France as France, Spain as Spain, Britain as Britain, each with its own customs, traditions and identity. It would be folly to try to fit them into some sort of identikit European personality.
Some of the founding fathers of the Community thought that the United States of America might be its model.
But the whole history of America is quite different from Europe. People went there to get away from the intolerance and constraints of life in Europe. They sought liberty and opportunity; and their strong sense of purpose has, over two centuries, helped create a new unity and pride in being American – just as our pride lies in being British or Belgian or Dutch or German.
I am the first to say that on many great issues the countries of Europe should try to speak with a single voice. I want to see us work more closely on the things we can do better together than alone. Europe is stronger when we do so, whether it be in trade, in defence, or in our relations with the rest of the world.
But working more closely together does _not_ require power to be centralized in Brussels or decisions to be taken by an appointed bureaucracy.
Indeed, it is ironic that just when those countries such as the Soviet Union, which have tried to run everything from the centre, are learning that success depends on dispersing power and decisions away from the centre, some in the Community seem to want to move in the opposite direction.
We have not successfully rolled back the frontiers of the State in Britain only to see them reimposed at a European level, with a European super-State exercising a new dominance from Brussels.
Certainly we want to see Europe more united and with a greater sense of common purpose. But it must be in a way which preserves the different traditions, parliamentary powers and sense of national pride in one's own country; for these have been the source of Europe's vitality through the centuries.
•
## Václav Havel
Prague, 1 January 1990
#### 'A contaminated moral environment'
> _Communism in Eastern Europe died in 1989 as one by one the Communist regimes in Poland, Cze¸choslovakia, Hungary, Romania and Bulgaria collapsed. The year ended with the crumbling of the Berlin Wall. It was the springtime of nations, the most exciting year in European history since 1848._
>
> _The motto of the year was 'Truth shall prevail' and it was a year of truth for Communism. As Timothy Garton Ash, an eyewitness to the events, puts it: 'There is a real sense in which these regimes lived by the word and perished by the word. For what, after all, happened? A few thousands, then tens of thousands, then hundreds of thousands went on to the streets. They spoke a few words. "Resign," they said. "No more shall we be slaves!" "Free elections." "Freedom!" And the walls of Jericho fell. And with the walls, the communist parties simply crumbled.'_
>
> _That sense that truth will prevail is what made the first speech by Václav Havel, the playwright who was elected Czech president on 29 December 1989, so moving and uplifting in its expression of the defiant human spirit that conquered Communism during that memorable year._
>
> _One theme of Havel's work was that under Communism almost everybody lived a double life, saying one thing in public and another in private. It was a theme to which he returned in this speech on New Year's Day, broadcast on radio and television, with his comments on the 'contaminated moral environment' under the Communist regime._
My dear fellow citizens, for forty years you heard from my predecessors on this day different variations of the same theme: how our country flourished, how many million tons of steel we produced, how happy we all were, how we trusted our government, and what bright perspectives were unfolding in front of us.
I assume you did not propose me for this office so that I, too, would lie to you.
Our country is not flourishing. The enormous creative and spiritual potential of our nation is not being used sensibly. Entire branches of industry are producing goods which are of no interest to anyone, while we are lacking the things we need. A state which calls itself a workers' state humiliates and exploits workers. Our obsolete economy is wasting the little energy we have available. A country that once could be proud of the educational level of its citizens spends so little on education that it ranks today as seventy-second in the world. We have polluted our soil, our rivers and forests, bequeathed to us by our ancestors, and we have today the most contaminated environment in Europe. Adult people in our country die earlier than in most other European countries...
But all this is still not the main problem. The worst thing is that we live in a contaminated moral environment. We fell morally ill because we became used to saying something different from what we thought. We learned not to believe in anything, to ignore each other, to care only about ourselves. Concepts such as love, friendship, compassion, humility, or forgiveness lost their depth and dimensions, and for many of us they represented only psychological peculiarities, or they resembled gone-astray greetings from ancient times, a little ridiculous in the era of computers and spaceships. Only a few of us were able to cry out loud that the powers that be should not be all-powerful, and that special farms, which produce ecologically pure and top-quality food just for them, should send their produce to schools, children's homes, and hospitals if our agriculture was unable to offer them to all. The previous regime – armed with its arrogant and intolerant ideology – reduced man to a force of production and nature to a tool of production. In this it attacked both their very substance and their mutual relationship. It reduced gifted and autonomous people, skilfully working in their own country, to nuts and bolts of some monstrously huge, noisy, and stinking machine, whose real meaning is not clear to anyone. It cannot do more than slowly but inexorably wear down itself and all its nuts and bolts.
When I talk about contaminated moral atmosphere, I am not talking just about the gentlemen who eat organic vegetables and do not look out of the plane windows. I am talking about all of us. We had all become used to the totalitarian system and accepted it as an unchangeable fact and thus helped to perpetuate it. In other words, we are all – though naturally to differing extents – responsible for the operation of the totalitarian machinery, none of us is just its victim: we are all also its co-creators.
Why do I say this? It would be very unreasonable to understand the sad legacy of the last forty years as something alien, which some distant relative bequeathed us. On the contrary, we have to accept this legacy as a sin we committed against ourselves. If we accept it as such, we will understand that it is up to us all, and up to us only, to do something about it. We cannot blame the previous rulers for everything, not only because it would be untrue but also because it could blunt the duty that each of us faces today, namely, the obligation to act independently, freely, reasonably, and quickly. Let us not be mistaken: the best government in the world, the best parliament and the best president, cannot achieve much on their own. And it would also be wrong to expect a general remedy from them only. Freedom and democracy include participation and therefore responsibility from us all.
If we realize this, then all the horrors that the new Czechoslovak democracy inherited will cease to appear so terrible. If we realize this, hope will return to our hearts.
In the effort to rectify matters of common concern, we have something to lean on. The recent period – and in particular, the last six weeks of our peaceful revolution – has shown the enormous human, moral, and spiritual potential and civic culture that slumbered in our society under the enforced mask of apathy. Whenever someone categorically claimed that we were this or that, I always objected that society is a very mysterious creature and that it is not wise to trust only the face it presents to you. I am happy that I was not mistaken. Everywhere in the world people wonder where those meek, humiliated, sceptical, and seemingly cynical citizens of Czechoslovakia found the marvellous strength to shake from their shoulders in several weeks and in a decent and peaceful way the totalitarian yoke. And let us ask: from where did the young people who never knew another system take their desire for truth, their love of free thought, their political ideas, their civic courage and civic prudence? How did it happen that their parents – the very generation that had been considered as lost – joined them? How is it possible that so many people immediately knew what to do and none of them needed any advice or instruction?...
Masaryk* based his politics on morality. Let us try in a new time and in a new way to restore this concept of politics. Let us teach ourselves and others that politics should be an expression of a desire to contribute to the happiness of the community rather than of a need to cheat or rape the community. Let us teach ourselves and others that politics can be not only the art of the possible, especially if this means the art of speculation, calculation, intrigue, secret deals, and pragmatic manoeuvring, but that it can even be the art of the impossible, namely, the art of improving ourselves and the world...
There are free elections and an election campaign ahead of us. Let us not allow this struggle to dirty the so far clean face of our gentle revolution. Let us not allow the sympathies of the world which we have won so fast to be equally rapidly lost through our becoming entangled in the jungle of skirmishes for power. Let us not allow the desire to serve oneself to bloom once again under the fair mask of the desire to serve the common good. It is not really important now which party, club, or group will prevail in the elections. The important thing is that the winners will be the best of us, in the moral, civic, political, and professional sense, regardless of their political affiliations. The future policies and prestige of our state will depend on the personalities we select and later elect to our representative bodies...
In conclusion, I would like to say that I want to be a president who will speak less and work more. To be a president who will not only look out of the windows of his aeroplane but who, first and foremost, will always be present among his fellow citizens and listen to them well.
You may ask what kind of republic I dream of. Let me reply: I dream of a republic independent, free, and democratic, of a republic economically prosperous and yet socially just, in short, of a humane republic which serves the individual and which therefore holds the hope that the individual will serve it in turn. Of a republic of well-rounded people, because without such it is impossible to solve any of our problems, human, economic, ecological, social, or political.
The most distinguished of my predecessors opened his first speech with a quotation from the great Czech educator Comenius. Allow me to round off my first speech with my own paraphrase of the same statement:
People, your government has returned to you!
•
## Nelson Mandela
Cape Town, 11 February 1990
#### 'Our march to freedom is irreversible'
> _Twenty-seven years after he was first imprisoned, Nelson Mandela, a worldwide symbol of resistance to apartheid, then seventy-one and white-haired, walked out of prison with a smile on his face, raised his hand in the clenched-fist salute of the African National Congress, and made his first speech since he stood in the dock accused of treason. Speaking to a crowd of 50,000 under the majestic shadow of Table Mountain, and watched by a global audience of millions on television, he placed the remaining years of his life in the hands of his people and ended his speech with the words he had uttered from the dock in 1964._
Friends, Comrades and fellow South Africans. I greet you all in the name of peace, democracy and freedom for all. I stand here before you not as a prophet but as a humble servant of you, the people. Your tireless and heroic sacrifices have made it possible for me to be here today. I therefore place the remaining years of my life in your hands...
Today the majority of South Africans, black and white, recognize that apartheid has no future. It has to be ended by our own decisive mass action in order to build peace and security. The mass campaign of defiance and other actions of our organization and people can only culminate in the establishment of democracy.
The apartheid destruction on our subcontinent is incalculable. The fabric of family life of millions of my people has been shattered. Millions are homeless and unemployed. Our economy lies in ruins and our people are embroiled in political strife.
Our resort to the armed struggle in 1960 with the formation of the military wing of the ANC, Umkhonto we Sizwe (Spear of the Nation), was a purely defensive action against the violence of apartheid. The factor which necessitated the armed struggle still exists today. We have no option but to continue...
Negotiations on the dismantling of apartheid will have to address the overwhelming demand of our people for a democratic, non-racial and unitary South Africa.
There must be an end to white monopoly on political power, and a fundamental restructuring of our political and economic systems to ensure that the inequalities of apartheid are addressed and our society thoroughly democratized.
It must be added that Mr de Klerk himself is a man of integrity, who is acutely aware of the dangers of a public figure not honouring his undertakings. But as an organization, we base our policy and strategy on the harsh reality we are faced with. And this reality is that we are still suffering under the policies of the Nationalist government.
Our struggle has reached a decisive moment. We call on our people to seize this moment, so that the process towards democracy is rapid and uninterrupted.
We have waited too long for our freedom! We can no longer wait. Now is the time to intensify the struggle on all fronts. To relax our efforts now would be a mistake which generations to come will not be able to forgive. The sight of freedom looming on the horizon should encourage us to redouble our efforts. It is only through disciplined mass action that our victory can be assured.
We call on our white compatriots to join us in the shaping of a new South Africa. The freedom movement is a political home for you, too. We call on the international community to continue the campaign to isolate the apartheid regime. To lift sanctions now would be to run the risk of aborting the process towards the complete eradication of apartheid.
Our march to freedom is irreversible. We must not allow fear to stand in our way. Universal suffrage on a common voters' roll in a united, democratic and non-racial South Africa is the only way to peace and racial harmony.
In conclusion I wish to go to my own words during my trial in 1964. They are as true today as they were then. I quote:
'I have fought against white domination and I have fought against black domination. I have cherished the ideal of a democratic and free society in which all persons live together in harmony and with equal opportunity. It is an ideal which I hope to live for and to achieve. But if needs be, it is an ideal for which I am prepared to die. _Amandla_ (power)!'
> _A year later President de Klerk of South Africa announced proposals to dismantle the structure of apartheid. Mandela and de Klerk were awarded the Nobel Peace Prize in 1993, and Nelson Mandela became South Africa's first black president in May 1994. He retired in 1999._
•
## Sir Geoffrey Howe
London, 13 November 1990
#### 'A conflict of loyalty'
> _Sir Geoffrey Howe (1926–) served throughout the eleven years of Margaret Thatcher's three administrations, first as Chancellor of the Exchequer, then as Foreign Secretary and finally as leader of the Commons. By 1990 he was the sole survivor from her first Cabinet. Yet their relationship, which had never been founded on mutual admiration, had sharply deteriorated, mainly because of Mrs Thatcher's distrust of the instincts of the Foreign Office, and her frequent humiliations of Howe, who was also her deputy. The apparently faithful and imperturbable Howe finally snapped and he resigned on 1 November, saying he could no longer serve her with honour._
>
> _Howe's pedestrian style was once memorably summed up. Being attacked by him was like being savaged by a dead sheep, said his opponent Denis Healey. Yet in his resignation speech the dead sheep became a lion, drawing audible gasps of surprise from fellow Conservatives (who included Mrs Thatcher). It was 'an act of brilliantly executed matricide', says Sir Ronald Millar, Mrs Thatcher's principal speechwriter, 'each word honed with Aesculapian skill for maximum effect'._
It has been suggested – even, indeed, by some of my Right Hon. and Hon. Friends – that I decided to resign solely because of questions of style and not on matters of substance at all. Indeed, if some of my former colleagues are to be believed, I must be the first minister in history who has resigned because he was in full agreement with government policy. The truth is that, in many aspects of politics, style and substance complement each other. Very often, they are two sides of the same coin...
It was a great honour to serve for six years as Foreign and Commonwealth Secretary and to share with my Right Hon. Friend [Margaret Thatcher] in some notable achievements in the European Community. But it was as we moved on to consider the crucial monetary issues in the European context that I came to feel increasing concern. Some of the reasons for that anxiety were made very clear by my Right Hon. Friend the Member for Blaby [Nigel Lawson] in his resignation speech just over twelve months ago. Like him, I concluded at least five years ago that the conduct of our policy against inflation could no longer rest solely on attempts to measure and control the domestic money supply. We had no doubt that we should be helped in that battle, and, indeed, in other respects, by joining the exchange rate mechanism of the European monetary system.
There was, or should have been, nothing novel about joining the ERM; it has been a long-standing commitment. For a quarter of a century after the Second World War, we found that the very similar Bretton Woods regime did serve as a useful discipline. Now, as my Right Hon. Friend the Prime Minister acknowledged two weeks ago, our entry into the ERM can be seen as an 'extra discipline for keeping down inflation'. However, it must be said that the practical conclusion has been achieved only at the cost of substantial damage to her Administration and, more serious still, to its inflation achievements.
It was the late Lord Stockton, formerly Harold Macmillan, who first put the central point clearly. As long ago as 1962, he argued that we had to place and keep ourselves within the Community. He saw it as essential then as it is today not to cut ourselves off from the realities of power, not to retreat into a ghetto of sentimentality about our past and so diminish our control over our own destiny in the future.
The pity is that the Macmillan view had not been perceived more clearly a decade before in the fifties. It would have spared so many of the struggles of the past twenty years had we been in the Community from the outset, had we been ready, in the much too simple phrase, to 'surrender some sovereignty' at a much earlier stage.
Had we been in from the start we should have had more not less influence over the Europe in which we live today. We should never forget the lesson of that isolation, of being on the outside looking in, for the conduct of today's affairs.
We have done best when we have seen the Community not as a static entity to be resisted and contained, but as an active process which we can shape often decisively provided we allow ourselves to be fully engaged in it with confidence and enthusiasm and in good faith.
We must at all costs avoid presenting ourselves yet again with an over-simplified choice, a false antithesis, a bogus dilemma, between one alternative starkly labelled 'cooperation between independent sovereign states' and a second equally crudely labelled alternative 'a centralized federal super-state' as if there were no middle way in between.
We commit a serious error if we think always in terms of 'surrendering' sovereignty and seek to stand pat for all time on a given deal by proclaiming, as the prime minister did two weeks ago, that we have 'surrendered enough'. The European enterprise is not and should not be seen like that, as some kind of zero sum gain.
Sir Winston Churchill put it much more positively forty years ago when he said: 'It is also possible and not less agreeable to regard [this sacrifice or merger of national sovereignty] as the gradual assumption by all the nations concerned of that larger sovereignty which can alone protect their diverse and distinctive customs and characteristics and their national traditions.'
I find Winston Churchill's perception a good deal more convincing and encouraging for the interests of our nation than the nightmare image sometimes conjured up by the Prime Minister who sometimes seems to look out on a Continent that is positively teeming with ill-intentioned people scheming, in her words, to 'extinguish democracy', to 'dissolve our national identities', to lead us 'through the back door into a federal Europe'.
What kind of vision is that for our business people who trade there each day, for our financiers who seek to make London the money capital of Europe, or for all the young people of today? These concerns are especially important as we approach the crucially important topic of EMU. We must be positively and centrally involved in this debate and not fearfully and negatively detached. The cost of disengagement here could be very serious indeed...
The tragedy is – and it is for me personally, for my party, for our whole people, for the Prime Minister herself a very real tragedy – that the Prime Minister's perceived attitude towards Europe is running increasingly serious risks for the future of our nation. It risks minimizing our influence and maximizing our chances of being once again shut out.
We have paid heavily in the past for late starts and squandered opportunities in Europe. We dare not let that happen again. If we detach ourselves completely as a party or as a nation from the middle ground of Europe, the effects will be incalculable and very hard ever to correct.
In my letter of resignation, which I tendered with the utmost sadness and dismay, I said: 'Cabinet government is about trying to persuade one another from within.' That was my commitment to government by persuasion, persuading colleagues and the nation.
I have tried to do that as Foreign Secretary and since, but I realize now that the task has become futile, of trying to stretch the meaning of words beyond what was credible, and trying to pretend there was a common policy when every step forward risked being subverted by some casual comment or impulsive answer.
The conflict of loyalty, of loyalty to my Right Hon. Friend the Prime Minister – and, after all, in two decades together that instinct of loyalty is still very real – and of loyalty to what I perceive to be the true interests of the nation, has become all too great. I no longer believe it possible to resolve that conflict from within this government. That is why I have resigned. In doing so, I have done what I believe to be right for my party and my country. The time has come for others to consider their own response to the tragic conflict of loyalties with which I have myself wrestled for perhaps too long.
> _Howe's speech led to the downfall of Margaret Thatcher. Shortly afterwards, Michael Heseltine announced that he would stand against her in the annual leadership election. Mrs Thatcher failed to muster enough votes to win on the first round, subsequently withdrew, and John Major won on the second ballot._
•
## Aung San Suu Kyi
Burma, 1990
#### 'Freedom from fear'
> _Aung San Suu Kyi has been described as the most famous woman in the world never to have held office and, along with the Dalai Lama, as one of the most fêted exponents of non-violent political protest since Mahatma Gandhi. She was put under house arrest by Burma's military government after her National League for Democracy Party won an overwhelming victory in the 1990 general election – when she made this speech – and spent fifteen of the next twenty-one years without her freedom. She sacrificed life with her husband and two sons rather than yield to the junta and refused to return to England when her husband was dying of cancer because she feared she would not be allowed to return to Burma. She was awarded the Nobel Peace Prize in_ _1991_.
It is not power that corrupts but fear. Fear of losing power corrupts those who wield it and fear of the scourge of power corrupts those who are subject to it. Most Burmese are familiar with the four _a-gati_ , the four kinds of corruption. _Chanda-gati_ , corruption induced by desire, is deviation from the right path in pursuit of bribes or for the sake of those one loves. _Dosa-gati_ is taking the wrong path to spite those against whom one bears ill will, and _moga-gati_ is aberration due to ignorance. But perhaps the worst of the four is _bhaya-gati_ , for not only does _bhaya_ , fear, stifle and slowly destroy all sense of right and wrong, it so often lies at the root of the other three kinds of corruption. Just as _chanda-gati_ , when not the result of sheer avarice, can be caused by fear of want or fear of losing the goodwill of those one loves, so fear of being surpassed, humiliated or injured in some way can provide the impetus for ill will. And it would be difficult to dispel ignorance unless there is freedom to pursue the truth unfettered by fear. With so close a relationship between fear and corruption it is little wonder that in any society where fear is rife corruption in all forms becomes deeply entrenched.
Public dissatisfaction with economic hardships has been seen as the chief cause of the movement for democracy in Burma, sparked off by the student demonstrations in 1988. It is true that years of incoherent policies, inept official measures, burgeoning inflation and falling real income had turned the country into an economic shambles. But it was more than the difficulties of eking out a barely acceptable standard of living that had eroded the patience of a traditionally good-natured, quiescent people – it was also the humiliation of a way of life disfigured by corruption and fear.
The students were protesting not just against the death of their comrades but against the denial of their right to life by a totalitarian regime which deprived the present of meaningfulness and held out no hope for the future. And because the students' protests articulated the frustrations of the people at large, the demonstrations quickly grew into a nationwide movement. Some of its keenest supporters were businessmen who had developed the skills and the contacts necessary not only to survive but to prosper within the system. But their affluence offered them no genuine sense of security or fulfilment, and they could not but see that if they and their fellow citizens, regardless of economic status, were to achieve a worthwhile existence, an accountable administration was at least a necessary if not a sufficient condition. The people of Burma had wearied of a precarious state of passive apprehension...
The effort necessary to remain uncorrupted in an environment where fear is an integral part of everyday existence is not immediately apparent to those fortunate enough to live in states governed by the rule of law. Just laws do not merely prevent corruption by meting out impartial punishment to offenders. They also help to create a society in which people can fulfil the basic requirements necessary for the preservation of human dignity without recourse to corrupt practices. Where there are no such laws, the burden of upholding the principles of justice and common decency falls on the ordinary people. It is the cumulative effect on their sustained effort and steady endurance which will change a nation where reason and conscience are warped by fear into one where legal rules exist to promote man's desire for harmony and justice while restraining the less desirable destructive traits in his nature.
In an age when immense technological advances have created lethal weapons which could be, and are, used by the powerful and the unprincipled to dominate the weak and the helpless, there is a compelling need for a closer relationship between politics and ethics at both the national and international levels. The Universal Declaration of Human Rights of the United Nations proclaims that 'every individual and every organ of society' should strive to promote the basic rights and freedoms to which all human beings regardless of race, nationality or religion are entitled. But as long as there are governments whose authority is founded on coercion rather than on the mandate of the people, and interest groups which place short-term profits above long-term peace and prosperity, concerted international action to protect and promote human rights will remain at best a partially realized struggle. There will continue to be arenas of struggle where victims of oppression have to draw on their own inner resources to defend their inalienable rights as members of the human family...
Within a system which denies the existence of basic human rights, fear tends to be the order of the day. Fear of imprisonment, fear of torture, fear of death, fear of losing friends, family, property or means of livelihood, fear of poverty, fear of isolation, fear of failure. A most insidious form of fear is that which masquerades as common sense or even wisdom, condemning as foolish, reckless, insignificant or futile the small daily acts of courage which help to preserve man's self-respect and inherent human dignity. It is not easy for a people conditioned by fear under the iron rule of the principle that might is right to free themselves from the enervating miasma of fear. Yet even under the most crushing state machinery courage rises up again and again, for fear is not the natural state of civilized man.
The wellspring of courage and endurance in the face of unbridled power is generally a firm belief in the sanctity of ethical principles combined with a historical sense that despite all setbacks the condition of man is set on an ultimate course for both spiritual and material advancement. It is his capacity for self-improvement and self-redemption which most distinguishes man from the mere brute. At the root of human responsibility is the concept of perfection, the urge to achieve it, the intelligence to find a path towards it, and the will to follow that path if not to the end at least the distance needed to rise above individual limitations and environmental impediments. It is man's vision of a world fit for rational, civilized humanity which leads him to dare and to suffer to build societies free from want and fear. Concepts such as truth, justice and compassion cannot be dismissed as trite when these are often the only bulwarks which stand against ruthless power.
•
## Tony Benn
London, 20 November 1991
#### 'I cannot hand away powers lent to me'
> _Although he is one of the most controversial politicians in Britain, described by one historian as a populist guru of the left, a dissident, an individualist, almostan anarchist, even his most dedicated political opponents acknowledge the power and persuasiveness of Tony Benn's oratory._
>
> _That is particularly true of his speeches on Europe. Benn (1925–) campaigned against joining the European Community from the outset of the British debate and has consistently warned against what he sees as the perils of federalism._
>
> _As the debate in Britain over a federal Europe intensified towards the end of 1991, with the signing of the Maastricht treaty imminent, Benn, Labour MP for Chesterfield, made this speech to the House of Commons. It was admired by many Conservatives, some his fiercest critics, who believed that on this occasion he spoke for England. Norman Tebbit, a staunch ally of Margaret Thatcher, said it was the best speech he had ever heard in the House._
Some people genuinely believe that we shall never get social justice from the British Government, but we shall get it from Jacques Delors. They believe that a good king is better than a bad Parliament. I have never taken that view. Others believe that the change is inevitable, and that the common currency will protect us from inflation and will provide a wage policy. They believe that it will control speculation and that Britain cannot survive alone. None of those arguments persuade me because the argument has never been about sovereignty.
I do not know what a sovereign is, apart from the one that used to be in gold and the Pope who is a sovereign in the Vatican. We are talking about democracy. No nation – not even the great United States which could, for all I know, be destroyed by a nuclear weapon from a third-world country – has the power to impose its will on other countries. We are discussing whether the British people are to be allowed to elect those who make the laws under which they are governed. The argument is nothing to do with whether we should get more maternity leave from Madame Papandreou than from Madame Thatcher. That is not the issue.
I recognize that when the members of the three Front Benches agree, I am in a minority. My next job therefore is to explain to the people of Chesterfield what we have decided. I will say first, 'My dear constituents, in future you will be governed by people whom you do not elect and cannot remove. I am sorry about it. They may give you better crèches and shorter working hours but you cannot remove them.'
I know that it sounds negative but I have always thought it positive to say that the important thing about democracy is that we can remove without bloodshed the people who govern us. We can get rid of a Callaghan, a Wilson or even a Right Hon. Lady by internal processes. We can get rid of the Right Hon. Member for Huntingdon [Mr Major]. But that cannot be done in the structure that is proposed. Even if one likes the policies of the people in Europe one cannot get rid of them.
Secondly, we say to my favourite friends, the Chartists and suffragettes, 'All your struggles to get control of the ballot box were a waste of time. We shall be run in future by a few white persons, as in 1832.' The instrument, I might add, is the Royal Prerogative of treaty making. For the first time since 1649 the Crown makes the laws – advised, I admit, by the Prime Minister.
We must ask what will happen when people realize what we have done. We have had a marvellous debate about Europe, but none of us has discussed our relationship with the people who sent us here...
If people lose the power to sack their Government one of several things happens. First, people may just slope off. Apathy could destroy democracy. When the turnout drops below 50 per cent, we are in danger...
The second thing that people can do is to riot. Riot is an old-fashioned method for drawing the attention of the Government to what is wrong. It is difficult for an elected person to admit it, but the riot at Strangeways produced some prison reforms. Riot has historically played a much larger part in British politics than we are ever allowed to know.
Thirdly, nationalism can arise. Instead of blaming the Treaty of Rome, people say, 'It is those Germans' or 'It is the French'. Nationalism is built out of frustration that people feel when they cannot get their way through the ballot box. With nationalism comes repression. I hope that it is not pessimistic – in my view it is not – to say that democracy hangs by a thread in every country of the world. Unless we can offer people a peaceful route to the resolution of injustices through the ballot box they will not listen to a House that has blocked off that route.
There are many alternatives open to us. One Hon. Member said that he was young and had not fought in the war. He looked at a new Europe. But there have been five Europes this century. There was one run by the King, the Kaiser and the Tsar – they were all cousins so that was very comfortable. They were all Queen Victoria's grandsons. And there was no nonsense about human rights when Queen Victoria's grandsons repressed people. Then there was the Russian revolution. Then there was the inter-war period. Then there was the Anglo-Soviet alliance. Then there was the cold war. Now we have a Boris Yeltsin who has joined the Monday Club. There have been many Europes. This is not the only Europe on offer...
Another way would be to have a looser, wider Europe. I have an idea for a Commonwealth of Europe. I am introducing a bill on the subject. Europe would be rather like the British Commonwealth. We would work by consent with people. Or we could accept this ghastly proposal, which is clumsy, secretive, centralized, bureaucratic and divisive. That is how I regard the Treaty of Rome. I was born a European and I will die one. But I have never put my alliance behind the Treaty of Rome. I object to it. I hate being called an anti-European. How can one be anti-European when one is born in Europe? It is like saying that one is anti-British if one does not agree with the Chancellor of the Exchequer. What a lot of nonsense it is.
I ask myself why the House is ready to contemplate abandoning its duties, as I fear that it is. I was elected forty-one years ago this month. This Chamber has lost confidence in democracy. It believes that it must be governed by someone else. It is afraid to use the powers entrusted to it by its constituents. It has traded power for status. One gets asked to go on the telly if one is a Member of Parliament. The Chamber does not want to use its power. It has accepted the role of a spectator and joined what Bagehot called the dignified part of the constitution, leaving the Crown, under the control of the Prime Minister, to be the Executive part.
If democracy is destroyed in Britain it will be not the communists, Trotskyists or subversives but this House which threw it away. The rights that are entrusted to us are not for us to give away. Even if I agree with everything that is proposed, I cannot hand away powers lent to me for five years by the people of Chesterfield. I just could not do it. It would be theft of public rights.
Therefore, there is only one answer. If people are determined to submit themselves to Jacques Delors, Madame Papandreou and the Council of Ministers, we must tell the people what is planned. If people vote for that, they will all have capitulated. Julius Caesar said, 'We are just merging our sovereignty.' So did William the Conqueror.
It is not possible to support the Government's motion. I have told the Chief Whip that I cannot support the Labour motion. I invite the House to vote against the Government's motion and not to support a motion which purports to take us faster into a Community which cannot reflect the aspirations of those who put us here. That is not a nationalist argument nor is it about sovereignty. It is a democratic argument and it should be decisive in a democratic Chamber.
•
## Salman Rushdie
New York, December 1991
#### 'What is my single life worth?'
> _After publication of his novel_ The Satanic Verses _Salman Rushdie became the first Western writer to become the subject of a_ fatwa _, a death sentence issued by Ayatollah Khomeini of Iran, who decreed that his book was a blasphemy on the Muslim faith. For several years after 1989 he lived in hiding under 24-hour-a-day protection by British Special Branch bodyguards._
>
> _Rushdie spent the day of this speech, honouring the 200th anniversary of the First Amendment, in a fourteenth-floor suite with twenty armed bodyguards. The windows were blocked by bullet-proof mattresses. At the Columbia Graduate School of Journalism the audience were frisked before entry and the bomb squad was outside the hall. At the end three plain-clothed policemen escorted Rushdie back into hiding._
A hot-air balloon drifts slowly over a bottomless chasm, carrying several passengers. A leak develops; the balloon starts losing height. The pit, a dark yawn, comes closer. Good grief! The wounded balloon can bear just one passenger to safety; the many must be sacrificed to save the one! But who should live, who should die? And who could make such a choice?
In point of fact, debating societies everywhere regularly make such choices without qualms, for of course what I've described is the given situation of that evergreen favourite, the Balloon Debate, in which, as the speakers argue over the relative merits and demerits of the well-known figures they have placed in disaster's mouth, the assembled company blithely accepts the faintly unpleasant idea that a human being's right to life is increased or diminished by his or her virtues or vices – that we may be born equal but thereafter our lives weigh differently in the scales.
It's only make-believe, after all. And while it may not be very nice, it does reflect how people actually think.
I have now spent over a thousand days in just such a balloon; but, alas, this isn't a game. For most of these thousand days, my fellow-travellers included the Western hostages in the Lebanon, and the British businessmen imprisoned in Iran and Iraq, Roger Cooper and Ian Richter. And I had to accept, and did accept, that for most of my countrymen and countrywomen, my plight counted for less than the others'. In any choice between us, I'd have been the first to be pitched out of the basket and into the abyss. 'Our lives teach us who we are,' I wrote at the end of my essay 'In Good Faith'. Some of the lessons have been harsh, and difficult to learn.
Trapped inside a metaphor, I've often felt the need to redescribe it, to change the terms. This isn't so much a balloon, I've wanted to say, as a bubble, within which I'm simultaneously exposed and sealed off. The bubble floats above and through the world, depriving me of reality, reducing me to an abstraction. For many people, I've ceased to be a human being. I've become an issue, a bother, an 'affair'. Bullet-proofed bubbles, like this one, are reality-proof, too. Those who travel in them, like those who wear Tolkien's rings of invisibility, become wraith-like if they're not careful. They get lost. In this phantom space a man may become the bubble that encases him, and then one day – pop! – he's gone forever.
It's ridiculous – isn't it? – to have to say, but I _am_ a human being, unjustly accused, unjustly embubbled. Or is it I who am being ridiculous, as I call out from my bubble, _I'm still trapped in here, folks; somebody, please, get me out?_
Out there where you are, in the rich and powerful and lucky West, has it really been so long since religions persecuted people, burning them as heretics, drowning them as witches, that you can't recognize religious persecution when you see it?... The original metaphor has reasserted itself. I'm back in the balloon, asking for the right to live.
What is my single life worth? Despair whispers in my ear: 'Not a lot.' But I refuse to give in to despair.
I refuse to give in to despair because I've been shown love as well as hatred. I know that many people do care, and are appalled by the crazy, upside-down logic of the post- _fatwa_ world, in which a single novelist can be accused of having savaged or 'mugged' a whole community, becoming its tormentor (instead of its tarred and feathered victim) and the scapegoat for all its discontents. Many people do ask, for example: When a white pop-star-turned-Islamic-fanatic speaks approvingly about killing an Indian immigrant, how does the Indian immigrant end up being called the racist?
Or, again: What minority is smaller and weaker than a minority of one?
I refuse to give in to despair even though, for a thousand days and more, I've been put through a degree course in worthlessness, my own personal and specific worthlessness. My first teachers were the mobs marching down distant boulevards, baying for my blood, and finding, soon enough, their echoes on English streets. I could not understand the force that makes parents hang murderous slogans around their children's necks. I have learned to understand it. It burns books and effigies and thinks itself holy. But at first, as I watched the marchers, I felt them trampling on my heart.
Once again, however, I have been saved by instances of fair-mindedness, of goodness. Every time I learn that a reader somewhere has been touched by _The Satanic Verses_ , moved and entertained and stimulated by it, it arouses deep feelings in me. And there are more and more such readers nowadays, my postbag tells me, readers (including Muslims) who are willing to give my burned, spurned child a fair hearing at long last.
Sometimes I think that, one day, Muslims will be ashamed of what Muslims did in these times, will find the 'Rushdie affair' as improbable as the West now finds martyr-burning. One day they may agree that – as the European Enlightenment demonstrated – freedom of thought is precisely freedom from religious control, freedom from accusations of blasphemy.
Maybe they'll agree, too, that the row over _The Satanic Verses_ was at bottom an argument about who should have power over the grand narrative, the Story of Islam, and that that power must belong equally to everyone. That even if my novel were incompetent, its attempt to retell the story would still be important. That if I've failed, others must succeed, because those who do not have power over the story that dominates their lives, power to retell it, rethink it, deconstruct it, joke about it, and change it as times change, truly are powerless, because they cannot think new thoughts.
One day. Maybe. But not today.
Today, my education in worthlessness continues, and what Saul Bellow would call my 'reality instructors' include: the media pundit who suggests that a manly death would be better for me than hiding like a rat; the letter-writer who points out that of course the trouble is that I _look_ like the Devil, and wonders if I have hairy shanks and cloven hooves; the 'moderate' Muslim who writes to say that Muslims find it 'revolting' when I speak about the Iranian death threats (it's not the _fatwa_ that's revolting, you understand, but my mention of it); the rather more immoderate Muslim who tells me to 'shut up', explaining that if a fly is caught in a spider's web, it should not attract the attention of the spider. I ask the reader to imagine how it might feel to be intellectually and emotionally bludgeoned, from a thousand different directions, every day for a thousand days and more.
Back in the balloon, something longed-for and heartening has happened. On this occasion, _mirabile dictu_ , the many have not been sacrificed, but saved. That is to say, my companions, the Western hostages and the gaoled businessmen, have by good fortune and the efforts of others managed to descend safely to earth, and have been reunited with their families and friends, with their own, free lives. I rejoice for them, and admire their courage, their resilience. And now I'm alone in the balloon.
Surely I'll be safe now? Surely, now, the balloon will drop safely towards some nearby haven, and I, too, will be reunited with my life? Surely it's my turn now?
But the balloon is over the chasm again; and it's still sinking. I realize that it's carrying a great deal of valuable freight. Trading relations, armaments deals, the balance of power in the Gulf – these and other matters of great moment are weighing down the balloon. I hear voices suggesting that if I stay aboard, this precious cargo will be endangered. The national interest is being redefined; am I being redefined out of it? Am I to be jettisoned, after all?
When Britain renewed relations with Iran at the United Nations in 1990, the senior British official in charge of the negotiations assured me in unambiguous language that something very substantial had been achieved on my behalf. The Iranians, laughing merrily, had secretly agreed to forget the _fatwa_. (The diplomat put great stress on this cheery Iranian laughter.) They would 'neither encourage nor allow' their citizens, surrogates or proxies to act against me.
Oh, how I wanted to believe that. But in the year-and-a-bit that followed, we saw the _fatwa_ restated in Iran, the bounty money doubled, the book's Italian translator severely wounded, its Japanese translator stabbed to death; there was news of an attempt to find and kill me by contract killers working directly for the Iranian government through its European embassies. Another such contract was successfully carried out in Paris, the victim being the harmless and aged ex-Prime Minister of Iran, Shapour Bakhtiar.
It seems reasonable to deduce that the secret deal made at the United Nations hasn't worked. Dismayingly, however, the talk as I write is all of improving relations with Iran still further, while the 'Rushdie case' is described as a side-issue.
Is this a balloon I'm in, or the dustbin of history?
At the end of 1990, dispirited and demoralized, feeling abandoned, even then, in consequence of the British government's decision to patch things up with Iran, and with my marriage at an end, I faced my deepest grief, my unquenchable sorrow at having been torn away from, cast out of, the cultures and societies from which I'd always drawn my strength and inspiration – that is, the broad community of British Asians, and the broader community of Indian Muslims. I determined to make my peace with Islam, even at the cost of my pride. Those who were surprised and displeased by what I did perhaps failed to see that I was not some deracinated Uncle Tom Wog.
To these people it was apparently incomprehensible that I should seek to make peace between the warring halves of the world, which were also the warring halves of my soul – and that I should seek to do so in a spirit of humility, instead of the arrogance so often attributed to me.
In 'In Good Faith' I wrote: 'Perhaps a way forward might be found through the mutual recognition of [our] mutual pain', but even moderate Muslims had trouble with this notion: what pain, they asked, could I possibly have suffered? _What was I talking about?_ As a result, the really important conversations I had in this period were with myself.
I said: Salman, you must send a message loud enough to be heard all over the world. You must make ordinary Muslims see that you aren't their enemy, and make the West understand a little more of the complexity of Muslim culture. It was my hope that Westerners might say, well, if he's the one in danger, and yet he's willing to acknowledge the importance of his Muslim roots, then perhaps we ought to start thinking a little less stereotypically ourselves. (No such luck, though. The message you send isn't always the one that's received.)
I reminded myself that I had always argued that it was necessary to develop the nascent concept of the 'secular Muslim', who, like the secular Jews, affirmed his membership of the culture while being separate from the theology. I had recently read the contemporary Muslim philosopher Fouad Zakariya's _Laïcité ou Islamisme_ , and been encouraged by Zakariya's attempt to modernize Islamic thought. But, Salman, I told myself, you can't argue from outside the debating chamber. You've got to cross the threshold, go inside the room, and _then_ fight for your humanized, historicized, secularized way of being a Muslim.
I recalled my near-namesake, the twelfth-century philosopher Ibn Rushd (Averroës), who argued that (to quote the great Arab historian Albert Hourani), 'not all the words of the Qu'ran should be taken literally. When the literal meaning of Qu'ranic verses appeared to contradict the truths to which philosophers arrived by the exercise of reason, those verses needed to be interpreted metaphorically.'
But Ibn Rushd was a snob. Having propounded an idea far in advance of its time, he qualified it by saying that such sophistication was only suitable for the élite; literalism would do for the masses. Salman, I asked myself, is it time to pick up Ibn Rushd's banner and carry it forward; to say, nowadays such ideas are fit for everybody, for the beggar as well as the prince?
It was with such things in mind – and with my thoughts in a state of some confusion and torment – that I spoke the Muslim creed before witnesses. But my fantasy of joining the fight for the modernization of Muslim thought, for freedom from the shackles of the Thought Police, was stillborn. It never really had a chance. Too many people had spent too long demonizing or totemizing me to listen seriously to what I had to say. In the West, some 'friends' turned against me, called me by yet another set of insulting names. Now I was spineless, pathetic, debased; I had betrayed myself, my Cause; above all, I had betrayed _them_.
I also found myself up against the granite, heartless certainties of Actually Existing Islam, by which I mean the political and priestly power structure that presently dominates and stifles Muslim societies. Actually Existing Islam has failed to create a free society anywhere on earth, and it wasn't about to let me, of all people, argue in favour of one.
Suddenly I was (metaphorically) among people whose social attitudes I'd fought all my life – for example, their attitudes about women (one Islamicist boasted to me that his wife would cut his toenails while he made telephone calls, and suggested I found such a spouse) or about gays (one of the Imams I met in December 1990 was on TV soon afterwards, denouncing Muslim gays as sick creatures who brought shame on their families and who ought to seek medical and psychiatric help). Had I truly fallen in among such people? _That was not what I meant at all_.
Facing the intransigence, the philistine scorn of so much of Actually Existing Islam, I reluctantly concluded that there was no way for me to help bring into the Muslim culture I'd dreamed of, the progressive, irreverent, sceptical, argumentative, playful and _unafraid_ culture which is what I've always understood as _freedom_. Not me, not in this lifetime, no chance. Actually Existing Islam, which has all but deified its Prophet, a man who always fought passionately against such deification; which has supplanted a priest-free religion by a priest-ridden one; which makes literalism a weapon and redescriptions a crime, will never let the likes of me in.
Ibn Rushd's ideas were silenced in their time. And throughout the Muslim world today, progressive ideas are in retreat. Actually Existing Islam reigns supreme, and just as the recently destroyed 'Actually Existing Socialism' of the Soviet terror-state was horrifically unlike the utopia of peace and equality of which democratic socialists have dreamed, so also is Actually Existing Islam a force to which I have never given in, to which I cannot submit.
There is a point beyond which conciliation looks like capitulation. I do not believe I passed the point, but others have thought otherwise.
I have never disowned my book, nor regretted writing it. I said I was sorry to have offended people, because I had not set out to do so, and so I am. I explained that writers do not agree with every word spoken by every character they create – a truism in the world of books, but a continuing mystery to _The Satanic Verses_ ' opponents. I have always said that this novel has been traduced.
It has now been more than three years since _The Satanic Verses_ was published; that's a long, long 'space for reconciliation'. Long enough. I accept that I was wrong to have given way on this point. _The Satanic Verses_ must be freely available and easily affordable, if only because if it is not read and studied, then these years will have no meaning. Those who forget the past are condemned to repeat it.
'Our lives teach us who we are.' I have learned the hard way that when you permit anyone else's description of reality to supplant your own – and such descriptions have been raining down on me, from security advisers, governments, journalists, archbishops, friends, enemies, mullahs – then you might as well be dead. Obviously, a rigid, blinkered, absolutist world-view is the easiest to keep hold of; whereas the fluid, uncertain, metamorphic picture I've always carried about is rather more vulnerable.
Yet I must cling with all my might to that chameleon, that chimera, that shape-shifter, my own soul; must hold on to its mischievous, iconoclastic, out-of-step clown-instincts, no matter how great the storm. And if that plunges me into contradiction and paradox, so be it; I've lived in that messy ocean all my life. I've fished in it for my art. This turbulent sea was the sea outside my bedroom window in Bombay. It is the sea by which I was born, and which I carry within me wherever I go.
'Free speech is a non-starter,' says one of my Islamic extremist opponents. No, sir, it is not. Free speech is the whole thing, the whole ball game. Free speech is life itself.
That's the end of my speech from this ailing balloon. Now it's time to answer the question. What is my single life worth?
Is it worth more or less than the fat contracts and political treaties that are in here with me? Is it worth more or less than good relations with a country which, in April 1991, gave 800 women seventy-four lashes each for not wearing a veil; in which the eighty-year-old writer Mariam Pirouz is still in gaol, and has been tortured; and whose Foreign Minister says, in response to criticism of his country's lamentable human-rights record, 'International monitoring of the human rights situation in Iran should not continue indefinitely... Iran could not tolerate such monitoring for long'?
You must decide what you think a friend is worth to his friends, what you think a son is worth to his mother, or a father to his son.
You must decide what a man's conscience and heart and soul are worth. You must decide what you think a writer is worth, what value you place on a maker of stories, and an arguer with the world.
Ladies and gentlemen, the balloon is sinking into the abyss.
•
## Queen Elizabeth II
London, 24 November 1992
#### 'Annus horribilis'
> _As Queen Elizabeth II celebrated her fortieth year on the throne in 1992, the British monarchy was in unprecedented disarray and under unprecedented attack. The Princess Royal had divorced, the Duke and Duchess of York had separated, and the marriage of the Prince and Princess of Wales had been exposed as a sham. Meanwhile, critics of the monarchy accused the Queen of being aloof and out of touch. The bill for the monarchy was too high, they said. The Queen should pay tax._
>
> _On 20 November Windsor Castle, one of the Queen's main homes, caught fire. Photographs of the blazing castle had a ring of the apocalypse. Sympathy for the Queen was dissipated, however, when the government said that she would not have to foot any of the bill to restore the castle._
>
> _Four days later the Lord Mayor of London, clad in brilliant ermine, was the Queen's host at a City of London lunch to celebrate the Queen's anniversary. The Queen was dressed in darkest navy, as if in mourning, and was suffering from a cold. She was almost croaking as she delivered the first unforgettable speech of her reign in which she accepted criticism but urged that it should be tempered with gentleness, good humour and understanding._
Nineteen ninety-two is not a year I shall look back on with undiluted pleasure. In the words of one of my more sympathetic correspondents, it has turned out to be an 'Annus Horribilis'.
I suspect that I am not alone in thinking it so. Indeed, I suspect that there are very few people or institutions unaffected by these last months of worldwide turmoil and uncertainty. This generosity and wholehearted kindness of the Corporation of the City to Prince Philip and me would be welcome at any time, but at this particular moment, in the aftermath of Friday's tragic fire at Windsor, it is especially so. And, after this last weekend, we appreciate all the more what has been set before us today. Years of experience, however, have made us a bit more canny than the lady, less well versed than us in the splendours of City hospitality, who, when she was offered a balloon glass for her brandy, asked for 'only half a glass, please'. It is possible to have too much of a good thing. A well-meaning Bishop was obviously doing his best when he told Queen Victoria, 'Ma'am, we cannot pray too often, nor too fervently, for the Royal Family.' The Queen's reply was, 'Too fervently, no; too often, yes.'
I, like Queen Victoria, have always been a believer in that old maxim 'moderation in all things'. I sometimes wonder how future generations will judge the events of this tumultuous year. I dare say that history will take a slightly more moderate view than that of some contemporary commentators. Distance is well known to lend enchantment, even to the less attractive views. After all, it has the inestimable advantage of hindsight. But it can also lend an extra dimension to judgement, giving it a leavening of moderation and compassion – even of wisdom – that is sometimes lacking in the reactions of those whose task it is in life to offer instant opinions on all things great and small.
No section of the community has all the virtues, neither does any have all the vices. I am quite sure that most people try to do their jobs as best they can, even if the result is not always entirely successful. He who has never failed to reach perfection has a right to be the harshest critic. There can be no doubt, of course, that criticism is good for people and institutions that are part of public life. No institution – City, Monarchy, whatever – should expect to be free from the scrutiny of those who give it their loyalty and support, not to mention those who don't. But we are all part of the same fabric of our national society and that scrutiny, by one part of another, can be just as effective if it is made with a touch of gentleness, good humour and understanding. This sort of questioning can also act, and it should do so, as an effective engine for change. The City is a good example of the way the process of change can be incorporated into the stability and continuity of a great institution. I particularly admire, my Lord Mayor, the way in which the City has adapted so nimbly to what the Prayer Book calls 'the changes and chances of this mortal life'. You have set an example of how it is possible to remain effective and dynamic without losing those indefinable qualities, style and character. We only have to look around this great hall to see the truth of that.
Forty years is quite a long time. I am glad to have had the chance to witness, and to take part in, many dramatic changes in life in this country. But I am glad to say that the magnificent standard of hospitality given on so many occasions to the Sovereign by the Lord Mayor of London has not changed at all. It is an outward symbol of one other unchanging factor which I value above all – the loyalty given to me and my family by so many people in this country, and the Commonwealth, throughout my reign. You, my Lord Mayor, and all those whose prayers – fervent, I hope, but not too frequent – have sustained me through all these years, are friends indeed. Prince Philip and I give you all, wherever you may be, our most humble thanks.
> _It was as if the Queen was begging for sympathy and baring her soul in public about the most horrible year of her reign, said the commentators_. Annus horribilis, _a phrase probably suggested by Sir Robert Fellowes, her private secretary, entered the language and was a gift to headline writers, even though the sceptical headline writers of the_ Sun _,_ _Britain's biggest-selling daily newspaper, rendered her message as 'One's Bum Year'. Within weeks it was announced that the Queen would pay tax and that the Prince of Wales, heir to the throne, and the Princess of Wales were to separate._
•
## Bill Clinton
Memphis, 13 November 1993
#### 'If Martin Luther King were to reappear'
> _William Jefferson (Bill) Clinton (1946–) was born in Hope, Arkansas, educated at Georgetown, Yale and Oxford and became the youngest ever governor of Arkansas in 1978. He served five terms as governor before he defeated George Bush on a platform of hope and change in the presidential election of 1992._
>
> _Clinton was reared in a religious home. He made this speech to 5,000 ministers ten months after his inauguration at the Church of God in Christ inMemphis from the pulpit where Martin Luther King preached his last sermon before his assassination. Clinton started the speech by describing some of the achievements of his presidency. Then he turned to what he really wanted to say, speaking impromptu._
>
> _William Safire, the distinguished American columnist, himself a former White House speechwriter, describes it as quintessential Clinton: 'personal, impassioned, anecdotal, self-questioning, colloquial and, with Bible-quoting Southern Baptist cadences, uplifting'._
What I really want to say to you today, my fellow Americans, is that we can do all of this and still fail unless we meet the great crisis of the spirit that is gripping America today...
I tell you, unless we do something about crime and violence and drugs that is ravaging the community, we will not be able to repair this country.
If Martin Luther King, who said, 'Like Moses, I am on the mountaintop, and I can see the promised land, but I'm not going to be able to get there with you, but we will get there' – if he were to reappear by my side today and give us a report card on the last twenty-five years, what would he say? You did a good job, he would say, voting and electing people who formerly were not electable because of the colour of their skin. You have more political power, and that is good. You did a good job, he would say, letting people who have the ability to do so live wherever they want to live, go wherever they want to go in this great country. You did a good job, he would say, elevating people of colour into the ranks of the United States Armed Forces to the very top or into the very top of our Government. You did a very good job, he would say. He would say, you did a good job creating a black middle class of people who really are doing well, and the middle class is growing more among African-Americans than among non-African-Americans. You did a good job: you did a good job in opening opportunity.
But he would say: I did not live and die to see the American family destroyed. I did not live and die to see thirteen-year-old boys get automatic weapons and gun down nine-year-olds just for the kick of it. I did not live and die to see young people destroy their own lives with drugs and then build fortunes destroying the lives of others. That is not what I came here to do. I fought for freedom, he would say, but not for the freedom of people to kill each other with reckless abandon, not for the freedom of children to have children and the fathers of the children walk away from them and abandon them as if they don't amount to anything. I fought for people to have the right to work but not to have whole communities and people abandoned. This is not what I lived and died for.
My fellow Americans, he would say, I fought to stop white people from being so filled with hate that they would wreak violence on black people. I did not fight for the right of black people to murder other black people with reckless abandon.
The other day the Mayor of Baltimore, a dear friend of mine, told me a story of visiting the family of a young man who had been killed – eighteen years old – on Halloween. He always went out with little bitty kids so they could trick-or-treat safely. And across the street from where they were walking on Halloween, a fourteen-year-old boy gave a thirteen-year-old boy a gun and dared him to shoot the eighteen-year-old boy, and he shot him dead. And the Mayor had to visit the family.
In Washington, DC, where I live, your nation's Capital, the symbol of freedom throughout the world, look how that freedom is being exercised. The other night a man came along the street and grabbed a one-year-old child and put the child in his car. The child may have been the child of the man. And two people were after him, and they chased him in the car, and they just kept shooting with reckless abandon, knowing that baby was in the car. And they shot the man dead, and a bullet went through his body into the baby's body, and blew the little bootie off the child's foot.
The other day on the front page of our paper, the nation's Capital, are we talking about world peace or world conflict? No, big article on the front page of the _Washington Post_ about an eleven-year-old child planning her funeral: 'These are the hymns I want sung. This is the dress I want to wear. I know I'm not going to live very long.' That is not the freedom, the freedom to die before you're a teenager is not what Martin Luther King lived and died for.
More than 37,000 people die from gunshot wounds in this country every year. Gunfire is the leading cause of death in young men. And now that we've all got so cool that everybody can get a semiautomatic weapon, a person shot now is three times more likely to die than fifteen years ago, because they're likely to have three bullets in them. A hundred and sixty thousand children stay home from school every day because they are scared they will be hurt in their schools.
The other day I was in California at a town meeting, and a handsome young man stood up and said: 'Mr President, my brother and I, we don't belong to gangs. We don't have guns. We don't do drugs. We want to go to school. We want to be professionals. We want to work hard. We want to do well. We want to have families. And we changed our school because the school we were in was so dangerous. So when we stowed up to the new school to register, my brother and I were standing in line and somebody ran into the school and started shooting a gun. My brother was shot down standing right in front of me at the safer school.' The freedom to do that kind of thing is not what Martin Luther King lived and died for, not what people gathered in this hallowed church for the night before he was assassinated in April of 1968. If you had told anybody who was here in that church on that night that we would abuse our freedom in that way, they would have found it hard to believe. And I tell you, it is our moral duty to turn it around...
I read a wonderful speech the other day given at Howard University in a lecture series funded by Bill and Camille Cosby, in which the speaker said, 'I grew up in Anacostia years ago. Even then it was all black, and it was a very poor neighbourhood. But you know, when I was a child in Anacostia, a 100 per cent African-American neighbourhood, a very poor neighbourhood, we had a crime rate that was lower than the average of the crime rate of our city. Why? Because we had coherent families. We had coherent communities. The people who filled the church on Sunday lived in the same place they went to church. The guy that owned the drugstore lived down the street. The person that owned the grocery store lived in our community. We were whole.' And I say to you, we have to make our people whole again.
This church has stood for that. Why do you think you have 5 million members in this country? Because people know you are filled with the spirit of God to do the right thing in this life by them. So I say to you, we have to make a partnership, all the Government agencies, all the business folks; but where there are no families, where there is no order, where there is no hope, where we are reducing the size of our armed services because we have won the cold war, who will be there to give structure, discipline, and love to these children? You must do that. And we must help you. Scripture says, you are the salt of the Earth and the light of the world, that if your light shines before men they will give glory to the Father in heaven. That is what we must do.
That is what we must do. How would we explain it to Martin Luther King if he showed up today and said, yes, we won the cold war. Yes, the biggest threat that all of us grew up under, Communism and nuclear war, Communism gone, nuclear war receding. Yes, we developed all these miraculous technologies. Yes, we all have got a VCR in our home; it's interesting. Yes, we get fifty channels on the cable. Yes, without regard to race, if you work hard and play by the rules, you can get into a service academy or a good college, you'll do just great. How would we explain to him all these kids getting killed and killing each other? How would we justify the things that we permit that no other country in the world would permit? How could we explain that we gave people the freedom to succeed, and we created conditions in which millions abuse that freedom to destroy the things that make life worth living and life itself? We cannot.
And so I say to you today, my fellow Americans, you gave me this job, and we're making progress on the things you hired me to do. But unless we deal with the ravages of crime and drugs and violence and unless we recognize that it's due to the breakdown of the family, the community, and the disappearance of jobs, and unless we say some of this cannot be done by Government, because we have to reach deep inside to the values, the spirit, the soul, and the truth of human nature, none of the other things we seek to do will ever take us where we need to go.
So in this pulpit, on this day, let me ask all of you in your heart to say: We will honour the life and the work of Martin Luther King. We will honour the meaning of our church. We will, somehow, by God's grace, we will turn this around. We will give these children a future. We will take away their guns and give them books. We will take away their despair and give them hope. We will rebuild the families and the neighbourhoods and the communities. We won't make all the work that has gone on here benefit just a few. We will do it together by the grace of God.
•
## Nelson Mandela
Johannesburg, 10 May 1994
#### 'Let freedom reign'
> _Nelson Mandela was released twenty-seven years after he was imprisoned, in February 1990. Four years later, after President William de Klerk initiated a historic peace accord with the black majority of South Africans, led by Mandela, he was elected president in South Africa's first democratic elections. This was his inaugural address._
Today all of us do, by our presence here, and by our celebrations in other parts of our country and the world, confer glory and hope to newborn liberty. Out of the experience of an extraordinary human disaster that lasted too long must be born a society of which all humanity will be proud.
Our daily deeds as ordinary South Africans must produce an actual South African reality that will reinforce humanity's belief in justice, strengthen its confidence in the nobility of the human soul and sustain all our hopes for a glorious life for all.
All this we owe both to ourselves and to the peoples of the world who are so well represented here today.
To my compatriots, I have no hesitation in saying that each one of us is as intimately attached to the soil of this beautiful country as are the famous jacaranda trees of Pretoria and the mimosa trees of the bushveld.
Each time one of us touches the soil of this land, we feel a sense of personal renewal. The national mood changes as the seasons change.
We are moved by a sense of joy and exhilaration when the grass turns green and the flowers bloom.
That spiritual and physical oneness we all share with this common homeland explains the depth of the pain we all carried in our hearts as we saw our country tear itself apart in a terrible conflict, and as we saw it spurned, outlawed and isolated by the peoples of the world, precisely because it has become the universal base of the pernicious ideology and practice of racism and racial oppression.
We, the people of South Africa, feel fulfilled that humanity has taken us back into its bosom; that we, who were outlaws not so long ago, have today been given the rare privilege to be host to the nations of the world on our own soil. We thank all our distinguished international guests for having come to take possession with the people of our country of what is, after all, a common victory for justice, for peace, for human dignity.
We trust that you will continue to stand by us as we tackle the challenges of building peace, prosperity, non-sexism, non-racialism and democracy.
We deeply appreciate the role that the masses of our people and their political mass democratic, religious, women, youth, business, traditional and other leaders have played to bring about this conclusion. Not least among them is my second deputy president, the honourable F. W. de Klerk.
We would also like to pay tribute to our security forces, in all their ranks, for the distinguished role they have played in securing our first democratic elections and the transition to democracy, from bloodthirsty forces which still refuse to see the light.
The time for the healing of the wounds has come. The moment to bridge the chasms that divide us has come. The time to build is upon us. We have, at last, achieved our political emancipation. We pledge ourselves to liberate all our people from the continuing bondage of poverty, deprivation, suffering, gender and other discrimination.
We succeeded to take our last steps to freedom in conditions of relative peace. We commit ourselves to the construction of a complete, just and lasting peace.
We have triumphed in the effort to implant hope in the breasts of the millions of our people. We enter into a covenant that we shall build the society in which all South Africans, both black and white, will be able to walk tall, without any fear in their hearts, assured of their inalienable right to human dignity – a rainbow nation at peace with itself and the world.
As a token of its commitment to the renewal of our country, the new interim Government of National Unity will, as a matter of urgency, address the issue of amnesty for various categories of our people who are currently serving terms of imprisonment.
We dedicate this day to all the heroes and heroines in this country and the rest of the world who sacrificed in many ways and surrendered their lives so that we could be free. Their dreams have become reality. Freedom is their reward.
We are both humbled and elevated by the honour and privilege that you, the people of South Africa, have bestowed on us, as the first president of a united, democratic, non-racial and non-sexist South Africa, to lead our country out of the valley of darkness.
We understand it still that there is no easy road to freedom. We know it well that none of us acting alone can achieve success. We must therefore act together as a united people, for national reconciliation, for nation building, for the birth of a new world. Let there be justice for all. Let there be peace for all. Let there be work, bread, water and salt for all.
Let each know that for each the body, the mind and the soul have been freed to fulfil themselves.
Never, never and never again shall it be that this beautiful land will again experience the oppression of one by another and suffer the indignity of being the skunk of the world.
Let freedom reign. The sun shall never set on so glorious a human achievement. God bless Africa. Thank you.
•
## Elie Wiesel
Auschwitz, 27 January 1995
#### 'Listen to the silent screams'
> _As a teenager Elie Wiesel (1928–) was imprisoned in Auschwitz and Buchenwald where his parents and sister died. He became a journalist after the war and a United States citizen in 1963. All his novels and plays have recalled the horror of the Nazi concentration camps. He was awarded the Nobel Peace Prize in 1986._
>
> _The fiftieth anniversary of the liberation of Auschwitz was marked by a special ceremony attended by thirteen presidents, three kings and many Nobel laureates to pray for its 1.5 million victims. The Polish president, Lech Walesa, was flanked by two survivors. One was Simone Veil, the French health and social affairs minister. The other was Wiesel, who delivered this haunting address._
I speak to you as a man who fifty years and nine days ago had no name, no hope, no future and was known only by his number, A 70713.
I speak as a Jew who has seen what humanity has done to itself by trying to exterminate an entire people and inflict suffering and humiliation and death on so many others.
In this place of darkness and malediction we can but stand in awe and remember its stateless, faceless and nameless victims. Close your eyes and look: endless nocturnal processions are converging here, and here it is always night. Here heaven and earth are on fire.
Close your eyes and listen. Listen to the silent screams of terrified mothers, the prayers of anguished old men and women. Listen to the tears of children, Jewish children, a beautiful little girl among them, with golden hair, whose vulnerable tenderness has never left me. Look and listen as they quietly walk towards dark flames so gigantic that the planet itself seemed in danger.
All these men and women and children came from everywhere, a gathering of exiles drawn by death.
_Yitgadal veyitkadash, Shmay Rabba._
In this kingdom of darkness there were many people. People who came from all the occupied lands of Europe. And then there were the Gypsies and the Poles and the Czechs... It is true that not all the victims were Jews. But all the Jews were victims.
Now, as then, we ask the question of all questions: what was the meaning of what was so routinely going on in this kingdom of eternal night. What kind of demented mind could have invented this system?
And it worked. The killers killed, the victims died and the world was the world and everything else was going on, life as usual. In the towns nearby, what happened? In the lands nearby, what happened? Life was going on where God's creation was condemned to blasphemy by the killers and their accomplices.
_Yitgadal veyitkadash, Shmay Rabba._
Turning point or watershed, Birkenau produced a mutation on a cosmic scale, affecting man's dreams and endeavours. After Auschwitz, the human condition is no longer the same. After Auschwitz, nothing will ever be the same.
_Yitgadal veyitkadash, Shmay Rabba._
As we remember the solitude and the pain of its victims, let us declare this day marks our commitment to commemorate their death, not to celebrate our own victory over death.
As we reflect upon the past, we must address ourselves to the present, and the future. In the name of all that is sacred in memory, let us stop the bloodshed in Bosnia, Rwanda and Chechenia; the vicious and ruthless terror attacks against Jews in the Holy Land. Let us reject and oppose more effectively religious fanaticism and racial hate.
Where else can we say to the world 'Remember the morality of the human condition,' if not here?
For the sake of our children, we must remember Birkenau, so that it does not become their future.
_Yitgadal veyitkadash, Shmay Rabba:_ Weep for Thy children whose death was not mourned then; weep for them, our Father in heaven, for they were deprived of their right to be buried, for heaven itself became their cemetery.
•
## Earl Spencer
Westminster Abbey, 6 September 1997
#### 'The most hunted person of the modern age'
> _People don't clap at funerals but they did – and inside Westminster Abbey – at the funeral of Diana, Princess of Wales, the divorced wife of Prince Charles, who had been killed with Dodi Fayed in a Paris car crash. The occasion was the tribute to his sister by Princess Diana's brother Earl Spencer over her catafalque. The funeral was broadcast live across the world and almost certainly reached the largest audience in history._
>
> _Spencer delivered a deeply felt attack on the press and then flung down a challenge to the royal family over the upbringing of the Princess's two sons, William and Harry. As he finished his oration, his voice broke. The masses outside, most of whom had been critical of the Queen's response to the Princess's death, started applauding. The sound of the applause penetrated the Abbey and the congregation joined in. It was utterly unprecedented and the Queen sat immobile as her subjects made their brief revolt._
I stand before you today the representative of a family in grief, in a country in mourning before a world in shock.
We are all united not only in our desire to pay our respects to Diana, but rather in our need to do so.
For such was her extraordinary appeal that the tens of millions of people taking part in this service all over the world, via television and radio, who never actually met her, feel that they, too, lost someone close to them in the early hours of Sunday morning. It is a more remarkable tribute to Diana than I can ever hope to offer her today.
Diana was the very essence of compassion, of duty, of style, of beauty. All over the world she was a symbol of selfless humanity. All over the world, a standard-bearer for the rights of the truly downtrodden, a very British girl who transcended nationality. Someone with a natural nobility who was classless and who proved in the last year that she needed no royal title to continue to generate her particular brand of magic.
Today is our chance to say thank you for the way you brightened our lives, even though God granted you but half a life. We will all feel cheated always that you were taken from us so young, and yet we must learn to be grateful that you came along at all. Only now that you are gone do we truly appreciate what we are now without and we want you to know that life without you is very, very difficult.
We have all despaired at our loss over the past week, and only the strength of the message you gave us through your years of giving has afforded us the strength to move forward.
There is a temptation to rush to canonize your memory. There is no need to do so. You stand tall enough as a human being of unique qualities not to need to be seen as a saint. Indeed, to sanctify your memory would be to miss out on the very core of your being, your wonderfully mischievous sense of humour with a laugh that bent you double.
Your joy for life transmitted wherever you took your smile and the sparkle in those unforgettable eyes. Your boundless energy, which you could barely contain.
But your greatest gift was your intuition, and it was a gift you used wisely. This is what underpinned all your other wonderful attributes, and if we look to analyse what it was about you that had such a wide appeal, we find it in your instinctive feel for what was really important in all our lives. Without your God-given sensitivity we would be immersed in greater ignorance at the anguish of AIDS and HIV sufferers, the plight of the homeless, the isolation of lepers, the random destruction of landmines.
Diana explained to me once that it was her innermost feelings of suffering that made it possible for her to connect with her constituency of the rejected.
And here we come to another truth about her. For all the status, the glamour, the applause, Diana remained throughout a very insecure person at heart, almost childlike in her desire to do good for others so she could release herself from deep feelings of unworthiness, of which her eating disorders were merely a symptom.
The world sensed this part of her character and cherished her for her vulnerability while admiring her for her honesty.
The last time I saw Diana was on 1 July, her birthday, in London, when typically she was not taking time to celebrate her special day with friends but was guest of honour at a special charity fund-raising evening.
She sparkled of course, but I would rather cherish the days I spent with her in March when she came to visit me and my children in our home in South Africa.
I am proud of the fact that, apart from when she was on display meeting President Mandela, we managed to contrive to stop the ever-present paparazzi from getting a single picture of her – that meant a lot to her.
These were days I will always treasure. It was as if we had been transported back to our childhood when we spent such an enormous amount of time together – the two youngest in the family.
Fundamentally, she had not changed at all from the big sister who mothered me as a baby, fought with me at school and endured those long train journeys between our parents' homes with me at weekends. It is a tribute to her level-headedness and strength that despite the most bizarre-like life imaginable after her childhood, she remained intact, true to herself.
There is no doubt that she was looking for a new direction in her life at this time. She talked endlessly of getting away from England, mainly because of the treatment she received at the hands of the newspapers. I don't think she ever understood why her genuinely good intentions were sneered at by the media, why there appeared to be a permanent quest on their behalf to bring her down. It is baffling.
My own and only explanation is that genuine goodness is threatening to those at the opposite end of the moral spectrum. It is a point to remember that of all the ironies about Diana, perhaps the greatest was this – a girl given the name of the ancient goddess of hunting was, in the end, the most hunted person of the modern age.
She would want us today to pledge ourselves to protecting her beloved boys William and Harry from a similar fate and I do this here, Diana, on your behalf. We will not allow them to suffer the anguish that used regularly to drive you to tearful despair.
And beyond that, on behalf of your mother and sisters, I pledge that we, your blood family, will do all we can to continue the imaginative way in which you were steering these two exceptional young men so that their souls are not simply immersed by duty and tradition but can sing openly as you planned.
We fully respect the heritage into which they have both been born, and will always respect and encourage them in their Royal role.
But we, like you, recognize the need for them to experience as many different aspects of life as possible to arm them spiritually and emotionally for the years ahead. I know you would have expected nothing less from us.
William and Harry, we all care desperately for you today. We are all chewed up with sadness at the loss of a woman who was not even our mother. How great your suffering is we cannot even imagine.
I would like to end by thanking God for the small mercies he has shown us at this dreadful time; for taking Diana at her most beautiful and radiant and when she had joy in her private life.
Above all, we give thanks for the life of a woman I am so proud to be able to call my sister: the unique, the complex, the extraordinary and irreplaceable Diana, whose beauty, both internal and external, will never be extinguished from our minds.
•
## Tony Blair
Brighton, 30 September 1997
#### 'A beacon to the world'
> _Tony Blair became the third youngest prime minister in British history (after Pitt the Younger and Lord Liverpool) when New Labour won a landslide victory over John Major's Conservatives in the 1997 general election. He was the most popular prime minister since opinion polls began._
>
> _There was an element of triumphalism in his speech to the first party conferenceheld under a Labour government since 1979 but it also demonstrated how far the Labour Party had travelled in the previous eighteen years. There was no mention of socialism or equality or nationalization. Instead Blair emphasized duty over rights, the importance of family life, zero tolerance on crime and a more positive approach to European unity as he appealed for Britain to become a beacon to the world. Even right-wing commentators hailed the speech as a historic statement of intent._
It has been a very long time waiting for this moment and all I can tell you is that after eighteen long years of Opposition, I am deeply proud – privileged – to stand before you as the new Labour Prime Minister of our country.
I believe in Britain. I believe in the British people. One cross on the ballot paper. One nation was reborn.
Today, I want to set an ambitious course for this country: to be nothing less than the model twenty-first-century nation, a beacon to the world. It means drawing deep into the richness of the British character. Creative. Compassionate. Outward-looking. Old British values, but a new British confidence.
We can never be the biggest. We may never again be the mightiest. But we can be the best. The best place to live. The best place to bring up children, the best place to lead a fulfilled life, the best place to grow old.
Fourteen years ago, our party was written off as history. This year we made history. And let our first thanks be to the British people. You kept faith with us. And we will keep faith with you. Thank you to the party organization, the volunteers, the professionals who fashioned the finest political fighting machine our country has ever known.
Ours was not a victory of politicians but of people. The people took their trust, and gave it to us. I want them to say, this week as they watch us here in Brighton, 'We did the right thing.' I want the British people to be as proud of having elected us as we are to serve them. We won because we are new Labour, because we had the courage to change ourselves, and the discipline to take hard decisions, whilst remaining united.
But I want to do more than keep our promises. I sense the British people demand more of us, too. People ask me the highlight of the election. Mine was driving from home to Buckingham Palace, along streets we had driven hundreds of times, past soulless buildings and sullen faces on their way to work. This drive was so different. As we turned into Gower Street, people watching our journey on TV came pouring out of the doorways, waving and shouting and clapping, with an energy and excitement that went beyond anything I imagined would happen.
They were liberated. Theirs were the smiles of tolerant, broadminded, outward-looking, compassionate people and suddenly they learnt that they were in the majority after all. As one woman put it to me: 'We've got our Government back.' And with them I could sense confidence returning to the British people, compassion to the British soul, unity to the British nation, and that all three would give us new-found strength.
You see, the people were yearning for change in their country, at a time when they could see we had had the guts to modernize our party. The two came together.
The result is a quiet revolution now taking place. Led by the real modernizer: not me, the British people. They were the ones who had the guts to do it. And I say the size of our victory puts a special responsibility on us. To be a Government of high ideals and hard choices. Not popular for one time, but remembered for all time. Not just a better Government than the Tories but one of the great, radical, reforming governments of our history.
The British don't fear change. We are one of the great innovative peoples. From the Magna Carta to the first Parliament to the Industrial Revolution to an Empire that covered the world. Most of the great inventions of modern times with Britain stamped on them: the telephone; the television; the computer; penicillin; the hovercraft; radar.
Change is in the blood and bones of the British. We are by our nature and tradition innovators, adventurers, pioneers. As our great poet of renewal and recovery, John Milton, put it, we are 'a nation not slow or dull, but of quick, ingenious and piercing spirit, acute to invent, subtle and sinewy to discourse, not beneath the reach of any point that human capacity can soar to'.
Even today in Britain we lead the world, in design, pharmaceuticals, financial services, telecommunications. We have the world's first language, English. Britain today is an exciting, inspiring place to be. And it can be much more, if we face the challenge of a world around us today that has its finger on the fast-forward button; where every part of the picture of our life is changing, changing constantly.
So today I say to the British people the chains of mediocrity have broken, the tired days are behind us, we are free to excel once more. We are free to build that model twenty-first-century nation, to become that beacon to the world.
Creative. Compassionate. Confident of our place in the world. And you know, when people say, 'Sorry, that's too ambitious. Sorry, it can't be done,' I say: this is not a sorry country, we are not a sorry people. It can be done: if you have the will, the courage and determination to do it...
It's pretty simple, the type of country I want. It's a country where our children are proud and happy to grow up, feeling good not just about themselves, but about the community around them.
I don't want them living in a country where some of them go to school hungry, unable to learn because their parents can't afford to feed them; where they can see drugs being traded at school gates; where gangs of teenagers hang around street corners, doing nothing but spitting and swearing and abusing passers-by.
I don't want them brought up in a country where the only way pensioners can get long-term care is by selling their home, where people who fought to keep that country free are now faced every winter with the struggle for survival, skimping and saving, cold and alone, waiting for death to take them.
And I will not rest until that country is gone, until all our children live in a Britain where no child goes hungry, the young are employed, and the old are cherished and valued to the end of their days.
But let me spell out some facts. After eighteen years of Tory Government, of cuts and closures, of declining public services, the country was taxed more than under the last Labour Government.
This country, any country today, will not just carry on paying out more in taxes and getting less. Our new society that we want to create will have the same values as it ever did. Fighting poverty and unemployment. Securing justice and opportunity. It should be a compassionate society. It _must_ be a compassionate society.
But it is compassion with a hard edge, because a strong society cannot be built in the real world on soft choices. It means fundamental reform of our welfare state, of the deal between citizen and society. It means getting money out of social breakdown and into schools and hospitals where we want to see it.
The new welfare state must encourage work, not dependency... We want single mothers with school-age children at least to visit a job centre, not just stay at home waiting for the benefit cheque, every week until the children are sixteen.
We cannot be that beacon to the world in the year 2005 with a welfare state built for the very different world of 1945. Our tax system should reward hard work. In the eighties, the Tories took down high marginal tax rates for high earners. It is time we did the same for Britain's working poor.
And we need to bring a change to the way we treat each other as citizens of our society. I tell you: a decent society is not based on rights. It is based on duty. Our duty to each other. To all should be given opportunity, from all responsibility demanded. The duty to show respect and tolerance to others.
I make no apology. I back zero tolerance on crime. I back powers to tackle antisocial neighbours; to make parents responsible for their children; to overhaul the youth justice system so that youngsters stop thinking they can commit a crime, get a caution and carry on being a criminal. At every level of the fight against crime – today acting on serious organized crime – this new Labour Government is taking it on. But to those who say it's all a threat to our civil liberties, I say the threat to civil liberties is of women afraid to go out, and pensioners afraid to stay in their own homes because of crime. And when we give opportunities to people, we can demand responsibility.
And we cannot say we want a strong and secure society when we ignore its very foundation: family life. This is not about preaching to individuals about their private lives. It is addressing a huge social problem. Attitudes have changed. The world has changed. But I am a modern man leading a modern country and this is a modern crisis. Nearly 100,000 teenage pregnancies every year. Elderly parents with whom families cannot cope. Children growing up without role models they can respect and learn from. More and deeper poverty. More crime. More truancy. More neglect of educational opportunities. And above all, more unhappiness. That unhappiness we must change...
My vision for post-Empire Britain is clear. It is to make this country pivotal, a leader in the world. With the US our friend and ally. Within the Commonwealth. In the United Nations. In Nato. To use the superb reputation of our Armed Forces, not just for defence, but as an instrument of influence in a world of collective security and co-operation.
And for Britain to lead in Europe again. Not so that we 'don't get left behind'. That is a weak reason. It is because for four centuries or more we have been a leading power in Europe. And we have at times been absolutely critical to the survival of, not just Europe, but of the whole world. It is our destiny to lead in Europe.
And Europe needs us. For we have a vision of Europe. We want a people's Europe: free trade, industrial strength, high levels of employment and social justice, a democratic Europe. And against that vision is the bureaucrat's Europe: the Europe of thwarting open trade, unnecessary rules and regulations, the Europe of the CAP and the endless committees leading nowhere. But we cannot shape Europe unless we matter in Europe.
I know there will be a hard choice to come over a single currency. And our policy, based as it is on the British national interest, remains unchanged. But in or out, we will be affected by it and must remain able to influence the way that it works...
So much to do. So much to change. So hard to do it. But the vision is as old as humanity. Modernization is not an end in itself. It is for a purpose. Modernization is not the enemy of justice, but its ally.
Progress and justice are the two rocks upon which the new Britain is raised to the heights. Lose either one and we come crashing down until we are just another average nation, scrabbling around for salvation in the ebbing tide of the twentieth century.
That is why we changed the Labour Party. To make new Britain. It is why we will carry on changing. It is why it was right yesterday to take another historic step on the road to reform of our party so that never again will a Labour Government be torn about by divisions between leadership in Parliament and the party in the country.
And let me tell you this directly. Yes, we are new Labour. Yes, our policies and attitudes have changed. But there are no old Labour or new Labour values. There are Labour values. They are what make us the party of compassion; of social justice; of the struggle against poverty and inequality; of liberty; of basic human solidarity; and the day we cease to be those things is the day we keep the name of the Labour Party but lose the reason for its existence. And ours, you know, is a simple enough vision. But it will require a supreme national effort. It is a task for a whole people, not just a government. Great challenges. But great rewards for all of us if we can rise to them as we can.
And rise as one nation. Held together by our values and by the strength of our character. We are a giving people. In the face of crisis or challenge, we pull together, strengthened by unity. It says nothing about our politics. It speaks volumes about our character.
You remember how your parents, like mine, used to say to you: 'Just do your best.' Well, let us do our best. On May 1, the people entrusted me with the task of leading their country into a new century. That was your challenge to me. And proudly, humbly, I accepted it.
Today, I issue a challenge to you. Help us make Britain that beacon shining throughout the world. Unite behind our mission to modernize our country for all our people. For there is a place for all the people in new Britain, and there is a role for all the people in its creation. Believe in us as much as we believe in you.
Give just as much to our country as all of us intend to give. Give your all. Make this the giving age.
'By the strength of our common endeavour, we achieve more together than we can alone.' On May 1 1997, it wasn't just the Tories who were defeated. Cynicism was defeated. Fear of change was defeated. Fear itself was defeated. Did I not say it would be a battle of hope against fear? On May 1 1997, fear lost. Hope won. The Giving Age began.
Now make the good that is in the heart of each of us serve the good of all of us. Give to our country the gift of our energy, our ideas, our hopes, our talents. Use them to build a country each of whose people will say that 'I care about Britain because I know that Britain cares about me.'
Britain, head and heart, will be unbeatable. That is the Britain I offer you. That is the Britain that together can be ours.
•
## Michael Portillo
Blackpool, 9 October 1997
#### 'The causes of defeat'
> _Few defeats provoked more joy among Labour supporters in the 1997 general election than the humiliation of Michael Portillo (1953–) at Enfield Southgate. Yet his dignity in defeat earned new respect for Portillo who was the standard-bearer of the Euro-sceptic Tory right wing and who would otherwise have been a serious candidate to win the leadership of the Conservative Party after John Major stepped down._
>
> _William Hague became leader but many Tories saw Portillo as the leader in exile. That was why this speech to the Centre for Policy Studies at a fringe meeting during the party conference was important._
>
> _Much of the speech was devoted to Portillo's analysis of the continuing attractiveness of the Conservative message. But it was the opening, explaining why the party had lost, his section on compassion (of which he had seemed the antithesis), and his denunciation of Tony Blair's New Labour that attracted most attention._
Let us begin by recognizing the scale of our defeat and of our problem. Perhaps as one who went in an instant from being in the Cabinet to being a member of the general public, I am qualified to offer an opinion. I do not accept the view that the Conservatives lost the election of 1997 because we abandoned one-nation Toryism or split the nation. We did not. I will return to that point in a moment. The causes of our defeat were different. I would like to identify what I believe to have been the four principal factors.
First, the party became associated increasingly with the most disagreeable messages and thoughts. Much of that linkage was unjustified, but since it is what people thought – what people still think – it must be appreciated as a deeply felt distaste, rather than momentary irritation. We cannot dismiss it as mere false perception. Tories were linked to harshness: thought to be uncaring about unemployment, poverty, poor housing, disability and single parent-hood; and considered indifferent to the moral arguments over landmines and arms sales. We were thought to favour greed and the unqualified pursuit of the free market, with a 'devil take the hindmost' attitude.
Second, we abandoned almost completely the qualities of loyalty and the bonds of party without which party effectively ceases to exist. Some of this was ideological. Passions about the future of our country rightly fired people up, but wrongly led them to attack and despise their colleagues. Part of it was egotistical. There were MPs anxious to oblige whenever the media came looking for dissent, seizing the opportunity to be famous for fifteen minutes. But now we are out of government, their views are sought more rarely, and their once-famous faces are fading in the public memory.
We must rediscover the old instincts that led Tories to support one another and to rally round. Loyalty was never a secret weapon: it was because it was so visible in _public_ , and reinforced in private, that it was so effective. The impact of disunity upon us is clear to see. The party must in the very near future learn again to display the camaraderie and common purpose that are fundamental to a party's prospects. Our new leader, William Hague, has every right to expect our loyalty publicly and privately. If he does not get it, we stand no chance of being re-elected. He has shown that he will lead. Now the party must show that it can be led.
Third, we were thought to be arrogant and out of touch. Much of it may have been no more than personal mannerisms that grated on the public after years in office. Some of it was insensitivity – using the language of economics and high finance when people's jobs and self-esteem were at stake. And when people looked at the composition of our party, they thought it too elderly, or too vulgar, or too out of touch in vocabulary and perceptions, or in some other way, unfamiliar and unrepresentative.
Fourth, there was sleaze. I did not believe all that Conservatives were accused of. Even today, I do not think that wrongdoing was any more prevalent in our party than in others, and I expect the rotten boroughs of the Labour Party to prove as much in coming months. But it was certainly bad enough. Sleaze disgraced us in the eyes of the public. Their perception was of corruption and unfitness for public service. Such distasteful perceptions can endure and do us damage for a long time.
We should face these issues head on and deal with them. The last years profoundly disappointed our supporters, and disgusted many others. Those of us who were in the parliamentary party, and those of us who were in the government, bear a particular responsibility...
Compassion is an essential ingredient in Conservatism. We have never lost it, but the world does not believe that. Our reputation has suffered because Conservatives don't wear their hearts on their sleeves. They don't like humbug or display. Their compassion is largely of a practical sort: what can we actually do about the problems that we see around us? That is why Conservatives are to be found in such large numbers working for voluntary organizations. Conservatives have a scepticism about panaceas and about the possibility of government solving problems with a flourish of a pen. But that common sense approach must not mask the fact that concern for others and magnanimity are important qualities of Conservatism, and the instinct for social cohesion transcends the nation...
Now, a word about tactics. There are two things that the Conservative Party needs very badly. One, I mentioned, is loyalty. If we cannot reinvent it we cannot govern. The other is patience. I read somewhere that there was frustration with William Hague for not yet coming up with the next big idea. I accord that remark the prize for the silliest thing said since the election.
The public is not yet ready for such an innovation from us, even if a big idea were a thing to be conjured up at will. People need a rest from us, and we need time to reflect and listen and come to understand one another better than we have of late. We certainly need to do a lot about ourselves. We need better and different organization. We need a broad and stable financial base. We need to spread our appeal and attract different sorts of people: different ages, social types, ethnic groups and cultures.
As for policies, we should be in no great hurry. Get straight what are our core beliefs. Sort out the confusions and false signals that arose while we were in government. Take a fresh look in the new circumstances.
Our party will renew itself. The new intake of MPs is of extremely high quality. Just as happened with Labour, those new people will be the engine of our revival. Ministerial office will be theirs, but they must bide their time patiently too.
On the night of the election I wished our new government well, and I do so again. Conservatives are patriots and we wish to see our country succeed. You will not see us gloat over national reverses, nor talk down their successes, as Labour did when we were the government. We wish to see Britain behaving honourably, being an influence for good in Europe and the world. We wish to see the economy remain strong. We do not look to defeat Labour on the back of national failure. There will be sufficient grounds without that to argue for their removal.
I do not underestimate Mr Blair or his achievements. In the years before the election he skilfully laid bare the areas of life and policy where the public felt dissatisfied and angry with the Conservatives. He did not win merely by default, but because of his talent for capturing the public mood. We will learn from that.
Today the Labour Government looks very strong and confident. But problems lie ahead. They don't know where they are headed, and that is dangerous. Mr Blair's great achievement is directionless leadership: he appears to be in control, but no one knows to where he is leading. I have made many mistakes in my career. I suppose we all have. But few people have been consistently wrong on all the great issues that faced our nation over the last fifteen years, as Mr Blair was. Last week, in a speech which was much acclaimed, Mr Blair failed to define the purpose of his government. I perceive no ideological roots. I can detect no sense of direction. Labour has a strong sense that it cannot undo what we did. But they do not understand why it was right to do it. They do not accept the politics of freedom and choice that lay behind our agenda. Labour grasped that it had to adopt our rhetoric. But they will in the end be judged not on what they say but on what they do.
Labour has been guided by the wish to destroy us; and by the determination to be re-elected. That is not a recipe for governing well. You cannot run an administration forever on the principle that you are unwilling to do anything that offends. You cannot substitute focus-group government for Cabinet government. Labour is a coalition brought about to win power. That will to win power is the one idea that the members of the government hold in common. But with the passage of time, that will prove an insubstantial glue. The signs of division may today be no bigger than a small crab in a jar, but they will grow.
This government is too bossy, too contemptuous of parliament, too self-satisfied and too little criticized in the media for its own good or for ours. The wheel of fortune turns and that which once appeared fresh, with the passing of time goes to seed...
What the Tories need is patience. Principles we already have. Opportunities there will be. Our time will come again.
•
## Boris Yeltsin
St Petersburg, 17 July 1998
#### 'May they rest in peace'
> _Tsar Nicholas II, the last emperor of Russia, and his entire family were shot at Yekaterinburg by the Red Guards in 1918, nearly a year after Lenin and the Bolsheviks seized power in the Russian Revolution._
>
> _Eighty years later to the day, Boris Yeltsin (1931–2007), who became president of Russia in 1990 after the break-up of the Soviet Union, led his nation inofficial apology for the murder of the Tsar at a moving ceremony in the cathedral of the Peter and Paul Fortress where his Romanov ancestors were buried._
>
> _Watched by millions of Russians, Yeltsin, a sick man, stood in sombre silence before the vault, while his wife, Naina, crossed herself. Yeltsin said he had no option but to be present to tell the truth._
It's an historic day for Russia. Eighty years have passed since the slaying of the last Russian emperor and his family. We have long been silent about this monstrous crime. We must say the truth: the Yekaterinburg massacre has become one of the most shameful pages of our history.
By burying the remains of innocent victims we want to expiate the sins of our ancestors. Guilty are those who committed this heinous crime and those who have been justifying it for decades – all of us.
We must not lie to ourselves, explaining this senseless cruelty with political goals. The execution of the Romanov family was the result of an irreconcilable split in Russian society. Its results are felt to this day. The burial of the victims' remains is an act of human justice, an expiation of common guilt.
We all bear responsibility for the historical memory of the nation; and that's why I could not fail to come here. I must be here as both an individual and the president.
I bow my head before the victims of the merciless slaying. While building a new Russia we must rely on its historical experience. Many glorious pages of our history are linked with the Romanovs. But also connected with their name is one of the most bitter lessons – that attempts to change life by violence are doomed.
We must finish this century, which has become the century of blood and lawlessness for Russia, with repentance and reconciliation irrespective of political and religious views and ethnic origin. This is our historic chance. On the eve of the third millennium, we must do it for the sake of our generation, and those to come. Let's remember those innocent victims who have fallen to hatred and violence. May they rest in peace.
•
## Bill Clinton
Washington, DC, 17 August 1998
#### 'This has hurt too many innocent people'
> _One year after he started his second term as president in January 1997, President Clinton learned that Kenneth Starr was investigating accusations that he had conducted a sexual relationship with Monica Lewinsky, a White House intern, in 1995 and then tried to cover it up. After months of investigation, rumours and Clinton's denial that he had had sexual relations with 'that woman', Clinton was forced to admit to a relationship that was 'not appropriate' with the twenty-five-year-old Miss Lewinsky. The confession was made in a four-minute speech seen by nearly two-thirds of Americans. No president had ever been forced to address such personal issues in a nationally televised speech. Clinton was as defiant as he was contrite._
This afternoon in this room, from this chair, I testified before the Office of Independent Counsel and the grand jury. I answered their questions truthfully, including questions about my private life, questions no American citizen would ever want to answer.
Still, I must take complete responsibility for all my actions, both public and private. And that is why I am speaking to you tonight.
As you know, in a deposition in January, I was asked questions about my relationship with Monica Lewinsky. While my answers were legally accurate, I did not volunteer information.
Indeed, I did have a relationship with Ms Lewinsky that was not appropriate. In fact, it was wrong. It constituted a critical lapse in judgement and a personal failure on my part for which I am solely and completely responsible.
But I told the grand jury today and I say to you now that at no time did I ask anyone to lie, to hide or destroy evidence or to take any other unlawful action.
I know that my public comments and my silence about this matter gave a false impression.
I misled people, including even my wife. I deeply regret that.
I can only tell you I was motivated by many factors. First by a desire to protect myself from the embarrassment of my own conduct. I was also very concerned about protecting my family. The fact that these questions were being asked in a politically inspired lawsuit, which has since been dismissed, was a consideration, too.
In addition, I had real and serious concerns about an independent counsel investigation that began with private business dealings twenty years ago, dealings, I might add, about which an independent federal agency found no evidence of any wrongdoing by me or my wife over two years ago.
The independent counsel investigation moved on to my staff and friends, then into my private life. And now the investigation itself is under investigation. This has gone on too long, cost too much and hurt too many innocent people.
Now, this matter is between me, the two people I love most – my wife and our daughter – and our God.
I must put it right, and I am prepared to do whatever it takes to do so. Nothing is more important to me personally.
But it is private, and I intend to reclaim my family life for my family. It's nobody's business but ours.
Even presidents have private lives. It is time to stop the pursuit of personal destruction and the prying into private lives and get on with our national life.
Our country has been distracted by this matter for too long, and I take my responsibility for my part in all of this. That is all I can do. Now it is time – in fact, it is past time – to move on. We have important work to do, real opportunities to seize, real problems to solve, real security matters to face.
And so tonight, I ask you to turn away from the spectacle of the past seven months, to repair the fabric of our national discourse and to return our attention to all the challenges and all the promise of the next American century. Thank you for watching. And good night.
•
## Bill Clinton
Washington, DC, 11 September 1998
#### 'I have sinned'
> _Less than a month later President Clinton had to admit that his speech of 17 August had not been sufficiently contrite. He delivered this speech, written in his own hand, at the annual White House prayer breakfast to an audience of more than 100 ministers, priests and other religious leaders, which also included Hillary Clinton_.
>
> _It was the day that the first report to Congress by Independent Counsel Ken Starr was published, setting out the grounds for possible impeachment of the President and accusing him of perjury, obstruction of justice and other offences, chiefly resulting from his desire to conceal a relationship with Monica Lewinsky_.
This is always an important day for our country. It is an unusual and, I think, unusually important day today. I may not be quite as easy with my words today as I have been in years past, and I was up rather late last night thinking about and praying about what I ought to say today. And rather unusual for me, I actually tried to write it down. So if you will forgive me, I will do my best to say what it is I want to say to you – and I may have to take my glasses out to read my own writing.
First, I want to say to all of you that, as you might imagine, I have been on quite a journey these last few weeks to get to the end of this, to the rock bottom truth of where I am and where we all are.
I agree with those who have said that in my first statement after I testified I was not contrite enough. I don't think there is a fancy way to say that I have sinned.
It is important to me that everybody who has been hurt know that the sorrow I feel is genuine: first and most important, my family; also my friends, my staff, my Cabinet, Monica Lewinsky and her family, and the American people. I have asked all for their forgiveness.
But I believe that to be forgiven, more than sorrow is required – at least two more things. First, genuine repentance – a determination to change and to repair breaches of my own making. I have repented. Second, what my Bible calls a 'broken spirit'; an understanding that I must have God's help to be the person that I want to be; a willingness to give the very forgiveness I seek; a renunciation of the pride and the anger which cloud judgement, lead people to excuse and compare and to blame and complain.
Now, what does all this mean for me and for us? First, I will instruct my lawyers to mount a vigorous defence, using all available appropriate arguments. But legal language must not obscure the fact that I have done wrong. Second, I will continue on the path of repentance, seeking pastoral support and that of other caring people so that they can hold me accountable for my own commitment.
Third, I will intensify my efforts to lead our country and the world toward peace and freedom, prosperity and harmony, in the hope that with a broken spirit and a still strong heart I can be used for greater good, for we have many blessings and many challenges and so much work to do.
In this, I ask for your prayers and for your help in healing our nation. And though I cannot move beyond or forget this – indeed, I must always keep it as a caution light in my life – it is very important that our nation move forward.
I am very grateful for the many, many people – clergy and ordinary citizens alike – who have written me with wise counsel. I am profoundly grateful for the support of so many Americans who somehow through it all seem to still know that I care about them a great deal, that I care about their problems and their dreams. I am grateful for those who have stood by me and who say that in this case and many others, the bounds of privacy have been excessively and unwisely invaded. That may be. Nevertheless, in this case, it may be a blessing, because I still sinned. And if my repentance is genuine and sustained, and if I can maintain both a broken spirit and a strong heart, then good can come of this for our country as well as for me and my family. ( _Applause_.)
The children of this country can learn in a profound way that integrity is important and selfishness is wrong, but God can change us and make us strong at the broken places. I want to embody those lessons for the children of this country – for that little boy in Florida who came up to me and said that he wanted to grow up and be President and to be just like me. I want the parents of all the children in America to be able to say that to their children.
A couple of days ago when I was in Florida a Jewish friend of mine gave me this liturgy book called _Gates of Repentance_. And there was this incredible passage from the Yom Kippur liturgy. I would like to read it to you:
> Now is the time for turning. The leaves are beginning to turn from green to red to orange. The birds are beginning to turn and are heading once more toward the south. The animals are beginning to turn to storing their food for the winter. For leaves, birds and animals, turning comes instinctively. But for us, turning does not come so easily. It takes an act of will for us to make a turn. It means breaking old habits. It means admitting that we have been wrong, and this is never easy. It means losing face. It means starting all over again. And this is always painful. It means saying I am sorry. It means recognizing that we have the ability to change. These things are terribly hard to do. But unless we turn, we will be trapped forever in yesterday's ways. Lord help us to turn, from callousness to sensitivity, from hostility to love, from pettiness to purpose, from envy to contentment, from carelessness to discipline, from fear to faith. Turn us around, O Lord, and bring us back toward you. Revive our lives as at the beginning, and turn us toward each other, Lord, for in isolation there is no life.
I thank my friend for that. I thank you for being here. I ask you to share my prayer that God will search me and know my heart, try me and know my anxious thoughts, see if there is any hurtfulness in me, and lead me toward the life everlasting. I ask that God give me a clean heart, let me walk by faith and not sight.
I ask once again to be able to love my neighbour – all my neighbours – as my self, to be an instrument of God's peace; to let the words of my mouth and the meditations of my heart and, in the end, the work of my hands, be pleasing. This is what I wanted to say to you today.
Thank you. God bless you.
•
## Bill Clinton
Washington, DC, 11 December 1998
#### 'I am profoundly sorry'
> _Only minutes before the House Judiciary Committee voted to pass its first article of impeachment, President Clinton gave this speech – his third on the subject – to reporters in the Rose Garden of the White House. The impeachment proceedings marked the culmination of a long chain of legal entanglements resulting from a sweeping investigation of the President by Independent Counsel Ken Starr as well as a private lawsuit concerning alleged sexual harassment committed by Clinton before he became President_.
>
> _Clinton had strongly denied, then later reluctantly admitted a relationship 'that was not appropriate' with Monica Lewinsky, a young White House intern. The President's initial denial had been staunchly defended by First Lady Hillary Clinton, White House staff and various friends and supporters of the President – all of whom knew by now they had been duped_.
Good afternoon.
As anyone close to me knows, for months I have been grappling with how best to reconcile myself to the American people, to acknowledge my own wrongdoing and still to maintain my focus on the work of the presidency.
Others are presenting my defence on the facts, the law and the Constitution. Nothing I can say now can add to that.
What I want the American people to know, what I want the Congress to know is that I am profoundly sorry for all I have done wrong in words and deeds.
I never should have misled the country, the Congress, my friends or my family. Quite simply, I gave in to my shame. I have been condemned by my accusers with harsh words.
And while it's hard to hear yourself called deceitful and manipulative, I remember Ben Franklin's admonition that our critics are our friends, for they do show us our faults.
Mere words cannot fully express the profound remorse I feel for what our country is going through and for what members of both parties in Congress are now forced to deal with. These past months have been a torturous process of coming to terms with what I did. I understand that accountability demands consequences, and I'm prepared to accept them.
Painful as the condemnation of the Congress would be, it would pale in comparison to the consequences of the pain I have caused my family. There is no greater agony.
Like anyone who honestly faces the shame of wrongful conduct, I would give anything to go back and undo what I did.
But one of the painful truths I have to live with is the reality that that is simply not possible. An old and dear friend of mine recently sent me the wisdom of a poet who wrote, 'The moving finger writes and having writ, moves on. Nor all your piety nor wit shall lure it back to cancel half a line. Nor all your tears wash out a word of it.'
So nothing, not piety, nor tears, nor wit, nor torment can alter what I have done. I must make my peace with that.
I must also be at peace with the fact that the public consequences of my actions are in the hands of the American people and their representatives in the Congress.
Should they determine that my errors of word and deed require their rebuke and censure, I am ready to accept that.
Meanwhile, I will continue to do all I can to reclaim the trust of the American people and to serve them well.
We must all return to the work, the vital work, of strengthening our nation for the new century. Our country has wonderful opportunities and daunting challenges ahead. I intend to seize those opportunities and meet those challenges with all the energy and ability and strength God has given me.
That is simply all I can do – the work of the American people.
Thank you very much.
•
## Tony Blair
Brighton, 2 October 2001
#### 'The kaleidoscope has been shaken'
> _In his autobiography, Tony Blair says that he wrote this speech (of which what follows is the beginning and the end), virtually straight out, only weeks after 9/11, the al-Qaeda terrorist attack on New York and the Pentagon, which claimed nearly 3,000 victims, on September 11 2001. 'There was none of the usual agonizing. The redrafts were minimal. I sat in Chequers in the study overlooking the Rose Garden, as the first autumn colours began to appear and wrote... I felt we were on the eve of a mighty decision about the world's future. I wrote easily because I wrote what I thought.'_
In retrospect, the Millennium marked only a moment in time. It was the events of September 11 that marked a turning point in history, where we confront the dangers of the future and assess the choices facing humankind.
It was a tragedy. An act of evil. From this nation goes our deepest sympathy and prayers for the victims and our profound solidarity with the American people.
We were with you at the first. We will stay with you to the last.
Just two weeks ago, in New York, after the church service I met some of the families of the British victims.
It was in many ways a very British occasion. Tea and biscuits. It was raining outside. Around the edge of the room, strangers making small talk, trying to be normal people in an abnormal situation.
And as you crossed the room, you felt the longing and sadness; hands clutching photos of sons and daughters, wives and husbands; imploring you to believe them when they said there was still an outside chance of their loved ones being found alive, when you knew in truth that all hope was gone.
And then a middle-aged mother looks you in the eyes and tells you her only son has died, and asks you: why?
I tell you: you do not feel like the most powerful person in the country at times like that.
Because there is no answer. There is no justification for their pain. Their son did nothing wrong. The woman, seven months pregnant, whose child will never know its father, did nothing wrong.
They don't want revenge. They want something better in memory of their loved ones.
I believe their memorial can and should be greater than simply the punishment of the guilty. It is that out of the shadow of this evil should emerge lasting good: destruction of the machinery of terrorism wherever it is found; hope amongst all nations of a new beginning where we seek to resolve differences in a calm and ordered way; greater understanding between nations and between faiths; and above all justice and prosperity for the poor and dispossessed, so that people everywhere can see the chance of a better future through the hard work and creative power of the free citizen, not the violence and savagery of the fanatic.
I know that here in Britain people are anxious, even a little frightened. I understand that. People know we must act but they worry what might follow.
They worry about the economy and talk of recession.
And, of course there are dangers; it is a new situation.
But the fundamentals of the US, British and European economies are strong.
Every reasonable measure of internal security is being undertaken.
Our way of life is a great deal stronger and will last a great deal longer than the actions of fanatics, small in number and now facing a unified world against them.
People should have confidence.
This is a battle with only one outcome: our victory not theirs.
What happened on 11 September was without parallel in the bloody history of terrorism.
Within a few hours, up to 7,000 people were annihilated, the commercial centre of New York was reduced to rubble and in Washington and Pennsylvania further death and horror on an unimaginable scale. Let no one say this was a blow for Islam when the blood of innocent Muslims was shed along with those of the Christian, Jewish and other faiths around the world.
We know those responsible. In Afghanistan are scores of training camps for the export of terror. Chief amongst the sponsors and organizers is Osama Bin Laden.
He is supported, shielded and given succour by the Taliban regime.
Two days before the 11 September attacks, Masood, the leader of the opposition Northern Alliance, was assassinated by two suicide bombers. Both were linked to Bin Laden. Some may call that coincidence. I call it payment – payment in the currency these people deal in: blood.
Be in no doubt: Bin Laden and his people organized this atrocity. The Taliban aid and abet him. He will not desist from further acts of terror. They will not stop helping him.
Whatever the dangers of the action we take, the dangers of inaction are far, far greater.
Look for a moment at the Taliban regime. It is undemocratic. That goes without saying.
There is no sport allowed, or television or photography. No art or culture is permitted. All other faiths, all other interpretations of Islam are ruthlessly suppressed. Those who practise their faith are imprisoned. Women are treated in a way almost too revolting to be credible. First driven out of university; girls not allowed to go to school; no legal rights; unable to go out of doors without a man. Those that disobey are stoned.
There is now no contact permitted with western agencies, even those delivering food. The people live in abject poverty. It is a regime founded on fear and funded on the drugs trade. The biggest drugs hoard in the world is in Afghanistan, controlled by the Taliban. Ninety per cent of the heroin on British streets originates in Afghanistan.
The arms the Taliban are buying today are paid for with the lives of young British people buying their drugs on British streets.
That is another part of their regime that we should seek to destroy.
So what do we do?
Don't overreact some say. We aren't.
We haven't lashed out. No missiles on the first night just for effect.
Don't kill innocent people. We are not the ones who waged war on the innocent. We seek the guilty.
Look for a diplomatic solution. There is no diplomacy with Bin Laden or the Taliban regime.
State an ultimatum and get their response. We stated the ultimatum; they haven't responded.
Understand the causes of terror. Yes, we should try, but let there be no moral ambiguity about this: nothing could ever justify the events of 11 September, and it is to turn justice on its head to pretend it could.
The action we take will be proportionate; targeted; we will do all we humanly can to avoid civilian casualties. But understand what we are dealing with. Listen to the calls of those passengers on the planes. Think of the children on them, told they were going to die.
Think of the cruelty beyond our comprehension as amongst the screams and the anguish of the innocent, those hijackers drove at full throttle planes laden with fuel into buildings where tens of thousands worked.
They have no moral inhibition on the slaughter of the innocent. If they could have murdered not 7,000 but 70,000 does anyone doubt they would have done so and rejoiced in it?
There is no compromise possible with such people, no meeting of minds, no point of understanding with such terror.
Just a choice: defeat it or be defeated by it. And defeat it we must.
Any action taken will be against the terrorist network of Bin Laden.
As for the Taliban, they can surrender the terrorists; or face the consequences and again in any action the aim will be to eliminate their military hardware, cut off their finances, disrupt their supplies, target their troops, not civilians. We will put a trap around the regime.
I say to the Taliban: surrender the terrorists; or surrender power. It's your choice.
We will take action at every level, national and international, in the UN, in G8, in the EU, in NATO, in every regional grouping in the world, to strike at international terrorism wherever it exists.
For the first time, the UN Security Council has imposed mandatory obligations on all UN members to cut off terrorist financing and end safe havens for terrorists.
Those that finance terror, those who launder their money, those that cover their tracks are every bit as guilty as the fanatic who commits the final act.
Here in this country and in other nations round the world, laws will be changed, not to deny basic liberties but to prevent their abuse and protect the most basic liberty of all: freedom from terror. New extradition laws will be introduced; new rules to ensure asylum is not a front for terrorist entry. This country is proud of its tradition in giving asylum to those fleeing tyranny. We will always do so. But we have a duty to protect the system from abuse.
It must be overhauled radically so that from now on, those who abide by the rules get help and those that don't can no longer play the system to gain unfair advantage over others.
Round the world, 11 September is bringing governments and people to reflect, consider and change. And in this process, amidst all the talk of war and action, there is another dimension appearing.
There is a coming together. The power of community is asserting itself. We are realizing how fragile are our frontiers in the face of the world's new challenges.
Today conflicts rarely stay within national boundaries.
Today a tremor in one financial market is repeated in the markets of the world.
Today confidence is global; either its presence or its absence.
Today the threat is chaos; because for people with work to do, family life to balance, mortgages to pay, careers to further, pensions to provide, the yearning is for order and stability and if it doesn't exist elsewhere, it is unlikely to exist here.
I have long believed this interdependence defines the new world we live in.
People say: we are only acting because it's the USA that was attacked. Double standards, they say. But when Milosevič embarked on the ethnic cleansing of Muslims in Kosovo, we acted.
The sceptics said it was pointless, we'd make matters worse, we'd make Milosevicč stronger and look what happened, we won, the refugees went home, the policies of ethnic cleansing were reversed and one of the great dictators of the last century will see justice in this century.
And I tell you, if Rwanda happened again today as it did in 1993, when a million people were slaughtered in cold blood, we would have a moral duty to act there also. We were there in Sierra Leone when a murderous group of gangsters threatened its democratically elected government and people.
And we as a country should, and I as Prime Minister do, give thanks for the brilliance, dedication and sheer professionalism of the British Armed Forces...
When we act to bring to account those that committed the atrocity of September 11, we do so not out of bloodlust.
We do so because it is just. We do not act against Islam. The true followers of Islam are our brothers and sisters in this struggle. Bin Laden is no more obedient to the proper teaching of the Koran than those Crusaders of the twelfth century who pillaged and murdered, represented the teaching of the Gospel.
It is time the west confronted its ignorance of Islam. Jews, Muslims and Christians are all children of Abraham.
This is the moment to bring the faiths closer together in understanding of our common values and heritage, a source of unity and strength.
It is time also for parts of Islam to confront prejudice against America and not only Islam but parts of western societies too.
America has its faults as a society, as we have ours.
But I think of the Union of America born out of the defeat of slavery.
I think of its Constitution, with its inalienable rights granted to every citizen, still a model for the world.
I think of a black man born in poverty, who became chief of their armed forces and is now secretary of state – Colin Powell – and I wonder frankly whether such a thing could have happened here.
I think of the Statue of Liberty and how many refugees, migrants and the impoverished passed its light and felt that if not for them, for their children, a new world could indeed be theirs.
I think of a country where people who do well don't have questions asked about their accent, their class, their beginnings but have admiration for what they have done and the success they've achieved.
I think of those New Yorkers I met, still in shock, but resolute; the firefighters and police, mourning their comrades but still head held high.
I think of all this and I reflect: yes, America has its faults, but it is a free country, a democracy, it is our ally and some of the reaction to September 11 betrays a hatred of America that shames those that feel it.
So I believe this is a fight for freedom. And I want to make it a fight for justice too. Justice not only to punish the guilty. But justice to bring those same values of democracy and freedom to people round the world.
And I mean freedom, not only in the narrow sense of personal liberty but in the broader sense of each individual having the economic and social freedom to develop their potential to the full. That is what community means, founded on the equal worth of all.
The starving, the wretched, the dispossessed, the ignorant, those living in want and squalor from the deserts of Northern Africa to the slums of Gaza, to the mountain ranges of Afghanistan: they too are our cause.
This is a moment to seize. The kaleidoscope has been shaken. The pieces are in flux. Soon they will settle again. Before they do, let us re-order this world around us.
Today, humankind has the science and technology to destroy itself or to provide prosperity to all. Yet science can't make that choice for us. Only the moral power of a world acting as a community can.
'By the strength of our common endeavour we achieve more together than we can alone.'
For those people who lost their lives on September 11 and those that mourn them; now is the time for the strength to build that community. Let that be their memorial.
•
## George W. Bush
Washington, DC,29 January 2002
#### 'An axis of evil'
> _When President George W. Bush made his State of the Union address four months after 9/11, he used the most memorable and notorious phrase of his presidency. He accused three countries of forming an 'axis of evil' by helping terrorism and seeking weapons of mass destruction – Iran, Iraq and North Korea. Libya, Syria and Cuba were added to the list later by John R. Bolton, the American ambassador to the United Nations. The speech made the case for the subsequent invasion of Iraq. Speechwriter David Frum wrote the speech at the request of head White House speechwriter Mike Gerson, who substituted 'evil' for Frum's 'hatred' in the final text. Frum's assignment was to make the case for dislodging the government of Saddam Hussein in only a few sentences_.
As we gather tonight, our nation is at war, our economy is in recession, and the civilized world faces unprecedented dangers. Yet the state of our Union has never been stronger.
We last met in an hour of shock and suffering. In four short months, our nation has comforted the victims, begun to rebuild New York and the Pentagon, rallied a great coalition, captured, arrested, and rid the world of thousands of terrorists, destroyed Afghanistan's terrorist training camps, saved a people from starvation, and freed a country from brutal oppression.
The American flag flies again over our embassy in Kabul. Terrorists who once occupied Afghanistan now occupy cells at Guantanamo Bay. And terrorist leaders who urged followers to sacrifice their lives are running for their own.
America and Afghanistan are now allies against terror. We'll be partners in rebuilding that country.
The last time we met in this chamber, the mothers and daughters of Afghanistan were captives in their own homes, forbidden from working or going to school. Today women are free, and are part of Afghanistan's new government. Our progress is a tribute to the spirit of the Afghan people, to the resolve of our coalition, and to the might of the United States military. When I called our troops into action, I did so with complete confidence in their courage and skill. And tonight, thanks to them, we are winning the war on terror. The men and women of our Armed Forces have delivered a message now clear to every enemy of the United States: even 7,000 miles away, across oceans and continents, on mountaintops and in caves – you will not escape the justice of this nation.
For many Americans, these four months have brought sorrow, and pain that will never completely go away. Every day a retired firefighter returns to Ground Zero, to feel closer to his two sons who died there. At a memorial in New York, a little boy left his football with a note for his lost father: 'Dear Daddy, please take this to heaven. I don't want to play football until I can play with you again some day.'
Last month, at the grave of her husband, Michael, a CIA officer and Marine who died in Mazur-e-Sharif, Shannon Spann said these words of farewell: 'Semper Fi, my love.' Shannon is with us tonight.
Shannon, I assure you and all who have lost a loved one that our cause is just, and our country will never forget the debt we owe Michael and all who gave their lives for freedom.
Our cause is just, and it continues. Our discoveries in Afghanistan confirmed our worst fears, and showed us the true scope of the task ahead. We have seen the depth of our enemies' hatred in videos, where they laugh about the loss of innocent life. And the depth of their hatred is equalled by the madness of the destruction they design. We have found diagrams of American nuclear power plants and public water facilities, detailed instructions for making chemical weapons, surveillance maps of American cities, and thorough descriptions of landmarks in America and throughout the world.
What we have found in Afghanistan confirms that, far from ending there, our war against terror is only beginning. Most of the nineteen men who hijacked planes on September the 11th were trained in Afghanistan's camps, and so were tens of thousands of others. Thousands of dangerous killers, schooled in the methods of murder, often supported by outlaw regimes, are now spread throughout the world like ticking time bombs, set to go off without warning.
Thanks to the work of our law enforcement officials and coalition partners, hundreds of terrorists have been arrested. Yet, tens of thousands of trained terrorists are still at large.
These enemies view the entire world as a battlefield, and we must pursue them wherever they are. So long as training camps operate, so long as nations harbour terrorists, freedom is at risk. And America and our allies must not, and will not, allow it.
Our nation will continue to be steadfast and patient and persistent in the pursuit of two great objectives. First, we will shut down terrorist camps, disrupt terrorist plans, and bring terrorists to justice. And, second, we must prevent the terrorists and regimes who seek chemical, biological or nuclear weapons from threatening the United States and the world.
Our military has put the terror training camps of Afghanistan out of business, yet camps still exist in at least a dozen countries. A terrorist underworld – including groups like Hamas, Hezbollah, Islamic Jihad, Jaish-i-Mohammed – operates in remote jungles and deserts, and hides in the centres of large cities.
While the most visible military action is in Afghanistan, America is acting elsewhere. We now have troops in the Philippines, helping to train that country's armed forces to go after terrorist cells that have executed an American, and still hold hostages. Our soldiers, working with the Bosnian government, seized terrorists who were plotting to bomb our embassy. Our Navy is patrolling the coast of Africa to block the shipment of weapons and the establishment of terrorist camps in Somalia.
My hope is that all nations will heed our call, and eliminate the terrorist parasites who threaten their countries and our own. Many nations are acting forcefully. Pakistan is now cracking down on terror, and I admire the strong leadership of President Musharraf.
But some governments will be timid in the face of terror. And make no mistake about it: If they do not act, America will.
Our second goal is to prevent regimes that sponsor terror from threatening America or our friends and allies with weapons of mass destruction. Some of these regimes have been pretty quiet since September the 11th. But we know their true nature. North Korea is a regime arming with missiles and weapons of mass destruction, while starving its citizens.
Iran aggressively pursues these weapons and exports terror, while an unelected few repress the Iranian people's hope for freedom.
Iraq continues to flaunt its hostility toward America and to support terror. The Iraqi regime has plotted to develop anthrax, and nerve gas, and nuclear weapons for over a decade. This is a regime that has already used poison gas to murder thousands of its own citizens – leaving the bodies of mothers huddled over their dead children. This is a regime that agreed to international inspections – then kicked out the inspectors. This is a regime that has something to hide from the civilized world.
States like these, and their terrorist allies, constitute an axis of evil, arming to threaten the peace of the world. By seeking weapons of mass destruction, these regimes pose a grave and growing danger. They could provide these arms to terrorists, giving them the means to match their hatred. They could attack our allies or attempt to blackmail the United States. In any of these cases, the price of indifference would be catastrophic.
We will work closely with our coalition to deny terrorists and their state sponsors the materials, technology, and expertise to make and deliver weapons of mass destruction. We will develop and deploy effective missile defences to protect America and our allies from sudden attack. And all nations should know: America will do what is necessary to ensure our nation's security.
We'll be deliberate, yet time is not on our side. I will not wait on events, while dangers gather. I will not stand by, as peril draws closer and closer. The United States of America will not permit the world's most dangerous regimes to threaten us with the world's most destructive weapons.
Our war on terror is well begun, but it is only begun. This campaign may not be finished on our watch – yet it must be and it will be waged on our watch.
We can't stop short. If we stop now – leaving terror camps intact and terror states unchecked – our sense of security would be false and temporary. History has called America and our allies to action, and it is both our responsibility and our privilege to fight freedom's fight...
During these last few months, I've been humbled and privileged to see the true character of this country in a time of testing. Our enemies believed America was weak and materialistic, that we would splinter in fear and selfishness. They were as wrong as they are evil.
The American people have responded magnificently, with courage and compassion, strength and resolve. As I have met the heroes, hugged the families, and looked into the tired faces of rescuers, I have stood in awe of the American people.
None of us would ever wish the evil that was done on September the 11th. Yet after America was attacked, it was as if our entire country looked into a mirror and saw our better selves. We were reminded that we are citizens, with obligations to each other, to our country, and to history. We began to think less of the goods we can accumulate, and more about the good we can do...
For too long our culture has said, 'If it feels good, do it.' Now America is embracing a new ethic and a new creed: 'Let's roll.' In the sacrifice of soldiers, the fierce brotherhood of firefighters, and the bravery and generosity of ordinary citizens, we have glimpsed what a new culture of responsibility could look like. We want to be a nation that serves goals larger than self. We've been offered a unique opportunity, and we must not let this moment pass...
This time of adversity offers a unique moment of opportunity – a moment we must seize to change our culture. Through the gathering momentum of millions of acts of service and decency and kindness, I know we can overcome evil with greater good. And we have a great opportunity during this time of war to lead the world toward the values that will bring lasting peace.
All fathers and mothers, in all societies, want their children to be educated, and live free from poverty and violence. No people on Earth yearn to be oppressed, or aspire to servitude, or eagerly await the midnight knock of the secret police.
If anyone doubts this, let them look to Afghanistan, where the Islamic 'street' greeted the fall of tyranny with song and celebration. Let the sceptics look to Islam's own rich history, with its centuries of learning, and tolerance and progress. America will lead by defending liberty and justice because they are right and true and unchanging for all people everywhere.
No nation owns these aspirations, and no nation is exempt from them. We have no intention of imposing our culture. But America will always stand firm for the non-negotiable demands of human dignity: the rule of law; limits on the power of the state; respect for women; private property; free speech; equal justice; and religious tolerance.
America will take the side of brave men and women who advocate these values around the world, including the Islamic world, because we have a greater objective than eliminating threats and containing resentment. We seek a just and peaceful world beyond the war on terror.
In this moment of opportunity, a common danger is erasing old rivalries. America is working with Russia and China and India, in ways we have never before, to achieve peace and prosperity. In every region, free markets and free trade and free societies are proving their power to lift lives. Together with friends and allies from Europe to Asia, and Africa to Latin America, we will demonstrate that the forces of terror cannot stop the momentum of freedom.
The last time I spoke here, I expressed the hope that life would return to normal. In some ways, it has. In others, it never will. Those of us who have lived through these challenging times have been changed by them. We've come to know truths that we will never question: evil is real, and it must be opposed. Beyond all differences of race or creed, we are one country, mourning together and facing danger together. Deep in the American character, there is honour, and it is stronger than cynicism. And many have discovered again that even in tragedy – especially in tragedy – God is near.
In a single instant, we realized that this will be a decisive decade in the history of liberty, that we've been called to a unique role in human events. Rarely has the world faced a choice more clear or consequential.
Our enemies send other people's children on missions of suicide and murder. They embrace tyranny and death as a cause and a creed. We stand for a different choice, made long ago, on the day of our founding. We affirm it again today. We choose freedom and the dignity of every life.
Steadfast in our purpose, we now press on. We have known freedom's price. We have shown freedom's power. And in this great conflict, my fellow Americans, we will see freedom's victory.
Thank you all. May God bless.
•
## Tony Blair
Blackpool, 1 October 2002
#### 'At our best when at our boldest'
> _On the night before this speech, Alastair Campbell, Tony Blair's director of communications and strategy, Blair's pollster Phillip Gould and policy adviser Liz Lloyd were up until 3 a.m. going through the speech line by line and trying to get in more 'colour and texture'. They thought that it was in good shape. Blair was up at around six. Campbell saw him at seven and the prime minister 'was pretty happy with it. He felt it was the most rounded intellectual speech of the lot'. This was the final section. Note the verbless sentences which mark some modern speeches._
Up to 1997, do you know how many years of the twentieth century Labour was in power with a substantial majority?
Nine. By the end of this Parliament, we will have doubled it.
We learnt the hard way.
But now we have to show that we have the capacity not only to learn but to transform, to show what a liberated modern social democracy can do.
We can do it. I'm an optimist.
Why?
Because there is change happening.
Ten years ago people asked would Labour ever win again.
Now, they ask it of the Tories.
Ten years ago, they asked if we were fit to manage the economy.
Now, thanks to the vision and brilliance of Gordon Brown, we have succeeded beyond any previous Labour or Tory government. Not by chance.
Every part of it – from the first years of discipline, through to Bank of England independence through to reform of tax and benefits to make work pay – was a bold choice.
The right wing never deserved their reputation for economic competence.
And we've made sure they'll never have exclusive rights to it again.
Ten years ago, claims that the minimum wage would cost a million jobs were the centrepiece of John Major's election campaign: now it's the law, business and trade unions agree it, and the Tories have to pretend they were in favour of it all along.
At our best when at our boldest.
For four elections, anyone who said investment before tax cuts was brave but doomed.
In 2001, we did it and it is those who oppose the investment who are on the run.
The New Deal was savaged by the Tories, challenged politically, challenged legally, challenged by business.
Now it's in its sixth year, over a million people have been helped by it and not one Tory candidate dares to stand up and say we should abolish it.
At our best when at our boldest.
Remember how devolution would break up Britain?
And now there is a Scottish Parliament and a Welsh Assembly, the nationalists are running from their separatism and not a single party in Britain proposes going back. And in Northern Ireland, for all the difficulties, Republicans and Unionists sit in government together and the principle of consent is accepted North and South on the island of Ireland for the first time in eighty years.
At our best when at our boldest.
And remember how for 100 years we tried to reform the House of Lords and now the reform is happening, the hereditary peers are leaving and the attack is that it doesn't go far enough?
The equal age of consent passed massively in the House of Commons.
The first black Cabinet minister. Record numbers of women Cabinet ministers.
Record numbers of women MPs.
From progress here to life and death, abroad, it is happening.
A month ago I visited Beira District Hospital in Mozambique. There are as many doctors in the whole of Mozambique as there are in Oldham. I saw four children to a bed, sick with malaria. Nurses dying of AIDS faster than others can be recruited. Tens of thousands of children dying in that country needlessly every year.
I asked a doctor: What hope is there? Britain is our hope, he said. Thanks to you we have debt relief. Thanks to you we have new programmes to fight AIDS and malaria. Thanks to you the docks at Maputo are being rebuilt and we can sell our goods abroad.
When you tire of knocking on the door, putting the leaflet in the envelope, wonder what it's all about and what it's all for, reflect on that doctor, feel proud of what you do, and understand that's what we elect a Labour government for.
We haven't just nailed the myths about Labour of old; we've created some legend of achievement about New Labour too.
We've been at our best when we've been at our boldest.
And now we need to be again.
And all it takes is for us to do what we believe in.
We believe in a school system of equal opportunity for all. But we don't yet have it.
We believe in an NHS with equal access for all; but not all get it.
We believe in punishing the guilty and acquitting the innocent but it's not what happens.
We believe in ridding Britain of child poverty but children are still poor.
We believe in Europe but we're not yet at the centre of it.
There's nothing wrong with the old principles but if the old ways worked, they'd have worked by now.
If you believe in social justice, in solidarity, in equality of opportunity and responsibility, then believe in the reforms to get us there.
Now is the time.
To quicken the march of progress not mark time.
What started with the renewal of the Labour Party only ends with the renewal of Britain.
Pessimism or hope
Despair or confidence
Decline or renewal
At our best when at our boldest.
This is not the time to abandon our journey of modernization but to see it through.
•
## Robin Cook
London, 17 March 2003
#### 'With a heavy heart I resign from the government'
> _The stakes were high when the House of Commons debated whether to back Tony Blair in joining the United States in invading Iraq with the aim of toppling Saddam Hussein, its dictator president. Blair knew that if the vote was lost, he would be forced to resign. There were two outstanding performers – Blair and Robin Cook, who as Foreign Secretary and then Leader of the House of Commons, was one of the big beasts of Blair's New Labour government. A swellingwave of applause greeted Cook as he sat down and he was given a standing ovation. Blair won the vote by 412 to 149 – 139 Labour MPs voted against Blair, a record revolt in modern times_.
I have chosen to address the House on why I cannot support a war without international agreement or domestic support. The present Prime Minister is the most successful leader of the Labour Party in my lifetime. I hope that he will continue to be the leader of our party, and I hope that he will continue to be successful. I have no sympathy with, and I will give no comfort to, those who want to use this crisis to displace him. I applaud the heroic efforts that the prime minister has made in trying to secure a second resolution. I do not think that anybody could have done better than the foreign secretary [Jack Straw] in working to get support for a second resolution within the Security Council. But the very intensity of those attempts underlines how important it was to succeed. Now that those attempts have failed, we cannot pretend that getting a second resolution was of no importance.
France has been at the receiving end of bucket loads of commentary in recent days. It is not France alone that wants more time for inspections. Germany wants more time for inspections; Russia wants more time for inspections; indeed, at no time have we signed up even the minimum necessary to carry a second resolution. We delude ourselves if we think that the degree of international hostility is all the result of President Chirac. The reality is that Britain is being asked to embark on a war without agreement in any of the international bodies of which we are a leading partner – not NATO, not the European Union and, now, not the Security Council.
To end up in such diplomatic weakness is a serious reverse. Only a year ago, we and the United States were part of a coalition against terrorism that was wider and more diverse than I would ever have imagined possible. History will be astonished at the diplomatic miscalculations that led so quickly to the disintegration of that powerful coalition. The US can afford to go it alone, but Britain is not a superpower. Our interests are best protected not by unilateral action but by multilateral agreement and a world order governed by rules. Yet tonight the international partnerships most important to us are weakened: the European Union is divided; the Security Council is in stalemate.
Those are heavy casulaties of a war in which a shot has yet to be fired. I have heard some parallels between military action in these circumstances and the military action that we took in Kosovo. There was no doubt about the multilateral support that we had for the action that we took in Kosovo. It was supported by NATO; it was supported by the European Union; it was supported by every single one of the seven neighbours in the region. France and Germany were our active allies. It is precisely because we have none of that support in this case that it was all the more important to get agreement in the Security Council as the last hope of demonstrating international agreement.
The legal basis for our action in Kosovo was the need to respond to an urgent and compelling humanitarian crisis. Our difficulty in getting support this time is that neither the international community nor the British public is persuaded that there is an urgent and compelling reason for this military action in Iraq.
The threshold for war should always be high. None of us can predict the death toll of civilians from the forthcoming bombardment of Iraq, but the US warning of a bombing campaign that will 'shock and awe' makes it likely that casualties will be numbered at least in the thousands. I am confident that British servicemen and women will acquit themselves with professionalism and with courage. I hope that they all come back.
I hope that Saddam, even now, will quit Baghdad and avert war, but it is false to argue that only those who support war support our troops. It is entirely legitimate to support our troops while seeking an alternative to the conflict that will put those troops at risk. Nor is it fair to accuse those of us who want longer for inspections of not having an alternative strategy.
For four years as foreign secretary I was partly responsible for the Western strategy of containment. Over the past decade that strategy destroyed more weapons than in the Gulf War, dismantled Iraq's nuclear weapons programme and halted Saddam's medium- and long-range missiles programmes. Iraq's military strength is now less than half its size at the time of the last Gulf War. Ironically, it is only because Iraq's military forces are so weak that we can even contemplate its invasion. Some advocates of conflict claim that Saddam's forces are so weak, so demoralized and so badly equipped that the war will be over in a few days.
We cannot base our military strategy on the assumption that Saddam is weak and at the same time justify pre-emptive action on the claim that he is a threat. Iraq probably has no weapons of mass destruction in the commonly understood sense of the term – namely a credible device capable of being delivered against a strategic city target. It probably still has biological toxins and battlefield chemical munitions, but it has had them since the 1980s when US companies sold Saddam anthrax agents and the then British Government approved chemical and munitions factories.
Why is it now so urgent that we should take military action to disarm a military capacity that has been there for twenty years, and which we helped to create? Why is it necessary to resort to war this week, while Saddam's ambition to complete his weapons programme is blocked by the presence of UN inspectors? Only a couple of weeks ago, Hans Blix told the Security Council that the key remaining disarmament tasks could be completed within months.
I have heard it said that Iraq has had not months but twelve years in which to complete disarmament, and that our patience is exhausted. Yet it is more than thirty years since resolution 242 called on Israel to withdraw from the occupied territories. We do not express the same impatience with the persistent refusal of Israel to comply. I welcome the strong personal commitment that the prime minister has given to Middle East peace, but Britain's positive role in the Middle East does not redress the strong sense of injustice throughout the Muslim world at what it sees as one rule for the allies of the US and another rule for the rest.
Nor is our credibility helped by the appearance that our partners in Washington are less interested in disarmament than they are in regime change in Iraq. That explains why any evidence that inspections may be showing progress is greeted in Washington not with satisfaction but with consternation: it reduces the case for war. What has come to trouble me most over past weeks is the suspicion that if the hanging chads in Florida had gone the other way and Al Gore had been elected, we would not now be about to commit British troops.
The longer that I have served in this place, the greater the respect I have for the good sense and collective wisdom of the British people. On Iraq, I believe that the prevailing mood of the British people is sound. They do not doubt that Saddam is a brutal dictator, but they are not persuaded that he is a clear and present danger to Britain. They want inspections to be given a chance, and they suspect that they are being pushed too quickly into conflict by a US Administration with an agenda of its own. Above all, they are uneasy at Britain going out on a limb on a military adventure without a broader international coalition and against the hostility of many of our traditional allies.
From the start of the present crisis, I have insisted, as Leader of the House, on the right of this place to vote on whether Britain should go to war. It has been a favourite theme of commentators that this House no longer occupies a central role in British politics. Nothing could better demonstrate that they are wrong than for this House to stop the commitment of troops in a war that has neither international agreement nor domestic support.
I intend to join those tomorrow night who will vote against military action now. It is for that reason, and for that reason alone, and with a heavy heart, that I resign from the government.
•
## Tony Blair
London, 18 March 2003
#### 'The possibility... of terrorist groups in possession of WMD... is now, in my judgement, a real and present danger'
> _This was the most important speech that Tony Blair had ever made: he believed he would have to go if a majority of the Labour Party failed to support him. He told his three eldest children he might not be prime minister by the end of theweek. 'At times like this, I just put my head down and write,' he wrote in his autobiography. 'The argument came easily.' This is mainly the edited version of his speech that Blair used in his autobiography._
It is right that this house debate this issue and pass judgement. That is the democracy that is our right but that others struggle for in vain.
And again I say: I do not disrespect the views of those in opposition to mine.
This is a tough choice. But it is also a stark one: to stand British troops down and turn back; or to hold firm to the course we have set.
I believe we must hold firm.
The question most often posed is not why does it matter? But why does it matter so much? Here we are, the government with its most serious test, its majority at risk, the first Cabinet resignation over an issue of policy. The main parties divided.
People who agree on everything else, disagree on this and likewise, those who never agree on anything, finding common cause. The country and parliament reflect each other, a debate that, as time has gone on has become less bitter but not less grave.
So: why does it matter so much? Because the outcome of this issue will now determine more than the fate of the Iraqi regime and more than the future of the Iraqi people, for so long brutalized by Saddam. It will determine the way Britain and the world confront the central security threat of the twenty-first century; the development of the UN; the relationship between Europe and the US; the relations within the EU and the way the US engages with the rest of the world. It will determine the pattern of international politics for the next generation...
Let me tell the house what I know. I know that there are some countries or groups within countries that are proliferating and trading in WMD, especially nuclear weapons technology.
I know there are companies, individuals, some former scientists on nuclear weapons programmes, selling their equipment or expertise.
I know there are several countries – mostly dictatorships with highly repressive regimes – desperately trying to acquire chemical weapons, biological weapons or, in particular, nuclear weapons capability. Some of these countries are now a short time away from having a serviceable nuclear weapon. This activity is not diminishing. It is increasing.
We all know that there are terrorist cells now operating in most major countries. Just as in the last two years, around twenty different nations have suffered serious terrorist outrages. Thousands have died in them.
The purpose of terrorism lies not just in the violent act itself. It is in producing terror. It sets out to inflame, to divide, to produce consequences which they then use to justify further terror.
Round the world it now poisons the chances of political progress: in the Middle East; in Kashmir; in Chechnya; in Africa.
The removal of the Taliban in Afghanistan dealt it a blow. But it has not gone away.
And these two threats have different motives and different origins but they share one basic common view: they detest the freedom, democracy and tolerance that are the hallmarks of our way of life.
At the moment, I accept that association between them is loose. But it is hardening.
And the possibility of the two coming together – of terrorist groups in possession of WMD, even of a so-called dirty radiological bomb, is now, in my judgement, a real and present danger.
And let us recall: what was shocking about September 11 was not just the slaughter of the innocent, but the knowledge that had the terrorists been able to, there would have been not 3,000 innocent dead, but 30,000 or 300,000 and the more the suffering, the greater the terrorists' rejoicing.
Three kilograms of VX from a rocket launcher would contaminate a quarter of a square kilometre of a city.
Millions of lethal doses are contained in one litre of anthrax; 10,000 litres are unaccounted for; 11 September has changed the psychology of America. It should have changed the psychology of the world. Of course Iraq is not the only part of this threat. But it is the test of whether we treat the threat seriously.
Faced with it, the world should unite. The UN should be the focus, both of diplomacy and of action. That is what 1441 said. That was the deal. And I say to you to break it now, to will the ends but not the means that would do more damage in the long term to the UN than any other course.
To fall back into the lassitude of the last twelve years, to talk, to discuss, to debate but never act; to declare our will but not enforce it; to combine strong language with weak intentions, a worse outcome than never speaking at all.
And then, when the threat returns from Iraq or elsewhere, who will believe us? What price our credibility with the next tyrant?...
What we have witnessed is indeed the consequence of Europe and the United States dividing from each other. Not all of Europe – Spain, Italy, Holland, Denmark, Portugal – have all strongly supported us. And not a majority of Europe if we include, as we should, Europe's new members who will accede next year, all ten of whom have been in our support.
But the paralysis of the UN has been born out of the division there is. And at the heart of it has been the concept of a world in which there are rival poles of power. The US and its allies in one corner. France, Germany, Russia and its allies in the other. I do not believe that all of these nations intend such an outcome. But that is what now faces us.
I believe such a vision to be misguided and profoundly dangerous. I know why it arises. There is resentment of US predominance.
There is fear of US unilateralism. People ask: do the US listen to us and our preoccupations? And there is perhaps a lack of full understanding of US preoccupations after 11th September. I know all of this. But the way to deal with it is not rivalry but partnership. Partners are not servants but neither are they rivals. I tell you what Europe should have said last September to the US. With one voice it should have said: we understand your strategic anxiety over terrorism and WMD and we will help you meet it.
We will mean what we say in any UN resolution we pass and will back it with action if Saddam fails to disarm voluntarily; but in return we ask two things of you: that the US should choose the UN path and you should recognize the fundamental overriding importance of re-starting the Middle East Peace Process, which we will hold you to...
I have never put our justification for action as regime change. We have to act within the terms set out in resolution 1441. That is our legal base.
But it is the reason, I say frankly, why if we do act we should do so with a clear conscience and strong heart.
I accept fully that those opposed to this course of action share my detestation of Saddam. Who could not? Iraq is a wealthy country that in 1978, the year before Saddam seized power, was richer than Portugal or Malaysia.
Today it is impoverished, sixty per cent of its population dependent on food aid.
Thousands of children die needlessly every year from lack of food and medicine.
Four million people out of a population of just over twenty million are in exile.
The brutality of the repression – the death and torture camps, the barbaric prisons for political opponents, the routine beatings for anyone or their families suspected of disloyalty are well documented.
Just last week, someone slandering Saddam was tied to a lamp post in a street in Baghdad, his tongue cut out, mutilated and left to bleed to death, as a warning to others.
I recall a few weeks ago talking to an Iraqi exile and saying to her that I understood how grim it must be under the lash of Saddam.
'But you don't,' she replied. 'You cannot. You do not know what it is like to live in perpetual fear.'
And she is right. We take our freedom for granted. But imagine not to be able to speak or discuss or debate or even question the society you live in. To see friends and family taken away and never daring to complain. To suffer the humility of failing courage in face of pitiless terror. That is how the Iraqi people live. Leave Saddam in place and that is how they will continue to be forced to live...
We must face the consequences of the actions we advocate. For me, that means all the dangers of war. But for others, opposed to this course, it means – let us be clear – that the Iraqi people, whose only true hope of liberation lies in the removal of Saddam, for them, the darkness will close back over them again; and he will be free to take his revenge upon those he must know wish him gone.
And if this house now demands that at this moment, faced with this threat from this regime, that British troops are pulled back, that we turn away at the point of reckoning, and that is what it means – what then?
What will Saddam feel? Strengthened beyond measure. What will the other states who tyrannize their people, the terrorists who threaten our existence, what will they take from that? That the will confronting them is decaying and feeble.
Who will celebrate and who will weep?
And if our plea is for America to work with others, to be good as well as powerful allies, will our retreat make them multilateralist? Or will it not rather be the biggest impulse to unilateralism there could ever be. And what of the UN and the future of Iraq and the Middle East peace plan, devoid of our influence, stripped of our insistence?
This house wanted this decision. Well it has it. Those are the choices. And in this dilemma, no choice is perfect, no cause ideal.
But on this decision hangs the fate of many things:
Of whether we summon the strength to recognize this global challenge of the twenty-first century and meet it.
Of the Iraqi people, groaning under years of dictatorship.
Of our armed forces – brave men and women of whom we can feel proud, whose morale is high and whose purpose is clear.
Of the institutions and alliances that will shape our world for years to come.
I can think of many things, of whether we summon the strength to recognize the global challenge of the twenty-first century and beat it, of the Iraqi people groaning under years of dictatorship, of our armed forces – brave men and women of whom we can feel proud, whose morale is high and whose purpose is clear – of the institutions and alliances that shape our world for years to come.
To retreat now, I believe, would put at hazard all that we hold dearest, turn the UN back into a talking shop, stifle the first steps of progress in the Middle East, leave the Iraqi people to the mercy of events on which we would have relinquished all power to influence for the better.
Tell our allies that at the very moment of action, at the very moment when they need our determination, that Britain faltered. I will not be party to such a course. This is not the time to falter. This is the time for this house, not just this government or indeed this prime minister, but for this house to give a lead, to show that we will stand up for what we know to be right, to show that we will confront the tyrannies and dictatorships and terrorists who put our way of life at risk, to show at the moment of decision that we have the courage to do the right thing.
> _Blair won the motion by 412 votes to 149 (which included 129 of the 413 Labour MPs). It was a speech that would haunt him for the rest of his career. No weapons of mass destruction were found in Iraq – the premise for action – and 179 British troops and more than 100,000 Iraqi citizens were killed during the war and its bloody aftermath_.
•
## Colonel Tim Collins
Kuwaiti desert, 19 March 2003
#### 'There are some who are alive at this moment who will not be alive shortly'
> _Colonel Tim Collins delivered this off-the-cuff speech to about 800 men of the battlegroup of the 1st Battalion of the Royal Irish Regiment when they were 20 miles from the Iraqi border before the invasion by the 16 Air Assault Brigade. Sarah Oliver of the_ Mail on Sunday _,_ _who recorded the speech, said that it grew and grew into something magnificent. 'It made you realize the true meaning of the term "rallying cry"... It was just after a sandstorm and the men were standing around him in a U-shape... He delivered the speech without a note... By the end everyone felt they were ready for whatever lay ahead.'_
We go to liberate, not to conquer. We will not fly our flags in their country. We are entering Iraq to free a people and the only flag which will be flown in that ancient land is their own. Show respect for them.
There are some who are alive at this moment who will not be alive shortly. Those who do not wish to go on that journey, we will not send. As for the others, I expect you to rock their world. Wipe them out if that is what they choose. But if you are ferocious in battle remember to be magnanimous in victory.
Iraq is steeped in history. It is the site of the Garden of Eden, of the Great Flood and the birthplace of Abraham. Tread lightly there. You will see things that no man could pay to see – and you will have to go a long way to find a more decent, generous and upright people than the Iraqis. You will be embarrassed by their hospitality even though they have nothing. Don't treat them as refugees for they are in their own country. Their children will be poor, in years to come they will know that the light of liberation in their lives was brought by you.
If there are casualties of war then remember that when they woke up and got dressed in the morning they did not plan to die this day. Allow them dignity in death. Bury them properly and mark their graves.
It is my foremost intention to bring every single one of you out alive. But there may be people among us who will not see the end of this campaign. We will put them in their sleeping bags and send them back. There will be no time for sorrow.
The enemy should be in no doubt that we are his nemesis and that we are bringing about his rightful destruction. There are many regional commanders who have stains on their souls and they are stoking the fires of hell for Saddam. He and his forces will be destroyed by this coalition for what they have done. As they die they will know their deeds have brought them to this place. Show them no pity.
It is a big step to take another human life. It is not to be done lightly. I know of men who have taken life needlessly in other conflicts. I can assure you they live with the mark of Cain upon them. If someone surrenders to you then remember they have that right in international law and ensure that one day they go home to their family.
The ones who wish to fight, well, we aim to please.
If you harm the regiment or its history by over-enthusiasm in killing or in cowardice, know it is your family who will suffer. You will be shunned unless your conduct is of the highest – for your deeds will follow you down through history. We will bring shame on neither our uniform or our nation.
( _On Saddam's chemical and biological weapons_ ) It is not a question of if, it's a question of when. We know he has already devolved the decision to lower commanders, and that means he has already taken the decision himself. If we survive the first strike we will survive the attack.
As for ourselves, let's bring everyone home and leave Iraq a better place for us having been there.
Our business now is north.
•
## David Grossman
Tel Aviv, 4 November 2006
#### 'Turn to the Palestinian people'
> _The Israeli author David Grossman's books have been translated into more than thirty languages and won many prizes. He is an activist and critic of Israeli policy towards Palestinians_. The Yellow Wind _,_ _his non-fiction study of the life of Palestinians in the Israeli-occupied West Bank and Gaza Strip, was applauded abroad but provoked controversy at home. Alongside Amos Oz, he has been one of the most prominent cultural advocates of a two-state solution to the Israeli– Palestinian conflict. When he made this speech at a rally attended by 100,000 people he was also a bereaved father. It generated responses across the world._
The annual memorial ceremony for Yitzhak Rabin is the moment when we pause for a while to remember Rabin the man, the leader. And we also take a look at ourselves, at Israeli society, its leadership, the national mood, the state of the peace process, at ourselves as individuals in the face of national events.
It is not easy to take a look at ourselves this year. There was a war, and Israel flexed its massive military muscle, but also exposed Israel's fragility. We discovered that our military might ultimately cannot be the only guarantee of our existence. Primarily, we have found that the crisis Israel is experiencing is far deeper than we had feared, in almost every way.
I am speaking here tonight as a person whose love for the land is overwhelming and complex, and yet it is unequivocal, and as one whose continuous covenant with the land has turned his personal calamity into a covenant of blood.
I am totally secular, and yet in my eyes the establishment and the very existence of the State of Israel is a miracle of sorts that happened to us as a nation – a political, national, human miracle.
I do not forget this for a single moment. Even when many things in the reality of our lives enrage and depress me, even when the miracle is broken down to routine and wretchedness, to corruption and cynicism, even when reality seems like nothing but a poor parody of this miracle, I always remember. And with these feelings, I address you tonight.
'Behold land, for we hath squandered,' wrote the poet Saul Tchernikovsky in Tel Aviv in 1938. He lamented the burial of our young again and again in the soil of the Land of Israel. The death of young people is a horrible, ghastly waste.
But no less dreadful is the sense that for many years the State of Israel has been squandering, not only the lives of its sons, but also its miracle; that grand and rare opportunity that history bestowed upon it, the opportunity to establish here a state that is efficient, democratic, which abides by Jewish and universal values; a state that would be a national home and haven, but not only a haven, also a place that would offer a new meaning to Jewish existence; a state that holds as an integral and essential part of its Jewish identity and its Jewish ethos, the observance of full equality and respect for its non-Jewish citizens.
Look at what befell us. Look what befell the young, bold, passionate country we had here, and how, as if it had undergone a quickened ageing process, Israel lurched from infancy and youth to a perpetual state of gripe, weakness and sourness.
How did this happen? When did we lose even the hope that we would eventually be able to live a different, better life? Moreover, how do we continue to watch from the side as though hypnotized by the insanity, rudeness, violence and racism that has overtaken our home?
And I ask you: How could it be that a people with such powers of creativity, renewal and vivacity as ours, a people that knew how to rise from the ashes time and again, finds itself today, despite its great military might, at such a state of laxity and inanity, a state where it is the victim once more, but this time its own victim, of its anxieties, its short-sightedness.
One of the most difficult outcomes of the recent war is the heightened realization that at this time there is no king in Israel, that our leadership is hollow. Our military and political leadership is hollow. I am not even talking about the obvious blunders in running the war, of the collapse of the home front, nor of the large-scale and small-time corruption.
I am talking about the fact that the people leading Israel today are unable to connect Israelis to their identity. Certainly not with the healthy, vitalizing and productive areas of this identity, with those areas of identity and memory and fundamental values that would give us hope and strength, that would be the antidote to the waning of mutual trust, of the bonds to the land, that would give some meaning to the exhausting and despairing struggle for existence.
The fundamental characteristics of the current Israeli leadership are primarily anxiety and intimidation, of the charade of power, the wink of the dirty deal, of selling out our most prized possessions. In this sense they are not true leaders, certainly they are not the leaders of a people in such a complicated position that has lost the way it so desperately needs. Sometimes it seems that the sound box of their self-importance, of their memories of history, of their vision, of what they really care for, exist only in the minuscule space between two headlines of a newspaper or between two investigations by the attorney general.
Look at those who lead us. Not all of them, of course, but many among them. Behold their petrified, suspicious, sweaty conduct. The conduct of advocates and scoundrels. It is preposterous to expect to hear wisdom emerge from them, that some vision or even just an original, truly creative, bold and ingenuous idea would emanate from them.
When was the last time a prime minister formulated or took a step that could open up a new horizon for Israelis, for a better future? When did he initiate a social or cultural or ideological move, instead of merely reacting feverishly to moves forced upon him by others?
Mr Prime Minister, I am not saying these words out of feelings of rage or revenge. I have waited long enough to avoid responding on impulse. You will not be able to dismiss my words tonight by saying a grieving man cannot be judged. Certainly I am grieving, but I am more pained than angry. This country and what you and your friends are doing to it pains me.
Trust me, your success is important to me, because the future of all of us depends on our ability to act. Yitzhak Rabin took the road of peace with the Palestinians, not because he possessed great affection for them or their leaders. Even then, as you recall, common belief was that we had no partner and we had nothing to discuss with them.
Rabin decided to act because he discerned very wisely that Israeli society would not be able to sustain itself endlessly in a state of unresolved conflict. He realized long before many others that life in a climate of violence, occupation, terror, anxiety and hopelessness extracts a price Israel cannot afford. This is all relevant today, even more so. We will soon talk about the partner that we do or do not have, but before that, let us take a look at ourselves.
We have been living in this struggle for more than 100 years. We, the citizens of this conflict, have been born into war and raised in it, and in a certain sense indoctrinated by it. Maybe this is why we sometimes think that this madness in which we live for over 100 years is the only real thing, the only life for us, and that we do not have the option or even the right to aspire for a different life.
By our sword we shall live and by our sword we shall die and the sword shall devour for ever. Maybe this would explain the indifference with which we accept the utter failure of the peace process, a failure that has lasted for years and claims more and more victims...
And these are partly the cause of Israel's quick descent into the heartless, essentially brutal treatment of its poor and suffering. This indifference to the fate of the hungry, the elderly, the sick and the disabled, all those who are weak, this equanimity of the State of Israel in the face of human trafficking or the appalling employment conditions of our foreign workers, which border on slavery, to the deeply ingrained institutionalized racism against the Arab minority.
When this takes place here so naturally, without shock, without protest, as though it were obvious that we would never be able to get the wheel back on track, when all of this takes place, I begin to fear that even if peace were to arrive tomorrow, and even if we ever regained some normalcy, we may have lost our chance for full recovery. The calamity that struck my family and myself with the falling of our son, Uri, does not grant me any additional rights in the public discourse, but I believe that the experience of facing death and loss brings with it a sobriety and lucidity, at least regarding the distinction between the important and the unimportant, between the attainable and the unattainable.
Any reasonable person in Israel, and I will say in Palestine too, knows exactly the outline of a possible solution to the conflict between the two peoples. Any reasonable person here and over there knows deep in their heart the difference between dreams and the heart's desire, between what is possible and what is not possible by the conclusion of negotiations. Anyone who does not know, who refuses to acknowledge this, is already not a partner, be he Jew or Arab, is entrapped in his hermetic fanaticism, and is therefore not a partner.
Let us take a look at those who are meant to be our partners. The Palestinians have elected Hamas to lead them, Hamas who refuses to negotiate with us, refuses even to recognize us. What can be done in such a position? Keep strangling them more and more, keep mowing down hundreds of Palestinians in Gaza, most of whom are innocent civilians like us? Kill them and get killed for all eternity?
Turn to the Palestinians, Mr Olmert, address them over the heads of Hamas, appeal to their moderates, those who like you and I oppose Hamas and its ways, turn to the Palestinian people, speak to their deep grief and wounds, acknowledge their ongoing suffering.
Nothing would be taken away from you or Israel's standing in future negotiations. Our hearts will only open up to one another slightly, and this has a tremendous power, the power of a _force majeure_. The power of simple human compassion, particularly in this state of deadlock and dread. Just once, look at them not through the sights of a gun, and not behind a closed roadblock. You will see there a people that is tortured no less than us. An oppressed, occupied people bereft of hope.
Certainly, the Palestinians are also to blame for the impasse, certainly they played their role in the failure of the peace process. But take a look at them from a different perspective, not only at the radicals in their midst, not only at those who share interests with our own radicals. Take a look at the overwhelming majority of this miserable people, whose fate is entangled with our own, whether we like it or not.
Go to the Palestinians, Mr Olmert, do not search all the time for reasons not to talk to them. You backed down on the unilateral convergence, and that's a good thing, but do not leave a vacuum. It will be occupied instantly with violence, destruction. Talk to them, make them an offer their moderates can accept. They argue among themselves far more than we are shown in the media. Make them an offer that will force them to choose between accepting it or preferring to remain hostage to fanatical Islam.
Approach them with the bravest and most serious plan Israel can offer. With the offer that any reasonable Palestinian and Israeli knows is the boundary of their refusal and our concession. There is no time. Should you delay, in a short while we will look back with longing at the amateur Palestinian terror. We will hit our heads and yell at our failure to exercise all of our mental flexibility, all of the Israeli ingenuity to uproot our enemies from their self-entrapment. We have no choice and they have no choice. And a peace of no choice should be approached with the same determination and creativity as one approaches a war of no choice. And those who believe we do have a choice, or that time is on our side, do not comprehend the deeply dangerous processes already in motion.
Maybe, Mr Prime Minister, you need to be reminded that if an Arab leader is sending a peace signal, be it the slightest and most hesitant, you must accept it, you must test immediately its sincerity and seriousness. You do not have the moral right not to respond.
You owe it to those whom you would ask to sacrifice their lives should another war break out. Therefore, if President Assad says that Syria wants peace, even if you don't believe him, and we are all suspicious of him, you must offer to meet him that same day.
Don't wait a single day. When you launched the last war you did not even wait one hour. You charged with full force, with the complete arsenal, with the full power of destruction. Why, when a glimmer of peace surfaces, must you reject it immediately, dissolve it? What have you got to lose? Are you suspicious of it? Go and offer him such terms that would expose his schemes. Offer him a peace process that would last over several years, and only at its conclusion, and provided he meets all the conditions and restrictions, will he get back the Golan. Commit him to a prolonged process, act so that his people also become aware of this possibility. Help the moderates, who must exist there as well. Try to shape reality. Not only serve as its collaborator. This is what you were elected to do.
Certainly, not all depends on our actions. There are major powers active in our region and in the world. Some, like Iran, like radical Islam, seek our doom and despite that, so much depends on what we do, on what we become.
Disagreements today between right and left are not that significant. The vast majority of Israel's citizens understand this already, and know what the outline for the resolution of the conflict would look like. Most of us understand, therefore, that the land would be divided, that a Palestinian State would be established.
Why, then, do we keep exhausting ourselves with the internal bickering that has gone on for forty years? Why does our political leadership continue to reflect the position of the radicals and not that held by the majority of the public? It is better to reach national consensus before circumstances or, God forbid, another war force us to reach it. If we do it, we would save ourselves years of decline and error, years when we will cry time and again: 'Behold land, for we hath squandered.'
From where I stand right now, I beseech, I call on all those who listen, the young who came back from the war, who know they are the ones to be called upon to pay the price of the next war, on citizens, Jew and Arab, people on the right and the left, the secular, the religious, stop for a moment, take a look into the abyss. Think of how close we are to losing all that we have created here. Ask yourselves if this is not the time to get a grip, to break free of this paralysis, to finally claim the lives we deserve to live.
•
## Barack Obama
Philadelphia, 18 March 2008
#### 'A more perfect union'
> _The Rev. Jeremiah Wright of Trinity United Church of Christ in Chicago embarrassed the Democrat candidate Barack Obama, who had regularly worshipped in his church during the 2008 presidential election campaign, by making strong criticisms of American policy – for instance, for putting Africans into slavery. He did not justify the 9/11 attacks but said that America's chickens were coming home to roost because 'the stuff we have done overseas has now been brought right back into our own front yards'. Obama's response in his 'race speech' has been compared to Martin Luther King's 'I Have A Dream' speech or the Gettysburg Address, exaggeratedly, according to the American commentator Garry Wills. But both Lincoln and Obama argued against the politics of fear, said Wills; each forged a moral position that rose above the occasions for their speaking. The_ New York Times _columnist Maureen Dowd noted that only Barack Obama 'could alchemize a nuanced 40-minute speech on race into must-see YouTube viewing for 20-year-olds'._
'We the people, in order to form a more perfect union.' Two hundred and twenty-one years ago, in a hall that still stands across the street, a group of men gathered and, with these simple words, launched America's improbable experiment in democracy. Farmers and scholars; statesmen and patriots who had travelled across an ocean to escape tyranny and persecution finally made real their declaration of independence at a Philadelphia convention that lasted through the spring of 1787.
The document they produced was eventually signed but ultimately unfinished. It was stained by this nation's original sin of slavery, a question that divided the colonies and brought the convention to a stalemate until the founders chose to allow the slave trade to continue for at least twenty more years, and to leave any final resolution to future generations.
Of course, the answer to the slavery question was already embedded within our Constitution – a Constitution that had at its very core the ideal of equal citizenship under the law; a Constitution that promised its people liberty, and justice, and a union that could be and should be perfected over time.
And yet words on a parchment would not be enough to deliver slaves from bondage, or provide men and women of every colour and creed their full rights and obligations as citizens of the United States. What would be needed were Americans in successive generations who were willing to do their part – through protests and struggle, on the streets and in the courts, through a civil war and civil disobedience and always at great risk – to narrow that gap between the promise of our ideals and the reality of their time.
This was one of the tasks we set forth at the beginning of this campaign – to continue the long march of those who came before us, a march for a more just, more equal, more free, more caring and more prosperous America. I chose to run for the presidency at this moment in history because I believe deeply that we cannot solve the challenges of our time unless we solve them together – unless we perfect our union by understanding that we may have different stories, but we hold common hopes; that we may not look the same and we may not have come from the same place, but we all want to move in the same direction – towards a better future for our children and our grandchildren.
This belief comes from my unyielding faith in the decency and generosity of the American people. But it also comes from my own American story.
I am the son of a black man from Kenya and a white woman from Kansas. I was raised with the help of a white grandfather who survived a Depression to serve in Patton's Army during World War II and a white grandmother who worked on a bomber assembly line at Fort Leavenworth while he was overseas. I've gone to some of the best schools in America and lived in one of the world's poorest nations. I am married to a black American who carries within her the blood of slaves and slave owners – an inheritance we pass on to our two precious daughters. I have brothers, sisters, nieces, nephews, uncles and cousins, of every race and every hue, scattered across three continents, and for as long as I live, I will never forget that in no other country on Earth is my story even possible.
It's a story that hasn't made me the most conventional candidate. But it is a story that has seared into my genetic makeup the idea that this nation is more than the sum of its parts – that out of many, we are truly one.
Throughout the first year of this campaign, against all predictions to the contrary, we saw how hungry the American people were for this message of unity. Despite the temptation to view my candidacy through a purely racial lens, we won commanding victories in states with some of the whitest populations in the country. In South Carolina, where the Confederate Flag still flies, we built a powerful coalition of African Americans and white Americans... it has only been in the last couple of weeks that the discussion of race in this campaign has taken a particularly divisive turn.
On one end of the spectrum, we've heard the implication that my candidacy is somehow an exercise in affirmative action; that it's based solely on the desire of wide-eyed liberals to purchase racial reconciliation on the cheap. On the other end, we've heard my former pastor, Reverend Jeremiah Wright, use incendiary language to express views that have the potential not only to widen the racial divide, but views that denigrate both the greatness and the goodness of our nation; that rightly offend white and black alike.
I have already condemned, in unequivocal terms, the statements of Reverend Wright that have caused such controversy. For some, nagging questions remain. Did I know him to be an occasionally fierce critic of American domestic and foreign policy? Of course. Did I ever hear him make remarks that could be considered controversial while I sat in church? Yes. Did I strongly disagree with many of his political views? Absolutely – just as I'm sure many of you have heard remarks from your pastors, priests or rabbis with which you strongly disagreed.
But the remarks that have caused this recent firestorm weren't simply controversial. They weren't simply a religious leader's effort to speak out against perceived injustice. Instead, they expressed a profoundly distorted view of this country – a view that sees white racism as endemic, and that elevates what is wrong with America above all that we know is right with America; a view that sees the conflicts in the Middle East as rooted primarily in the actions of stalwart allies like Israel, instead of emanating from the perverse and hateful ideologies of radical Islam.
As such, Reverend Wright's comments were not only wrong but divisive, divisive at a time when we need unity; racially charged at a time when we need to come together to solve a set of monumental problems – two wars, a terrorist threat, a falling economy, a chronic health care crisis and potentially devastating climate change; problems that are neither black or white or Latino or Asian, but rather problems that confront us all.
Given my background, my politics, and my professed values and ideals, there will no doubt be those for whom my statements of condemnation are not enough. Why associate myself with Reverend Wright in the first place, they may ask? Why not join another church? And I confess that if all that I knew of Reverend Wright were the snippets of those sermons that have run in an endless loop on the television and YouTube, or if Trinity United Church of Christ conformed to the caricatures being peddled by some commentators, there is no doubt that I would react in much the same way.
But the truth is, that isn't all that I know of the man. The man I met more than twenty years ago is a man who helped introduce me to my Christian faith, a man who spoke to me about our obligations to love one another; to care for the sick and lift up the poor. He is a man who served his country as a US Marine; who has studied and lectured at some of the finest universities and seminaries in the country, and who for over thirty years led a church that serves the community by doing God's work here on Earth – by housing the homeless, ministering to the needy, providing day care services and scholarships and prison ministries, and reaching out to those suffering from HIV/AIDS.
In my first book, _Dreams from My Father_ , I described the experience of my first service at Trinity:
> People began to shout, to rise from their seats and clap and cry out, a forceful wind carrying the reverend's voice up into the rafters... And in that single note – hope! – I heard something else; at the foot of that cross, inside the thousands of churches across the city, I imagined the stories of ordinary black people merging with the stories of David and Goliath, Moses and Pharaoh, the Christians in the lion's den, Ezekiel's field of dry bones. Those stories – of survival, and freedom, and hope – became our story, my story; the blood that had spilled was our blood, the tears our tears; until this black church, on this bright day, seemed once more a vessel carrying the story of a people into future generations and into a larger world. Our trials and triumphs became at once unique and universal, black and more than black; in chronicling our journey, the stories and songs gave us a means to reclaim memories that we didn't need to feel shame about... memories that all people might study and cherish – and with which we could start to rebuild.
That has been my experience at Trinity. Like other predominantly black churches across the country, Trinity embodies the black community in its entirety – the doctor and the welfare mom, the model student and the former gang-banger. Like other black churches, Trinity's services are full of raucous laughter and sometimes bawdy humour. They are full of dancing, clapping, screaming and shouting that may seem jarring to the untrained ear. The church contains in full the kindness and cruelty, the fierce intelligence and the shocking ignorance, the struggles and successes, the love and yes, the bitterness and bias that make up the black experience in America.
And this helps explain, perhaps, my relationship with Reverend Wright. As imperfect as he may be, he has been like family to me. He strengthened my faith, officiated my wedding, and baptized my children. Not once in my conversations with him have I heard him talk about any ethnic group in derogatory terms, or treat whites with whom he interacted with anything but courtesy and respect. He contains within him the contradictions – the good and the bad – of the community that he has served diligently for so many years.
I can no more disown him than I can disown the black community. I can no more disown him than I can my white grandmother – a woman who helped raise me, a woman who sacrificed again and again for me, a woman who loves me as much as she loves anything in this world, but a woman who once confessed her fear of black men who passed by her on the street, and who on more than one occasion has uttered racial or ethnic stereotypes that made me cringe.
These people are a part of me. And they are a part of America, this country that I love. Some will see this as an attempt to justify or excuse comments that are simply inexcusable. I can assure you it is not. I suppose the politically safe thing would be to move on from this episode and just hope that it fades into the woodwork. We can dismiss Reverend Wright as a crank or a demagogue...
But race is an issue that I believe this nation cannot afford to ignore right now. We would be making the same mistake that Reverend Wright made in his offending sermons about America – to simplify and stereotype and amplify the negative to the point that it distorts reality.
The fact is that the comments that have been made and the issues that have surfaced over the last few weeks reflect the complexities of race in this country that we've never really worked through – a part of our union that we have yet to perfect. And if we walk away now, if we simply retreat into our respective corners, we will never be able to come together and solve challenges like health care, or education, or the need to find good jobs for every American.
Understanding this reality requires a reminder of how we arrived at this point. As William Faulkner once wrote, 'The past isn't dead and buried. In fact, it isn't even past.' We do not need to recite here the history of racial injustice in this country. But we do need to remind ourselves that so many of the disparities that exist in the African-American community today can be directly traced to inequalities passed on from an earlier generation that suffered under the brutal legacy of slavery and Jim Crow. Segregated schools were, and are, inferior schools; we still haven't fixed them, fifty years after Brown v. Board of Education, and the inferior education they provided, then and now, helps explain the pervasive achievement gap between today's black and white students.
Legalized discrimination – where blacks were prevented, often through violence, from owning property, or loans were not granted to African-American business owners, or black homeowners could not access FHA mortgages, or blacks were excluded from unions, or the police force, or fire departments – meant that black families could not amass any meaningful wealth to bequeath to future generations. That history helps explain the wealth and income gap between black and white, and the concentrated pockets of poverty that persist in so many of today's urban and rural communities.
A lack of economic opportunity among black men, and the shame and frustration that came from not being able to provide for one's family, contributed to the erosion of black families – a problem that welfare policies for many years may have worsened. And the lack of basic services in so many urban black neighbourhoods – parks for kids to play in, police walking the beat, regular garbage pick-up and building code enforcement – all helped create a cycle of violence, blight and neglect that continues to haunt us.
This is the reality in which Reverend Wright and other African-Americans of his generation grew up. They came of age in the late fifties and early sixties, a time when segregation was still the law of the land and opportunity was systematically constricted. What's remarkable is not how many failed in the face of discrimination, but rather how many men and women overcame the odds; how many were able to make a way out of no way for those like me who would come after them.
But for all those who scratched and clawed their way to get a piece of the American Dream, there were many who didn't make it – those who were ultimately defeated, in one way or another, by discrimination. That legacy of defeat was passed on to future generations – those young men and increasingly young women who we see standing on street corners or languishing in our prisons, without hope or prospects for the future. Even for those blacks who did make it, questions of race, and racism, continue to define their worldview in fundamental ways. For the men and women of Reverend Wright's generation, the memories of humiliation and doubt and fear have not gone away; nor has the anger and the bitterness of those years. That anger may not get expressed in public, in front of white co-workers or white friends. But it does find voice in the barbershop or around the kitchen table. At times, that anger is exploited by politicians, to gin up votes along racial lines, or to make up for a politician's own failings.
And occasionally it finds voice in the church on Sunday morning, in the pulpit and in the pews. The fact that so many people are surprised to hear that anger in some of Reverend Wright's sermons simply reminds us of the old truism that the most segregated hour in American life occurs on Sunday morning. That anger is not always productive; indeed, all too often it distracts attention from solving real problems; it keeps us from squarely facing our own complicity in our condition, and prevents the African-American community from forging the alliances it needs to bring about real change. But the anger is real; it is powerful; and to simply wish it away, to condemn it without understanding its roots, only serves to widen the chasm of misunderstanding that exists between the races.
In fact, a similar anger exists within segments of the white community. Most working- and middle-class white Americans don't feel that they have been particularly privileged by their race. Their experience is the immigrant experience – as far as they're concerned, no one's handed them anything, they've built it from scratch. They've worked hard all their lives, many times only to see their jobs shipped overseas or their pension dumped after a lifetime of labour. They are anxious about their futures, and feel their dreams slipping away; in an era of stagnant wages and global competition, opportunity comes to be seen as a zero sum game, in which your dreams come at my expense. So when they are told to bus their children to a school across town; when they hear that an African-American is getting an advantage in landing a good job or a spot in a good college because of an injustice that they themselves never committed; when they're told that their fears about crime in urban neighbourhoods are somehow prejudiced, resentment builds over time.
Like the anger within the black community, these resentments aren't always expressed in polite company. But they have helped shape the political landscape for at least a generation. Anger over welfare and affirmative action helped forge the Reagan Coalition. Politicians routinely exploited fears of crime for their own electoral ends. Talk show hosts and conservative commentators built entire careers unmasking bogus claims of racism while dismissing legitimate discussions of racial injustice and inequality as mere political correctness or reverse racism.
Just as black anger often proved counterproductive, so have these white resentments distracted attention from the real culprits of the middle-class squeeze – a corporate culture rife with inside dealing, questionable accounting practices, and short-term greed; a Washington dominated by lobbyists and special interests; economic policies that favour the few over the many. And yet, to wish away the resentments of white Americans, to label them as misguided or even racist, without recognizing they are grounded in legitimate concerns – this too widens the racial divide, and blocks the path to understanding.
This is where we are right now. It's a racial stalemate we've been stuck in for years. Contrary to the claims of some of my critics, black and white, I have never been so naïve as to believe that we can get beyond our racial divisions in a single election cycle, or with a single candidacy – particularly a candidacy as imperfect as my own.
But I have asserted a firm conviction – a conviction rooted in my faith in God and my faith in the American people – that working together we can move beyond some of our old racial wounds, and that in fact we have no choice if we are to continue on the path of a more perfect union.
For the African-American community, that path means embracing the burdens of our past without becoming victims of our past. It means continuing to insist on a full measure of justice in every aspect of American life. But it also means binding our particular grievances – for better health care, and better schools, and better jobs – to the larger aspirations of all Americans – the white woman struggling to break the glass ceiling, the white man who's been laid off, the immigrant trying to feed his family. And it means taking full responsibility for our own lives – by demanding more from our fathers, and spending more time with our children, and reading to them, and teaching them that while they may face challenges and discrimination in their own lives, they must never succumb to despair or cynicism; they must always believe that they can write their own destiny.
Ironically, this quintessentially American – and yes, conservative – notion of self-help found frequent expression in Reverend Wright's sermons. But what my former pastor too often failed to understand is that embarking on a programme of self-help also requires a belief that society can change.
The profound mistake of Reverend Wright's sermons is not that he spoke about racism in our society. It's that he spoke as if our society was static; as if no progress has been made; as if this country – a country that has made it possible for one of his own members to run for the highest office in the land and build a coalition of white and black, Latino and Asian, rich and poor, young and old – is still irrevocably bound to a tragic past. But what we know – what we have seen – is that America can change. That is true genius of this nation. What we have already achieved gives us hope – the audacity to hope – for what we can and must achieve tomorrow.
In the white community, the path to a more perfect union means acknowledging that what ails the African-American community does not just exist in the minds of black people; that the legacy of discrimination – and current incidents of discrimination, while less overt than in the past – are real and must be addressed. Not just with words, but with deeds – by investing in our schools and our communities; by enforcing our civil rights laws and ensuring fairness in our criminal justice system; by providing this generation with ladders of opportunity that were unavailable for previous generations. It requires all Americans to realize that your dreams do not have to come at the expense of my dreams; that investing in the health, welfare and education of black and brown and white children will ultimately help all of America prosper.
In the end, then, what is called for is nothing more, and nothing less, than what all the world's great religions demand – that we do unto others as we would have them do unto us. Let us be our brother's keeper, Scripture tells us. Let us be our sister's keeper. Let us find that common stake we all have in one another, and let our politics reflect that spirit as well.
For we have a choice in this country. We can accept a politics that breeds division, and conflict, and cynicism. We can tackle race only as spectacle, as we did in the OJ trial – or in the wake of tragedy, as we did in the aftermath of Katrina – or as fodder for the nightly news. We can play Reverend Wright's sermons on every channel, every day and talk about them from now until the election, and make the only question in this campaign whether or not the American people think that I somehow believe or sympathize with his most offensive words. We can pounce on some gaffe by a Hillary supporter as evidence that she's playing the race card, or we can speculate on whether white men will all flock to John McCain in the general election regardless of his policies.
We can do that.
But if we do, I can tell you that in the next election, we'll be talking about some other distraction. And then another one. And then another one. And nothing will change.
That is one option. Or, at this moment, in this election, we can come together and say, 'Not this time.' This time we want to talk about the crumbling schools that are stealing the future of black children and white children and Asian children and Hispanic children and Native American children. This time we want to reject the cynicism that tells us that these kids can't learn; that those kids who don't look like us are somebody else's problem. The children of America are not those kids, they are our kids, and we will not let them fall behind in a twenty-first century economy. Not this time.
This time we want to talk about how the lines in the Emergency Room are filled with whites and blacks and Hispanics who do not have healthcare; who don't have the power on their own to overcome the special interests in Washington, but who can take them on if we do it together.
This time we want to talk about the shuttered mills that once provided a decent life for men and women of every race, and the homes for sale that once belonged to Americans from every religion, every region, every walk of life. This time we want to talk about the fact that the real problem is not that someone who doesn't look like you might take your job; it's that the corporation you work for will ship it overseas for nothing more than a profit.
This time we want to talk about the men and women of every colour and creed who serve together, and fight together, and bleed together under the same proud flag. We want to talk about how to bring them home from a war that never should've been authorized and never should've been waged, and we want to talk about how we'll show our patriotism by caring for them, and their families, and giving them the benefits they have earned.
I would not be running for President if I didn't believe with all my heart that this is what the vast majority of Americans want for this country. This union may never be perfect, but generation after generation has shown that it can always be perfected. And today, whenever I find myself feeling doubtful or cynical about this possibility, what gives me the most hope is the next generation – the young people whose attitudes and beliefs and openness to change have already made history in this election.
There is one story in particular that I'd like to leave you with today – a story I told when I had the great honour of speaking on Dr King's birthday at his home church, Ebenezer Baptist, in Atlanta.
There is a young, twenty-three-year-old white woman named Ashley Baia who organized for our campaign in Florence, South Carolina. She had been working to organize a mostly African-American community since the beginning of this campaign, and one day she was at a roundtable discussion where everyone went around telling their story and why they were there.
And Ashley said that when she was nine years old, her mother got cancer. And because she had to miss days of work, she was let go and lost her health care. They had to file for bankruptcy, and that's when Ashley decided that she had to do something to help her mom.
She knew that food was one of their most expensive costs, and so Ashley convinced her mother that what she really liked and really wanted to eat more than anything else was mustard and relish sandwiches. Because that was the cheapest way to eat.
She did this for a year until her mom got better, and she told everyone at the roundtable that the reason she joined our campaign was so that she could help the millions of other children in the country who want and need to help their parents too.
Now Ashley might have made a different choice. Perhaps somebody told her along the way that the source of her mother's problems were blacks who were on welfare and too lazy to work, or Hispanics who were coming into the country illegally. But she didn't. She sought out allies in her fight against injustice.
Anyway, Ashley finishes her story and then goes around the room and asks everyone else why they're supporting the campaign. They all have different stories and reasons. Many bring up a specific issue. And finally they come to this elderly black man who's been sitting there quietly the entire time. And Ashley asks him why he's there. And he does not bring up a specific issue. He does not say health care or the economy. He does not say education or the war. He does not say that he was there because of Barack Obama. He simply says to everyone in the room, 'I am here because of Ashley.'
'I'm here because of Ashley.' By itself, that single moment of recognition between that young white girl and that old black man is not enough. It is not enough to give healthcare to the sick, or jobs to the jobless, or education to our children.
But it is where we start. It is where our union grows stronger. And as so many generations have come to realize over the course of the two hundred and twenty-one years since a band of patriots signed that document in Philadelphia, that is where the perfection begins.
•
## Barack Obama
Chicago, 4 November 2008
#### 'Yes we can'
> _There were tears on the faces of a vast Chicago crowd when Barack Obama, aged forty-seven, became the first black American to be elected to the presidency in 2008. Change had come to America, he proclaimed. The speech drew a line under the presidency of George W. Bush, who had led America into the disastrous invasion of Iraq (even though it toppled Saddam Hussein). After his speech Obama lingered on the stage with his wife, Michelle, in a striking black dress with red splashes, and their daughters, as well as his running mate, Joe Biden, now the vice president-elect. Note Obama's use of the rhetorical device, the tricolon, a series of three parallel words, phrases or clauses (used to great effect by President John F. Kennedy in his inaugural)._
Hello, Chicago.
If there is anyone out there who still doubts that America is a place where all things are possible, who still wonders if the dream of our founders is alive in our time, who still questions the power of our democracy, tonight is your answer.
It's the answer told by lines that stretched around schools and churches in numbers this nation has never seen, by people who waited three hours and four hours, many for the first time in their lives, because they believed that this time must be different, that their voices could be that difference.
It's the answer spoken by young and old, rich and poor, Democrat and Republican, black, white, Hispanic, Asian, Native American, gay, straight, disabled and not disabled. Americans who sent a message to the world that we have never been just a collection of individuals or a collection of red states and blue states. We are, and always will be, the United States of America.
It's the answer that led those who've been told for so long by so many to be cynical and fearful and doubtful about what we can achieve to put their hands on the arc of history and bend it once more toward the hope of a better day.
It's been a long time coming, but tonight, because of what we did on this date in this election at this defining moment change has come to America.
I will never forget who this victory truly belongs to. It belongs to you. It belongs to you.
I was never the likeliest candidate for this office. We didn't start with much money or many endorsements. Our campaign was not hatched in the halls of Washington. It began in the backyards of Des Moines and the living rooms of Concord and the front porches of Charleston.
It was built by working men and women who dug into what little savings they had. It grew strength from the young people who rejected the myth of their generation's apathy; who left their homes and their families for jobs that offered little pay and less sleep; from the not-so-young people who braved the bitter cold and scorching heat to knock on doors of perfect strangers, and from the millions of Americans who volunteered and organized and proved that more than two centuries later a government of the people, by the people, and for the people has not perished from the earth. This is your victory.
I know you didn't do this just to win an election. And I know you didn't do it for me. You did it because you understand the enormity of the task that lies ahead. For even as we celebrate tonight, we know the challenges that tomorrow will bring are the greatest of our lifetime – two wars, a planet in peril, the worst financial crisis in a century.
Even as we stand here tonight, we know there are brave Americans waking up in the deserts of Iraq and the mountains of Afghanistan to risk their lives for us.
There are mothers and fathers who will lie awake after the children fall asleep and wonder how they'll make the mortgage or pay their doctors' bills or save enough for their child's college education.
There's new energy to harness, new jobs to be created, new schools to build, and threats to meet, alliances to repair.
The road ahead will be long. Our climb will be steep. We may not get there in one year or even in one term. But, America, I have never been more hopeful than I am tonight that we will get there.
I promise you, we as a people will get there.
( _Audience: 'Yes we can! Yes we can! Yes we can!'_ )
There will be setbacks and false starts. There are many who won't agree with every decision or policy I make as president. And we know the government can't solve every problem.
But I will always be honest with you about the challenges we face. I will listen to you, especially when we disagree. And, above all, I will ask you to join in the work of remaking this nation, the only way it's been done in America for 221 years – block by block, brick by brick, calloused hand by calloused hand.
What began twenty-one months ago in the depths of winter cannot end on this autumn night.
This victory alone is not the change we seek. It is only the chance for us to make that change. And that cannot happen if we go back to the way things were.
It can't happen without you, without a new spirit of service, a new spirit of sacrifice.
So let us summon a new spirit of patriotism, of responsibility, where each of us resolves to pitch in and work harder and look after not only ourselves but each other.
Let us remember that, if this financial crisis taught us anything, it's that we cannot have a thriving Wall Street while Main Street suffers.
In this country, we rise or fall as one nation, as one people. Let's resist the temptation to fall back on the same partisanship and pettiness and immaturity that has poisoned our politics for so long.
Let's remember that it was a man from this state who first carried the banner of the Republican Party to the White House, a party founded on the values of self-reliance and individual liberty and national unity.
Those are values that we all share. And while the Democratic Party has won a great victory tonight, we do so with a measure of humility and determination to heal the divides that have held back our progress.
As Lincoln said to a nation far more divided than ours, we are not enemies but friends. Though passion may have strained, it must not break our bonds of affection.
And to those Americans whose support I have yet to earn, I may not have won your vote tonight, but I hear your voices. I need your help. And I will be your president, too.
And to all those watching tonight from beyond our shores, from parliaments and palaces, to those who are huddled around radios in the forgotten corners of the world, our stories are singular, but our destiny is shared, and a new dawn of American leadership is at hand.
To those – to those who would tear the world down: we will defeat you. To those who seek peace and security: we support you. And to all those who have wondered if America's beacon still burns as bright: tonight we proved once more that the true strength of our nation comes not from the might of our arms or the scale of our wealth, but from the enduring power of our ideals: democracy, liberty, opportunity and unyielding hope.
That's the true genius of America: that America can change. Our union can be perfected. What we've already achieved gives us hope for what we can and must achieve tomorrow.
This election had many firsts and many stories that will be told for generations. But one that's on my mind tonight's about a woman who cast her ballot in Atlanta. She's a lot like the millions of others who stood in line to make their voice heard in this election except for one thing: Ann Nixon Cooper is 106 years old.
She was born just a generation past slavery; a time when there were no cars on the road or planes in the sky; when someone like her couldn't vote for two reasons – because she was a woman and because of the colour of her skin.
And tonight, I think about all that she's seen throughout her century in America – the heartache and the hope; the struggle and the progress; the times we were told that we can't, and the people who pressed on with that American creed: Yes we can.
At a time when women's voices were silenced and their hopes dismissed, she lived to see them stand up and speak out and reach for the ballot. Yes we can.
When there was despair in the dust bowl and depression across the land, she saw a nation conquer fear itself with a New Deal, new jobs, a new sense of common purpose. Yes we can.
( _Audience: 'Yes we can.'_ )
When the bombs fell on our harbour and tyranny threatened the world, she was there to witness a generation rise to greatness and a democracy was saved. Yes we can.
( _Audience: 'Yes we can.'_ )
She was there for the buses in Montgomery, the hoses in Birmingham, a bridge in Selma, and a preacher from Atlanta who told a people that We Shall Overcome. Yes we can.
( _Audience: 'Yes we can.'_ )
A man touched down on the moon, a wall came down in Berlin, a world was connected by our own science and imagination.
And this year, in this election, she touched her finger to a screen, and cast her vote, because after 106 years in America, through the best of times and the darkest of hours, she knows how America can change.
Yes we can.
( _Audience: 'Yes we can.'_ )
America, we have come so far. We have seen so much. But there is so much more to do. So tonight, let us ask ourselves – if our children should live to see the next century; if my daughters should be so lucky to live as long as Ann Nixon Cooper, what change will they see? What progress will we have made?
This is our chance to answer that call. This is our moment.
This is our time, to pur our people back to work and open doors of opportunity for our kids; to restore prosperity and promote the cause of peace; to reclaim the American dream and reaffirm that fundamental truth, that, out of many, we are one; that while we breathe, we hope. And where we are met with cynicism and doubts and those who tell us that we can't, we will respond with that timeless creed that sums up the spirit of a people: Yes, we can.
Thank you. God bless you. And may God bless the United States of America.
## Acknowledgements
An anthology requires detailed reading and research and I gratefully acknowledge my debt to the following who helped with advice: Juliet Annan, Charles Anson, Roberto de Armas of the Cuban Embassy, Timothy Garton Ash, Sally Baker, Jonathan Bastable, Tony Benn, Alan Bennett, Hugh Brogan, Stephen Brooks, Sir Alan Bullock, Brigid Callaghan, Lord Callaghan of Cardiff, Alastair Campbell, Professor Colin Campbell, Charles Clarke, Brian Collett, Philip Collins, the Czechoslovakian Embassy, Lord Dainton, Beryl Drinkwater, Margarette Driscoll, Alan Evans, Harold Evans, Lord Fitt, Gillian Fryer, Martyn Goff, Alan Golding, Roy Greenslade, John Grigg, A. H. Halsey, Nigel Hamilton, Denis Healey, Sir Edward Heath, Peter Hennessy, Louis Heren, Michael Heseltine, Anthony Howard, the Indian High Commission, Martin Jacques, Lord Jenkins of Putney, Canon Graham James, Monty Johnstone, Frank Keating, Maurice Kogan, Magnus Linklater, Tom McNally, Brenda and John Maddox, Anne Manson, David Marquand, T. W. Roberts of Merthyr Tydfil Trades Council, Rosalind Miles, Peter Millar, Bryan Moynahan, Novosti Press Agency, David Owen, Edward Pearce, Richard Peel, Penny Perrick, Ben Pimlott, Ben Pogrund, Enoch Powell, Nigel Rees, Peter Riddell, David Rogers, Lord Runcie, Ruth Salazar, Mike Smith, Lord Soper, the South African Embassy, Hugh Skillen, Sir David Steel, Andrew J. Taylor, James Taylor, Andrew Thomas, Barry Turner, Charles Webster, Giles Whittell, John Whittingdale and Lord Wilson of Rievaulx.
Many speeches would be lost for ever unless they were kept in libraries and I acknowledge a profound debt to the London Library, the _Times_ library, the Library of Congress, and the librarians of the National Museum of Labour History, the Imperial War Museum, the Institute of Jewish Affairs, the Weizmann Institute, the Campaign for Nuclear Disarmament, the Institute of Commonwealth Studies, the European Economic Commission and the German Historical Institute.
John Biffen, Michael Foot and Lord Jenkins of Hillhead were especially helpful.
My greatest debts are to Jackson Boggs, Daria Antonucci, Peter Rose and Toby Bourne for research in America and Britain; to Lynn Moorlen, Tony Lacey, Ellen Levine and Hilary Rubinstein; and Bridget, Tessa and Georgie MacArthur.
For this edition, I acknowledge gratefully the help of Philip Bassett, Paul Bew, Philip Breeden, George Bridges, Alastair Campbell, Lynette Carr, Matthew d'Ancona, Michael Gove, Peter Kellner, the Labour Party, John Lloyd, Robert Low, Manuella Pavlidou of the Melina Mercouri Foundation, Michael Portillo and Michael Shea.
#### Sources
Several books have been particularly helpful and I acknowledge a sincere debt to their authors: Robert Blake ( _The Conservative Party from Peel to Thatcher_ ), Hugh Brogan ( _The Penguin History of the United States of America_ ), Roy Foster ( _Modern Ireland_ _1600_ – _1972_ ), Roy Jenkins ( _Baldwin_ and _A Life at the Centre_ ), Kenneth O. Morgan ( _The People's Peace: British History_ _1945_ – _1989_ and _Labour People_ ), Peggy Noonan ( _What I Saw at the Revolution_ ), Alan Palmer ( _The Penguin Dictionary of Twentieth-century History_ ), A. J. P. Taylor ( _English History,_ _1914_ – _1945_ ) and William Safire ( _Lend Me Your Ears_ ). Grateful thanks are also due to the following for permission to reprint copyright material: Aneurin Bevan: to Labour Party Library; Sir Winston S. Churchill: to Curtis Brown Ltd, London, on behalf of the Estate of Sir Winston S. Churchill; copyright the Estate of Sir Winston S. Churchill; Éamon de Valera: to Radio Telefis Eireann; William Faulkner: to Random House UK Ltd and Random House Inc. (reprinted from _Essays, Speeches and Public Letters_ , ed. James Meriwether; copyright © 1965 by Random House Inc.); Betty Friedan: to Curtis Brown Ltd, New York (reprinted from _It Changed My Life_ (Dell, 1991)); Hugh Gaitskell: to Labour Party Library; David Lloyd George: to Express Newspapers plc and Macmillan Publishing Company (reprinted from _Slings and Arrows_ (Cassell, 1929)); David Grossman; Gideon Hausner: to Longman Group UK (reprinted from _Keesings_ ); Martin Luther King: to Joan Daves Literary Agency; Douglas MacArthur: to Time Warner Inc./Katz (reprinted from _Reminiscences_ (De Capo, 1985; copyright © Time Warner Inc./Katz)); Iain Macleod: to Rt. Hon. Baroness Macleod of Borve; Nelson Mandela: to Penguin Books Ltd and Anthony Sheil Associates (reprinted from _Higher Than Hope: The Authorised Biography_ by Fatima Meer); General Bernard Montgomery: to Public Record Office and Controller of Her Majesty's Stationery Office; Oswald Mosley: to Lady Mosley (reprinted from _My Life_ (Nelson, 1968)); Richard Nixon: to the Office of Richard M. Nixon; Kwame Nkrumah: to Zed Books (Panaf Books division, 1973; reprinted from _I Speak of Freedom_ ); J. Robert Oppenheimer: to Harvard University Press (reprinted from _Robert Oppenheimer: Letters and Recollections_ , eds. Alice Kimball Smith and Charles Weiner; copyright © Alice Kimball Smith and Charles Weiner); Pope John Paul: to Incorporated Catholic Truth Society; Ronald Reagan: to Random House UK Ltd and Simon & Schuster Inc. (reprinted from _Speaking My Mind_ ; copyright © 1989 by Ronald Reagan); Chaim Rumkowski: to Penguin Books Ltd and Ellen Levine Literary Agency Inc. (reprinted from _Łódz´ Ghetto_ , compiled and edited by Alan Adelson and Robert Lapides (Penguin Books, 1991; copyright © The Jewish Heritage Writing Project Inc., 1989)); Salman Rushdie: to Aitken & Stone Ltd and Wylie, Aitken & Stone Inc. on behalf of the author; Bertrand Russell: to British Broadcasting Corporation and The Bertrand Russell Peace Foundation Ltd; Alexander Solzhenitsyn: to Random House UK Ltd and Hanover Trust Company on behalf of the author. Report of the House of Lords and House of Commons Debates (Hansard): to Controller of Her Majesty's Stationery Office; 'Freedom from Fear' from _Freedom from Fear and Other Writings_ , Revised Edn, by Aung San Suu Kyi, edited by Michael Aris, foreword by Václav Havel, copyright © 1991, 1995 Aung San Suu Kyi and Michael Aris. Used by permission of Viking Penguin, a division of Penguin Group (USA) Inc. and by Penguin Books UK.
Every effort has been made to contact copyright holders. The publishers will be glad to rectify, in future editions, any errors or omissions brought to their notice.
## **_He just wanted a decent book to read ..._**
Not too much to ask, is it? It was in 1935 when Allen Lane, Managing Director of Bodley Head Publishers, stood on a platform at Exeter railway station looking for something good to read on his journey back to London. His choice was limited to popular magazines and poor-quality paperbacks – the same choice faced every day by the vast majority of readers, few of whom could afford hardbacks. Lane's disappointment and subsequent anger at the range of books generally available led him to found a company – and change the world.
_We believed in the existence in this country of a vast reading public for intelligent books at a low price, and staked everything on it'
**Sir Allen Lane, 1902–1970, founder of Penguin Books**_
The quality paperback had arrived – and not just in bookshops. Lane was adamant that his Penguins should appear in chain stores and tobacconists, and should cost no more than a packet of cigarettes.
Reading habits (and cigarette prices) have changed since 1935, but Penguin still believes in publishing the best books for everybody to enjoy.We still believe that good design costs no more than bad design, and we still believe that quality books published passionately and responsibly make the world a better place.
So wherever you see the little bird – whether it's on a piece of prize-winning literary fiction or a celebrity autobiography, political tour de force or historical masterpiece, a serial-killer thriller, reference book, world classic or a piece of pure escapism – you can bet that it represents the very best that the genre has to offer.
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* Richard Nixon.
* Thomas Masaryk (1850–1937) was the first president of Czechoslovakia after it won independence in 1918. The name was anathema to the Communist regime.
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{"url":"https:\/\/cstheory.stackexchange.com\/questions\/51925\/unclear-proof-step-in-feder-and-greenes-1988-paper-showing-np-hardness-of-appro","text":"# Unclear proof step in Feder and Greene's 1988 paper showing NP-Hardness of approximating k-center problem within a factor of 1.82\n\nI was reading the paper \"Optimal Algorithms for Approximate Clustering\", Feder and Greene [1988] (https:\/\/dl.acm.org\/doi\/10.1145\/62212.62255).\n\nSpecifically, I was trying to look at the $$1.82$$ approximation hardness proof for central L2 clustering (this is the standard k-center problem in Euclidean $$\\mathcal{R}^2$$ space with the normal metric - we need to cluster a pointset into $$k$$ clusters such that the maximum distance from centroid of cluster to a point in the cluster is minimized). The proof is considerably shorter and simpler than Stuart Mentzer's construction independently showing the same result (https:\/\/www.academia.edu\/23251714\/Approximability_of_Metric_Clustering_Problems).\n\nThe relevant parts of the paper are Section 2, Theorem 2.1 and Figure 1.\n\nAt the start of Section 2, it is mentioned that\n\nAn instance of vertex cover for planar graphs of degree at most $$3$$ can be embedded in the plane, by replacing all edges with odd length paths, so that edges become segments of length $$1$$ [see Fig. 1]. The midpoints of these edges then form an instance of central clustering which has a $$k$$-clustering with cluster size $$1$$ if and only if the embedded graph has a vertex cover with $$k$$ nodes. We can use this construction to show that approximate clustering is NP-Complete.\n\nI don't quite understand why the stated claim in the given form is true. There are two graphs which we can discuss here.\n\nFirst, is the planar graph with max vertex degree $$\\leq 3$$, let's call this graph $$G$$ (this is an arbitrary instance of the vertex cover problem in planar graphs with max vertex degree $$\\leq 3$$, which has been shown to be NP-Complete by Gary and Johnson in 1977 as mentioned in references).\n\nSecond, we take the graph $$G$$, obtain its planar embedding, and ensure that the edge length is odd (by stretching edges I presume). Then, we split up each edge into segments of length 1 and convert the edges into paths (by adding nodes at lengths of $$1$$). Thus, we have transformed $$G$$ into a new graph $$G^{'}$$ (which also has a embedding on the plane).\n\nNow, the claim in the paragraph can be interpreted in two ways:\n\nClaim Interpretation 1: The midpoints of these edges then form an instance of central clustering which has a $$k$$-clustering with cluster size $$1$$ if and only if $$G$$ has a vertex cover with $$k$$ nodes.\n\nClaim Interpretation 2: The midpoints of these edges then form an instance of central clustering which has a $$k$$-clustering with cluster size $$1$$ if and only if $$G^{'}$$ has a vertex cover with $$k$$ nodes.\n\nAs far as I understand, Claim 1 is incorrect while Claim 2 is correct.\n\nHowever, I do not understand how just Claim 2 being correct is enough to show NP-Hardness of approximation. It seems to be that the paper assumes that Claim 1 is correct (in Theorem 2.1).\n\nCan someone point out what I might be missing?\n\nLet $$V$$ and $$V'$$ be the vertex sets of $$G$$ and $$G'$$, then $$G'$$ has a vertex cover of size $$k$$ if and only if $$G$$ has a vertex cover of size $$k-\\frac{1}{2}(|V'|-|V|)$$.\n\u2022 Given a vertex cover $$C\\subseteq V$$ for $$G$$, one can construct a vertex cover for $$G'$$ of size $$|C|+\\frac{1}{2}(|V'|-|V|)$$: On each edge in $$G$$, starting from an endpoint in $$C$$, alternately select the padding vertices.\n\u2022 Consider a vertex cover $$C'\\subseteq V'$$ for $$G'$$. On each edge $$e=(u,v)$$ in $$G$$, assume there are $$p_e$$ (which is an even number) padding vertices in $$G'$$. At least $$\\frac{1}{2}p_e$$ of them have to be in $$C'$$, and if $$u\\notin C'$$ and $$v\\notin C'$$ then at least $$\\frac{1}{2}p_e+1$$ of them have to be in $$C'$$. Therefore $$|C'|\\geq |V\\cap C'|+\\frac{1}{2}\\sum p_e+\\#\\{e=(u,v)\\mid u,v\\notin C'\\}.$$ But you can take the set $$V\\cap C'$$, and for each edge $$e=(u,v)$$ in $$G$$ that $$u,v\\notin C'$$, just add $$u$$ to this set. Then it forms a vertex cover for $$G$$, which has size at most $$|C'|-\\frac{1}{2}\\sum p_e=|C'|-\\frac{1}{2}(|V'|-|V|)$$.","date":"2022-12-06 08:08:55","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 57, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.7066099047660828, \"perplexity\": 103.71636667681261}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2022-49\/segments\/1669446711074.68\/warc\/CC-MAIN-20221206060908-20221206090908-00517.warc.gz\"}"}
| null | null |
\section{Introduction}
Device-to-device (D2D) communication allows user equipments to communicate over direct links rather than going through the cellular infrastructure and thereby, is envisioned to improve the spectrum efficiency by offloading the cellular network \cite{asadi2014survey}.
However, spectrum scarcity and the interference caused by the overlaid cellular transmissions have caused ubiquitous implementation of D2D communications to be halted \cite{tehrani2014device}\cite{namvar2015context}. Exploiting the higher radio frequency bands --known as the millimeter wave (mmW) band-- for D2D communications is seen as an attractive solution to address the challenges facing the large-scale D2D implementation \cite{qiao2015enabling}. The mmW band communication brings new possibilities for network planning. For instance, as unlicensed spectrum is abundant in the mmW band\cite{rappaport2013millimeter}, spectrum scarcity is no longer a serious problem. Moreover, its high path loss requires employing directional antennas, which in turn alleviates the problem of multi-user interference (MUI) \cite{niu2015survey}.
However, before reaping the potential advantages of D2D communication in the mmW band, one needs to address several new technical challenges. First, unlike the microwave ($\mu$W) band, the mmW band communication is known to be susceptible to blockage, and it also undergoes severe attenuation in non-line-of-sight (NLOS) links \cite{rappaport2013millimeter}. Consequently, an outage is more than likely to happen in NLOS/blocked links. Second, employing directional antennas requires beam alignment at both transmitter and receiver ends \cite{wei2014key}, incurring significant overhead to the system. Therefore, establishing a reliable D2D communication link at the mmW band requires devising an effective mechanism to perform a low-overhead beam alignment in order to enable directional LOS communication. Furthermore, NLOS/blocked links are required to be detected and avoided. Several approaches have been proposed in the literature to address these challenges.
In order to avoid NLOS/blocked links, authors in \cite{pi2011introduction} introduced a mechanism in which the $\mu$W band is used for transmitting the control signals, while the mmW band is utilized for data transmissions. Furthermore, to detect LOS links, a centralized reinforcement-learning based algorithm is proposed in \cite{semiari2017joint} which schedules the users on either the mmW band or the $\mu$W band based on LOS link availability. A similar model is discussed in \cite{wang2016hybrid} where the link scheduling is based on the channel information received from D2D nodes. To perform the beam alignment for directional communication in the mmW band, an exhaustive-search based algorithm is proposed in \cite{nitsche2014ieee} in order to detect the direction of the intended pair. Similar works for indoor beam alignment can be found in \cite{nitsche2015steering} and \cite{sur2016beamspy}. However, these works are mostly centralized and employ exhaustive search algorithms which impose significant overhead to the network. Moreover, their focus is mainly on either link detection or beam alignment while addressing both problems simultaneously and using a low-overhead approach is lacking in the literature.
In this paper, a novel mechanism is proposed which enables the D2D devices to select between the mmW band and the $\mu$W band for data transmission by detecting the LOS\footnote{We assume that a D2D link is LOS only if the link between D2D transmitter-receiver pair is not intersected with any blockages.} links along with their direction for proper beam alignment. Unlike the previous works, our proposed mechanism is distributed and thus, can be employed in infrastructure-less communication scenarios such as ad-hoc networks. Moreover, we employ stochastic geometry to analyze the performance of the proposed mechanism and compare it with one of the single band D2D communications. Simulation results show the proposed mechanism yields significant improvement in terms of the signal-to-interference-plus-noise ratio (SINR) coverage probability over the single band D2D communications.
The remainder of this paper is organized as follows. The system model and the proposed mechanism is described in Section \ref{sec:systemModel}. In Section \ref{sec:analysis} the performance of the proposed mechanism is analyzed, using tools from stochastic geometry. Simulation results are presented in Section \ref{sec:result} and finally, conclusions are drawn in Section \ref{sec:Conclusion}.
\setlength\belowcaptionskip{-2.45ex}
\begin{figure}
\centering
\includegraphics[ width=5.5cm, height=4.5cm, trim=1cm 5.5cm 1cm 5.6cm, clip]{network1Cute.pdf}
\caption{A sample realization of the described network model, where blue rectangles represent the building blockages.}
\label{fig:network}
\end{figure}
\section{System Model}\label{sec:systemModel}
Consider a D2D underlaid cellular network in which D2D transmitters (DTs) are spatially distributed according to a homogeneous Poisson point process (PPP) $\mathbf{\Phi}_\text{DT}=\{d_i\}$ where $d_i \in \mathbb{R}^2$ denotes the location of $i$-th DT. Base stations (BSs) and cellular users (CUs) are also spatially distributed according to two independent PPPs $\mathbf{\mathbf{\Phi}}_\text{B}=\{b_i\}$ and $\mathbf{\Phi}_\text{C}=\{c_i\}$ with density $\lambda_\text{B}$ and $\lambda_\text{C}$, respectively. Random size rectangular building blockages are also distributed randomly by another independent PPP. Fig. \ref{fig:network} shows a sample realization of the network.
Moreover, assume that D2D users are capable of communicating in both the mmW band and the $\mu$W band. In order to avoid the high MUI in the $\mu$W band, D2D users tend to transmit their traffic in the mmW band. However, as the mmW band transmission requires a clear LOS link, the mmW band is selected only if the communication link between the D2D pair is LOS; otherwise, the $\mu$W band is used for D2D transmission. Therefore, to establish a D2D link in the mmW band, D2D devices are required to detect the LOS links (if existent) along with the direction of their corresponding pair in order to perform suitable beam alignment.
In the following sections, we elaborate on a distributed mechanism which enables the D2D devices to select between the mmW and the $\mu$W band by detecting LOS links and their direction to perform beam alignment.
\subsection{\textbf{D2D Peer's Profile}}
Suppose that all D2D devices are equipped with multiple-input-multiple-output (MIMO) antenna arrays, and constantly broadcast a peer-discovery beacon in the $\mu$W band, in order to announce their presence to their proximate peers\cite{wu2013flashlinq}. Upon receiving the peer-discovery beacon from the intended peer, D2D devices build the angle of arrival (AoA) spectrum for the received signals, by comparing the signal's phase at its multiple antennas. The AoA spectrum represents the incoming signal power as a function of the angle of incidence, i.e., $\mathcal{A}=\{I_i\measuredangle\alpha_i\}_{i=1}^{N}$ in which $I_i$ and $\alpha_i$ denote the magnitude and the angle of incidence of the $i$-th peak and $N$ denotes the total number of peaks in the AoA spectrum, $\mathcal{A}$. Note that $N$ is a random variable depending on the environmental conditions and thus, is not known a priori. Each D2D device builds a profile for its intended D2D peer by storing the AoA spectrum in subsequent time intervals. Let $\mathcal{P}\triangleq\{\mathcal{A}_j\}_{j=1}^W$ denotes the intended user's profile in which $\mathcal{A}_j$ is the AoA spectrum at the $j$-th time step and $W$ is the window size, i.e., the number of stored AoA spectrums.
\subsection{\textbf{Link Detection and Beam Alignment}}\label{sub}
In the absence of reflectors in the environment, if there exists a clear LOS link, the peak of the AoA spectrum shows the direction of the transmitter. However, if the LOS link is blocked, the peak of the AoA spectrum shows the direction of a strong reflector in the environment which caused the multipath signal to reach the receiver. The question is \emph{how to recognize if the AoA spectrum's peak corresponds to a LOS transmitter or a random reflector?} Note that if the peak of the AoA spectrum is caused by a reflector, even small changes in the location of D2D devices (including small body movements), results in significant disparity among the AoA spectrums in the transmitter profile, while direct path peak remains relatively unchanged\cite{xiong2013arraytrack}. Consequently, in order to detect the LOS link, users build the \emph{combined AoA spectrum} by maintaining the overlapping peaks and removing the rest of the peaks. The combined AoA spectrum $\tilde{\mathcal{A}}$ can be defined as
\begingroup\makeatletter\def\f@size{9}\check@mathfonts
\begin{equation}\label{Atilda}
\tilde{\mathcal{A}}=\bigg\{I_k \measuredangle\alpha_k \bigg| \sum_{j=1}^{W}\mathbbm{1}(\alpha_k \in \mathcal{A}_j)= W \bigg\},
\end{equation}
in which $\mathbbm{1}(.)$ is the indicator function which is equal to $1$ if its argument holds true and is $0$ otherwise. Moreover, the magnitude $I_k$ that is the average of all peaks with angle of incidence $\alpha_k$ is given by
\begin{equation}\label{Amplitude}
I_k=\frac{1}{W}\sum_{j=1}^{W}\sum_{n=1}^{|\mathcal{A}_j|} \mathbbm{1}(\alpha_n=\alpha_k)I_n,
\end{equation}
where $|\mathcal{A}_j|$ represents the cardinality of the set $\mathcal{A}_j$.
Having built the combined AoA spectrum, D2D devices detect LOS links along with their direction and select the suitable frequency band for data transmission. If $|\tilde{\mathcal{A}}|=1$, i.e., the combined AoA spectrum has a single peak, the LOS link exists and thus, the mmW band is selected for D2D data transmission. Moreover, its angle of incidence shows the direction the intended peer that will be used for beam alignment. However, if $|\tilde{\mathcal{A}}| \neq 1$,
then there are either multiple peaks or no peak in the AoA spectrum which corresponds to having NLOS link. Hence the $\mu$W band is selected. Fig. \ref{fig:Aoa} shows an example of user's profile with $W=2$ along with its combined AoA spectrum.
Next, we develop a stochastic geometric framework to analyze the performance of the system model.
\begin{figure}
\centering
\includegraphics[width=.80\columnwidth, trim=2cm 8.6cm 1cm 9.6cm, clip]{aoaFinaltest.pdf}
\caption{AoA profile with $W=2$: (a) LOS link is available and $\alpha_1$ is the direction of intended peer, (b) no LOS link is available.}
\setlength{\abovecaptionskip}{-3cm}
\label{fig:Aoa}
\end{figure}
\section{Analysis}\label{sec:analysis}
In order to analyze the performance of the proposed mechanism, we assume that the mmW band spectrum is dedicated for D2D communication. In the $\mu$W band, D2D users are underlaid the cellular network and perform spectrum sensing to opportunistically access the $\mu$W downlink resources. As mentioned before, locations of the network elements are modeled by independent homogeneous PPPs, due to their tractability. It is shown in \cite{bai2014analysis} that using a random boolean scheme of rectangles to model the blockages, a link of length $\|x\|$ is LOS with probability $p_\text{\tiny LOS}(\|x\|)=\exp(-\beta \|x\|)$, where parameter $\beta$ depends on the average size and density of blockages. Thus, the probability of NLOS link is defined as $p_\text{\tiny NLOS}(\|x\|) = 1-p_\text{\tiny LOS}(\|x\|)$.
Assume that all DTs and BSs are transmitting at a constant transmit power, $P_D$ and $P_B$, respectively. Each communication link experiences i.i.d small-scale Rayleigh fading. Hence, the received signal power can be modeled as an exponential random variable with parameter 1.
Here, we use the SINR coverage probability as a metric to assess the performance of the network.
The SINR coverage probability is defined as the probability that the received SINR is higher than a predefined threshold $\gamma$, i.e., $p_{\text{c}} (\gamma)={\mathbb{P}}[\text{SINR}\geq\gamma]$.
The performance metric is obtained for a \emph{test D2D receiver} at the origin $(0,0)\in \mathbb{R}^2$, while the results hold for any generic receiver, based on the Slivnyak's theorem \cite{baccelli2010stochastic}.
For the test D2D receiver, the received SINR is defined as
\begin{equation}\label{eq:SINR}
\text{SINR}_i=\frac{P_D h_0 G_e \text{PL}(d_0)}{\sigma^2+I_i},
\end{equation}
where $i\in \{mm,\mu\}$ represents the transmission band (mmW/$\mu$W) and $h_0$ is the channel gain. $G_e= G_{\text{Tx}_0}G_{\text{Rx}_0}$ denotes the effective antenna gain at the test receiver, in which $G_{\text{Tx}_0}$ and $G_{\text{Rx}_0}$ are transmitter's and receiver's antenna gain, respectively. $\text{PL}(d_0)= C d_0^{-\alpha}$ denotes the distance dependent path loss model, in which $d_0$ is the link's length and $C={(\frac{\lambda}{4\pi})}^2$ where $\lambda$ is the wavelength, and $\alpha$ is the path loss exponent. Finally, $\sigma^2$ represents the noise power and $I_i$ denotes the aggregate interference.
Remember that using the proposed mechanism in Section \ref{sec:systemModel}, D2D devices transmit over the mmW band when there exists a LOS link, otherwise the $\mu$W band is exploited. Hence, the SINR coverage probability for the test receiver is given by
\begin{align}\allowdisplaybreaks
p_\text{c}(\gamma)
&=p_\text{c}^{\text{mm}}(\gamma) p_{\text{LOS}}(d_0) + p_\text{c}^{\mu}(\gamma) p_{\text{NLOS}}(d_0)\label{eq:hybrid},
\end{align}
where $p_\text{c}^{\text{mm}}(\gamma)$ and $p_\text{c}^{\mu}(\gamma)$ denote the test receiver's SINR coverage probability in the mmW band and the $\mu$W band, respectively.
Next, the performance of D2D network in the mmW band and the $\mu$W band is analyzed to obtain the network performance.
\begin{figure}
\centering
\includegraphics[width=.48\columnwidth, trim=0cm 0cm 0cm .20cm, clip]{gain.PNG}
\caption{the mmW band D2D transceivers' antenna: the black node shows the test receiver and the red nodes depict the DTs.}
\label{fig:directional interference}
\end{figure}
\subsection{\textbf{D2D Communication in the mmW Band}}\label{sub:mmW}
In the mmW band, no prior coordination among devices for interference mitigation is assumed. Suppose that, each DT has an intended receiver in its coverage area, and also at least one packet ready for transmission. The DTs access the entire mmW spectrum based on the slotted Aloha protocol, with access probability $q_a$. The simplified sectored model, as shown in Fig. \ref{fig:directional interference}, is used to model the steerable and directional mmW antenna array \cite{bai2015coverage}. The antenna pattern of D2D devices in the mmW band are modeled by two parameters, namely, $g_\text{m}$
for the mainlobe gain with beamwidth $\theta$, and $g_\text{s}$
for sidelobe gain with beamwidth $2\pi-\theta$.
As we have no prior information about the antenna direction $\varphi$ at different D2D transmitters, we assume that $\varphi$ is modeled as a uniform random variable $\varphi\sim \mathcal{U}(0,2\pi)$.
Given the simplified sectored model explained above, the effective antenna gain from a DT located at $d_i$ to the test receiver at the origin can be defined as a discrete random variable \cite{bai2015coverage}
\begin{equation}
G_e =
\begin{cases}
G_1 = g_{\text{m}}g_{\text{m}} & \small\text{with} \hspace{2mm} p_1=p^2 \\
G_2 = g_{\text{m}}g_{\text{s}} & \small\text{with} \hspace{2mm} p_2=2p(1-p) \\
G_3 = g_{\text{s}}g_{\text{s}} & \small\text{with} \hspace{2mm} p_3=(1-p)^2, \\
\end{cases}\label{eq:ant_gain2}
\end{equation}
where $p=\frac{\theta}{2\pi}$ denotes the antenna mainlobe's angular coverage probability.
Since in the mmW band only LOS links are utilized for D2D communication, the test receiver's SINR is defined as
\begin{align}
\text{SINR}_\text{mm} &= \frac{P_D h_0 G_e C d_0^{-\alpha_\text{L}}}{\sigma^2+I_\text{mm}},\label{eq:SINR_mmW}
\end{align}
where $\alpha_\text{L}$ represents the LOS path loss exponent. $G_e=g_{\text{m}}g_{\text{m}}$, since perfect beam alignment is considered between corresponding D2D pairs. $I_\text{mm}$ denotes the aggregate interference in the mmW band and is defined as
\begin{align}\allowdisplaybreaks
I_\text{mm} = \sum_{\text{j}=1}^{3}\sum_{d_i \in \tilde{\mathbf{\Phi}}_{\text{DT}_j}} P_D h_{d_i} G_j \text{PL}(\|d_i\|),\label{eq:interference_mm}
\end{align}
where $\|.\|$ denotes the Euclidian distance.
Based on the channel access probability $q_a$, and the effective antenna gain in \eqref{eq:ant_gain2}, PPP distribution of DTs, $\mathbf{\Phi}_{\text{DT}}$, can be thinned into three independent PPPs $\tilde{\mathbf{\Phi}}_{\text{DT}_j}$, $j \in \{1,2,3\}$ with intensity
$\lambda_{\tilde{\mathbf{\Phi}}_{\text{DT}_j}}=q_\text{a} p_\text{j} \lambda_{\text{DT}}$. In this work, NLOS interference is neglected due to its negligible effect on the interference distribution.
Using \eqref{eq:SINR_mmW} and \eqref{eq:interference_mm}, the test receiver's SINR coverage probability in the mmW is defined as
\begin{align}\allowdisplaybreaks
p_\text{c}^{\text{mm}}(\gamma) &={\mathbb{P}}\left[\text{SINR}_\text{mm}\geq\gamma\right]\nonumber\\
&= {\mathbb{P}}\bigg[h_0 \geq \varepsilon_{\text{L}}(\sigma^2 + I_\text{mm}) \bigg] p_{\text{LOS}}\left(d_0\right) \nonumber \\
&= {\mathbb{E}}_{h,\tilde{\mathbf{\Phi}}_{\text{DT}_j}}\bigg [\exp\left(-\varepsilon_{\text{L}}(\sigma^2 + I_\text{mm})\right)\bigg]\exp(-\beta d_0)\label{eq:laplace_mm}\\
&=\exp(-\varepsilon_{\text{L}}\sigma^2)\mathcal{L}_{I_{\text{mm}}}(\varepsilon_{\text{L}}) \exp(-\beta d_0)\label{eq:final_mm},
\end{align}
where $\varepsilon_{\text{L}}=\frac{\gamma d_0^{\alpha_{\text{L}}}}{P_Dg_\text{m}g_\text{m} C}$. Equation \eqref{eq:laplace_mm} follows due to the exponential distribution of the channel gain, $h_0$.
Notice that ${\mathbb{E}}_{h,\tilde{\mathbf{\Phi}}_{\text{DT}_j}}\left[\exp(-\varepsilon_\text{L} I_{\text{mm}})\right]$
corresponds to the Laplace transform of the aggregate interference $I_\text{mm}$ and can be written as
\begin{align}\allowdisplaybreaks
\mathcal{L}_{I_{\text{mm}}}(\varepsilon_{\text{L}}) &= \prod_{\text{j}=1}^{3}\exp\left\{\int_{0}^
{\infty}\big((1+ C_{\text{L}}G_\text{j} r^{-\alpha_{\text{L}}})^{-1}-1\big) \lambda_{\tilde{\mathbf{\Phi}}_{\text{DT}_j}}(r)\text{d}r\right\}\label{eq:laplace_Imm},
\end{align}
where $ \lambda_{\scriptstyle\tilde{\mathbf{\Phi}}_{\text{DT}_j}}(r)=2\pi r q_\text{a} p_\text{j} \exp(-\beta r)\lambda_{\mathbf{\Phi}_{\text{DT}}}$, and $C_{\text{L}}=P_D C \varepsilon_{\text{L}}$.\\
\begin{IEEEproof}
See the Appendix \ref{app:proof}.
\end{IEEEproof}
\vspace{3mm}
Next, we explain how D2D users underlaid the downlink cellular network access the cellular BSs' resources for data transmission.
\subsection{\textbf{D2D Communication in the $\mu$W Band}}\label{sub:microwave}
Suppose that in the $\mu$W band, the available downlink spectrum is divided into $K$ orthogonal frequency channels, out of which one channel, denoted by $k_d$, can be used for D2D transmissions. Each CU is assigned to its nearest BS, and is served only by one channel. Note that $k_d$ is not exclusive for D2D communication; however, BS utilizes this channel only if all other channels are occupied. The probability that $k_d$ is used by a generic BS, denoted by $p_{k_d}$, depends on the distribution of number of CUs associated with that BS. $p_{k_d}$ is calculated in \cite{elsawy2013cognitive} for the network in which BSs and CUs are spatially distributed based on independent PPPs.
In order to mitigate the interference caused by the nearby BS transmissions on the D2D channel $k_d$, the cognitive D2D model in \cite{sakr2015cognitive} is used, in which DTs sense the state of the channel $k_d$ before using it. In this case, DTs use the $k_d$ only if the amount of the received interference from all BSs that are using the D2D channel $k_d$ is less than a sensing threshold, $\tau$. The cognition forms a circular threshold region around each D2D user that guarantee no BS uses channel $k_d$ in this region. The radius of the threshold region, can be defined as $d_{\tau} = (\frac{P_B h_b}{\tau})^{\delta}$,
where $\delta=\frac{1}{\alpha_{\mu}}$, $\alpha_{\mu}$ is the path loss exponent and $h_b$ denotes the channel gain from the BS located at $b$.
The average radius of the threshold region is expressed as
\begin{equation}\label{eq: Threshold region}
\bar{d_{\tau}} = \left(\frac{ P_B }{\tau}\right)^{\delta}{\mathbb{E}}_h[h_b^{\delta}],
\end{equation}
where ${\mathbb{E}}_h[h_b^{\delta}]=\int_{0}^{\infty}h_b^{\delta}\exp(-h_b)\text{d}h_b =\Gamma(1+\delta)$ due to the exponential distribution of $h_b$ and $\Gamma(.)$ is the gamma function.
Using the thinning property of a PPP \cite{baccelli2010stochastic}, the spatial distribution of BSs that use D2D channel $k_d$ for transmission, forms a PPP $\tilde{\mathbf{\Phi}}_{\text{B}}$ with density $p_{kd}\lambda_{\text{B}}$. Thus, number of BSs that use $k_d$ in the threshold region of a generic D2D user has Poisson distribution. Therefore, the probability that channel $k_d$ is not used by any BS in the threshold region i.e., the $k_d$ is available for D2D transmission is defined as
\begin{equation}\label{eq:available probability}
p_a=\exp\left(-\lambda_\text{B} p_{k_d} \pi\bar{d_{\tau}}^2\right),
\end{equation}
where $\pi\bar{d_{\tau}}^2$ denotes the average area of the threshold region.
The test receiver's SINR in the $\mu$W band is defined as
\begin{equation}\label{eq:SINR_micowavwe}
\text{SINR}_\mu=\frac{P_D h_{\text{0}} G_e C d_0^{-\alpha_{\mu}}}{\sigma^2+I_{\mu}},
\end{equation}
where $\alpha_\mu$ is the path loss exponent. We assume $G_e =1$, since no beamforming is considered in the $\mu$W band. $I_\mu$ denotes the aggregate interference in the $\mu$W band and is defined as
\begin{align}\allowdisplaybreaks
I_{\mu} &= \overbrace{\sum_{d_i \in \tilde{\mathbf{\Phi}}_{\text{DT}}} P_D h_{d_i} C\|d_i\|^{-\alpha_{\mu}}}^{I_{\text{DT}}}+\overbrace{\sum_{b_i \in \tilde{\mathbf{\Phi}}_{\text{B}}} P_B h_{b_i} C \|b_i\|^{-\alpha_{\mu}}}^{I_{\text{BS}}},\label{eq: agg interference}
\end{align}
where $ \tilde{\mathbf{\Phi}}_{\text{DT}}$ denotes the spatial distribution of DTs that use channel $k_d$ for transmission, which is a PPP with intensity $\lambda_{\tilde{\mathbf{\Phi}}_{\text{DT}}}= p_a \lambda_{\text{DT}}$, and $\tilde{\mathbf{\Phi}}_{\text{B}}$ denotes the distribution of BSs that are using $k_d$ outside the threshold region.
\begin{table}
\caption{Simulation Parameters}
\centering
\begin{tabular}{|c|c|c|c}
\hline
Parameter&Notation& Value \\ \hline\hline\hline
BS/DT power & $P_B$, $P_{\text{D}}$ & $37$, $0$ (dBm) \\
Antenna gain & $g_m$, $g_s$ & $10$, $-10$ (dBi) \\
Mainlobe beamwidth & $\theta$& $30^{\circ}$\\
Density of PPPs & $\lambda_{\text{B}}$, $\lambda_{\text{C}}$, $\lambda_{\text{DT}}$ & $1, 5, 50$ ($\text{km}^{-2}$)\\
Path-loss exponent & $\alpha_{\mu}$, $\alpha_{\text{L}}$, $\alpha_{\text{N}}$& $4$, $2$, $5$ \\
Interference threshold& $\tau$ & $-85$ (dBm)\\
Bandwidth & $B_{\mu}$, $B_{\text{mm}}$ & $0.1$, $1$ (GHz)\\
Carrier frequency& $f_{\mu}$, $f_{\text{mm}}$ & $2$, $28$ (GHz)\\
Noise power & $\sigma^2$ & $-174+10 \log_{10}B_i+10$ {\footnotesize(dBm)} \\
\hline
\end{tabular}\label{params}
\end{table}
Using \eqref{eq: agg interference} and \eqref{eq:SINR_micowavwe}, the test receiver's SINR coverage probability is defined as
\begin{align}\allowdisplaybreaks
p_\text{c}^{\mu}(\gamma) &={\mathbb{P}}\left[\text{SINR}_\mu\geq\gamma\right]\nonumber\\
&= {\mathbb{P}}\bigg[h_0 \geq \varepsilon \big(\sigma^2 +I_{\text{DT}} + I_{\text{BS}}\big)\bigg]\nonumber\\
&= {\mathbb{E}}_{h,\tilde{\mathbf{\Phi}}_\text{B},\tilde{\mathbf{\Phi}}_{\text{DT}}}\bigg [\exp\big(-\varepsilon(\sigma^2+ I_{\text{DT}}+ I_{\text{BS}})\big)\bigg]\label{eq:Laplace} \\
&= \exp(-\varepsilon \sigma^2) \mathcal{L}_{I_{\text{DT}}}(\varepsilon)\mathcal{L}_{I_{\text{BS}}}(\varepsilon)\label{eq:laplace_uw},
\end{align}
where $\varepsilon=\frac{\gamma d_0^{\alpha_{\mu}}}{CP_D}$. Equation \eqref{eq:Laplace} follows due to the exponential distribution of the channel gain. Notice that ${\mathbb{E}}_{h,\tilde{\mathbf{\Phi}}_{\text{DT}}}[\exp(-\varepsilon I_{\text{DT}})]$ and ${\mathbb{E}}_{h,\tilde{\mathbf{\Phi}}_\text{B}}[\exp(-\varepsilon I_{\text{BS}})]$ corresponds to the Laplace transform of $I_\text{BS}$ and $I_{\text{DT}}$, respectively. Laplace transforms can be written as
\begin{align}\allowdisplaybreaks
\mathcal{L}_{I_{\text{DT}}}(\varepsilon)&= \exp \left\{-2 p_a \lambda_{\text{DT}} \varepsilon_{\text{DT}} ^{\delta}\frac{\pi^2 \delta}{\sin(2 \pi \delta)}\right\}\label{eq:laplac_mic_DT}\\
\mathcal{L}_{I_\text{BS}}(\varepsilon)&= \exp \bigg\{-\pi p_{k_d} \lambda_\text{B} \sqrt{\varepsilon_{\text{B}} } \big(\frac{\pi}{2}-\text{tan}^{-1}(\frac{1}{\vartheta})\nonumber \\
&\mathrel{\phantom{=}} +\frac{\vartheta}{\vartheta^2+1} \big)+\frac{p_{k_d}\lambda_\text{B} \pi \varepsilon_{\text{B}} \bar{d_{\tau}}^2}{\varepsilon_{\text{B}} + \bar{d_{\tau}}^{\alpha_{\mu}}} \bigg\}\label{eq:laplaceBS},
\end{align}
where $\varepsilon_{\text{DT}}= C P_D\varepsilon$, $\varepsilon_{\text{B}}=CP_B\varepsilon $, $\vartheta = \sqrt{\varepsilon_{\text{B}} \bar{d_{\tau}}^{-\alpha_{\mu}}}$ and
$\delta=\frac{1}{4}$. Equation \eqref{eq:laplac_mic_DT} is derived the same as \eqref{eq:laplace_Imm}, and \eqref{eq:laplaceBS} is derived using (3.46) in \cite{baccelli2010stochastic}.
\begin{figure}
\centering
\includegraphics[width=.78\columnwidth, trim=.7cm 6.1cm 1.5cm 7.1cm, clip]{cov-thrsh-blockage.pdf}
\caption{D2D network's SINR coverage probability vs. SINR threshold with $d_0$ $= 50$ $m$, $\lambda_{\text{DT}}=50$ $km^{-2}$.}
\label{fig:Coverage_SINR}
\end{figure}
\section{Numerical Results and Discussions}\label{sec:result}
Using the coverage probability formulas in \eqref{eq:hybrid}, \eqref{eq:final_mm} and \eqref{eq:laplace_uw} as the performance metrics, the performance of the proposed mechanism is compared to single band (i.e., mmW/$\mu$W) D2D communications. Moreover, to validate our analytical results, we simulated a network similar to the one discussed in the system model. For our simulations, we consider an area of the size $10$ $km$ $\times$ $10$ $km$ which is --given the transmit power of D2D devices-- large enough to avoid the boundary effect. D2D transmitters along with various size rectangular blockages are distributed in the area according to PPP. Also, we assume that all the transmitters use a constant power for transmission. Table \ref{params} summarizes the simulation parameters. To thwart the effect of noisy data, we used Monte Carlo simulation with $10,000$ iterations and averaged out the results. In the following figures, simulation results are represented by "$+$" symbol.
Fig. \ref{fig:Coverage_SINR} shows the SINR coverage probability of D2D network as a function of the SINR threshold, with two different blockage densities, namely, $\beta = 0.0027$ and $\beta=0.0053$.
It shows that by increasing the density of blockages, the SINR coverage probability of D2D receivers in the mmW band decreases. It is in agreement with the observation that increasing the number of blockages in the environment, lowers the chance of LOS links, and thereby, decreases the SINR coverage probability. Moreover, it is seen that the proposed mechanism improves network performance by about $30\%$ at $\gamma = 0$ $dB$, compared to D2D communication in the $\mu$W band. Finally, it shows that the simulation results closely follow the analytical results.
\begin{figure}
\centering
\includegraphics[width=.83\columnwidth, trim=.7cm 6.1cm 1.5cm 7.4cm, clip]{cov-dist-density.pdf}
\caption{D2D network's received SINR coverage probability vs. D2D pair distance with $\gamma = 0$ dB $\beta=0.0053$.}
\label{fig:Coverage_density}
\end{figure}
Fig. \ref{fig:Coverage_density} shows the SINR coverage probability of the D2D network as a function of corresponding D2D pair's distance, for two different densities of the D2D transmitters, namely, $\lambda_{\text{DT}} = 50$ $km^{-2}$ and $\lambda_{\text{DT}} = 100$ $km^{-2}$. It is shown that, increasing the distance of D2D pairs, degrades the performance of the D2D network in both the mmW and the $\mu$W bands. In the $\mu$W band, increasing the distance drops the network performance even more, due to the lack of beamforming and directional communication. This figure also highlights the low MUI in the mmW band. As it can be seen, due to the directional nature of communication in the mmW band, increasing the density of interferers does not affect D2D communication's performance significantly. The proposed system model manages to improve the network performance, in particular when the distance of D2D pairs is less than $80$ $m$.
Fig. \ref{fig:rate} shows the rate coverage probability of the D2D network defined as $p_R(T)={\mathbb{P}}[\text{Rate}\geq T]$, in which the rate is given by $B\log(1+\text{SINR})$, where $B$ is the system bandwidth. It is seen that rate coverage probability for the mmW band is almost constant and independent of rate thanks to its large bandwidth, while for the $\mu$W band, it is a decreasing convex function of rate, although more consistent. Our proposed mechanism inherits the merits of the communication in both spectrum bands by allowing the D2D devices to switch between them. It shows that at low rate regimes, our proposed algorithm tends to exploit the $\mu$W band as it provides a higher coverage probability for the users, while it switches to the mmW band when the rate demand increases. Overall, Fig. \ref{fig:rate} shows that the proposed mechanism outperforms the single band communication in terms of rate coverage probability.
\begin{figure}
\centering
\includegraphics[width=.80\columnwidth, trim=.7cm 7cm 1.5cm 6.8cm, clip]{rate.pdf}
\caption{Rate coverage probability vs. achievable rate with $d_0$ $= 50$ $m$ and $\lambda_{\text{DT}}=50$ $km^{-2}$.}
\label{fig:rate}
\end{figure}
\section{Conclusion}\label{sec:Conclusion}
In this paper, we proposed a novel distributed mechanism which enables D2D devices to select between the mmW band and the $\mu$W band for data transmission. In order to devise a distributed mmW band communication protocol for D2D communications, the D2D users are in charge of detecting LOS links along with their corresponding direction to perform proper beam alignment. Our proposed algorithm enables the D2D devices to perform such a task by using peer-discovery beacons and comparing the AoA spectrum of their intended peer over subsequent time intervals. We have used stochastic geometry to provide a complete framework to analyze the performance of the proposed mechanism in terms of the received SINR coverage probability of D2D users for which closed-form analytical formulas are derived. Our simulation results demonstrate that the proposed mechanism achieves considerable performance gain over the single band (i.e., mmW/$\mu$W) D2D communications. Moreover, our simulations validate the analytical results discussed in the paper.
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{
"redpajama_set_name": "RedPajamaArXiv"
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Dans le domaine militaire, peut désigner :
Allemagne
d'infanterie (Allemagne)
États-Unis
d'infanterie (États-Unis)
Royaume-Uni
division blindée (Royaume-Uni)
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{
"redpajama_set_name": "RedPajamaWikipedia"
}
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The University of Zulia (, also known as LUZ literally meaning "light" in Spanish), is a public university whose main campus is located in the city of Maracaibo, Venezuela. LUZ is one of the largest and most important universities of Venezuela.
The University of Zulia has three campuses: two in Zulia State, in the cities of Maracaibo (being the biggest and most important of the three) and Cabimas; and one in the city of Punto Fijo, located in Falcón State.
History
The history of the university begins when a decree converting the Federal College of Maracaibo into the University of Zulia was passed on May 29, 1891. The university itself began its operations on September 11 of that same year. Its first Chancellor was Francisco Ochoa.
In 1909, the government ordered the closure of the university for political reasons. It would remain closed until October 1, 1946. This event is known as La Reapertura (The Reopening). The first Chancellor after the reopening was Jesús Enrique Lossada.
Academics
The university offers the following undergraduate programs:
School of Agronomy
Agronomy
School of Architecture and Design
Architecture
Graphic Design
School of Arts
Fine Arts
Dance
Theatre
Visual Arts
Music
Museology
School of Dentistry
Dentistry
School of Economical & Social Sciences
Business Administration
Accounting
Sociology
Economics
School of Engineering
Civil Engineering
Electrical Engineering
Geodesic Engineering
Industrial Engineering
Petroleum Engineering
Chemical Engineering
Mechanical Engineering
School of Humanities & Education
Literature
Philosophy
Information Science
Journalism
Education
School of Law & Political Sciences
Law
Social Work
Political Science
School of Medicine
Bioanalysis
Nursing
Medicine
Nutrition
School of Sciences
Biology
Computer Science
Physics
Mathematics
Chemistry
Anthropology
School of Veterinary Medicine
Veterinary Medicine
External links
University of Zulia (in Spanish)
Universities in Venezuela
Buildings and structures in Maracaibo
Educational institutions established in 1891
1891 establishments in Venezuela
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"redpajama_set_name": "RedPajamaWikipedia"
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{"url":"https:\/\/www.campos-lab.net\/publication\/fedigan-costs-male-infanticide-2021\/","text":"# Costs of Male Infanticide for Female Capuchins: When Does an Adaptive Male Reproductive Strategy Become Costly for Females and Detrimental to Population Viability?\n\n### Abstract\n\nObjectives Infanticide in white-faced capuchins (Cebus capucinus imitator) typically occurs in association with alpha male replacements (AMRs). Although infanticide is likely adaptive for males, it imposes costs on females that are difficult to quantify without long-term demographic data. Here we investigate effects of AMRs and infanticide on female reproductive success and how these costs affect capuchin groups. We investigate (1) effects of AMR frequency on the production of surviving infants; (2) energetic and (3) temporal opportunity costs\u2019\u2019 of infant loss; and (4) how AMR frequency impacts capuchin group sizes. Materials and methods We censused six groups (7\u2013 33 years\/group, 74 adult females). We modeled surviving infant production in relation to AMR. We estimated a female\u2019s energy requirements for lost infants and the temporal cost relative to the median reproductive window. We simulated how varying AMR rates would affect future capuchin group sizes. Results Females exposed to more frequent AMR tended to produce fewer surviving offspring. We estimate the average lost infant requires approximately 33% additional energy intake for its mother and represents 10% of the average reproductive opportunity window available to females. Simulated populations remain viable at the observed rate of AMR occurrence but decrease in size at even slightly higher rates. Discussion While infanticide is adaptive for males, for females it affects lifetime reproductive success and imposes energetic and opportunity costs. Although capuchin populations have evolved with AMRs and infanticide, small increases in AMR frequency may lead to population decline\/extinction. Infanticide likely plays a large role in population maintenance for capuchins.\n\nPublication\nAmerican Journal of Physical Anthropology","date":"2021-08-01 16:54:47","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 1, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.5548883080482483, \"perplexity\": 12695.23507635817}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 20, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2021-31\/segments\/1627046154214.63\/warc\/CC-MAIN-20210801154943-20210801184943-00010.warc.gz\"}"}
| null | null |
Polyester Anti-Static Bag Filter, 690 mm flat width X 550 mm length (27.17-inch flat width X 21.65-inch length), 29 Pockets for Unimaster 250 and other brands of baghouse collectors. Image represents a full assembly. The edgings ship with the bags and the inserts are sold separately.
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{
"redpajama_set_name": "RedPajamaC4"
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Posted on August 25, 2019 August 25, 2019 by Josh Eisenberg
Lima 2019 Parapan Games Daily Recap August 24, 2019
LIMA, PERU– In the hours following the magic that was the opening ceremony, the race was on to see who would be the first official medal winners of the Lima 2019 Parapan American Games. It would not take long for the United States to claim 3 medals at Judo. Richard Ties would do just that, tying for bronze in the Men's -90 kg Judo competition.
"It's bittersweet. But it's a medal. It's hard when you are looking for gold, but i'll take it." said Ties after the competition.
Joining him on the platform was Men's -60 kg Ronald Hawthorne. The Chicago native was flat-out happy to be bringing a medal back to the United States. In addition, Benjamin Goodrich earned his first silver medal of the Parapan games in Men's +100 kg.
Crowd intimidation was definitely NOT a factor for the #1 ranked Team USA Women's Sitting Volleyball squad as there was a packed arena full of Peruvians supporting their host nation's team. The United States won the first set 25-6, the second set 25-3, and the third set 25-15 sweeping the match. After the match, Katie Holloway, Team USA Opening Ceremony Flag bearer and Captain of the Sitting Volleyball team, commented about the strength of the Peruvian crowd saying,
"Honestly, Peru surprised us today. I mean the fact that they were as loud as they were, and it was really challenging us to be at our best and as point number one that is absolutely what we need. We need to be able to handle every situation no matter what it looks like and Peru gave us that opportunity at managing it." She continued, "There is always gonna be nerves the first set in terms of our play, but that's all normal… to have a loud crowd and be able to manage that. Those are things that we need to do."
Meanwhile, on the Men's Sitting Volleyball side of play, Team USA had a double header. First, dominating Peru in straight sets winning 3-0. However, the outlook was much different in the second match vs. Brazil. The #1 seeded United States Team took the first set but lost the next three sets to Brazil, as they beat Team USA in four sets.
Gianfranco Iannetta pushes toward a bronze medal finish in the Men's 400m T52 Final on Saturday, August 24, 2019. (PHOTO CREDIT: Shannon Galea)
In Para Athletics, the gold rush was on for Men's 400m T52 winner Isaiah Rigo who took home the top award in the race. Other gold medaling para athletes for Team USA include: Hagan Landry (Men's Shot Put F40/41) and Hannah Dederick (Women's 400m T54). Placing silver was: Zackery Marshall (Men's 200m T35), Elexis Gillette (Men's Long Jump T11/12), Yen Hoang (Women's 400m T53), Jenna Fesemeyer (Women's 400m T54), and Taleah Williams (Women's Long Jump T47). The Bronze medalists were: Gianfranco Iannetta (Men's 400m T52), Catarina Guimaraes (Women's 400m T38), Kelsey Le Fevour (Women's 400m T53), and Elizabeth Floch (Women's 400m T54).
Hagan Landry (Men's Shot Put F40/41) prepares for his gold medal winning shotput toss on Saturday August 24, 2019. (PHOTO CREDIT: Shannon Galea)
Look out, there's a new sultan of swat in Para Table Tennis and his name is Tahl Leibowitz. Leibowitz took home a gold medal for Team USA and was joined by fellow teammates Jensen Van Emburgh (Men's Singles Class 3), Ahad Sarand (Men's Singles Class 5), and Ian Seidenfield (Men's Singles Class 6) who all took home silver medals in their classes.
Ian Seidenfield (Men's Singles Class 6), won Silver at today's competition in San Borja. (PHOTO CREDIT: Shannon Galea)
In mixed Para Shooting, McKenna Dahl came out guns blazing. She aimed high and attained the gold in 10m Air Rifle Stand SH2.
In Football 7-a-Side, Columbia was just outmatched by Team USA as the stars and stripes went on to defeat them 5-0. Scoring goals in the match were Midfielder Cameron Delillo (2), Seth Jahn (2), Andrew Bremmer (1).
Both men and women of Team USA's Wheelchair Basketball teams were playing like they had something to prove, and showed no mercy. The men defeated Puerto Rico 102-35 and the women defeated Chile 92-10.
Joshua Turek added 15 points as the United States defeated Puerto Rico 102-35. (PHOTO CREDIT: Shannon Galea)
The top-seeded Team USA Wheelchair Rugby Team played twice on Saturday; both results were not pretty for the opposition. First, in the morning, the team tangoed with Argentina and dominated them, 48-7. Joseph Delagrave had 10 of the team's 48 tries. In the second match, it was Team USA waxing #9 Brazil 55-35. Charles Aoki was a scoring machine entering the goal zone for 19 of the team's points.
The top five medal leaders after Saturday August 24, 2019:
1. Brazil (36)
2.Argentina (20)
3. United States (17)
4. Mexico (11)
5. Ecuador (6)
Tomorrow, look out for Wheelchair Rugby! The Stadium at Villa El Salvador hosts Men's #1 ranked Team USA taking on the #2 ranked Team Canada in what is predicted to be a very intense matchup.
Meanwhile, at Villa de Deportiva Nacional, Futbol 7-a-side United States team takes on host country Peru.
That's all for now- for more photos from the day's events check out:
https://photos.wheelchairsportsfederation.org
This entry was posted in:Adapted Sport Championships, Lima 2019, Para Pan American Games 2019, Paralympics
Tagged with:basketball, blind judo, Highlights, Lima 2019, Para Athletics, Parapan, Photography, sitting volleyball, Sports, USA, Wheelchair, wheelchair rugby
Previous PostParapan American Games Opening Ceremony Honors Peru and the Para-Athlete
Next PostTeam USA Futbol 7-a-Side Standout Seth Jahn Takes a Licking, but Keeps on Ticking
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{
"redpajama_set_name": "RedPajamaCommonCrawl"
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But the instructions are manual and tedious to follow. They should rather be shell scripts.
The scripts can assume all the necessary components are already in place in some well-known locations. The torrc fragments need to be broken out into separate files.
The PT transport bundle is wider than flash proxy, so the build scripts don't really belong in the flash proxy repository. But they can go there for now.
Related to #8644, I want these scripts to have separate variables TBB_VERSION, which will be used to name and find the TBB archive to extract into a temporary directory, and PT_BUNDLE_RELEASE, which will be used to append an extra version number to our filenames. We will increment PT_BUNDLE_RELEASE with each batch of bundles we make with the same TBB_VERSION, and reset it to 1 whenever TBB_VERSION is increased.
I'm going to try this as I reproduce Alex's bundles from today.
Run make dist in flashproxy as before.
Update version numbers at the top of doc/Makefile.
The makefile does the downloading, extracting, copying, and rezipping.
You probably shouldn't rely on gpg's exit codes, ever. gpgv is there if you really need this, else maybe grep gpg's --status-fd output.
It'd be nice if there was a means to tell the makefile to never ever download stuff.
Can you make the installed location of pyptlib configurable? Right now building the bundle would require root.
When using gpg --keyring, it's better to also add --no-default-keyring.
What do you think of the current state in https://gitweb.torproject.org/pluggable-transports/bundle.git?
In building the 2.4.12-alpha-2-pt1 bundles, I made some changes that make the process a bit nicer.
Only the fetch-* targets download from the network, and they are not run implicitly.
pyptlib doesn't have to be installed. Like flashproxy and obfsproxy, you just need to have a clone of it somewhere.
The makefile makes another temporary local clone of each of those three clones. The temporary clones are blown away on each rebuild and the originals are never written to. This also means that you can do e.g. git checkout 1.1 to build against a certain tag, even if there are newer commits in the repository.
Uses find -print0 and gpgv.
Downloading and verifying a plain TBB.
Re-zipping the bundle with a pluggable transports file name.
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{
"redpajama_set_name": "RedPajamaC4"
}
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Q: Is there a substitute for an "average" which best inherently represents data, rather than reducing it to one or another aspect? I was thinking about the arithmetic average as a type of metric or a representation of data. Maybe there is a mathematical argument for the non-arbitrariness of that function. I think something like hashing creates the illusion of total information loss on the inputs, yet technically, the information is actually still preserved. Whereas the arithmetic average does cause a loss in information, but not so much that the result is completely arbitrary - it does indicate something, about the inputs.
The thing is, I am pretty sure in math there are examples of various metrics, norms, representations, etc, which transform an object in a certain way which is more compelling, let's say. Like, maybe that representation has even stronger indicative information about the object that got transformed.
However, the average is not just to alter the form of the object without changing its inherent information - like encryption. It does cause some information loss, but it produces (to an extent) a result that we take as useful; it has some interesting, interpretable meaning.
The issue is the aspects of information that are lost, via an average. An average is not a perfect representation of an object because of aspects of the object it leaves out; it fails to represent it completely, so there's a missing part of the story.
From that perspective, the most accurate representation of an object is itself: it is the most complete, non-reduced specification of everything that defines it.
I am sure there are various kinds of analysis you can do on some data, a logistic curve or logistic regression or something, calculate the variance or distribution, etc.
I am wondering if there is some most canonical representation of data which, unlike an average, captures fundamental information without excluding part of it.
It's sort of an open-ended mathematical question but maybe if we consider we have n points in m dimensional space, is there an ordering on functions we can apply, so our choice of representation is not arbitrarily selecting one possible function amongst many others?
It's sort of a question about capturing "all" the information, even if via multiple distinct functions.
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{
"redpajama_set_name": "RedPajamaStackExchange"
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\section{Introduction}
\IEEEPARstart{S}{tatistical} properties of products of Random
Variables (RVs) are essential in performance analysis of contemporary wireless communication systems. For example, the fading
amplitude of multi-hop relaying systems follows the distribution of
the product of Nakagami-$m$ RVs~\cite{karagiannidis_2007}. In
addition, the cascaded-keyhole channel can be modeled using the product of individual keyhole channels~\cite{keyhole_2002}.
The exact Probability Density Function
(PDF) and Cumulative Distribution Function (CDF) of the product of
independent Beta, Gamma and Gaussian RVs can be represented in terms
of the Meijer-G function~\cite{springer_1970}. A more general
framework involving the Fox H-function was proposed
in~\cite{springer_1977} for the distribution of product of almost
any non-negative independent RVs. Although being theoretically interesting, these G- or H-function representations are difficult to evaluate on a low-complexity computing platform, where the calculation of the product statistics is required~\cite{simon_2004}.
The numerical calculations of G- and H-functions require a numerical solution of contour integrals or a construction of look-up tables that cover all parameter combinations. Both approaches set stringent requirements for the considered platform either in the computing capability or the memory capacity. Recently, Ahmed {\it et al.}~\cite{ahmed_2011} employed the Mellin transform and the residue theorem to derive the PDF of a product of {\it i.i.d.} Nakagami-$m$ RVs as an infinite series. By exploiting the structure of the Mellin transforms, the authors in~\cite{lu_2011,chen_2012} proposed approximations to the PDFs and CDFs of products of independent Rayleigh, Gamma, Nakagami-$m$ and Gaussian RVs. However, when the RVs in product are correlated, exact distributions are known only in some special cases (e.g. bivariate Nakagami-$m$ in~\cite{nakagami_1957}). For arbitrary number of RVs with generic correlations, none of the aforementioned methodologies are suitable to give a tractable solution. This is the main issue to be addressed in this paper.
Motivated by the Central Limit Theorem (CLT), the approximation for the product of RVs can be constructed by using a lognormal density and its associated orthogonal polynomials. We apply the approach of~\cite{provost_2009} where the first few moments of the product and the approximated density function are set equal. The resulting approximative distribution involves only a finite sum of polynomials and the elementary lognormal density function. Therefore, implementing the proposed expressions on practical computing platforms is straightforward compared with the G- or H-function representations. We note that the proposed framework is suitable for cases of both independent and correlated variables provided that moments of a product can be computed in closed-form.
In this paper we deduce a closed-form expression for the orthogonal polynomials associated with a general lognormal density. The result is obtained by taking advantage of the determinant representation of orthogonal polynomials. To give a specific example, we derive an approximative PDF and CDF for the product of both independent and correlated \mbox{Nakagami-$m$} RVs. Numerical results are compared with simulations in terms of the Complementary CDF (CCDF). The overall approximation accuracy is measured by the Mean Square Error (MSE) between the approximative CDF and the empirical CDF. The orthogonal polynomials associated with a standard lognormal density\footnote{When the corresponding Gaussian distribution is zero mean and unit variance.} were first developed in~\cite{ernst_2011}, which is a special case of our result. It is worth of noticing that our results are not straightforward extensions of the results presented in~\cite{ernst_2011} but require new methodological elements.
\section{Orthogonal Polynomials Associated with General Lognormal Density}\label{sec_op}
Assume that $Y$ is a Gaussian RV with mean $\mu$ and variance $\sigma^2$. Then $X=e^Y$ follows the lognormal distribution
\begin{equation}
f_{\textrm{LN}}(x)=\frac{1}{x\sqrt{2\pi\sigma^2}}e^{-\frac{(\log x-\mu)^2}{2\sigma^2}},\quad x\in(0,\infty)
\end{equation}
and the $i$-th moment, $\nu_i$ ($i\in\mathbb{N}$), of $X$ is given by
\begin{equation}
\nu_i=\int_0^{\infty}x^i f_{\textrm{LN}}(x)\,\mathrm{d}x=e^{i\mu+\frac{1}{2}i^2\sigma^2}\label{eq_moment}.
\end{equation}
Let $\pi_n(x)$ be the $n$-th degree polynomial
\begin{equation}
\pi_n(x)=\sum_{k=0}^n c_{n,k}x^k,\label{eq_p}
\end{equation}
where $c_{n,n}\neq 0$. The polynomials
$\{\pi_n(x)\}$ are said to be orthogonal with respect to the general lognormal
density if
\begin{equation}\label{eq:OrthFac}
\int_0^\infty
\pi_j(x)\pi_k(x)f_{\textrm{LN}}(x)\mathrm{d}x=h_j\delta_{jk},\quad
j,k\in\mathbb{N},
\end{equation}
where $h_j=\sum_{i=0}^j\sum_{k=0}^j c_{j,i} c_{j,k} \nu_{i+k}$ is a normalization factor. The symbol $\delta_{jk}$ is the Kronecker delta symbol, which is defined as $\delta_{jk}=1$ if $j=k$ and zero otherwise.
Due to~(\ref{eq_moment}) any arbitrary moment of $f_{\textrm{LN}}(x)$
exists. Thus, functions $x^i$ ($i\in\mathbb{N}$) belong to the space of square integrable functions with respect to the weight function $f_{\textrm{LN}}(x)$. There exists a unique set of orthogonal polynomials $\{\pi_n(x)\}$ which
admits the explicit determinant representation $\pi_n(x)=(\Delta_n)^{-1}\Delta_n(x)$~\cite[Th.
2.1.1]{szego_1939},
where $\Delta_n(x)$ denotes the $n$-th degree polynomial
\begin{equation}
\Delta_n(x)=\left |
\begin{array}{ccccc}
\nu_0 & \cdots & \nu_{n-1} & \nu_n\\
\vdots & \ddots & \vdots & \vdots\\
\nu_{n-1}& \cdots & \nu_{2n-2} & \nu_{2n-1}\\
1 & \cdots & x^{n-1} & x^n
\end{array}
\right |,\label{eq_op_p1}
\end{equation}
and the constant $\Delta_n$ is formed by deleting the last row and column from
$\Delta_n(x)$, i.e. $\Delta_n=\left|\nu_{i+j}\right|_{i,j=0,\cdots,n-1}$
with $\Delta_0=1$. The determinant (\ref{eq_op_p1}) can be expanded using the cofactors with respect to the last row. Then $\pi_n(x)$ becomes
\begin{equation}
\pi_n(x)=\sum_{k=0}^n (-1)^{n+k}\frac{\Delta_{n,k}}{\Delta_n}x^k\label{eq_op_cofactor},
\end{equation}
where the cofactor $\Delta_{n,k}$ with respect to $x^k$ is obtained
by removing the $(k+1)$-th column and the last row from
(\ref{eq_op_p1}), $\Delta_{0,0}=0$ and $\Delta_{1,0}=1$. After comparing (\ref{eq_op_cofactor}) with (\ref{eq_p}), we obtain
\begin{equation}
c_{n,k}=(-1)^{n+k}\frac{\Delta_{n,k}}{\Delta_n}, \quad k=0,\cdots,n.\label{eq_cnk}
\end{equation}
Let us calculate an explicit expression for $c_{n,k}$. First, by the definition of $\Delta_{n,k}$ and $\Delta_n$ it is observed that $c_{n,n}=1$, i.e. the orthogonal polynomials ($\ref{eq_op_cofactor}$) are monic\footnote{Monic polynomial is defined as the polynomial where the coefficient of highest degree term is unity.}. Furthermore, after inserting (\ref{eq_moment}) into $\Delta_{n,k}$ and denoting $q=e^{\sigma^2}$, we obtain (see Appendix for details)
\begin{equation}
\Delta_{n,k}=E(n)\frac{\nu_n\prod_{i=0}^{n-1}\prod_{j=i+1}^n(q^j-q^i)}{\nu_k\prod_{j=k+1}^n(q^j-q^k)\prod_{i=0}^{k-1}(q^k-q^i)},\label{eq_cofactor_expand}
\end{equation}
where $E(n)=e^{n(n-1)\mu+\frac{\sigma^2}{6}n(2n^2-3n+1)}$. For
$k=n$, $\Delta_n=\Delta_{n,n}$ and (\ref{eq_cofactor_expand})
becomes
\begin{equation}
\Delta_n=E(n) \prod_{i=0}^{n-2}\prod_{j=i+1}^{n-1}\left(q^j-q^i\right).\label{eq_op_p2_expand}
\end{equation}
After substituting (\ref{eq_cofactor_expand}) and (\ref{eq_op_p2_expand})
into (\ref{eq_cnk}) we find that
\begin{equation}
c_{n,k}=(-1)^{n+k}e^{(n-k)\mu}q^{(n-1/2)(n-k)} {n\brack k}_q\label{eq_cnk2},
\end{equation}
where ${n\brack k}_q=\frac{(1-q^n)(1-q^{n-1})\cdots(1-q^{n-k+1})}{(1-q^k)(1-q^{k-1})\cdots(1-q)}$
is the generalized binomial coefficient.
\section{Approximation to the Density of Product of Nakagami-$m$ Random Variables}\label{sec_approx}
\subsection{General Framework}
According to the CLT, the distribution of a product of RVs can be
approximated by a lognormal distribution when the number of RVs is
large. Motivated by this, we choose $f_{\mathrm{LN}}(x)$ as an
initial approximation for the distribution of a product of RVs in the
context of the moment based density approximation, which is derived in~\cite{provost_2009}. Let $M(k)$ denote the $k$-th moment of a density function $f(x)$, the approximation to $f(x)$ reads
\begin{equation}
f(x)\simeq f_{\mathrm{LN}}(x)\sum_{i=0}^N\eta_i\pi_i(x)\label{eq_approximant},
\end{equation}
where the constant $\eta_{i}=\frac{1}{h_{i}}\sum_{k=0}^i c_{i,k}M(k)$. Note that the first $N$ moments of the approximation (\ref{eq_approximant}) are matched with the corresponding moments of $f(x)$~\cite{provost_2009}.
Alternatively, (\ref{eq_approximant}) can be rearranged by combining the coefficients of $\pi_i(x)$ with the same power of $x$, resulting in $f(x)\simeq f_{\mathrm{LN}}(x)\sum_{i=0}^N\xi_i x^{i}$
where $\xi_j=\sum_{k=j}^N c_{k,j}\eta_k$. After direct integration
the approximated CDF attains the form
\begin{equation}\label{eq:cdf}
F(x)\simeq \sum_{i=0}^N\xi_i \nu_i\Phi\left(\frac{\log(x)-\mu}{\sigma}-i\sigma\right),
\end{equation}
where $\Phi(\cdot)$ is the CDF of a standard normal RV. The CCDF $\bar{F}(x)=1-F(x)$ is approximated by replacing $F(x)$ with the expression~(\ref{eq:cdf}).
It is a typical situation that the moments of certain RV are
relatively easy to obtain whereas its exact distribution is
difficult to calculate or unavailable~\cite{2006Ha}. The proposed
approximations~(\ref{eq_approximant}) and~(\ref{eq:cdf}) are particularly useful in this situation, as will be shown in the next subsection.
\subsection{Moment Based Approximation to Distribution of Product of Nakagami-$m$ RVs}
Let RV $P=\prod_{i=1}^K R_i$ be a product of $K$
Nakagami-$m$ RVs each with the PDF
\begin{equation}
f_{R_i}(x)\!=\!\frac{2m_i^{m_i}x^{2m_i-1}}{\Omega_i^{m_i}\Gamma(m_i)}\!\exp\left(-\frac{m_i}{\Omega_i}x^2\right),~~x\in(0,\infty).
\end{equation}
We first consider the case when the variables $R_i$ are correlated with each other. In the literature, there exists different representations for the joint PDF of multivariate Nakagami-$m$ RVs, which are either limited
in parameter values or cross-correlation structures. In this paper,
we adopt a recent result derived in~\cite{beaulieu_2011}, which gives the
joint PDF as a single integral. In the proposed approach, the RVs $R_i$ are assumed to have the same fading parameter $m$ and the joint PDF is valid for
integer and half-integer values of $m$. The power cross-correlation
coefficient between $R_i^2$ and $R_j^2$ is of the form
\begin{equation}
\rho_{R_i^2,R_j^2}=\frac{\mathbb{E}[R_i^2
R_j^2]-\mathbb{E}[R_i^2]\mathbb{E}[R_j^2]}{\sqrt{\mbox{Var}[R_i^2]\mbox{Var}[R_j^2]}}=\lambda_i^2\lambda_j^2.
\end{equation}
Note that the derived approximation framework is not limited by the
above multivariate model.
Based on the joint PDF~\cite[eq. (20)]{beaulieu_2011}, the $k$-th moment of
the RV $P$ is calculated by using~\cite[eq.
(6.643/2)]{gradshteyn_2007} as
\begin{align}\label{eq:ProMoCor}
\hspace{-1ex}M(k)&=\frac{\Gamma(m+k/2)^K}{m^{Kk/2}\Gamma(m)^{K+1}}\prod_{i=1}^K\left[\Omega_i(1-\lambda_i^2)\right]^{\frac{k}{2}}\nonumber\\
&\times\int_0^{\infty}t^{m-1}e^{-t}\prod_{i=1}^K{\mbox{$_1$F$_1\!$}}\left(-\frac{k}{2},m,\frac{\lambda_i^2 t}{\lambda_i^2-1}\right)\,dt,
\end{align}
where ${\mbox{$_1$F$_1\!$}}\left(a,b,c\right)$ denotes the Kummer
confluent hypergeometric function. The parameters $\mu$ and
$\sigma^2$ of $f_{\mathrm{LN}}(x)$ can be obtained by equating them
with the mean and variance of $\log(P)$ respectively as
\begin{align}
\mu
&=\sum_{i=1}^K\mathbb{E}[\log(R_i)]=\frac{1}{2}\sum_{i=1}^K\left[\Psi_0(m)-\log\left(\frac{m}{\Omega_i}\right)\right],\label{eq:meanCor}\\
\sigma^2\! &=\! \sum_{i=1}^K\mbox{Var}[\log(R_i)]+2\sum_{i<j} \mbox{Cov}[\log(R_i),\log(R_j)]\nonumber\\
&\hspace{-2ex}=\!\frac{1}{4}\!\sum_{i=1}^K\! \Psi_1(m)\!+\!2\!\sum_{i<j}\!\left(\!\int_0^{\infty}\!
\frac{I_i(t)I_j(t)t^{m-1}}{4\Gamma(m)e^{t}}\,dt\!-\!\zeta_i\zeta_j\!\right),\label{eq:varCor}
\end{align}
where $\Psi_n(x)$ is the polygamma function that is defined as the $(n+1)$-th derivative of the logarithm of $\Gamma(x)$, and $\zeta_i=\frac{1}{2}\left[\Psi_0(m)-\log\left(\frac{m}{\Omega_i}\right)\right]$. Here the function $I_i(t)$ is
\begin{equation*}
I_i(t)\!=\!\Psi_0(m)\!+\!\log\!\left(\!\frac{\Omega_i(1-\lambda_i^2)}{m}\!\right)\!-\!{\mbox{$_1$F$_1\!$}}^{'}\left.\!\left(\!a,m,\frac{\lambda_i^2
t}{\lambda_i^2-1}\!\right)\right|_{a=0},
\end{equation*}
where ${\mbox{$_1$F$_1\!$}}^{'}\left(a,b,c\right)$ refers to the
derivative of ${\mbox{$_1$F$_1\!$}}\left(a,b,c\right)$ with respect
to the parameter $a$.
Next consider the case where the RVs $R_{i}$ are independent. We notice that with $\lambda_i=0$, the joint PDF~\cite[eq. (20)]{beaulieu_2011} is in the form of a product of individual PDFs of $R_i$ ($i=1,2,\cdots,K$), which implies statistical independence. Thus, we let $\lambda_i=0$ and calculate the moments of $P$ from~(\ref{eq:ProMoCor})
\begin{equation}\label{eq_mo_indi}
M(k)=\prod_{i=1}^K\frac{\Gamma(m+k/2)}{\Gamma(m)}\left(\frac{\Omega_i}{m}\right)^{k/2}.
\end{equation}
While the calculation of $\mu$ is not affected by the independency and it is given by expression~(\ref{eq:meanCor}), the variance $\sigma^2$ is reduced to the form
\begin{equation}\label{eq_var_indi}
\sigma^2=\frac{1}{4}\sum_{i=1}^K \Psi_1(m)
\end{equation}
with all the covariances $\mathrm{Cov}[\log(R_i),\log(R_j)]$ in~(\ref{eq:varCor}) equal to zero. It is noted that (\ref{eq_mo_indi}) and (\ref{eq_var_indi}) agree with the results given by~\cite{karagiannidis_2007}.
\begin{figure}[!t]
\centering
\includegraphics[width=3.2in]{ccdf.eps}
\caption{CCDF of products of six Nakagami-$m$ RVs when $\Omega=1$ and $N=16$. (a) $m=1$; (b) $m=4$. Solid lines: approximative PDFs; markers: simulated PDFs.} \label{fig_ccdf}
\end{figure}
\begin{table*}[!t]
\caption{Mean square error $\epsilon^2$ of approximative distribution}
\label{tab_mse}
\centering
\begin{tabular}{|l|c|c|c|c|c|c|c|c|c|c|c|c|c|c|c|c|c|c|c|c|}
\hline
\hspace{7ex}{$K$} & 2 & 4 & 6 & 8 & 10 & 12 & 14 & 16 & 18 & 20\\\hline
$m=1$, $\rho=0$ & 1.14e-3 & 1.09e-3 & 6.28e-4 & 3.78e-4 & 2.72e-4 & 2.02e-4 & 1.67e-4 & 1.45e-4 & 1.28e-4 & 1.14e-4\\\hline
$m=1$, $\rho=0.1$& 1.06e-3 & 5.00e-4 & 1.05e-4 & 1.66e-5 & 1.73e-5 & 5.35e-5 & 1.03e-4 & 1.72e-4 & 2.40e-4 & 3.21e-4\\\hline
$m=1$, $\rho=0.5$& 9.99e-4 & 1.68e-4 & 2.10e-5 & 9.54e-5 & 2.07e-4 & 3.18e-4 & 4.16e-4 & 5.36e-4 & 6.24e-4 & 6.98e-4\\\hline
$m=1$, $\rho=0.8$& 2.17e-3 & 9.16e-4 & 7.72e-4 & 7.41e-4 & 7.28e-4 & 7.21e-4 & 7.09e-4 & 7.15e-4 & 7.13e-4 & 7.16e-4\\\hline
$m=4$, $\rho=0$ & 8.13e-6 & 2.29e-5 & 2.43e-5 & 1.64e-5 & 2.24e-5 & 3.15e-5 & 4.34e-5 & 4.78e-5 & 5.14e-5 & 5.02e-5\\\hline
$m=4$, $\rho=0.1$& 8.31e-6 & 1.16e-5 & 2.65e-6 & 2.33e-6 & 1.77e-5 & 4.95e-5 & 8.93e-5 & 1.15e-4 & 1.31e-4 & 1.47e-4\\\hline
$m=4$, $\rho=0.5$& 7.03e-6 & 1.34e-5 & 7.44e-6 & 9.73e-6 & 1.74e-5 & 2.48e-5 & 3.36e-5 & 4.21e-5 & 4.99e-5 & 5.49e-5\\\hline
$m=4$, $\rho=0.8$& 3.58e-5 & 3.20e-4 & 4.63e-4 & 3.03e-4 & 2.27e-4 & 2.12e-4 & 2.09e-4 & 2.11e-4 & 2.09e-4 & 2.06e-4\\\hline
\end{tabular}
\end{table*}
\section{Numerical Results}
In Fig.~\ref{fig_ccdf}, we compare simulations with the approximative CCDFs for the product of six Nakagami-$m$ RVs with parameters $m=1,\ 4$ and $\Omega=1$, using orthogonal polynomials of up to 16-th degree. Here we consider equal cross-correlations, i.e. $\rho_{R_i^2,R_j^2}=\rho$~($i\neq j$), and calculate the parameters of the approximation using~(\ref{eq:ProMoCor}),~(\ref{eq:meanCor}) and~(\ref{eq:varCor}) with $\rho=0.1,\ 0.5\mathrm{\ and\ }0.8$ for correlated Nakagami-$m$ RVs. In case of independent RVs (with $\rho=0$), equations~(\ref{eq_mo_indi}), (\ref{eq:meanCor}) and (\ref{eq_var_indi}) are applied. When $m=1$ the RVs $R_i$ are Rayleigh distributed, while with $m=4$ the $R_i$ are approximately Rician distributed with the Rician $\kappa$-factor given by $\kappa=6.46$~\cite{simon_2004}. For each simulated CCDF curve, we generate $10^6$ realizations of the \mbox{Nakagami-$m$} RVs $R_i$ ($i=1,\cdots,6$) using Sim's method \cite{sim_1993}. As a comparison, we also plot the approximative CCDFs calculated from~\cite[eq. (36)]{chen_2012} for the cases with independent Nakagami-$m$ RVs. Fig.~\ref{fig_ccdf}(b) shows that differences between the approximative CCDFs and simulations are less than $10^{-3}$ when $\rho=0\ \mathrm{and}\ 0.1$, and less than $10^{-2}$ when $\rho=0.5$. In addition, when $m=4$ and $\rho=0$, the proposed approximation yields improved accuracy compared with the results given in~\cite{chen_2012}. However, as $m=1$, the approximations with the same correlation coefficients are noticeably inaccurate due to slow convergence of the series in~(\ref{eq:cdf}). Note that in both cases the approximative CCDFs with $\rho=0.8$ deviate from the simulations since the CLT fails under high correlation condition.
Table~\ref{tab_mse} summarizes the MSE $\epsilon^2=\int_0^{\infty}|F^*(x)-F(x)|^2\,dF(x)$ between the approximation $F(x)$ and the empirical distribution function $F^*(x)$ of the product $P$ as a function of the number of RVs $K$. When $K$ is small~($K\le 10$), Table~\ref{tab_mse} shows that the approximated CDF achieves considerably smaller MSE in low-correlation cases ($\rho=0.1\ \mathrm{and}\ 0.5$) compared with the independent case ($\rho=0$). As $K$ increases, the accuracy for the independent case becomes superior to those of correlated ones. When $m=4$, all approximations are much more accurate compared with the corresponding Rayleigh cases ($m=1$), and the MSEs $\epsilon^2$, except for those where $K>16$ and $\rho=0.1$, is less than $10^{-4}$ in case of independent RVs or when correlation is low.
Although the accuracies of the approximations~(\ref{eq_approximant}) and~(\ref{eq:cdf}) should be improved as $N$ increases, analysis of the exact improvement is difficult due to the multiple nested finite summations involved. However, numerical results indicate that the $i$-th term in the summation~(\ref{eq:cdf}) converges quickly to zero since the coefficient $\xi_i\nu_i$ converges to zero and the CDF $\Phi\left(\frac{\log(x)-\mu}{\sigma}-i\sigma\right)$ is bounded. The value $N=16$ is shown to be sufficient to yield a stable CDF approximation.
\section{Conclusion}
Knowledge of the distributions of product of random variables is
important for understanding the performance of various communication
systems. In this work, we first derived a closed-form expression for
the orthogonal polynomials associated with general lognormal
density. The derived result was subsequently applied in
approximating the distribution of the product of random variables.
As an example, we calculated closed-form approximations for the
distributions of product of Nakagami-$m$ variates. Under light fading conditions, the resulting expressions achieve a good trade-off between computation complexity and approximation accuracy for small cross-correlations. It is still an open problem to find a closed-form (approximated) distribution for the product of correlated Nakagami-$m$ RVs under deep fading condition.
|
{
"redpajama_set_name": "RedPajamaArXiv"
}
| 9,195
|
\section{MATERIALS AND METHODS}
\subsection{PubMedCLIP}
Our first step was to consider the original CLIP, which has been pre-trained on general-domain images encountered online, and fine-tune it using medical image--text pairs. To this end, we drew on the Radiology Objects in COntext (ROCO) dataset \cite{ROCO}, which provides over $80K$ samples. ROCO includes diverse imaging modalities such as ultrasound, X-Ray, fluoroscopy, PET scans, mammography, MRI, angiography, from various human body regions, e.g., head, neck, jaw and teeth, spine, chest, abdomen, hand, foot, knee, and pelvis. The image--text pairs in this dataset are captured from PubMed articles. The texts here are taken from the relatively short captions (average length of 20 words) associated with images in the articles, which provide rich explanatory information about the content of images. To the best of our knowledge, ROCO is the only large-scale publicly available medical dataset that includes image--text pairs for a diverse range of body organs and imaging modalities.
In this work, the training and validation data splits from the original paper \cite{ROCO} were used to fine-tune CLIP for the medical domain, with ViT32 Vision Transformer \cite{Dosovitskiy2021ViT}, ResNet RN-50 and RN-50x4 \cite{HeEtAl2016ResNets} visual encoder back-ends. With respect to the maximum text length accepted by CLIP, which is 76, we trimmed any longer captions, while zero-padding shorter ones.
We refer to the resulting fine-tuned model as PubMedCLIP. PubMedCLIP was trained for $50$ epochs with a batch size of $64$, and Adam optimization \cite{adam} with a learning rate of $10^{-5}$. The source code along with further implementation details can be found at:
\href{https://github.com/sarahESL/PubMedCLIP/tree/main/PubMedCLIP}{https://github.com/sarahESL/PubMedCLIP}.
An overview of the training procedure for PubMedCLIP is given in Figure \ref{fig-pubmedclip} (A). Text and image are encoded separately using CLIP. The cosine similarity between text and image features is computed. Finally, the vision and language cross-entropy loss values are computed and their average is considered as the overall loss value.
\begin{figure}
\centering
\includegraphics[width=\linewidth]{figures/backbone_with_pubmed_pubmedclip_merged.pdf}
\caption{(A) Overview of how PubMedCLIP is pre-trained. (B) Schematic of MedVQA backbone with PubMedCLIP pre-trained visual encoder.}
\label{fig-pubmedclip}
\end{figure}
\subsection{PubMedCLIP in MedVQA}
Our goal is to investigate the effect of using PubMedCLIP as a pre-trained visual encoder in MedVQA models. VQA in this work is considered as a classification problem, where the objective is to find a mapping function $f$ that maps an image--question pair $(v_i, q_i)$ to the natural language answer $a_i$. For our investigation, we considered two prominent MedVQA methods, MEVF \cite{QCR} and QCR \cite{MEVF}, that adopt MEVF as their visual encoders. To assess the contribution of PubMedCLIP, we modified the MEVF by substituting its pre-trained MAML module with PubMedCLIP. Hence, the representative visual feature in our work is the concatenation of the output of the PubMedCLIP network and the CDAE encoder network. Both models use GloVe word embeddings \cite{glove} followed by an LSTM in order to encode questions. Furthermore, the multimodal pooling mechanism for combining question and image features is BAN \cite{ban} in both models. We retained the same question encodings, multimodal fusion, and objective functions proposed for MEVF \cite{MEVF} and QCR \cite{QCR}, respectively, and only replaced the visual encoders.
The overall objective is to minimize the error of answer classification and image reconstruction, denoted as
\begin{equation}
\mathcal{L}_{\mathrm{vqa}} = \mathcal{L}_{\mathrm{cls}} + \mathcal{L}_{\mathrm{rec}}.
\end{equation}
Following previous work \cite{BCELogits}, a sigmoid layer preceding a binary cross-entropy loss computation is used for the classification. The loss function for the autoencoder reconstruction is mean squared error. A schematic architecture of the backbone of our work is shown in Figure \ref{fig-pubmedclip} (B). The answer classifier is a two-layer feed-forward network with the ReLU activation function, as proposed for BAN \cite{ban}.
\subsection{Datasets}
We conducted our experiments using two well-known datasets:
\begin{enumerate}
\item \textbf{VQA-RAD} \cite{rad} consists of 315 medical images and 3,515 question--answer pairs. We follow previous work by adopting the data split proposed for MEVF \cite{MEVF}. We notice that all the images in the test dataset are also present in the training set. However, the set of question--answer pairs for these images in the test set are unseen in the training set.
\item The \textbf{SLAKE} \cite{slake} dataset consists of English and Chinese questions. In this work, we utilize the English subset of the dataset, comprising 642 images and more than 7,000 question--answer pairs. Using the original data split, we observe that in contrast to VQA-RAD, all the images in the test set of SLAKE are unseen in the training set.
\end{enumerate}
\subsection{Experimental setup}
In order to ensure a fair comparison, our experiments generally followed the same setups used in the MEVF and QCR studies. For both methods, Adam optimization was invoked for training. MEVF was trained for 20 epochs, QCR for 200 epochs. When using PubMedCLIP as the pre-trained visual encoder, we set the learning rate to $1\times 10^{-3}$ and $2\times 10^{-3}$ and the batch size to $16$ and $32$ in QCR and MEVF, respectively. All implementations are based on the PyTorch framework \cite{pytorch}. We ran the original MEVF and QCR on our machine and report the results here to have a fair comparison. Due to the non-deterministic behaviour of the cuDNN library used in CUDA convolution operations \cite{DL-nondeterminism}, we observed non-deterministic results in different runs. For a more robust comparison, we repeated all experiments 10 times and report the average accuracy scores.
\section{CONCLUSION}
This work introduces PubMedCLIP as a pre-trained visual encoder for medical images and illustrates its effectiveness for the task of medical visual question answering. PubMedCLIP is trained using the image--caption pairs from thousands of PubMed articles. Our experiments on two benchmark MedVQA datasets demonstrate that PubMedCLIP outperforms previously used pre-trained visual encoders in MedVQA by up to $3\%$. Furthermore, our results reveal differences of underlying data distributions in the two benchmark datasets. We hope that our findings encourage future research to make real-world clinical image--text pairs publicly available for better development of vision--language representation learning with cross-modal supervision in medical domain. In terms of future work, further analysis of these models using explainable AI techniques such as Grad-CAM visualizations can enable us to assess their regions of focus within the image from the class activation maps. Moreover, by releasing PubMedCLIP, we hope to enable research investigating to what extent it may contribute to additional medical use-cases such as image classification for medical diagnosis and radiology report generation.
\section{ACKNOWLEDGMENT}
We would like to thank Matthias Steinbrecher for his helpful comments and discussions.
\section{CONFLICT OF INTEREST STATEMENT}
None.
\section{RESULTS}
\label{sec:exp}
The results of our experiments are reported in Table \ref{table-result}. We provide the overall accuracy along with the accuracy of answering open-end and closed-end questions. It is observed that the performance of both MEVF and QCR approaches are improved when adopting CLIP and PubMedCLIP as the pre-trained visual encoder. Furthermore, results of PubMedCLIP show up to $1\%$ improvement in comparison to the original CLIP. For the VQA-RAD dataset, PubMedCLIP with the ResNet-50 backend achieves the best results, improving the overall accuracy of MEVF up to $6\%$ and for QCR up to $3\%$ percent. Results on the SLAKE dataset indicate that PubMedCLIP with the back-end ViT32 Vision Transformer visual encoder attains the best accuracy. It enhances MEVF up to $3\%$ and QCR up to $2\%$. We witness the same trend of improvement among overall, open-end, and closed-end accuracy scores.
\begin{table*}[htb]
\centering
\huge
\resizebox{\linewidth}{!}{
\begin{tabular}{llccc|ccc}
\toprule
\textbf{MedVQA} & \textbf{Visual} & \multicolumn{3}{c}{\textbf{VQA-RAD Accuracy}} & \multicolumn{3}{c}{\textbf{SLAKE Accuracy}}
\\
\textbf{model} & \textbf{encoder} & {open} & {closed} & {overall} & {open} & {closed} & {overall} \\
\midrule
{} & {MAML + AE} & {42.1\%} & {73.2\%} & {60.8\%} & {74.1\%} & {77.5\%} & {75.5\%}\\
\cmidrule(l){2-8}
\multirow{6}{*}[0em]{MEVF} & {CLIP-ViT-B + AE} & {50.8\%} & {75\%} & {65.4\%} & {75.8\%} & {80.5\%} & {77.7\%}\\
{} & {CLIP-RN50 + AE} & {47\%} & {77.4\%} & {65.4\%} & {75.7\%} & {79.6\%} & {77.2\%} \\
{} & {CLIP-RN50x4 + AE} & {46.8\%} & {76.6\%} & {64.8\%} & {75.9\%} & {79.1\%} & {77.2\%} \\
\cmidrule(l){2-8}
{} & {PubMedCLIP-ViT-B + AE} & {48.9\%} & {76.7\%} & {65.5\%} & \textbf{76.5\%} & \textbf{80.4\%} & \textbf{78\%}\\
{} & {PubMedCLIP-RN50 + AE} & \textbf{48.6\%} & \textbf{78.1\%} & \textbf{66.5\%} & {76.2\%} & {79.9\%} & {77.6\%} \\
{} & {PubMedCLIP-RN50x4 + AE} & {47.1\%} & {77.8\%} & {65.6\%} & {76.6\%} & {79.1\%} & {77.6\%} \\
\midrule \midrule
{} & {MAML + AE} & {56\%} & {77.9\%} & {69.2\%} & {76.8\%} & {80.6\%} & {78.3\%} \\
\cmidrule(l){2-8}
\multirow{6}{*}[0em]{QCR} & {CLIP-ViT-B + AE} & {57.6\%} & {79.5\%} & {70.7\%} & {78.6\%} & {81\%} & {79.5\%} \\
{} & {CLIP-RN50 + AE} & {58.3\%} & {80\%} & {71.3\%} & {78.2\%} & {81.5\%} & {79.7\%} \\
{} & {CLIP-RN50x4 + AE} & {59.9\%} & {79.4\%} & {71.3\%} & {77.6\%} & {80.5} & {78.7} \\
\cmidrule(l){2-8}
{} & {PubMedCLIP-ViT-B + AE} & {58.4\%} & {79.5\%} & {71.1\%} & \textbf{78.4\%} & \textbf{82.5\%} & \textbf{80.1\%} \\
{} & {PubMedCLIP-RN50 + AE} & \textbf{60.1\%} & \textbf{80\%} & \textbf{72.1\%} & {77.8\%} & {81.4\%} & {79.3\%} \\
{} & {PubMedCLIP-RN50x4 + AE} & {60\%} & {79.7\%} & {71.8\%} & {77.7\%} & {81.3\%} & {79.1\%} \\
\bottomrule
\end{tabular}}
\caption{Accuracy scores on VQA-RAD and SLAKE datasets.} \label{table-result}
\end{table*}
\section{DISCUSSION}
\begin{figure}
\centering
\includegraphics[width=0.7\linewidth]{plots/test_data_stats.pdf}
\caption{Distribution of the top 5 frequent question types in VQA-RAD and SLAKE datasets.}
\label{res-plot}
\end{figure}
The fact that ResNet-50 for VQA-RAD and ViT for SLAKE dataset achieve the best results suggests that there are underlying differences in the question type distribution in these datasets. As shown in Figure \ref{res-plot}, the majority of the questions in the VQA-RAD dataset ask about the presence of an abnormality in the images. This requires the visual encoder to detect local features and local abnormalities in the image. Therefore, the CNN-based ResNet model with better visual localization outperforms the Vision Transformer. However, on the SLAKE dataset, the majority of the questions are from the type ``organ", asking which organ is present in the image. For such cases, the visual encoder needs to be able to acquire a holistic overall understanding of the content of the image and thus also capture long-range dependencies of image patches. Vision Transformers indeed are capable of accounting for such features \cite{glance}, and hence perform better on the SLAKE dataset. Figure \ref{res-plot} plots the distribution of question types for the top 5 frequent types in both datasets.
\begin{figure}
\centering
\includegraphics[width=\linewidth]{figures/rad_examples.pdf}
\caption{Examples from VQA-RAD dataset.}
\label{rad-table-example}
\end{figure}
\begin{figure}
\centering
\includegraphics[width=\linewidth]{figures/slake_examples.pdf}
\caption{Examples from SLAKE dataset.}
\label{slake-table-example}
\end{figure}
In Figures~\ref{rad-table-example} and \ref{slake-table-example}, we provide examples from the VQA-RAD and SLAKE datasets, respectively. Our goal is to illustrate the performance of the original MEVF and QCR in comparison with QCR when PubMedCLIP is used as the visual encoder for the MedVQA task. We refer to the QCR model with PubMedCLIP simply as PubMedCLIP in these figures. Examples from both datasets in Figures~\ref{rad-table-example} and \ref{slake-table-example} demonstrate that the MEVF model has difficulties correctly comprehending which organ is depicted in the image. For example, regardless of the asked question, in the left image in Figure~\ref{rad-table-example}, we observe that although the given image is a chest x-ray, the answer that MEVF provides is related to the abdominal region. This behaviour is seen for the right examples as well, where the given image is from the brain, but the predicted answer from MEVF relates to the chest. The same behaviour is further also observed in Figure~\ref{slake-table-example}. From this perspective, QCR appears to be providing answers that are at least relevant to the given image and question, although it fails to select the correct answer. As an example, for the left image in Figure~\ref{rad-table-example}, QCR understands the question as well as the image, but cannot provide the coarse correct answer. In the left image from Figure~\ref{slake-table-example}, QCR appears to understand that it relates to the lung/chest area, but it has apparent difficulties in comprehending the question and providing the correct answer. In contrast, using QCR with PubMedCLIP shows an improvement and results in providing answers that are correct throughout all examples in Figures~\ref{rad-table-example} and \ref{slake-table-example}.
For further analysis, we provide examples in Figure~\ref{rad-resutls-fail} from the VQA-RAD dataset, where all three models fail to yield the correct answer. We again observe that MEVF provides irrelevant answers about body organs that are not present in the image. QCR shows the same behaviour for the right-most example. For the image on the left, QCR and PubMedCLIP miscomprehend the question as a yes/no question. In spite of this, the fact that PubMedCLIP answers with ``yes" illustrates that it has at least detected the ``one" metastatic focus in the image. In comparison, QCR answers with ``no", showing its troubles in interpreting the image and recognizing the metastatic focus. In the center example, answers provided by QCR and PubMedCLIP both appear to be relevant to the content of the given image. This suggests that the models have trouble understanding the semantics of the expression ``periphery of the image" in the question. By invoking techniques such as Grad-CAM \cite{gradCam}, we may be able to better understand what part of the image the model was focusing on before the classification layer. Finally, in the right-most example, QCR appears to misinterpret the content of the chest x-ray image and give suggestions for treating the brain. However, PubMedCLIP's answer, lung ``nodule", seems to be at least relevant to the image, although it shows that it is having difficulties inferring the semantics of the question. Our observations reveal that these models still have shortcomings in understanding questions and correctly relating them to the images.
\begin{figure}
\centering
\includegraphics[width=\linewidth]{figures/rad_fail_examples.pdf}
\caption{Examples from VQA-RAD where all models fail} \label{rad-resutls-fail}
\end{figure}
\subsection{CLIP in MedVQA versus general-domain VQA}
Using CLIP in general-domain VQA, as investigated in prior work \cite{CLIPbenefit}, evinces its effectiveness in comparison to previous ResNet-based encoders. In such settings, it has been observed that CLIP with a ResNet visual encoder outperforms using Vision Transformers. The authors hypothesize that this is due to Vision Transformers' weakness in visual localization. Furthermore, their reports show that larger back-end visual encoders in CLIP such as ResNet-101 and ResNet-50x4 result in bigger gains in accuracy.
In the MedVQA domain, we as well observe that PubMedCLIP outperforms the previous MAML-based visual encoders. However, using the bigger ResNet-50x4 model as the visual encoder in PubMedCLIP appears to lead to overfitting on medical images and it therefore performs slightly worse than the smaller version ResNet-50. Moreover, our experiments on the SLAKE dataset show that the Vision Transformer encoder in PubMedCLIP slightly outperforms using a ResNet-50. We showed that this gap stems mainly from differences in the underlying VQA data distributions. In the SLAKE dataset, the majority of the questions target a holistic overview of the image. In contrast, questions in VQA-RAD are primarily about the presence of an abnormality and require visual localization.
\section{BACKGROUND AND SIGNIFICANCE}
Medical visual question answering (MedVQA) is the task of answering natural language questions about a given medical image. To solve such multimodal tasks,
a system must interpret both visual and textual data as well as infer the associations between a given image and a pertinent question sufficiently well to elicit an answer \cite{antol2015vqa}. The development of MedVQA has considerable potential to benefit healthcare systems, as it may aid clinicians in interpreting medical images, obtaining more accurate diagnoses by consulting a second opinion, and ultimately, may expedite and improve patient care. Achieving this in the medical domain in particular is non-trivial, as we suffer from a general lack of sufficient and balanced training data. The ImageCLEF community hosts annual MedVQA challenges \cite{vqa-med2020, vqa-med2021}, where new VQA datasets using PubMed articles are released. However, there are concerns about whether the question--answer pairs in these datasets are realistic and clinically relevant \cite{rad}. For example, in the VQA-Med 2021 Challenge \cite{vqa-med2021}, the dataset consisted entirely of questions asking about the category of abnormality in the image. This lack of diversity in the semantics of the questions meant that the winning teams were able to treat the MedVQA problem as a multi-class image classification task, without any need to interpret the questions \cite{gong2021, eslami}. Lau \textit{et al.} \cite{rad} published VQA-RAD as the first public benchmark dataset comprising realistic and clinically relevant question--answer pairs generated by expert clinicians and radiologists. Recently, Liu \textit{et al.} \cite{slake} created the bilingual SLAKE dataset that includes not only clinically relevant data, but also mask and bounding box annotations for images, which are beneficial for semantic segmentation and detection of organs in medical images.
Current approaches for this multimodal task adopt deep neural encoders to interpret the image and the question and then pick a corresponding answer. They typically consist of four main components: a visual encoder, question encoder, attention-based fusion of vision and text features, and an answer classifier \cite{qcentric, QCR, MEVF, muvam, miccai2021liu}. Skip-thought vectors, LSTM, and GRU recurrent neural networks have been popular question encoders in prior work. Bilinear attention networks \cite{ban}, stacked attention networks \cite{san}, and element-wise production are popular as multimodal pooling approaches in MedVQA. With regard to the visual encoder, the majority of previous MedVQA papers \cite{muvam, QCR, MEVF} employ the Mixture of Enhanced Visual Features (MEVF) \cite{MEVF}. It consists of two modules:
\begin{enumerate*}
\item the pre-trained meta learning module, which uses Model-Agnostic Meta-Learning (MAML) \cite{MAML} with the objective of solving a $k$-shot $n$-way classification problem with the abnormality status of different organs as classes,
\item the Convolutional Denoising Autoencoder (CDAE) \cite{CDAE} module in order to denoise the medical image.
\end{enumerate*}
However, the pre-training of MEVF is custom-tailored for the particular challenges encountered in the VQA-RAD benchmark dataset and is specifically designed for the organs present in this dataset, i.e., the chest, brain, and abdomen, limiting its generalizability to other settings. Liu \textit{et al.} \cite{miccai2021liu} similarly restricted the objective of their visual encoding to chest, brain, and abdomen, and pre-train three separate visual feature extraction teacher models for these respective body regions. Furthermore, they distilled the three teacher models into a smaller student model by contrastive representation distillation. This motivated us to design an alternative model, PubMedCLIP, which learns features in medical images of various body organs and is not limited to only a few regions.
Transfer learning and making use of pre-trained models has become an inseparable part of representation learning in computer vision and natural language processing. Recent work \cite{CLIP, VLBART, vlbert} has shown improvements of visual and textual encoders when learning from the contrast of image--text pairs and using natural language as supervision in addition to just visual images. This trend of improvements has also been observed in various classification use cases in the medical domain \cite{contrastive-manning}.
Among these approaches, the contrastive pre-training of language--image data in CLIP \cite{CLIP} has been particularly successful. CLIP was trained using a very large number of image--text pairs acquired from the Internet with close to zero additional human annotation. This aspect is particularly useful for the medical domain, since data annotation requires expert medical knowledge and thus is often an expensive and time-consuming obstacle. Following CLIP, we investigate to what extent using publicly available medical image--text pairs without any further annotation can be useful for the MedVQA task. To this end, we consider a large number of medical image--text pairs obtained from PubMed articles and use them to train PubMedCLIP. We further examine the outcomes when incorporating PubMedCLIP as the visual encoder into state-of-the-art MedVQA methods. We investigate whether fine-tuning CLIP for the MedVQA task benefits medical VQA as much as it benefits general-domain VQA, as observed in previous work \cite{CLIPbenefit}.
To the best of our knowledge, this is the first study introducing a PubMed-optimized CLIP and assessing the effects of using CLIP for MedVQA. In contrast to previous visual encoders used in MedVQA, PubMedCLIP is pre-trained using medical images from a diverse range of body regions and is not restricted to only brain, chest, and abdomen images. We conduct extensive experiments on two MedVQA benchmark datasets and employ diverse back-end visual encoders in PubMedCLIP. Our experiments reveal that using PubMedCLIP as a pre-trained visual encoder improves previous models by up to $3\%$.
|
{
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| 8,417
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Africans in UEFA Champions League action, Tuesday 31 October
Manchester United's Eric Bailly
by Graeme Jackson
Tuesday Oct 31, 2017. 10:00
Eric Bailly's Manchester United will look to book a place in the knockout rounds of the UEFA Champions League when they host Benfica at Old Trafford in one of eight Matchday 4 fixtures tonight.
Bailly made a return to the Red Devils' line-up this past weekend and helped the team record a 1-0 home win over Tottenham Hotspur. If Jose Mourinho's charges can get the better of their Portuguese opponents and Group A rivals Basel avoid defeat at home to CSKA Moscow, then United will be safely through to the last 16.
Elsewhere, Thomas Partey's Atletico Madrid are in need of a home win over Azerbaijani side Qarabag, having failed to win away to the minnows in Baku earlier this month, while Victor Moses remains sidelined for Chelsea ahead of their trip to Italy to face Roma.
In Group B, Henry Onyekuru and Kara Mbodji's Anderlecht are staring down the barrel of a fourth successive defeat when they face French giants Paris Saint-Germain at the Parc des Princes, while the other match sees Celtic looking to get revenge against Bayern Munich after a 0-3 loss in Germany last time out.
Seydou Doumbia will look to inspire Sporting Lisbon to a home win over Juventus in Group D, with the other match from the pool a clash between Emmanuel Emenike's Olympiakos and Spanish giants Barcelona.
UEFA Champions League, Matchday 4 fixtures - 31 October
All kick-off times 21h45 CAT
Basel v CSKA Moscow
Manchester United v Benfica
Paris Saint-Germain v Anderlecht
Celtic v Bayern Munich
Atletico Madrid v Qarabag
Roma v Chelsea
Sporting v Juventus
Olympiacos v Barcelona
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
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| 7,600
|
He-Man and The Masters of the Universe Deluxe Beast Man
Pre-order - Released 23 February 2022
Pre-Order now and we'll deliver in FEBRUARY 2022 (estimated date / subject to change).
It's a thrilling time to be a Masters of the Universe fan! For longtime fans and for a new generation of kids who love action and adventure, it's time to discover the thrilling action and adventures of He-Man, Skeletor, the secrets of Castle Grayskull and so much more!
Based on Masters of the Universe characters
Part of the Animated Core line
Beast Man figure
(MTHDY36)
SKU MTHDY36
Brand Mattel
MOTU Masterverse Revelation Scareglow Action Figur
Masters of the Universe: Origins Sorceress
G.I. Joe Classified Series Spirit Iron-Knife
The Witcher (Netflix) Jaskier Action Figure
The Witcher (Netflix) Geralt of Rivia Action Figur
Masters of the Universe: Origins Horde Trooper
Black Series 6-Inch Action-Figure Collapsible Prot
He-Man and The Masters of the Universe He-Man
He-Man and The Masters of the Universe Orko
He-Man and The Masters of the Universe Skeletor
He-Man and The Masters of the Universe Trap Jaw
Star Wars Retro Collection Boba Fett (Morak)
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
}
| 2,301
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Q: Unable to override lagom kafka parameters I created a normal java project and put all dependencies of lagom kafka client on classpath , then in source folder i put the application.conf
Content of application.conf
lagom.broker.kafka {
service-name = ""
brokers = "127.0.0.1:9092"
}
while running the application service-name = "" should be used (so that my broker path could be used, rather than discovering), but it was not working
while debugging i found that in KafkaConfig class service-name comes out to be "kafka_native".
I found that while creating KafkaConfig , conf object which is coming dosen't have my application.conf in its origin
After this i tried overriding them using vm parameters like this:
-Dlagom.broker.kafka.service-name=""
-Dlagom.broker.kafka.brokers="127.0.0.1:9092"
-Dakka.kafka.consumer.kafka-clients.auto.offset.reset="earliest"
and it worked.
Can somebody explain why overriding in application conf not working
This is how i am subscribing to topic
import java.net.URI;
import java.util.concurrent.CompletableFuture;
import com.ameyo.ticketing.ticket.api.TicketingService;
import com.ameyo.ticketing.ticket.api.events.TicketEvent;
import com.lightbend.lagom.javadsl.api.broker.Topic;
import com.lightbend.lagom.javadsl.client.integration.LagomClientFactory;
import com.typesafe.config.ConfigFactory;
import akka.Done;
import akka.stream.javadsl.Flow;
/**
*
*/
public class Main {
public static void main(String[] args) {
String brokers = ConfigFactory.load().getString("lagom.broker.kafka.brokers");
System.out.println("Initial Value for Brokers " + brokers);
LagomClientFactory clientFactory = LagomClientFactory.create("legacy-system", Main.class.getClassLoader());
TicketingService ticketTingService = clientFactory.createClient(TicketingService.class,
URI.create("http://localhost:11000"));
Topic<TicketEvent> ticketEvents = ticketTingService.ticketEvents();
ticketEvents.subscribe().withGroupId("nya13").atLeastOnce(Flow.<TicketEvent> create().mapAsync(1, e -> {
System.out.println("kuch to aaya");
return CompletableFuture.completedFuture(Done.getInstance());
}));
try {
Thread.sleep(1000000000);
} catch (InterruptedException e1) {
}
}
}
A: Change configuration to
akka{
lagom.broker.kafka {
service-name = ""
brokers = "127.0.0.1:9092"
}
}
and it worked
|
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| 1,315
|
{% set stats = h.get_last_12_months_statistics() %}
<div class="apicatalog-12mo-stats row">
<h2 class="heading col-md-6">{{ _('API catalog statistics for the last 12 months') }}</h2>
<div class="item col-md-2"><span class="amount">{{ stats.visitors }}</span><span class="quality">{{ _('Visitors') }}</span></div>
<div class="item col-md-2"><span class="amount">{{ stats.new_packages }}</span><span class="quality">{{ _('New APIs') }}</span></div>
<div class="item col-md-2"><span class="amount">{{ stats.new_resources }}</span><span class="quality">{{ _('New attachments') }}</span></div>
</div>
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"redpajama_set_name": "RedPajamaGithub"
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| 1,310
|
Our data indicates that land will appear over the horizon by at least 0.72 degrees, or 1.38 times the angular width of the moon. Whether it is visible may depend on atmospheric conditions, the quality of your camera, and the distance of your camera above sea level.
In the Mediterranean, but with a good view of land.
|
{
"redpajama_set_name": "RedPajamaC4"
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| 106
|
{"url":"https:\/\/www.physicsforums.com\/threads\/proof-that-a-function-is-continuous-on-its-domain.689049\/","text":"Proof that a function is continuous on its domain\n\n1. Apr 30, 2013\n\nWhistlekins\n\n1. The problem statement, all variables and given\/known data\n\nWe have $f(x) = \\frac{x^{2}+x-2}{x-1}+cos(x) , x\\in\\mathbb{R}\\setminus \\{1\\}$ and wish to prove that it is continuous on its domain.\n\n2. Relevant equations\n\nThe delta-epsilon definition of the continuity of a function.\n\n3. The attempt at a solution\n\nI've managed to reduce $|f(x) - f(x_0)|$to$|x-x_0| + |cos(x) - cos(x_0)| < \\delta + |cos(x) - cos(x_0)|$\nI'm not too sure where to go from there or even if I'm on the right track. Any insight would be greatly appreciated.\n\n2. May 1, 2013\n\nDick\n\nFactoring x^2+x-2 would be a great first step.\n\n3. May 1, 2013\n\nWhistlekins\n\nI have, that's how I arrived at the reduced expression. The questions is where to go from there. I could always use the property that if $f$ and $g$ are continuous at a point $x_0\\in \\mathbb{A}$ then $f+g$ is continuous at $x_0$. But I don't know how to prove that $cos(x)$ is continuous on the domain.\n\n4. May 1, 2013\n\nDick\n\nYes, that you did. One way to prove cos is continuous is to use the trig identity, cos(u)-cos(v)=(-2)sin((u+v)\/2)*sin((u-v)\/2).\n\n5. May 1, 2013\n\nWhistlekins\n\nAhh I overlooked that, thanks! I think I've got it now.","date":"2017-08-22 02:12:52","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 1, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.7345974445343018, \"perplexity\": 196.5098142217303}, \"config\": {\"markdown_headings\": false, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2017-34\/segments\/1502886109803.8\/warc\/CC-MAIN-20170822011838-20170822031838-00099.warc.gz\"}"}
| null | null |
Q: How do I get all available colors displayed on the product page? I'm building a shopping website. I have my database design set up as below:
tblProducts tblSizes tblColors tblImages tblSpecific_Products
id id id id id
product_name size color image product_id (FK)
style_code size_id (FK)
price color_id (FK)
image_id (FK)
Can someone please tell me how do I display all available colors on the general products page?
A: If I am not wrong, you are asking to query all available colors of a specific product. In that case, if you go through SQL tutor you will get by yourself.
Here is how it can be done,
SELECT color FROM tblColors WHERE id IN (SELECT color_id FROM tblSpecificProducts WHERE product_id=<YOUR-PRODUCT-ID>)
If you want it on general Product Display Page, where for each product display all available colors, then do iterate over all product Id's.
A: You can just join your tables:
SELECT color
FROM tblSpecific_Products
JOIN tblColors
ON tblSpecific_Products.color_id = tblColors.id AND
tblSpecific_Products.product_id = <yourvalue>;
If you want to get all colors of all products, then you can do this:
SELECT product_id, GROUP_CONCAT(color) AS colors
FROM tblSpecific_Products
LEFT JOIN tblColors
ON tblSpecific_Products.color_id = tblColors.id
GROUP BY product_id;
And then you will get pairs of two items per record, the first field being the numerical id of the product, the second being a comma-separated textual list of the colors. In your PHP code, you can explode(',', $theValue) in order to separate the comma-separated color list into array elements that you can loop.
|
{
"redpajama_set_name": "RedPajamaStackExchange"
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| 4,264
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Wall Street was set to extend gains on Wednesday, after hitting a four-week high in the previous session, as strong earnings from Goldman Sachs and Bank of America as well as a $22 billion deal in the fintech sector lifted sentiment.
Goldman Sachs climbed 3.2 percent in premarket trading after reporting an increase in trading revenue, the first Wall Street bank so far to show growth in that business.
Bank of America Corp jumped 5.1 percent after the second-biggest U.S. lender's quarterly profit beat estimates on a growing loan book that helped overshadow a drop in revenue in investment banking.
U.S. financial technology provider Fiserv Inc said it will buy payment processor First Data Corp in a $22 billion deal, making it one of the largest acquisitions in the financial technology sector.
Fiserv shares fell 5.5 percent, while those of First Data Corp soared 18.5 percent.
"Corporations saying that they are going to spend money to acquire other companies to continue growing shows that 'animal sprit' is still alive," said Michael Antonelli, managing director, institutional sales trading at Robert W. Baird in Milwaukee.
"This counters the recession argument and that makes you think that the market has over discounted the slowing that's going on in the world."
United Airlines rose 6.2 percent after reporting a quarterly profit that topped Wall Street expectations, lifting shares of other airlines.
At 8:51 a.m. ET, Dow e-minis were up 0.44 percent. S&P 500 e-minis were up 0.3 percent and Nasdaq 100 e-minis were up 0.18 percent.
U.S. stocks rose more than 1 percent on Tuesday, lifting the benchmark index 11 percent above its December low as technology and internet stocks surged and investors shrugged off weak results from JPMorgan and Wells Fargo.
"JPMorgan and Citi reported numbers that were weak from initial impressions but their stocks ended up rallying which goes to show that what was priced in was too negative," said Antonelli.
Nordstrom Inc shares slid 7.5 percent after the department store operator said it expected its full-year profit to be at the lower end of its prior forecast due to disappointing holiday sales.
Snap Inc fell 11.3 percent in heavy premarket trading after the Snapchat-owner said Chief Financial Officer Tim Stone will be leaving less than a year after taking the job.
Investors will keep an eye on a no confidence for British Prime Minister Theresa May's government after an overwhelming defeat of her Brexit deal by the parliament left Britain's exit from the European Union in chaos but did little to change U.S. stocks on Tuesday.
Vote will be held at 1900 GMT, or 2:00 p.m. ET.
The Federal Reserve's Beige Book, a summary of the state of U.S. business across the central bank's 12 regional districts, is also expected at 2:00 p.m. ET.
|
{
"redpajama_set_name": "RedPajamaC4"
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| 500
|
{"url":"https:\/\/ssconlineexam.com\/onlinetest\/ssc-cgl-tier-1\/english-comprehension\/ec-test-60","text":"# ssc cgl tier 1 :: english comprehension :: ec test 60\n\n## Home ssc cgl tier 1 \/ english comprehension Questions and Answers\n\n1 .In question out of the four alternatives choose the one which best expresses the meaning of the given word and mark it in your AnswerSheet.\n$Loathe$\ndelegate\ndetest\nlame\nheavy\n\n2 .In question out of the four alternatives choose the one which best expresses the meaning of the given word and mark it in your AnswerSheet.\n$Picturesque$\ngrapple\npainting\nvivid\nmorsel\n\n3 .In question out of the four alternatives choose the one which best expresses the meaning of the given word and mark it in your AnswerSheet.\n$Graduate$\nslow\ncalibrate\nmoderate\nbachelor\n\n4 .In question out of the four alternatives choose the one which best expresses the meaning of the given word and mark it in your AnswerSheet.\n$Swindle$\npilfer\ntwist\npounce\ndefraud\n\n5 .In question, choose the word opposite in meaning to the given word and mark it in the Answer-Sheet.\n$Motion$\ntransit\nstationary\nspeed\ndisposition\n\n6 .In question, choose the word opposite in meaning to the given word and mark it in the Answer-Sheet.\n$Fabricate$\nconcoct\nconstrue\nsew\ndestruct\n\n7 .In question, choose the word opposite in meaning to the given word and mark it in the Answer-Sheet.\n$Nadir$\nzenith\nseize\nmount\n\n8 .In question, choose the word opposite in meaning to the given word and mark it in the Answer-Sheet.\n$Charlatan$\ncanyon\ninnocent\nbenevolent\npatroit\n\n9 .In question, choose the word opposite in meaning to the given word and mark it in the Answer-Sheet.\n$Mitigate$\nameliorate\nmoderate\naccentuate\nvindicate\n\n10 . In question, four alternatives are given for the idiom\/phrase and bold-italicised in the sentence. Choose the alternative which best expresses the meaning of the idiom\/phrase and mark it in the AnswerSheet.\nThe time for work has come and so we should make hay while the sun shines\nhang clothes in the sun\nuse the opportunity\nkeep the husk in the sun\nmake bad things better during the day","date":"2020-04-03 07:16:54","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 1, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.7048695087432861, \"perplexity\": 2034.1846506259815}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2020-16\/segments\/1585370510352.43\/warc\/CC-MAIN-20200403061648-20200403091648-00085.warc.gz\"}"}
| null | null |
Why is it business as usual in England while Covid infections rise?
Piace?
Aggiunto da prem su 21/10/2021
Più di 20 months into the Covid pandemic and with a tough winter looming, the public could be excused for having a distinct sense of deja vu.
Infection rates are rising sharply, scientists and senior NHS figures are sounding the alarm – but the business secretary, Kwasi Kwarteng, era touring the broadcast studios on Wednesday morning ruling out a lockdown in England and telling people "absolutely" to book their Christmas parties.
Sajid Javid's tone in his Downing Street press conference hours later was considerably more sombre but the substance of his message was the same: per adesso, it is business as usual.
Unlike last autumn, when Sage scientists were unsuccessfully pressuring Boris Johnson to order a "circuit-breaker" lockdown, the government has at least set out a clear plan B.
Last month's autumn and winter plan included returning to compulsory mask wearing, introducing vaccine passports for mass events and venues such as nightclubs, and reimposing guidance to work from home.
But having a plan does not mean No 10 is any keener to act. Boris Johnson's ingrained reluctance to curtail the public's freedoms – even by compelling them to wear a mask – is well known.
His former adviser Dominic Cummings attested in hearings before the health committee earlier this year that Johnson was even unconvinced the first lockdown, in March last year, had worked.
Johnson is also temperamentally opposed to working from home – he used his party conference speech to say that "we will and must see people back in the office".
And as at earlier stages of the virus, the prime minister's personal reluctance is bolstered by the political stance of many of his backbenchers.
The Covid Recovery Group (CRG), chaired by the former Tory chief whip Mark Harper, are vehemently opposed to vaccine passports in the form proposed by the government – with only full vaccination, not test results, accepted.
Javid confirmed earlier this week that MPs would be given a vote on the proposal before it is enacted – but the CRG believe that without Labour support it would be unlikely to pass.
So implementing the government's plan B, even in the face of rising death rates, could be hampered both by political squeamishness at the top of government and a rebellion on the backbenches.
And there is also a sense in government that being bold about reopening worked – something they will be reluctant to reverse.
Johnson and Javid took a conscious gamble in the summer to press ahead with a "big bang" lifting of restrictions for England in July, which was condemned at the time by the Labour leader, Keir Starmer, as "reckless".
Despite the UK's position as the outlier among western European countries in terms of infections, ministers believe hindsight has shown that to be the right decision, allowing the public to get back to some semblance of normal life. Johnson's spokesperson frequently boasts that the UK has "one of the most open economies".
Javid, pure, has very different instincts from his predecessor Matt Hancock, who tended to advocate a precautionary approach. A fan of the libertarian author Ayn Rand, Javid said in July that he would not wear a mask in a quiet train carriage, even if asked to.
All these factors – political and personal – help explain why for the time being, the focus is on ramping up the government's plan A. That means tackling the shortcomings of the vaccine booster programme; increasing the number of 12- to 15-year-olds getting the jab by allowing their parents to book appointments directly; and reminding the public not to "tear the pants out of it", as England's deputy chief medical officer, Jonathan Van-Tam, has repeatedly put it.
The winter plan document included advice to the public to meet outdoors if possible, keep windows open and wear masks in crowded spaces. Javid reiterated that advice on Wednesday in the hope of influencing public behaviour – though Tory MPs were packed maskless on the green benches of the House of Commons just hours earlier for prime minister's questions.
There are also hopes in government that next week's half-term break for schools will act as a mini firebreak, helping to stabilise infections, as social interaction between unvaccinated pupils is reduced.
If a dip in the growth rate of the pandemic fails to materialise, tuttavia, the government may yet find itself – as so many times during this long pandemic – mugged by reality.
The government's chief scientific adviser, Patrick Vallance, was notably absent from the press conference but it was hard not to recall his advice from a month ago about how to tackle a sharp rise in cases – "go hard, and go early".
businessusualEngland, Covid, infections, mentre
Scacchi: Carlsen's record hunt starts badly while bizarre opening shocks pundits
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Magnus Carlsen announced recently that his main chess target this year will be a fresh attempt to reach an all-time record rating of 2900, a level which narrowly eluded the world champion in 2014 e 2019. The 31-year...
Only two UK Covid briefings were led by a female MP, il rapporto trova
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Only two of the government briefings held at the height of the coronavirus pandemic were led by a female politician, and in both cases it was the home secretary, Priti Patel, a report into gender representation across...
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Scientists say Australia's hardest-hit states are 'probably through the worst' as cases are 'levelling off'; Covid cases have sharply declined in Africa for the first time since discovery of Omicron, Chi dice
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NSW records deadliest pandemic day with 46 Covid deaths and 25,168 casi; Victoria record 20 deaths and 18,167 casi; AFP begins investigations into RAT price gouging; 'If not now, quando?' asks Frydenberg on WA border...
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Austria creates Covid lottery with €500 prizes to woo vaccine hesitant
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Tube journeys up 8% after work-from-home Covid guidance ends
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There have been signs of a growing return to office working in London, con 8% more journeys recorded on the London underground network compared with a week ago. The increase came after the government ended work-from-...
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"redpajama_set_name": "RedPajamaCommonCrawl"
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|
{"url":"https:\/\/physics.stackexchange.com\/questions\/455299\/how-can-we-prove-that-correlation-function-depends-only-on-the-spatial-differenc?noredirect=1","text":"# How can we prove that correlation function depends only on the spatial difference if Hamiltonian is translationally invariant?\n\nIf $$H$$ is a translationally invariant Hamiltonian, how can I convince myself that the correlation function (on the ground state $$\\left|G\\right\\rangle$$) $$\\left\\langle G|\\psi(x)\\psi(x\u2019)|G\\right\\rangle$$ depends only on $$x-x\u2019$$.\n\nHow is the field operator $$\\psi(x)$$ related to $$\\psi(0)$$ thro\u2019 the translation operator anyway? How is the translation operator defined in second quantization?\n\n\u2022 The unitary translation operator $U(x)$ is defined by the condition $U(x)\\psi(0)U^\\dagger(x)=\\psi(x)$, and $U(x)U(x')=U(x+x')$, and since the ground state of a translation-invariant Hamiltonian tends to be translation invariant (ignoring the possibility of spontaneous symmetry breaking resulting in a crystalline ground state), this means $U(x)|G\\rangle\\propto |G\\rangle$. These things can be used to prove that the correlation function depends only on $x-x'$. Or are you asking for an explicit expression for $U(x)$ in terms of the field operators? \u2013\u00a0Chiral Anomaly Jan 19 '19 at 16:23\n\u2022 I am not sure how to prove $U(x)\\psi(0)U^\\dagger(x)=\\psi(x)$. And how to express $U(x)$ in terms of field operators too. I know in first quantization, $U(x)=\\exp(-ix\\hat{p}\/\\hbar)$. But in what way can we talk of $\\hat{p}$ in second quantization? \u2013\u00a0Willi Tschau Jan 19 '19 at 16:49\n\u2022 The relationship $U(x)\\psi(0)\\tilde U(x)=\\psi(x)$ is not something to prove. It's what \"translation operator\" means. It's only a definition, just like in non-relativistic quantum mechanics (\"first quantization\"). The thing to prove is how the operator that has this property can be expressed in terms of the field operators (\"second quantization\" = quantum field theory). I'll write an answer about that... \u2013\u00a0Chiral Anomaly Jan 19 '19 at 16:52\n\nConsider the simplest QFT, namely the free scalar field. The equation of motion (in the Heisenberg picture) is $$(\\partial_t^2-\\nabla^2 +m^2)\\phi(t,\\mathbf{x})=0 \\tag{1}$$ and the equal-time commutation relations are $$\\begin{gather} [\\phi(t,\\mathbf{x}),\\,\\dot\\phi(t,\\mathbf{y})] =i\\delta^3(\\mathbf{x}-\\mathbf{y}) \\\\ [\\phi(t,\\mathbf{x}),\\,\\phi(t,\\mathbf{y})]=0 \\hskip2cm [\\dot\\phi(t,\\mathbf{x}),\\,\\dot\\phi(t,\\mathbf{y})]=0. \\tag{2} \\end{gather}$$ We want to construct a unitary operator $$U(\\mathbf{x})$$ that satisfies $$U(\\mathbf{x})\\phi(t,\\mathbf{0})U^\\dagger(\\mathbf{x})= \\phi(t,\\mathbf{x}), \\tag{3}$$ which is the definition of the translation operator. The momentum operators $$P_k$$ are the hermitian generators of the translation group (by definition again), so $$U(\\mathbf{x})=\\exp(i\\mathbf{x}\\cdot \\mathbf{P}) \\hskip2cm \\mathbf{x}\\cdot \\mathbf{P}\\equiv\\sum_k x_k P_k. \\tag{4}$$ in units where $$\\hbar=1$$. Take the gradient of (3) with respect to $$x_k$$ to get $$[P_k\\,\\phi(t,\\mathbf{x})]=-i\\nabla_k\\phi(t,\\mathbf{x}). \\tag{5}$$ This is the defining property of the operators $$P_k$$. What we want, though, is an explicit expression for $$P_k$$ in terms of the field operators. In general, we can use Noether's theorem to get an expression for $$P_k$$ in terms of the field operators. Or, instead of going through Noether's theorem, we can write down an ansatz and then prove that it works. (The second approach is easier when we already know the answer, and since I do already know the answer, I'll use the second approach here.) The commutation relations (2) imply that the operator $$P_k=\\int d^3x\\ \\dot\\phi(t,\\mathbf{x})\\nabla_k \\phi(t,\\mathbf{x}) \\tag{6}$$ is hermitian and satisfies the condition (5), so this ansatz works. Equation (6) expresses the momentum operators in terms of the field operators, and then equation (4) gives the translation operators. If the field operators are written in terms of the usual creation\/annihilation operators, then (6) becomes $$P_k\\propto \\int d^3p\\ p_k a^\\dagger(\\mathbf{p})a(\\mathbf{p}). \\tag{7}$$ The post\nThe preceding equations explain how to express $$U(\\mathbf{x})$$ in terms of the field operators. To address the original question about why the two-point correlation function is translation-invariant, we only need equations (3) and (4), together with the assumption that the ground state $$|G\\rangle$$ is translation-invariant: $$U(\\mathbf{x})|G\\rangle=|G\\rangle$$. This gives \\begin{align} \\langle G|\\phi(\\mathbf{x})\\phi(\\mathbf{x'})|G\\rangle &= \\langle G|U(\\mathbf{x})\\phi(\\mathbf{0})U^\\dagger(\\mathbf{x}) U(\\mathbf{x'})\\phi(\\mathbf{0})U^\\dagger(\\mathbf{x'})|G\\rangle \\\\ &= \\langle G|\\phi(\\mathbf{0}) U(\\mathbf{x'}-\\mathbf{x})\\phi(\\mathbf{0})|G\\rangle, \\end{align} which shows that the correlation function depends only on $$\\mathbf{x'}-\\mathbf{x}$$.","date":"2020-01-23 15:07:47","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 1, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 25, \"wp-katex-eq\": 0, \"align\": 1, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.9736322164535522, \"perplexity\": 146.3146587391871}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2020-05\/segments\/1579250610919.33\/warc\/CC-MAIN-20200123131001-20200123160001-00115.warc.gz\"}"}
| null | null |
Q: Javascript validation, where string is compiled of only any number of spaces I am looking for a function that will return true / false if the string in question is complied of any number of spaces. The common method of doing this is if (string == " ") but this only works for one space. I need a function that would resolve any number of spaces to a return statement.
example
if (string == " ")
if (string == " ")
if (string == " ")
if (string == " ")
if (string == " ")
What is the best way to do this?
A: You could use a simple regular expression:
var x = " ";
if (x.match(/^ +$/)) {
alert("yes");
} else {
alert("no");
}
A: You can use a regular expression: /^ +$/.test(string).
A regular expression is also good if you want to match any whitespace rather than just spaces (which is sometimes useful): /^\s+$/.test(string). The \s matches all whitespace characters like " " and "\t". So:
/^ +$/.test(" ");// True
/^ +$/.test(" \t\t");// False
/^\s+$/.test(" ");// True
/^\s+$/.test(" \t\t");// True
For reference, "\t" will look something like
" "
(I think SO turned the tab into spaces, but that's more or less what it would look like.)
A: function check(str)
{
for (var i = 0; i < str.length; i++)
{
if (str[i] != " ") return false;
}
return true;
}
A: Try :
String.prototype.count=function(s1) {
return (this.length - this.replace(new RegExp(s1,"g"), '').length) / s1.length;
}
myString.length == myString.count(' ');
|
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"redpajama_set_name": "RedPajamaStackExchange"
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| 2,447
|
Massive subcontracting top-slices finally revealed
Paul Offord
Mon 2nd Jul 2018, 10.08
Subcontracting top-slices exceeded £100 million last year, and 28 per cent of prime providers were charging more than 20 percent, FE Week can reveal.
The long-overdue subcontracting figures for 2016/17 have finally been published by the Education and Skills Funding Agency.
FE Week's analysis of the data has shown that just under a third of primes were charging above the 20-per-cent best-practice threshold announced in March.
This threshold was agreed between the Association of Employment and Learning Providers, Holex and the Collab provider group. This represented 42 per cent of funding.
The Association of Employment and Learning Providers immediately criticised such "unacceptable fees".
"There are some disgraceful & totally unacceptable fees here," it tweeted. "@ESFAgov rules should now adopt @AELPUK @collabgrp @HOLEXPolicy 20% cap and hopefully this will feature in final report of current @CommonsEd inquiry"
A total of 407 prime providers charged an average top-slice of 19 per cent, of which 12 charged an average top-slice in excess of 30 per cent.
At 39 per cent, John Ruskin College had the highest average top-slice percentage (see tables below).
The biggest single deal was a £4.7 million (40 per cent) Learndirect top-slice taken from £11.9 million of adult education budget funding delivered by Go Train Limited.
"In reviewing its funding rules, the ESFA shouldn't try to find a form of words to wheedle out of putting a 20-per-cent cap on management fees," said AELP boss Mark Dawe. "
"There are some totally unacceptable and disgraceful figures among this data with millions of pounds being denied to frontline training as a result. The signals from the MPs on the select committee suggest that it is ready to take a tough stance when it reports on the apprenticeship reforms and the government must respond immediately."
Top-slicing describes the level of funding that prime providers charge subcontractors in so-called "management fees", in order to run training on their behalf.
Concern has mounted in recent years that certain lead providers were charging excessive rates, as an easy way of supplementing their incomes.
The ESFA revealed in April that subcontracting fees and charges are to be reviewed to ensure government funding is being used for "recognised costs".
"In the coming months, we will be reviewing aspects of the subcontracting funding rules," it said.
This will include "subcontracting fees and charges, so that we can be assured that our funding is being used for recognised costs".
Any subsequent changes to subcontracting rules will come into force from August.
Ofsted has also taken a closer interest in subcontracting; it announced in February that it would be conducting two new types of monitoring visit.
The first are monitoring visits to a sample of new apprenticeship providers. The second are monitoring visits to directly funded providers to look specifically at subcontracted provision.
Individual lead providers used to have to publish their annual figures on their websites by the end of November every year.
This changed from 2016/17, when new rules dictated that providers had to inform the ESFA of their figures, which should then be published centrally.
But the agency came in for heavy criticism as November passed without any indication of when the full figures would be revealed for last academic year.
The sector finally got its answer in April, after Gordon Marsden, the shadow skills minister asked, through a written parliamentary question lodged, when the government planned to publish the fees.
The education minister Nadhim Zahawi replied this would be by the end of June – and they were finally published at 4.55pm on June 29.
The ESFA has been approached for comment.
Pat Tucker
I totally disagree with this article, it does not depict what the lead provider is doing with their %.
It is entirely possible to have a 30/40% Fee as long as it can be justified and all parties are happy. This is simple SCM using VCA and contract propositioning.
Yet another article that does not undercover that actual basis of the %, this reminds me of the article back in 2012.
Is it really a 'Management fee'? You have not investigated what is being done by the Lead.
khurram azad
I would be interested in becoming a partner to offer Training my staff.
I currently own a care home and a recruitment agency in health and social care. I have my own assessors who would be able to offer the training.
my contact number is 07377708407.
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
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| 4,484
|
The Goukamma Marine Protected Area is an inshore conservation region near Knysna in the Western Cape province in the territorial waters of South Africa
History
The Goukamma MPA was originally proclaimed a Marine Protected Area in 1990. The MPA was proclaimed by the Minister of Environmental Affairs and Tourism, Mohammed Valli Moosa, in Government Gazette No. 21948 of 29 December 2000 in terms section 43 of the Marine Living Resources Act, 18 of 1998.
Purpose
A marine protected area is defined by the IUCN as "A clearly defined geographical space, recognised, dedicated and managed, through legal or other effective means, to achieve the long-term conservation of nature with associated ecosystem services and cultural values".
Extent
The MPA is about 10 kilometers west of Knysna in the Western Cape, with a protected coastline of approximately 16 km from Buffels Bay to Platbank and extends one nautical mile into the sea. The area of ocean protected is approximately 32 km2. The Goukamma Estuary is a temporarily closed rivermouth in the MPA.
Boundaries
The original MPA was bounded by:
Northern boundary: The high-water mark between Platbank at S34°2.767′ E22°50.133′ and Buffels Bay at S34°4.717′ E22°58.667′
Southern boundary: A line one nautical mile to seaward of the high-water mark
Eastern boundary: A line at 090° true bearing from where the north-eastern boundary of Portion 1 of the farm Walker's Point reaches the high-water mark at S34°4.717′ E22°58.667′.
Western boundary: A line at 180° true bearing from where the western boundary of the Goukamma Nature Reserve reaches the high-water mark at S34°2.767′ E22°50.133′.
The revised MPA is bounded by:
Eastern boundary: S34°04.440', E22°59.227' at Buffels Bay to S34°6.100', E22°59.227'
Southern boundary: S34°6.100', E22°59.227' to S34°6.100', E22°50.136'
Western boundary: S34°6.100', E22°50.136' to S34°2.781' E22°50.136' at Platbank
Northern boundary: S34°2.781' E22°50.136' at Platbank to S34°04.440', E22°59.227' at Buffels Bay along the high water mark
The Goukamma Estuary from the mouth to a point upstream at S34°0.490', E22°56.230'.
Zonation
Management
The marine protected areas of South Africa are the responsibility of the national government, which has management agreements with a variety of MPA management authorities, in this case, the Goukamma MPA is managed by CapeNature, with funding from the SA Government through the Department of Environmental Affairs (DEA).
The Department of Agriculture, Forestry and Fisheries is responsible for issuing permits, quotas and law enforcement.
Use
Recreational activities in Buffalo Bay include kayaking, kite surfing, snorkelling, shore angling, and surfing.
Geography
Climate
Seasonal variations in sea conditions
Ecology
The MPA is in the warm temperate Agulhas ecoregion to the east of Cape Point which extends eastwards to the Mbashe River. There are a large proportion of species endemic to South Africa along this coastline.
(check below for applicability)
Four major habitats exist in the sea in this region, distinguished by the nature of the substrate. The substrate, or base material, is important in that it provides a base to which an organism can anchor itself, which is vitally important for those organisms which need to stay in one particular kind of place. Rocky shores and reefs provide a firm fixed substrate for the attachment of plants and animals. Some of these may have Kelp forests, which reduce the effect of waves and provide food and shelter for an extended range of organisms. Sandy beaches and bottoms are a relatively unstable substrate and cannot anchor kelp or many of the other benthic organisms. Finally there is open water, above the substrate and clear of the kelp forest, where the organisms must drift or swim. Mixed habitats are also frequently found, which are a combination of those mentioned above. There are no significant estuarine habitats in the MPA.
Rocky shores and reefs
There are rocky reefs and mixed rocky and sandy bottoms. For many marine organisms the substrate is another type of marine organism, and it is common for several layers to co-exist. Examples of this are red bait pods, which are usually encrusted with sponges, ascidians, bryozoans, anemones, and gastropods, and abalone, which are usually covered by similar seaweeds to those found on the surrounding rocks, usually with a variety of other organisms living on the seaweeds.
The type of rock of the reef is of some importance, as it influences the range of possibilities for the local topography, which in turn influences the range of habitats provided, and therefore the diversity of inhabitants. Sandstone and other sedimentary rocks erode and weather very differently, and depending on the direction of dip and strike, and steepness of the dip, may produce reefs which are relatively flat to very high profile and full of small crevices. These features may be at varying angles to the shoreline and wave fronts. There are fewer large holes, tunnels and crevices in sandstone reefs, but often many deep but low near-horizontal crevices.
Sandy beaches and bottoms (including shelly, pebble and gravel bottoms)
Sandy bottoms at first glance appear to be fairly barren areas, as they lack the stability to support many of the spectacular reef based species, and the variety of large organisms is relatively low. The sand is continually being moved around by wave action, to a greater or lesser degree depending on weather conditions and exposure of the area. This means that sessile organisms must be specifically adapted to areas of relatively loose substrate to thrive in them, and the variety of species found on a sandy or gravel bottom will depend on all these factors. Sandy bottoms have one important compensation for their instability, animals can burrow into the sand and move up and down within its layers, which can provide feeding opportunities and protection from predation. Other species can dig themselves holes in which to shelter, or may feed by filtering water drawn through the tunnel, or by extending body parts adapted to this function into the water above the sand.
The open sea
The pelagic water column is the major part of the living space at sea. This is the water between the surface and the top of the benthic zone, where living organisms swim, float or drift, and the food chain starts with phytoplankton, the mostly microscopic photosynthetic organisms that convert the energy of sunlight into organic material which feeds nearly everything else, directly or indirectly. In temperate seas there are distinct seasonal cycles of phytoplankton growth, based on the available nutrients and the available sunlight. Either can be a limiting factor. Phytoplankton tend to thrive where there is plenty of light, and they themselves are a major factor in restricting light penetration to greater depths, so the photosynthetic zone tends to be shallower in areas of high productivity. Zooplankton feed on the phytoplankton, and are in turn eaten by larger animals. The larger pelagic animals are generally faster moving and more mobile, giving them the option of changing depth to feed or to avoid predation, and to move to other places in search of a better food supply.
Marine species diversity
Animals
Marine mammals:
Eubalaena australis (Southern right whale)
Sousa plumbea (Indo-Pacific humpbacked dolphin)
Tursiops truncatus (Bottlenose dolphin)
Marine reptiles:
Caretta caretta (Loggerhead turtle)
Chelonia mydas (Green turtle)
Eretmochelys imbricata (Hawksbill turtle)
Dermochelys coriacea (Leatherback turtle)
Birds:
Haematopus moquini (African oystercatcher)
Charadrius marginatus (White-fronted plover)
Fish:
Argyrosomus japonicus (dusky kob)
Atractoscion aequidens (geelbek)
Chrysoblephus laticeps (roman seabream)
Dichistius capensis (galjoen)
Lithognathus lithognathus (white steenbras)
Merluccius capensis (hake)
Petrus rupestris (red steenbras)
Pomadasys commersonii (spotted grunter)
Seaweeds
Endemism
The MPA is in the warm temperate Agulhas ecoregion to the east of Cape Point which extends eastwards to the Mbashe River. There are a large proportion of species endemic to South Africa along this coastline. The Goukamma MPA is home to many species that are endemic to South Africa's south coast.
Alien invasive species
Threats
Slipways and harbours in the MPA
See also
References
Marine protected areas of South Africa
Marine biodiversity of South Africa
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"redpajama_set_name": "RedPajamaWikipedia"
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Home » Jazz Articles » Ron Miles: Jazz Gentleman, Part 2
Ron Miles: Jazz Gentleman, Part 2
Courtesy Monica Frisell
By Florence Wetzel
Part 1 | Part 2 | Part 3
[Editor's Note: The second part of Florence Wetzel's extensive interview with Ron Miles covers the Colorado-based trumpeter's early performance years, and begins a chronological look at all of his solo releases, beginning with Distance for Safety (Prolific Records, 1987) and concluding with Heaven (Sterling Circle, 2002), his soft duet with guitarist Bill Frisell, with whom Miles has played, off and on, since the early 1990s. Part 3 concludes the interview tomorrow].
Distance for Safety
AAJ: So you came back to Denver in 1986, and not long afterward in 1987, you put together your first release, Distance for Safety. The album came out on Prolific Records, which was a Colorado label that was around from the late '80s through the mid-'90s. The record is eight songs that are all your original compositions, and it's mostly a trio with drummer Mark Fuller and bassist Mark Simon, plus one song with the Boulder Creative Music Ensemble.
This record doesn't always show up on your discographies on the Web and other places, but you recently rereleased it as a fundraising endeavor for the Denver nonprofit Mission Supports, which is run by Arnie Swenson, who was one of the people behind Prolific Records. So after all these years, Distance for Safety is back in circulation, and it's having a nice second life. Can you talk about this record and how it came into being?
RM: I was playing a lot with Mark Fuller in a band led by the composer Bruce Odland. Bruce had this big band in town with Fred Hess and all the horns in the Boulder Creative Music Ensemble, and the rhythm section players in Bruce's band were part of a new music scene, with Thinking Plague and some of these bands around town, kind of an art music scene. That scene also got me into pop music; that's the first time I'd ever heard of Ginger Baker, actually, because the drummers would tell me about Ginger Baker, and so I bought Horses and Trees (Celluloid, 1986), the record he did with bassist Bill Laswell.
So Mark Fuller and I were doing that music with Bruce Odland, and Mark Simon and I were in a band called the Worms, with Andy Weyl on piano, Keith Oxman on saxophone, and Paul Romaine on piano. That was more of a mainstreamy band that was playing around a lot. But Mark and I also would talk about all sorts of other music, so we put this trio together to do some different kinds of music.
Most of the music on the record, I think, was written while I was in New York, and then the Boulder Creative Music Ensemble shows up on some of that record, too. A lot of the music is grooves with these long melodies and not really too many chords or anything, but mostly more free playing. But it was really exciting and fun to play with those cats; I really miss that.
AAJ: So it's a big moment to do your first release. Did it feel monumental to you?
RM: Oh, yeah! I mean, I remember getting the record and looking at the cover and just the whole thing. It only came out on CD recently, so at that time it was just on vinyl. So yeah, it was a really big deal to get a chance to do a record. Also, people wrote about it, and people were playing it on KGNU, so it seemed like it had a little bit of critical buzz. So that was pretty neat.
It was also great to have a band and to see if we could maybe develop something. Because, again, I think the thing about this music is that it's always communities or groups of musicians that make the music move forward. I mean, history books always cite the leader as the most important person, but it's always groups that move the music. I was learning all this stuff from these guys, and it was really, really helpful. It was also just helpful to write, to get going as a composer and have a group to write for, because that turned out to be a big part of my later records, too.
AAJ: This record is pretty free and avant-garde. The song "Whoring with My Pants On" seems reminiscent of Albert Ayler, and then there's the bonus track for the CD, called "Distance," which is a free solo trumpet that seems to echo trumpeter Bill Dixon in some ways.
RM: Oh, gosh, yes. At that point, I'm not even sure I'd heard much Albert Ayler yet; I became a huge, huge fan of Albert Ayler later, but I had only heard a little bit by then. But I'd certainly heard a lot of Braxton and the post-Ayler people. And Bill Dixon I'd heard at that point, certainly. So yeah, that was my powerhouse! I was just so into the avant-garde music of that time, Air and all those bands, so I'm sure you can hear them all over that music!
Master's Degree and Teaching
AAJ: You worked on a master's in music from 1986 to 1989 at University of Colorado at Boulder (CU). What impelled you to further your education at that point?
RM: When I was finishing up my first year at Manhattan, I got a teaching assistantship at CU, so I just came back here and finished up my degree at CU. I was playing in the faculty brass quintet, and I think I took composition classes, but I also took all sorts of other music classes. I thought maybe a degree would be good if I was going to audition for orchestras, and also I thought that being a teacher might be something that would happen in the future, so that was a little bit of it, too. All this stuff was still kind of floating around at that point; I hadn't really made any firm decisions yet.
AAJ: So, in 1988, you started teaching at Metropolitan State College in Denver, and you still work there to this day, so it was the beginning of a long relationship. Was teaching something you always imagined you'd do, or was this kind of a surprise?
RM: It was a surprise. I mean, honestly, I read about the job in the newspaper, because at that point Metro had to advertise all non-tenured gigs every year, whether there was an opening or not. So I went down there and I turned in my resume. It was a very small department at that point, and I kept talking to the receptionists, Virginia Downing and Patrice Balke. Eventually I said, "Is there actually a job here or not?" And they said, "Well, there really isn't, but we've got your resume."
So when I left, I found out later that they were like, "We like this guy! We should find something for him to do." It turns out one teacher didn't call back, actually, so they asked me to teach. I was still at CU at that point, so I was still riding the bus; I'd ride the bus up to Boulder, and then ride down to teach a class at Metro, then ride back to Boulder and do a concert—it was pretty wild at that point.
So yes, teaching was a bit of a surprise, but the department was so small, and I felt such a connection to the students. And I was learning so much, especially when I started to teach jazz history. I really got to get my early music together, and I got to see the continuum, particularly improvisers and composers; I really got into pianist Jelly Roll Morton and Duke Ellington, obviously, and Louis Armstrong. I got to see that all this music was avant-garde, and that to me, being part of this tradition means that you have to find a way to make some music that really speaks to your time. Even some of the music that I was writing then, which was overly evocative of the avant-garde of the 1970s, I felt like that had to change because we weren't there anymore. Those were my immediate predecessors, and I just had to figure out how to encapsulate that music and make it work into my own vision. That coincided with the reawakening of my love for pop music, and then it all started to flow together.
AAJ: So your next release is Witness, which was recorded in 1989 and released in 1990 on the Colorado-based label Capri. It's an amazing group on this record: Art Lande on piano, Fred Hess on tenor and flute, Ken Walker on bass and Bruno Carr on drums. Bruno Carr was a heavy hitter! He played with so many great people—the singers Ray Charles and Aretha Franklin, trumpeter Freddie Hubbard, flautist Herbie Mann—so many amazing musicians.
RM: Oh gosh, he sure was. He was amazing.
AAJ: So how did this project come about with that personnel in particular?
RM: Well, Tom Burns, the record producer who runs Capri Records, we talked about doing something together, and I just loved all these guys' playing. I mean, it was pretty scary to call them all up, actually, and ask them to play with me. But they all agreed. Art and Bruno and Ken were so supportive, and Fred and I obviously already had a long relationship.
In some ways, this record was different from a lot of the other releases I did, because it actually features more songs I didn't write. I think I only wrote a couple of the songs: "Witness," "Just Like You (I Don't Want to Be)" and "Our Time."
AAJ: Right, you have those three tunes, and then you also have pianist Thelonious Monk's "Ugly Beauty" and composer Billy Strayhorn's "A Flower is a Lovesome Thing." You also have bassist Charles Mingus's "Pithecanthropus Erectus"; Howard Mandel, who wrote the liner notes, said that was a bold choice because it's not often recorded.
RM: I was really getting into Mingus at that point. I think maybe even Art and I talked about that song. Art also wrote some other parts on "Witness," too; he wrote some chords that he wanted to play over on his solo.
And so, yeah, we went in and we played live. It was really fun to do. We only did a handful of gigs with that band, but just to play with those musicians that great, it was really something for me. Also, being in a swing like Bruno Carr's was just pretty amazing. You know, when he got sick near the end, he told me, "I want to make you a star!" He was just trying to convey to me that I was doing something different, and he really wanted to see if he could help. It really meant a lot to me that Bruno would say that, because I never knew if he even liked my playing! I kind of wondered sometimes; I did all these crazy shrieks and everything, and he was like, "What the heck?" But we would talk sometimes, and you know he played with guitarist Sonny Sharrock and a lot of folks through the years, so he heard a lot of shriekin'! But he was a really strong, powerful man, and just a beautiful, beautiful player. And Art, of course, he's a legend around here, and Kenny, too. So that was really something.
AAJ: Another thing that's really striking about your musical life is the many long-term relationships you've maintained. This record was done with these musicians so long ago, and you still play with them here in town.
RM: I think that's been the blessing about being around Denver, for sure. Because I feel sometimes that my trajectory has been pretty unusual in that I've been able to stay here and still branch out. I think that sometimes when you're here, you assume you're just going to be here and you're just going to work in a network of musicians around here. And that's great because there's lot of great musicians here!
So these long-term relationships that I've set up here have been really some of the most important ones ever. The other stuff that I travel to do is gravy and great, too, but the relationships here and the connections with the scene here in Colorado is really primary to me. To me, that's what you're supposed to do with whatever you do when you get out to be an adult—to see if you can make a positive contribution to the community that you're in, whatever that is. We play music, so that's what we do.
AAJ: Your next release as a leader isn't until 1996, but some important things happened to you in the early '90s. One of these is your time with Mercer Ellington and the Duke Ellington Orchestra. You met him in 1992 when you were in Italy playing with the show Sophisticated Ladies?
RM: Yes, that was the year after my wife, Kari, and I got married. I got a call to go play the jazz trumpet chair in Sophisticated Ladies in this Italian tour. And you know, I was avant-garded out at this point, so doing a show was like, "I don't know if I can really do that kind of thing!" But they said Mercer Ellington was conducting it, and at this point, too, we'd started playing a lot of transcriptions of early music in the Boulder Creative Music Ensemble, because Fred had been going to Sandpoint Jazz Institute during the summer, with composer Gunther Schuller and Wynton [Marsalis]. Fred had been bringing back Jelly Roll Morton music, and I'd gotten deep in it; I remember playing "Dead Man Blues," the cornetist George Mitchell's solo. One time, Fred played a tape of the group doing this tune to the journalist Martin Williams, and Martin Williams said, "It sounds good, but the trumpet player sounds too Armstrong." I was like, "OK," and so I really got into George Mitchell's rhythm, kind of checking that out.
So when I got the offer for the tour in Italy, I was like, "Oh man, a chance to play with Mercer Ellington and play some of these songs," some of which I had played before with Fred. I said, "Well, can my wife come?" and they said she could. So it was about three weeks, and Mercer conducted the first couple weeks. And it was great. The first day we got there, we had a rehearsal that day; we just checked into the hotel, and they said, "Rehearsal in an hour!" I was like, "Man, these guys are hard-core!"
So I played with the band at that first rehearsal, and afterward Mercer came up to me and said, "Man, where'd you get that growl from?" I said, "I've been listening to trumpeters Bubber Miley and Cootie Williams." And at the shows, Mercer was great; he just let me blow. There'd be all these written parts, but he'd say, "Just go for a while, just play." So I was like, "This is fun! This is a great show! I get to improvise all night long!" But when he left, I found it wasn't so much fun because a new conductor came in, and when I started playing, he was like, "Stop!"
But before Mercer left, he said, "I'm going to call you to play when I get home." I said, "OK." So the next day I got a call in the hotel on the payphone, saying, "We represent Mercer Ellington. Can you do these gigs when you get back home?" And actually I couldn't do them, so I thought it was all over, but they called back again when I got home. The first gig I did with them, I think, was in Atlanta with the Atlanta Symphony, and they had left all the music in New York! But I knew what to do; I was ready, and so I played. I went up there and I played on "Rockin' in Rhythm" and all these tunes. The next gig was with singer Tony Bennett, in some place, and that time they had the music! Then they asked me to do a tour of Japan for about three weeks, and for a year I did a handful of dates with them. Again, I'm not based in New York, and so the fact that they would ask me to go was really quite nice.
And I learned a lot. I remember pulling out a piece of music, "Mood Indigo," and it was handwritten by Duke, and it said "Cootie" in the left-hand corner. I was just like, man—I just looked at that, just looked at it. Wow! I can't believe it. It didn't have the melody; it just said, "Play the melody" in words, and then it had some chord tones to play, and that was the part. That was really something to just be a part of that experience. And Mercer was great; he would tell me stories, and it was a really, really, really good time.
AAJ: That used to be the way that musicians came up, apprenticing in a big band. It's a rare experience now, and it's cool that you got to have that experience, and in that band!
RM: Oh, it is. And there were still a handful of people that played with Duke that were still in the band, maybe four or five people. The bass trombone player Chuck Connors was still there, and I sat right behind him.
You know, this whole apprenticeship idea, I think that was one of the things that got a little confused in the '80s when all these young guys were getting signed, and I was almost getting signed, too. It was like you didn't have to do that apprenticeship anymore; you just came out like in pop music, and you were a star. But it's so important to play in groups like that; you learn so much just by being around the older musicians. I learned sometimes what not to do, too, so that's also an important part of it! It was a great experience.
AAJ: Also in the early '90s, you met guitarist Bill Frisell who, like you, grew up in Denver. That was the start of a really long and fruitful musical collaboration and friendship that continues to this day. How did you first meet him?
RM: I first met Bill in 1994. I had contacted him a little bit earlier because during this period after Witness came out, there were still labels that were interested in me; one label asked me to maybe do something, and they asked me to pick a band. I just went through my DownBeat for all my favorite musicians: Bill Frisell and bassist Anthony Cox and saxophonist Joshua Redman, and I don't remember who I picked for the drums, maybe Marvin "Smitty" Smith—just all the folks that I love.
Then the label said, "OK, you call them and see if they'll do the record date." Ohhhh! [Makes a face of dread.] OK! So I made up a little cassette and sent everybody a note. Bill's agent, Lee Townsend, wrote back and said, "Bill's too busy; he can't really do your record." I was like, "Ohhh!" But Bill wrote me a postcard afterward, saying, "I can't do your record, but I really like it. It's really good."
Then sometime after that, I guess in 1994, I came home from teaching and Kari said, "Bill Frisell's on the answering machine." I went and it was him, and he said, "Could you call me?" So I called him, and he said he had heard me on the radio playing on a Fred Hess record, and he said to himself, "This sounds like the guy who sent me that cassette a year or so ago!" We talked for a long time that day, and then he said, "We should play."
So Bill came out here, and we played at the Ogden Theater in 1994. He actually had a local trumpet player in town, named Bob Gillis, come to introduce us because Bill didn't know what I looked like; he didn't know anything about me, so he had to have somebody come to introduce us. So we played and it was really fun, and then he asked me to play on other gigs. I think we did a gig just after Christmas in Italy, a trio with the accordionist Rob Burger. Then he asked the violinist and tuba player Eyvind Kang and I to join his group with the drummer Joey Baron and the bassist Kermit Driscoll, and we did a tour early the next year. Joey and Kermit eventually left the band, and then Bill put together the quartet with Eyvind and trombonist Curtis Fuller and myself. So that became Bill's quartet for a couple years.
AAJ: That group did the amazing album Quartet (Elektra Nonesuch, 1996), which was partially composed for a television show based on Gary Larson's Far Side cartoons. That record was really different, and people still speak so highly of it.
RM: The Tales from the Far Side record! That's a pretty wild record. Eyvind and I had played with Joey and Kermit; I don't think I had met Curtis until we made the record. So we showed up and I met Curtis and we recorded. It was a pretty bold move on Bill's part to jettison the bass and the drums and have this band with just single-line instruments, essentially. But it was really fun.
I learned a lot from playing Bill's music and also from seeing how he wrote his music, seeing how he organized bands and rehearsals, how he parceled parts out, and of course he had great harmony. Also that idea of not having a traditional rhythm section, that everybody took part in creating motion in the music. You couldn't just coast and let the bass and drums take it; you had to do something! That was really, really good for me. Playing with that group got a lot of things together in my playing that I think are points that I needed to get developed.
AAJ: You and Bill went to the same high school, right?
RM: Yes. But I think he had left Denver before my family moved here from Indiana. But yeah, he went to East High School; I think I read about him going to East High probably in DownBeat, which was a great sense of pride: Bill Frisell went to my high school! It was so cool.
My Cruel Heart
AAJ: So your next release as a leader is the CD My Cruel Heart in 1996. This release and your next are on Gramavision. How did your relationship with them start?
RM: Well, Bill had heard an early version of My Cruel Heart; I think when he called me, we had just finished recording that album. I sent it to him, and he really flipped out, and he sent it to Gramavision, and they liked it, too. So that's how that all started.
Hans Wendl was running Gramavision at that time. He also ended up producing my next release, Woman's Day (Gramavision, 1997), and he produced this new record, Quiver, that's about to come out. Gramavision was my favorite label: clarinetist John Carter was on that label, bassist Jamaaladeen Tacuma, pianist Anthony Davis, and drummer Bobby Previte. All of these heroes of mine were on Gramavision, so it was really a great honor to be on that label. And also, you know, to be from here and to have a record come out someplace like that was really pretty swell.
AAJ: So this record has 10 songs, and again they're all your original compositions. There's a trio base of you, Rudy Royston on drums, and Artie Moore on bass, but you also have many other musicians, and you use a wide mix of instrumentation including organ, flute, lots of guitars, plus a synthesizer and samples. The record seems to be a big leap from your earlier sound; what was your inspiration, and how did this interesting mix of instrumentation and musicians come about?
RM: You know, some of these records I've done a couple of versions of, so there's another version of My Cruel Heart even before this one. I was working with this idea of the flute—my wife plays flute, Fred Hess played flute, and I loved that kind of blend. But the first version we did of My Cruel Heart—something was not right about it, it felt to me. It reminded me a lot of Miles' '80s music a little bit too much; the tempos were kind of up and fast and fusiony.
And I remember—I have some pretty wild things to say about these Gramavision records—the thing that really made the biggest impact on this version of My Cruel Heart was a tune by Janet Jackson. Her record Janet had just come out, and there was a video for her song "That's the Way Love Goes." I remember the video was just a couple of people sitting around, the song's pretty down tempo, and heads are just kind of bobbing. That got me thinking, "OK, that makes sense for how people would listen to this music I'm trying to do. They're not necessarily dancing to it, but they're just chillin,' kind of just OK." So after that, all the tempos on the record went way down; in the earlier version, all the tempos were much faster, it grooved in a different kind of way. Also, I had finally gotten into guitarist Jimi Hendrix, so that was a big part of this record, and the grunge rock group Nirvana—it was like all this music was around and got me going.
I was also bringing in people from the community to play. Al Hammond Moore played organ on the record; he was a cat who, I think, is from Indiana, but certainly he was playing around town a bunch. I remember asking him to come in to play, and then going across the street trying to think of a part for him to play, and finally coming back and saying, "OK, do this," and so he did that. The composer Mark McCoin from Bruce Odland's band came and played some crazy sounds, and all these different guitarists played on it. Most of these folks just had something that I really wanted, so I had them do that particular thing. A lot of the music was really due to the producer Mark Fuller, who played on my first record Distance for Safety; he had a lot of great ideas and this tireless energy, so we were working on this together over a period of time. So yeah, that was how that came together.
Again, it was a big communal effort, even though I was writing a lot of the music, and some of it was really very specific, like with scores—because since working with Bill, I had started writing these big scores. There's also harmony on this record, long stretches of nice chord changes and stuff, which I hadn't really experimented with so much before. So that's really the first time on the records that this kind of harmony shows up.
AAJ: This was your first release with Rudy Royston. He's another one of your long-term musical relationships; how did you meet him, and what is it about his playing that you like?
RM: Well, Rudy's played with everybody! He's done it all, because he's living in New Jersey now and just playing with everybody. But at the time, I'd been searching for a drummer for a while who really was into all the same stuff that I was into. And you know, there are so many great drummers around, but people can get into certain pockets, like somebody who is straight-ahead doesn't necessarily want to play any funk, or somebody who plays funk doesn't want to play swing or play free.
So Rudy was at University of Northern Colorado at Greeley, and he was this kid that everybody was having trouble with! I heard that this kid was playing all this crazy stuff, and I said, "Oh, I gotta hear this guy!" So I asked him to play with us; I don't even think he came to rehearsal or anything. And he played everything great; he just knew what to do. It was like, "OK." So we stayed together a long time. And Artie Moore was on everything too for a long time. So that was that group.
You know, everybody loves the drummers Tony Williams and Elvin Jones. Back then it was like, if someone didn't love those two people, you couldn't even talk to them. But Rudy also understood the drummer Ed Blackwell; for my generation, Ed Blackwell was the cat that if you got him, then it was, "OK, now we can really talk." And Rudy really got that—but he also loved Prince, and he loved all the other stuff that I was really into, too. So that worked out great.
AAJ: The drummer Matt Wilson wrote a song for Ed Blackwell, and he's another player you have a strong relationship with.
RM: Oh gosh, yes. To me, Matt's the living embodiment of that spirit. I mean, Matt Wilson is a totally individual drummer, but that melodic approach that he plays, that direct compositional approach to his soloing and playing is so beautiful. Yeah, I love playing with Matt Wilson.
AAJ: So your next release is Woman's Day in 1997, again with Gramavision. There's 12 tunes, all your original compositions, and just a core group of you, Bill Frisell, Artie Moore and Rudy Royston. There's less personnel on this record than on My Cruel Heart. What was the evolution with this release?
RM: Well, the record was going to be kind of the same as the previous one. Originally that was the idea, plus to have Bill show up and maybe play a solo or something. But the music changed, so the band that played on My Cruel Heart wasn't necessarily the right band for these songs. As the music developed and we tried to play, it seemed like the music and the personnel didn't fit because the music was getting more harmonic than it had been before. There were some textural strengths that the My Cruel Heart band did that were really quite unique, but they didn't necessarily transfer to this music. So that was a lot of it.
The bassist Kent McLagen also plays on this record on the track "Born Liar," and the pianist Eric Gunnison and the clarinetist Mark Harris play on "Woman's Day," which is another one of these through-composed pieces; I think it's all just written out. I don't think there's any improvising on that song at all. So the record was a mix of several things. But I think that, again, there was a big move toward even more harmony in the music.
There's also pop references on this album. When I was writing some of the music, it really took a big leap when I rented the U2 movie Rattle and Hum. My wife, Kari, and my daughter, Justice, went away on a vacation for a week, and while they were gone I watched Rattle and Hum over and over and over again, and then I just sat at the piano and wrote this music. I don't even think I changed clothes for a week! There were just certain things U2 did that I started to incorporate, like about the Edge staying the same on the top but the bass part's changing underneath, and little pulsating eight-note bass rhythms that show up through this record a lot. Also Achtung Baby (Island, 1991), which is my favorite U2 record of all, came out a little bit after this, and that also was a big, big thing for me, too. So Janet Jackson and U2 were the big pop influences for these two Gramavision records.
AAJ: So this was your last project with Gramavision. Did you have a two-record deal with them?
RM: They folded, and that was it for Gramavision. At that point, they were taking some chances, but I think it's also because there was a change in the jazz record industry at that point, which was starting to become really apparent.
AAJ: So then you worked on what is probably your best-known sideman project, Ginger Baker's Coward of the County (Atlantic, 1999). You not only played on this record, but you produced it and you provided six of the compositions. How did you first meet Ginger Baker, and what was the evolution of your musical relationship?
RM: Ginger had done these trio records with Bill Frisell and bassist Charlie Haden, and the first gig that I did with Bill at the Ogden Theater, Ginger showed up at the gig. Bill had not seen Ginger since the record, and he wasn't even sure that Ginger liked him at all after the recording. He said Ginger hardly said two words to him the whole session; then I think he even wrote Ginger a couple times after, and Ginger never wrote back. So we leave the stage, and there's this guy back there in this dusty suit like an overcoat, and it's Ginger Baker—I recognized him from the record Horses and Trees. He and Bill struck up a conversation, and Ginger told me he liked my playing.
Then Ginger started to play with me and Artie. The first gig we played was at the Stockyards in Denver, on the back of some flatbed truck. The writer Hunter S. Thompson was also there—it was a pretty surreal scene. I remember Hunter S. Thompson talking to me, and I have no idea what he was saying, it was just this garbled thing! Ginger played polo in Parker, Colorado, and he would have us play during the summer after these polo matches. He would get off the horse in his polo uniform and sit down at the drums, and we'd be playing some Monk tunes. It was pretty crazy!
Ginger also set up a gig in New York, and we played at the Iridium for a couple nights, and it was a scene. People were bringing guitars backstage for him to autograph and asking him when Blind Faith is getting back together, and it was just a whole thing. I remember the drummer Max Roach came to some of those gigs, and also the head of Atlantic, Yves Beauvais. Yves said he wanted to do a new record with Ginger and this sort of jazz band, and so that was really cool.
So we were all playing together, but at the gigs I felt like the music really didn't click. We were mostly doing tunes, and Ginger's such a special player that it would have been nice to have some music that didn't constantly have people making references to other drummers like Art Blakey or Tony Williams or Max Roach or Elvin, but instead something that would really set Ginger off. So I set out to write a bunch of music for him that wasn't really tune-like music. Then Ginger and I rehearsed a bunch; he came by the house, and we'd play together.
It became pretty clear that this wasn't the record that Atlantic was expecting, and so I was not sure what Yves was going to do when he showed up in Denver to record us. Then about a week or so before the recording, Yves called and said he wasn't coming, so I was off the hook! He said, "I'm not going to be able to come, so you're going to produce the record." I said, "OK, great!" I had Shamie Royston on organ and this huge band with guitar and pedal steel, and I was like, "OK, we're good, we're good." So then we recorded, and we didn't record any extra tunes; I didn't want Atlantic to even have a chance to say no to anything. Then Atlantic got the record, and they liked it, and Ginger loved it.
And, man, my favorite performance on the record is "Megan Showers," this ballad that Ginger plays on, because it was so surprising how beautifully it went. I was a little bit concerned about that one because it was a little rough around the edges in rehearsal, but Ginger played just so beautifully on the brushes. I remember thinking while we recorded, "Please don't mess this up, Ron! Please don't mess this up, because it sounds so good!" And it went really well. Yeah, Ginger really came to on that record. Because there was some hard music on that, definitely out of his comfort zone, but he really came through. He wrote some great songs on there, too, "Cyril Davis" and "Dangle the Carrot." So it was really, really fun.
About Ron Miles
Instrument: Cornet
Article Coverage | Albums | Photos | Similar Artists
Ron Miles Interview Florence Wetzel United States Bill Frisell Mark Simon Thinking Plague Bill Laswell Keith Oxman Paul Romaine Bill Dixon Jelly Roll Morton Louis Armstrong Ken Walker Ray Charles Aretha Franklin Freddie Hubbard Herbie Mann Thelonious Monk Billy Strayhorn Charles Mingus Sonny Sharrock Gunther Schuller George Mitchell Bubber Miley Cootie Williams Tony Bennett Chuck Connors Anthony Cox Joshua Redman Marvin "Smitty" Smith Rob Burger Eyvind Kang Joey Baron Kermit Driscoll Curtis [Fuller] John Carter Jamaaladeen Tacuma Anthony Davis Bobby Previte Rudy Royston Jimi Hendrix Tony Williams Elvin Jones Ed Blackwell Matt Wilson Eric Gunnison Mark Harris Charlie Haden Max Roach Art Blakey Shamie Royston James Carter Bob Dylan Joe King Oliver
MarieVeronique Bourque
An AAJ Interview with Ben Allison
Joachim Mencel: An Eye on Brooklyn From Poland
by Paul Rauch
Florence Wetzel
Florence is the co-author of Perry Robinson: The Traveler.
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
}
| 3,045
|
from oslo_config import cfg
import nova.scheduler.utils
import nova.servicegroup
from nova import test
from nova.tests import fixtures as nova_fixtures
from nova.tests.functional.api import client
from nova.tests.unit import cast_as_call
import nova.tests.unit.image.fake
from nova.tests.unit import policy_fixture
CONF = cfg.CONF
class TestServerGet(test.TestCase):
REQUIRES_LOCKING = True
def setUp(self):
super(TestServerGet, self).setUp()
self.useFixture(policy_fixture.RealPolicyFixture())
api_fixture = self.useFixture(nova_fixtures.OSAPIFixture(
api_version='v2.1'))
self.api = api_fixture.api
# the image fake backend needed for image discovery
nova.tests.unit.image.fake.stub_out_image_service(self)
self.start_service('conductor', manager=CONF.conductor.manager)
self.flags(driver='chance_scheduler', group='scheduler')
self.start_service('scheduler')
self.network = self.start_service('network')
self.compute = self.start_service('compute')
self.useFixture(cast_as_call.CastAsCall(self.stubs))
self.addCleanup(nova.tests.unit.image.fake.FakeImageService_reset)
self.image_id = self.api.get_images()[0]['id']
self.flavor_id = self.api.get_flavors()[0]['id']
def test_id_overlap(self):
"""Regression test for bug #1522536.
Before fixing this bug, getting a numeric id caused a 500
error because it treated the numeric value as the db index,
fetched the server, but then processing of extensions blew up.
Since we have fixed this bug it returns a 404, which is
expected. In future a 400 might be more appropriate.
"""
server = dict(name='server1',
imageRef=self.image_id,
flavorRef=self.flavor_id)
self.api.post_server({'server': server})
self.assertRaises(client.OpenStackApiNotFoundException,
self.api.get_server, 1)
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 2,337
|
Disney Junior replacing Playhouse in the UK
6th May 2011 @ 00:00
Disney's new channel, Disney Junior, will launch in the UK tomorrow before starting to roll out across the rest of EMEA region.
The channel will be programmed with shows featuring well-known Disney characters and some original UK-originated content, including a new version of classic live-action arts and crafts series Art Attack.
"With the heritage content, there's a great opportunity for parents to share their own memories of characters and stories with their kids, and that's not the case for the other international kids [TV channel] brands," Boel Ferguson, vice-president and general manager, Disney Channels UK and Ireland, told Informa. "The goal is always to be number one – nothing else is satisfactory," she added.
Disney Junior replaces Playhouse Disney, which launched as a block in the US in 1997 and in 1999 in the UK and now reaches 109 countries. Disney said last year it is rebranding the Playhouse channels Disney Junior. It targets two-to-seven year-olds.
Beth Gardiner, Disney's vice-president, original programming, at the channel told Informa that it will have an even boy/girl viewing split and that it will be 'faster and more energetic' than its predecessor.
Disney's in-house produced 26x22mins version of Art Attack debuts May 6. The show originally aired on UK free-to-air broadcaster ITV's kids service, CiTV, between 1990 and 2007. Disney has global rights to the new version and will launch it on its Disney Junior and Playhouse channels around the world.
Other programming on Disney Junior includes Mickey Mouse Clubhouse, Handy Manny and new show Jake and the Never Land Pirate. There will also be a second season of UK-originated CGI series Jungle Junction.
'Lethargic' pay TV growth in India as OTT continues to flourish
Telefónica renews ACB deal
US to continue impressive SVOD growth despite market maturity
Amino upcycles Pontis STBs to integrate Colsecor's new OTT SENSA
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
}
| 3,485
|
\section{Introduction}
Dynamical sampling is a new topic in applied harmonic analysis but has already attracted considerable attention \cite{A1,A2,A3,CMPP,FP,AK, olemmaarzieh,olemmaarzieh-E,olemmaarzieh3}.
One of the key questions is how to construct frames $\{f_k\}_{k=1}^\infty$
for a separable Hilbert space ${\mathcal H}$ that can be represented on the form $\{T^n\varphi\}_{n=0}^\infty$ for a linear operator $T$ and some $\varphi \in {\mathcal H}.$ It is
known \cite{olemmaarzieh} that
given a sequence $\{f_k\}_{k=1}^\infty$ in ${\mathcal H}$ for which $\mbox{span} \{f_k\}_{k=1}^\infty$ is infinite-dimensional,
such a representation
is available if and only if $\{f_k\}_{k=1}^\infty$ is linearly independent; it is also known that it is
significantly more complicated to obtain such a representation with a bounded operator $T.$
Various characterizations of boundedness have been reported in \cite{olemmaarzieh-E}; prior to
that a class of such frames were constructed in $\ell^2(\mathbb N)$, based on the
so-called Carleson condition \cite{A1}.
In this paper we extend certain frame results in dynamical sampling to
general sequences. This generalization
is natural for at least two reasons, one of them being the difficulty of
obtaining a representation of a frame in terms of a bounded operator. The second reason is that it turns out that ``nice operator theoretical properties" of $T$
typically is unrelated to frame properties of the underlying sequence; we demonstrate this
point by several concrete examples. In other words: large classes of standard frames in
harmonic analysis are represented by unbounded operators, and sequences that do not form frames might very well have representations in terms of bounded operators.
The second purpose of the paper is to give a detailed analysis of a construction of a class
of frames that can be represented via certain diagonal operators; the construction first
appeared in \cite{A1}. Our proof is based on just a single result by Shapiro and Shields
\cite{shapiro} and standard
frame theory. We supplement this with a detailed discussion of the Carleson condition, which indeed
is the main ingredient in the construction of such frames.
The paper is organized as follows. Section \ref{70189a} is devoted to the question of
how to obtain a representation of a general sequence in terms of a bounded operator.
This part of the paper does not even use the Hilbert space structure and holds
in general Banach spaces.
The Carleson condition and the associated frames are discussed in Section
\ref{70918b}.
The standard definitions in frame theory are well-known to the
sampling and signal processing
community, so we will not repeat them here. The only nonstandard terminology
is that we say that a sequence
$\{f_k\}_{k=1}^\infty$ in a Hilbert space ${\mathcal H}$ leads to a {\it frame-like expansion} if there
exists a sequence $\{g_k \}_{k=1}^\infty$ in ${\mathcal H}$ such that each $f\in {\mathcal H}$ has an expansion of the type
\begin{eqnarray} \label{70918c} f= \sum_{k=1}^\infty \langle f,g_k\rangle f_k.\end{eqnarray} The classical case of a frame-like
expansion is obtained by letting $\{f_k\}_{k=1}^\infty$ and $\{g_k \}_{k=1}^\infty$ be a pair of dual frames, but the
more general concept of a frame-like expansion also covers other cases, e.g., a pair
of biorthogonal Schauder bases, or a pair of a frame and analysis (or synthesis) pseudo-dual \cite{shidong, Sdualseq}.
\section{Operator representations of sequences}\label{70189a}
In this section we consider linearly independent sequences $\{f_k\}_{k=1}^\infty$ in a Hilbert space ${\mathcal H}$
and analyze the existence of a representation $\{T^n f_1\}_{n=0}^\infty$ for a bounded operator
$T: \mbox{span} \{f_k\}_{k=1}^\infty \to \mbox{span} \{f_k\}_{k=1}^\infty.$
This generalizes known results for frames, proved in \cite{olemmaarzieh-E}. The generalization is
motivated by the observation
that in general the existence of a representation of
a sequence $\{f_k\}_{k=1}^\infty$ of the form $\{T^n f_1\}_{n=0}^\infty$ for a bounded
operator $T$ is not closely related with frame properties of the given sequence $\{f_k\}_{k=1}^\infty.$
Let us illustrate this by some examples.
\begin{ex} \label{61105a} Consider a linearly independent frame $\{f_k\}_{k=1}^\infty$
for an infinite dimensional Hilbert space ${\mathcal H}$ and the
associated representation $\{f_k\}_{k=1}^\infty= \{T^n f_1\}_{n=0}^\infty$ in terms of a linear operator
$T: \mbox{span}\{f_k\}_{k=1}^\infty \to \mbox{span}\{f_k\}_{k=1}^\infty$. Assume
that $\inf_{k\in\mathbb N} \|f_k\|>0$. Consider the sequence
$\{\phi_k \}_{k=1}^\infty\subset {\mathcal H}$
given
by $\phi_k:=2^k f_k, \, k\in \mathbb N,$ which leads to a frame-like expansion and satisfies the lower frame condition but fails the upper one. For any $k\in \mathbb N,$
\begin{eqnarray*} \phi_{k+1}= 2^{k+1}f_{k+1} =2^{k+1} Tf_k= 2T(2^k f_k)=2T\phi_k.\end{eqnarray*}
This shows that $\{\phi_k \}_{k=1}^\infty$ has the representation $\{\phi_k \}_{k=1}^\infty= \{W^n \phi_1\}_{n=0}^\infty$, where $W=2T.$
In particular, the frame $\{f_k\}_{k=1}^\infty$ is represented by a bounded operator if and only if
the non-Bessel sequence $\{\phi_k \}_{k=1}^\infty$ is represented by a bounded operator. Consider, e.g.,
the case where $\{f_k\}_{k=1}^\infty$ is a Riesz basis for ${\mathcal H}$. Then $\{f_k\}_{k=1}^\infty$ is representable by a bounded
operator \cite{olemmaarzieh}, and hence
the Schauder basis $\{\phi_k \}_{k=1}^\infty$ is representable as $\{W^n \phi_1\}_{n=0}^\infty$ via a bounded operator $W$.
Furthermore, taking $\{f_k\}_{k=1}^\infty$ to be a Riesz basis for ${\mathcal H}$, the
family $\{h_k\}_{k=1}^\infty$ given by $h_k:=2^{-k} f_k$ leads to frame-like expansions and it is a Bessel sequence, but does not satisfy the lower frame condition. However, again,
$\{h_k\}_{k=1}^\infty$ is representable as $\{W^n h_1\}_{n=0}^\infty$ via a bounded operator $W$.
\hfill$\square$\par\bigskip \end{ex}
In the following example we show that we can even have a frame-like expansion for a family
of vectors on the form $\{T^n e_1\}_{n=0}^\infty$, where $T$ is bounded and neither the lower
nor the upper frame condition is satisfied.
\begin{ex} \label{61105a} Using that for all $N\in \mathbb N \setminus \{1\},$
\begin{eqnarray*} 1+ 2 + \cdots + (N-1)= \frac{(N-1)N}{2}, \, \, \, 1+2 + \cdots + N= \frac{N(N+1)}{2},\end{eqnarray*}
and denoting
$$I_N:= \left\{\frac{(N-1)N}{2}, \frac{(N-1)N}{2}+1, \cdots,
\frac{N(N+1)}{2} -1 \right\},$$
we see that
$\mathbb N$ has a splitting into disjoints sets, $\mathbb N= \bigcup_{N=2}^\infty I_N$.
Note that $| I_N|=N.$
Let now $\{e_k\}_{k=1}^\infty$ denote an orthonormal basis for ${\mathcal H},$ and define the operator $T$ by
\begin{eqnarray*} Te_k:= \begin{cases} 2e_{k+1}, & k \in I_N, \, N \, \mbox{odd}; \\
\frac12 e_{k+1}, & k \in I_N, \, N \, \mbox{even}. \end{cases} \end{eqnarray*}
Clearly $T$ extends to a bounded linear operator on ${\mathcal H}.$ Furthermore,
\begin{eqnarray*} \{T_n e_1\}_{n=0}^\infty = \{ e_1, \frac12\, e_2, \frac14\, e_3, \frac12\, e_4, e_5, 2e_6, e_7, \frac12\, e_8, \frac14\, e_9, \frac18\, e_{10}, \dots\}.\end{eqnarray*} Then $\{T_n e_1\}_{n=0}^\infty$ is a Schauder basis, but neither the lower nor the upper
frame condition is satisfied. In fact, $\{T_n e_1\}_{n=0}^\infty$ has a subsequence that tends to infinity in norm,
and another subsequence that tends to zero.
\hfill$\square$\par\bigskip \end{ex}
The following example further confirms that the questions of a sequence $\{f_k\}_{k=1}^\infty$ having ``nice frame properties"
and ``a nice representation" $\{f_k\}_{k=1}^\infty=\{T^n f_1\}_{n=0}^\infty$ are unrelated in general. Indeed, the considered family
$\{f_k\}_{k=1}^\infty$ is not a frame and does not even provide a frame-like expansion, but it has a representation $\{f_k\}_{k=1}^\infty= \{T^n f_1\}_{n=0}^\infty$ for a bounded and isometric operator $T.$
\begin{ex} \label{exnonexp} Let $\{e_k\}_{k=1}^\infty$ be an orthonormal basis for a Hilbert space ${\mathcal H},$ and consider the sequence
$\{f_k\}_{k=1}^\infty$ given by
$f_k:=e_k+e_{k+1}, \, k\in \mathbb N.$ By Example 5.4.6 in \cite{CB}, $\{f_k\}_{k=1}^\infty$ is a Bessel sequence but not
a frame, despite the fact that $\overline{\text{span}} \{f_k\}_{k=1}^\infty= {\mathcal H}.$ Since $\{f_k\}_{k=1}^\infty$ is linearly independent,
we can consider the operator $T: \mbox{span} \{f_k\}_{k=1}^\infty \to \mbox{span} \{f_k\}_{k=1}^\infty, Tf_k:=f_{k+1},$
and we clearly have $\{f_k\}_{k=1}^\infty = \{T^n f_1\}_{n=0}^\infty.$ Then, for
any $c_k \in \mathbb C,$ and any $N\in \mathbb N,$
\begin{eqnarray*} \left|\left| T\sum_{k=1}^N c_kf_k \right|\right|^2 = \left|\left| \sum_{k=1}^N c_k(e_{k+1}+e_{k+2}) \right|\right|^2=
\left|\left| \sum_{k=1}^N c_k(e_{k}+e_{k+1}) \right|\right|^2= \left|\left| \sum_{k=1}^N c_kf_k \right|\right|^2. \end{eqnarray*}
It follows that $T$ has an extension to an isometric operator $T: {\mathcal H} \to {\mathcal H}.$
\hfill$\square$\par\bigskip \end{ex}
Motivated by the above examples we will now consider the question of representability
by a bounded operator for general sequences in a Hilbert space. The reader who checks
the proofs will notice that we do not even use the Hilbert space structure, i.e., the
results in this section hold in Banach spaces as well. Thus, the reader who goes for
the highest generality can think about ${\mathcal H}$ as a separable Banach space and $\langle f , g\rangle$ as the notation for the action of $g\in {\mathcal H}^{\prime}$ on $f\in {\mathcal H}$.
Given any sequence $\{f_k\}_{k=1}^\infty \subset {\mathcal H},$ define the synthesis operator
\begin{eqnarray*} U: {\mathcal D}(U) \to {\mathcal H}, \, \, U\{c_k\}_{k=1}^\infty:= \sum_{k=1}^\infty c_k f_k,\end{eqnarray*} where the domain ${\mathcal D}(U)$ is the set of
all scalar-valued sequences $\{c_k\}_{k=1}^\infty$ for which $\sum_{k=1}^\infty c_k f_k$ is convergent. Note
that in contrast to the usual situation in frame analysis, we do not
restrict our attention to sequences $\{c_k\}_{k=1}^\infty$ belonging to ${\ell}^2(\mathbb N)$. Consider the
right-shift operator ${\mathcal T},$ which acts on an arbitrary scalar sequence $\{c_k\}_{k=1}^\infty$ by
${\mathcal T}\{c_k\}_{k=1}^\infty:= \{0, c_1, c_2, \dots\}.$
A vector space $V$ of scalar-valued sequences
$\{c_k\}_{k=1}^\infty$ is said to be {\it invariant under right-shifts} if ${\mathcal T} (V) \subseteq V.$
The following result generalizes one of the key results in
\cite{olemmaarzieh-E} to the non-frame case.
\sloppy
\begin{thm} \label{61109a} Consider a sequence $\{f_k\}_{k=1}^\infty$
in ${\mathcal H}$ which has a representation $\{T^n f_1\}_{n=0}^\infty$ for a linear operator $T: \mbox{span} \{f_k\}_{k=1}^\infty \to \mbox{span} \{f_k\}_{k=1}^\infty$. Then the following statements hold.
\begin{itemize}
\item[{\rm (i)}] If $T$ is bounded, then
the domain ${\mathcal D}(U)$ and the kernel $N_U$ of the
synthesis operator are invariant under right-shifts, and
$\{\frac{\|f_{k+1}\|}{\|f_k\|}\}_{k=1}^\infty\in\ell^\infty$ when $f_k\neq 0 $ for all $k\in\mathbb N$.
\item[{\rm (ii)}]
T is bounded on $ \mbox{span} \{f_k\}_{k=1}^\infty$ if and only if there is a positive constant $K$ so that
\begin{equation} \label{eqf}
\|U {\mathcal T} \{c_k\}_{k=1}^\infty \| \leq K \|U\{c_k\}_{k=1}^\infty \| \ \mbox{for all finite sequences $\{c_k\}_{k=1}^\infty$}.
\end{equation}
\end{itemize}
\end{thm}
{\noindent\bf Proof. \ }
Throughout the proof, when $T$ is bounded, we let $\widetilde{T}$ denote its
unique extension to a bounded linear operator on $\overline{\text{span}}\{f_k\}_{k=1}^\infty$.
(i) Assume that $T$ is bounded and consider first a sequence $\{c_k\}_{k=1}^\infty \in {\mathcal D}(U).$ In order to show that ${\mathcal T}\{c_k\}_{k=1}^\infty \in {\mathcal D}(U),$
i.e., that $\sum_{k=1}^\infty c_k f_{k+1} $ is convergent,
consider any $M,N\in \mathbb N$ with $N>M;$ then
\begin{eqnarray*} \left|\left| \sum_{k=1}^N c_k f_{k+1} -\sum_{k=1}^M c_k f_{k+1} \right|\right| &= &\left|\left| \sum_{k=M+1}^N c_k f_{k+1} \right|\right|
= \left|\left| T\sum_{k=M+1}^N c_k f_{k} \right|\right| \\
& \le & ||T|| \, \left|\left| \sum_{k=M+1}^N c_k f_{k} \right|\right| \to 0 \ \mbox{as $M,N\to \infty$}.\end{eqnarray*}
Thus $\sum_{k=1}^\infty c_k f_{k+1}$ is convergent, i.e., ${\mathcal D}(U)$ is indeed invariant under
right-shifts.
In order to prove the invariance of $N_U$, assume that $\{c_k\}_{k=1}^\infty \in N_U$. The series $\sum_{k=1}^\infty c_k f_{k+1}$ converges by what is already proved, and furthermore
\begin{eqnarray*}
\sum_{k=1}^\infty c_k f_{k+1} = \sum_{k=1}^\infty c_k Tf_{k} =\widetilde{T} \sum_{k=1}^\infty c_k f_{k}= 0;\end{eqnarray*}
this shows that ${\mathcal T} \{c_k\}_{k=1}^\infty \in N_U,$ as desired.
Finally, for every $k\in\mathbb N$, $\|f_{k+1}\|\leq \|T\|\cdot \|f_k\|$, and thus $\{\frac{\|f_{k+1}\|}{\|f_k\|}\}_{k=1}^\infty\in\ell^\infty$
when $f_k\neq 0$ for all $k\in \mathbb N.$
(ii) Assume first that $T$ is bounded.
For every $\{c_k\}_{k=1}^\infty\in {\mathcal D}(U)$, we know by (i) that ${\mathcal T} \{c_k\}_{k=1}^\infty\in{\mathcal D}(U);$ furthermore,
$$ \|U {\mathcal T} \{c_k\}_{k=1}^\infty\|= \|\sum_{k=1}^\infty c_{k} f_{k+1}\|
= \|\sum_{k=1}^\infty c_{k} \widetilde{T} f_k\|
\leq
\|\widetilde{T}\| \cdot\|U\{c_k\}_{k=1}^\infty\|.$$
Clearly this in particular applies to all the finite sequences.
Conversely, assume that there is a constant $K>0$ so that (\ref{eqf}) holds. Take
an arbitrary $f\in \mbox{span}\{f_k\}_{k=1}^\infty,$ i.e.,
$f=\sum_{k=1}^N c_k f_k$ for some $N \in \mathbb N$ and some $c_1, \dots, c_N\in \mathbb C;$
letting $c_k=0$ for $k>N$, we have that
\begin{eqnarray*}
\|Tf\|&=& \|\sum_{k=1}^N c_k f_{k+1}\|= \|\sum_{k=1}^{\infty} c_k f_{k+1}\|
= \|U {\mathcal T} \{c_k\}_{k=1}^{\infty} \|
\\
&\leq& K\|U \{c_k\}_{k=1}^{\infty} \|
= K \|f\|,
\end{eqnarray*} as desired.
\hfill$\square$\par\bigskip
In Hilbert spaces, the Riesz bases are the ``better bases" compared to general Schauder
bases, due to the unconditional convergence of the frame decomposition. It is also
known that in a Hilbert space the class of Schauder bases that are norm-bounded below and above but do not form Riesz bases, is quite small;
thus it does not seem to be worthwhile to consider the general Schauder bases in Hilbert
spaces. However, as already stated the results in the current section also
hold if the underlying space is just a Banach space, so it seems natural to
generalize some of the results that are known for Riesz bases in Hilbert spaces
to Schauder bases in Banach spaces.
In Proposition \ref{newpr} we show that for Schauder bases, the invariance of ${\mathcal D}(U)$
under right-shifts in
Theorem \ref{61109a}(i) actually characterizes the case where the
representing operator is bounded. For the special class of Schauder bases that are scaled Riesz bases,
Proposition \ref{propmriesz} will show that boundedness of $T$ is equivalent to boundedness of a
certain scalar sequence.
Concerning Theorem \ref{61109a}(ii),
as one can see in the proof, the boundedness of $T$ implies validity of the inequality in (\ref{eqf}) not only for the finite sequences, but also for all the elements of ${\mathcal D}(U)$.
Note that when $\{f_k\}_{k=1}^\infty$ is a frame
having the form $\{T^n f_1\}_{n=0}^\infty$ for some linear operator $T,$ it is proved in \cite{olemmaarzieh3} that
$T$ is bounded if and only if the kernel $N_U$ is invariant under right-shifts.
Under the weaker assumptions in Proposition \ref{61109a},
boundedness of $T$ still implies the invariance of $N_U$ under right-shifts, but the converse does not hold, as demonstrated by the following example.
\begin{ex} \label{61109b} Let $\{e_k\}_{k=1}^\infty$ be a Riesz basis for ${\mathcal H},$ and define $\{f_k\}_{k=1}^\infty\subset {\mathcal H}$ by
$f_k:= k! \, e_k.$ Then $\{f_k\}_{k=1}^\infty$ satisfies the lower frame condition, but not the upper frame condition.
Defining $Tf_k=f_{k+1},$ we have
$\{f_k\}_{k=1}^\infty= \{T^n f_1\}_{n=0}^\infty;$ however,
\begin{eqnarray*} Te_k = T( \frac1{k!} f_k) = \frac1{k!}f_{k+1}= (k+1) e_k,\end{eqnarray*}
which shows that $T$ is unbounded. On the other hand, $N_U= \{0\},$ so the kernel is
invariant under right-shifts.
Similarly, we can construct a sequence $\{f_k\}_{k=1}^\infty$ satisfying the upper frame condition
but not the lower frame condition; for example,
\begin{eqnarray*} \{f_k\}_{k=1}^\infty = \{\frac12\, e_1, \frac13 \, e_2, \frac23\, e_3, \frac14\, e_4, \frac34\, e_5, \dots\}.\end{eqnarray*}
Representing this sequence on the form $\{f_k\}_{k=1}^\infty= \{T^n f_1\}_{n=0}^\infty$ again leads to an unbounded operator $T,$ while
$N_U= \{0\}$ is invariant under right-shifts.
Notice that in these two examples the domain ${\mathcal D}(U)$ is not invariant under right shifts.
\hfill$\square$\par\bigskip \end{ex}
We will now show that for sequences $\{f_k\}_{k=1}^\infty$ leading to a frame-like expansion, an extra
assumption leads to a characterization of the possibility of representing $\{f_k\}_{k=1}^\infty$ via a
bounded operator. This generalizes a result in \cite{olemmaarzieh-E}.
\begin{prop}\label{prop2}
Assume that $\{f_k\}_{k=1}^\infty$ leads to a frame-like expansion as in
\eqref{70918c}, and that $\sum_{k=1}^\infty \langle f, g_k\rangle f_{k+1}$ converges for every $f\in{\mathcal H}$.
Then $\{f_k\}_{k=1}^\infty$ can be represented as $\{T^nf_1\}_{n=0}^\infty$
for some bounded linear operator $T:{\mathcal H}\to{\mathcal H}$ if and only if
\begin{equation}\label{eq2}
f_{j+1}=\sum_{k=1}^\infty \langle f_j, g_k\rangle f_{k+1}, \ \forall j\in\mathbb N.
\end{equation}
\end{prop}
{\noindent\bf Proof. \ }
If $\{f_k\}_{k=1}^\infty$ can be represented as $\{T^nf_1\}_{n=0}^\infty$
via some bounded linear operator $T:{\mathcal H}\to{\mathcal H}$,
applying $T$ on the frame-like expansion \eqref{70918c} leads to
$Tf=\sum_{k=1}^\infty \langle f, g_k\rangle f_{k+1}$ for every $f\in{\mathcal H};$ taking $f=f_j$, $j\in\mathbb N$ now proves (\ref{eq2}).
Conversely, assume that (\ref{eq2}) holds.
Consider the operator $T$ defined by
$$ Tf:=\sum_{k=1}^\infty \langle f, g_k\rangle f_{k+1}, \ f\in{\mathcal H};$$
note that $T$ is well-defined by assumption and bounded by \cite[Lemma 2.3]{SBuncmult}.
Now, by (\ref{eq2}) it follows that $Tf_j=f_{j+1}$, $j\in\mathbb N$, which proves that
$\{f_k\}_{k=1}^\infty= \{T^nf_1\}_{n=0}^\infty,$ as desired.
\hfill$\square$\par\bigskip
Notice that $\sum_{k=1}^\infty \langle f, g_k\rangle f_{k+1}$ may converge for all $f\in{\mathcal H}$ even in cases where $\{f_k\}_{k=1}^\infty$ and/or $\{g_k\}_{k=1}^\infty$ are not frames:
\begin{ex}
Let $\{e_k\}_{k=1}^\infty$ be a Riesz basis for ${\mathcal H}$ and consider a sequence $\{m_k\}_{k=1}^\infty$
of nonzero complex numbers such that $|\frac{m_{k+1}}{m_k}|\leq C, \forall k\in\mathbb N$, for some positive constant $C$. Letting
$\{f_k\}_{k=1}^\infty=\{m_k e_k\}_{k=1}^\infty$ and
$\{g_k\}_{k=1}^\infty=\{\frac{1}{m_k} e_k\}_{k=1}^\infty$, the series $\sum_{k=1}^\infty \langle f, g_k\rangle f_{k+1}$ converges for all $f\in{\mathcal H}$ and thus the conclusion of Proposition \ref{prop2} holds.
Note that unless $\{m_k\}_{k=1}^\infty$ is bounded below and above, $\{f_k\}_{k=1}^\infty$ and
$\{g_k\}_{k=1}^\infty$ are not frames. \hfill$\square$\par\bigskip
\end{ex}
Any Riesz basis $\{f_k\}_{k=1}^\infty$ has a representation $\{f_k\}_{k=1}^\infty= \{T^n f_1\}_{n=0}^\infty$ for a linear operator $T,$ which is necessarily bounded \cite{olemmaarzieh}. By linear independence, any Schauder basis $\{f_k\}_{k=1}^\infty$ also has an operator representation as $\{T^n f_1\}_{n=0}^\infty$,
but not necessarily via a bounded operator, as one can see in Example \ref{61109b}.
For Schauder bases we will now
give a necessary and sufficient condition for the boundedness of $T$.
\begin{prop} \label{newpr}
Let $\{f_k\}_{k=1}^\infty$ be a Schauder basis for ${\mathcal H}$ and consider the linear
operator $T: \text{span} \{f_k\}_{k=1}^\infty \to \text{span} \{f_k\}_{k=1}^\infty$ such that $\{f_k\}_{k=1}^\infty= \{T^n f_1\}_{n=0}^\infty$.
Then $T$ is bounded if and only if ${\mathcal D}(U)$ is invariant under right-shifts.
\end{prop}
{\noindent\bf Proof. \ }
First assume that ${\mathcal D}(U)$ is invariant under right-shifts and let $\{g_k\}_{k=1}^\infty$ denote the unique biorthogonal sequence associated with $\{f_k\}_{k=1}^\infty$.
Let $f\in{\mathcal H}$.
Then $f=\sum_{k=1}^\infty \langle f,g_k\rangle f_k$. Therefore $\{\langle f,g_k\rangle\}_{k=1}^\infty\in{\mathcal D}(U)$ and hence, by the right-shift invariance of ${\mathcal D}(U)$, the series $\sum_{k=1}^\infty \langle f,g_k\rangle f_{k+1}$ converges. Furthermore, for every $j\in\mathbb N$,
$f_{j+1}=\sum_{k=1}^\infty \langle f_j, g_k\rangle f_{k+1}$.
It now follows from Proposition \ref{prop2} that $T$ is bounded.
The converse implication is given in Theorem \ref{61109a}.
\hfill$\square$\par\bigskip
Recall that Schauder bases might differ from Riesz bases in two aspects: they might not
be norm-bounded below and above, and they might lead to frame-like expansions that
are conditionally convergent. For the class of Schauder bases consisting of scaled
Riesz bases, we can characterize the boundedness of $T$ in a way that is much easier to check compared to the right-shift invariance of ${\mathcal D}(U)$:
\begin{prop} \label{propmriesz}
Let $\{f_k\}_{k=1}^\infty=\{m_k e_k\}_{k=1}^\infty$, where $\{e_k\}_{k=1}^\infty$ is a Riesz basis for ${\mathcal H}$ and $\{m_k\}_{k=1}^\infty$ is a sequence of nonzero complex numbers, and consider the operator $T:\mbox{span} \{f_k\}_{k=1}^\infty \to \mbox{span} \{f_k\}_{k=1}^\infty$ such that $\{f_k\}_{k=1}^\infty=\{T^nf_1\}_{n=0}^\infty$. Then $T$ is bounded if and only if $\{\frac{\|f_{k+1}\|}{\|f_k\|}\}_{k=1}^\infty\in\ell^\infty(\mathbb N)$.
\end{prop}
{\noindent\bf Proof. \ } If $T$ is bounded, the conclusion follows from Theorem \ref{61109a}.
For the converse part,
assume that $\{\frac{\|f_{k+1}\|}{\|f_k\|}\}_{k=1}^\infty\in\ell^\infty$. Then there is a positive constant $C$ such that $\frac{|m_{k+1}|}{|m_k|}\leq C$ for every $k\in\mathbb N$.
Now let $A$ and $B$ denote Riesz basis bounds of $\{e_k\}_{k=1}^\infty$.
For every finite sequence $\{c_k\}$ we have
\begin{eqnarray*}
\|T\sum c_k e_k\|^2 &=&\|\sum \frac{c_k}{m_k} f_{k+1}\|^2 =\|\sum c_k\frac{m_{k+1}}{m_k} e_{k+1}\|^2
\\
&\leq& B \sum |c_k\frac{m_{k+1}}{m_k}|^2
\leq B C^2 \sum |c_k|^2
\leq \frac{B}{A} C^2 \|\sum c_k e_k\|^2;
\end{eqnarray*}
thus the operator $T$ is bouned on $\mbox{span} \{e_k\}_{k=1}^\infty=\mbox{span} \{f_k\}_{k=1}^\infty$.
\hfill$\square$\par\bigskip
We will now show that if a sequence consists of a Schauder basis and
a finite and strictly positive number of additional elements, then it can not be
represented by a bounded operator $T$; this extends a result in \cite{olemmaarzieh}.
\begin{prop} Let $\{f_k\}_{k=1}^\infty$ be a linearly independent sequence in ${\mathcal H}$ containing an $\omega$-independent subsequence $\{f_k\}_{k=N+1}^\infty$ for some $N\in\mathbb N$.
Furthermore, assume that at least one $f_{i_0}$, $i_0\in \{1,\ldots,N\}$, can be written as $\sum_{k=N+1}^\infty c_k f_k$
for some scalar coefficients $c_k\in \mathbb C.$ Then the operator $T: \text{span} \{f_k\}_{k=1}^\infty
\to \text{span} \{f_k\}_{k=1}^\infty$ such that $\{f_k\}_{k=1}^\infty=\{T^nf_1\}_{n=0}^\infty$ is unbounded.
\end{prop}
{\noindent\bf Proof. \ }
Assume that $T$ is bounded and extend $T$ by continuity on the closed linear span of $\{f_k\}_{k=1}^\infty$. We split the argument in two cases:
1) If $i_0=N$, then
$ f_{N+1} = Tf_N=T \sum_{k=N+1}^\infty c_k f_k
=\sum_{k=N+1}^\infty c_k f_{k+1},
$
which contradicts $\{f_k\}_{k=N+1}^\infty$ being $\omega$-independent.
2) If $i_0<N$, then
\begin{eqnarray*}
f_{i_0+1} &=& Tf_{i_0}=T \sum_{k=N+1}^\infty c_k f_k
=\sum_{k=N+1}^\infty c_k f_{k+1}\\
f_{i_0+2} &=& Tf_{i_0+1}=T \sum_{k=N+1}^\infty c_k f_{k+1}
=\sum_{k=N+1}^\infty c_k f_{k+2}\\
&\vdots&\\
f_{N+1} &=&Tf_N=T \sum_{k=N+1}^\infty c_k f_{k+N-i_0}
=\sum_{k=N+1}^\infty c_k f_{k+N-i_0+1}
\end{eqnarray*}
which contradicts $\{f_k\}_{k=N+1}^\infty$ being $\omega$-independent.
\hfill$\square$\par\bigskip
\begin{cor}
Let $\{f_k\}_{k=1}^\infty$ be a linearly independent sequence in ${\mathcal H}$ containing a Schauder basis $\{f_k\}_{k=N+1}^\infty$ for ${\mathcal H}$ for some $N\in\mathbb N$. Then the operator $T: \text{span} \{f_k\}_{k=1}^\infty
\to \text{span} \{f_k\}_{k=1}^\infty$ such that $\{f_k\}_{k=1}^\infty=\{T^nf_1\}_{n=0}^\infty$ is unbounded.
\end{cor}
\section{Frames and the Carleson condition} \label{70918b}
In this section we consider a class of frames which can
be represented via bounded operators. The construction first appeared in
Lemma 3.17 in \cite{A1}; our
purpose is to provide a different proof, which only relies on a single result by Shapiro
and Shields
\cite{shapiro} and standard frame theory. The key ingredient is the so-called Carleson condition on a sequence $\{\lambda_k\}_{k=1}^\infty$ in the open unit disc, which we discuss first.
\subsection{The Carleson condition}
Let $\mathbb{D}$ denote the open unit disc in the complex plane. The Hardy space $H^2(\mathbb{D})$ is defined by
\[ H^2(\mathbb{D}):=\left\{ f:\mathbb{D}\to\mathbb{C} \, \big| \, f(z)=\sum_{n=0}^{\infty}a_nz^n,\{a_n \}_{n=0}^\infty\in\ell^2(\mathbb N_0)\right\}. \]
The Hardy space $H^2(\mathbb{D})$ is a Hilbert space; given
$f,g\inH^2(\mathbb{D})$, $f=\sum_{n=0}^\infty a_nz^n, \\ g=\sum_{n=0}^\infty b_nz^n$, the inner product is defined by
$$\langle f,g \rangle=\sum_{n=0}^\infty a_n\overline{b_n}.$$
Note that $\{z^n\}_{n=0}^\infty$ is an orthonormal basis for $H^2(\mathbb{D});$ denoting the canonical
basis for ${\ell}^2(\mathbb N)$ by $\{\delta_n\}_{n=1}^\infty,$
the operator $\theta:H^2(\mathbb{D})\to{\ell}^2(\mathbb N)$ defined by $\theta z^n=\delta_{n+1}$ for $n=0,1,\cdots$ is a unitary operator from $H^2(\mathbb{D})$ onto ${\ell}^2(\mathbb N)$.
\begin{defn}
A sequence $\{\lambda_k\}_{k=1}^\infty\subset\mathbb{D}$ satisfies the Carleson condition if
\begin{eqnarray}\label{carleson}\displaystyle\inf_{n\in \mathbb N} \prod_{k\neq n}\frac{|\lambda_k-\lambda_n|}{|1-\overline{\lambda_k}\,\lambda_n|}>0.\end{eqnarray}
\end{defn}
Note that at some places in the literature, another terminology is used and a sequence
$\{\lambda_k\}_{k=1}^\infty\subset\mathbb{D}$ is said to be {\it uniformly separated } if \eqref{carleson} holds.
For a given sequence $\Lambda=\{\lambda_k\}_{k=1}^\infty \subset \mathbb{D}$, define the sequence-valued operator $\Phi_\Lambda$ by
\begin{eqnarray}\label{906a} \Phi_\Lambda f=\{f(\lambda_k)\sqrt{1-|\lambda_k|^2}\}_{k=1}^\infty, \quad f\inH^2(\mathbb{D}).\end{eqnarray} Note that the sequence in \eqref{906a} does not necessarily
belong to $\ell^2(\mathbb N).$
In \cite{shapiro}, Shapiro and Shields proved the following result.
\begin{prop}\label{706a}
A sequence $\{\lambda_k\}_{k=1}^\infty\subset\mathbb{D}$ satisfies the Carleson condition if and only if ${\ell}^2(\mathbb N) =\Phi_\Lambda H^2(\mathbb{D});$
in the affirmative case, $\Phi_\Lambda$ is bounded.
\end{prop}
\begin{cor}\label{corcarleson}
The Carleson condition implies that $\sum_{k=1}^\infty (1-|\lambda_k|^2)<\infty$ and thus $\lim\limits_{k\to\infty}|\lambda_k|=1$.
\end{cor}
{\noindent\bf Proof. \ } Assume that $\Lambda=\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition. Since the function $f(z)=1, z\in\mathbb{D}$, is in $H^2(\mathbb{D})$, it follows from Proposition \ref{706a} that $\Phi_\Lambda f\in{\ell}^2(\mathbb N)$. In other words, $\sum_{k=1}^\infty (1-|\lambda_k|^2)<\infty$. \hfill$\square$\par\bigskip
The following result
(see, e.g., \cite[Thm. 9.2]{duren70}) gives an easily verifiable criterion for the Carleson condition to hold.
\begin{prop}\label{1406a}
Let $\{\lambda_k\}_{k=1}^\infty\subset\mathbb{D}$ be a sequence of distinct numbers. If
\begin{eqnarray} \label{1606c} \exists\, c\in(0,1) \mbox{ such that } \frac{1-|\lambda_{k+1}|}{1-|\lambda_{k}|}\leq c<1, \quad \forall k\in\mathbb N,\end{eqnarray}
then $\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition.
If $\{\lambda_k\}_{k=1}^\infty$ is positive and increasing, then the condition \eqref{1606c} is also necessary for $\{\lambda_k\}_{k=1}^\infty$ to satisfy the Carleson condition.
\end{prop}
\begin{cor} For every $\alpha>1$, the sequence $\{\lambda_k\}_{k=1}^\infty=\{1-\alpha^{-k}\}_{k=1}^\infty$ satisfies the Carleson condition.
\end{cor}
{\noindent\bf Proof. \ } Let $\alpha>1$.
The sequence $\{1-\alpha^{-k}\}_{k=1}^\infty$ is positive and increasing. Furthermore, for every $k\in\mathbb N$ we have
$$\frac{1-\lambda_{k+1}}{1-\lambda_{k}}=\frac{\alpha^{-k-1}}{\alpha^{-k}}=\frac{1}{\alpha}<1.$$
Thus, by Proposition \ref{1406a}, $\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition.
\hfill$\square$\par\bigskip
The following lemma
collects results about modifications on a sequence that preserve the Carleson condition.
\begin{lemma}\label{1506a}
Given any sequence $\{\lambda_k\}_{k=1}^\infty\subset\mathbb{D},$ the following hold:
\begin{itemize}\item[(i)] If $\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition, then every subsequence of $\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition.
\item[(ii)] If $\lambda_k\neq\lambda_j$ for $k\neq j$ and there is some $n\in\mathbb N$ such that $\{\lambda_k\}_{k\geq n}$ satisfies the Carleson condition, then also $\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition.
\item[(iii)]If $\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition and $\lambda_k\in[0,1[$
for all $k\in \mathbb N,$
then for every $\ell\in\mathbb N$ the sequence $\{\lambda_k^{1/\ell}\}_{k=1}^\infty$ also satisfies the Carleson condition.
\end{itemize}
\end{lemma}
{\noindent\bf Proof. \ }
(i) is straightforward and (ii) is stated in \cite{CMPP}. To prove (iii), it is enough to show that for any $x,y\in]0,1[$ we have
\begin{eqnarray}\label{2205a}
\frac{x^{1/\ell}-y^{1/\ell}}{1-x^{1/\ell}y^{1/\ell}} \geq \frac{x-y}{1-xy}.\end{eqnarray}
Using the identity
$a^\ell-b^\ell
=(a-b)\sum_{i=0}^{\ell-1}a^{\ell-i-1}b^i,$
we obtain that
\begin{eqnarray}\label{2205b}
\frac{x^{1/\ell}-y^{1/\ell}}{1-x^{1/\ell}y^{1/\ell}}=\frac{x-y}{1-xy} f(x,y)
\end{eqnarray}
where
\begin{eqnarray}\label{906c}f(x,y)=\frac{\sum_{i=0}^{\ell-1}(x^{1/\ell}y^{1/\ell})^i}{\sum_{j=0}^{\ell-1}(x^{1/\ell})^{\ell-j-1}(y^{1/\ell})^j}.\end{eqnarray}
Fixing $x\in]0,1[$, a direct calculation shows that $\frac{\partial}{\partial y}
\displaystyle f(x,y)<0$ for all $y\in ]0,1[$; thus
$f(x,y)$ is decreasing with respect to $y$. Since $\lim\limits_{y\to 1}f(x,y)=1$, we conclude that $f(x,y)\geq 1$ for all $x,y\in]0,1[$.
Using \eqref{2205b}, this proves that \eqref{2205a} holds.
\hfill$\square$\par\bigskip
\subsection{Frame properties and the Carleson condition}
In this section we provide an alternative proof of Lemma 3.19 in \cite{A1}, which yields
a construction of a class of operators $T: {\ell}^2(\mathbb N) \to {\ell}^2(\mathbb N)$ for which $\{T^nh\}_{n=0}^\infty$ is a frame for ${\ell}^2(\mathbb N)$ for certain sequences $h\in {\ell}^2(\mathbb N).$ We will formulate the result in the setting of a
general Hilbert space. The original proof of Lemma 3.19 in \cite{A1} uses properties of the Gramian
associated with a sequence in the underlying Hilbert space, as well as
interpolating sequences in the
Hardy space. We will base our proof on the more
elementary fact that a Bessel sequence is a frame if and only if the frame
operator is surjective, and phrase the interpolation property directly
in terms of surjectivity of the operator $\Phi_\Lambda$ in Proposition \ref{706a}.
Consider a sequence $\{\lambda_k\}_{k=1}^\infty\subset\mathbb{D}$ and assume that $\{\sqrt{1-|\lambda_k|^2}\}_{k=1}^\infty\in{\ell}^2(\mathbb N)$. Given any separable Hilbert space ${\mathcal H}$, choose an orthonormal basis $\{e_k\}_{k=1}^\infty$ and consider the bounded linear operator $T: {\mathcal H} \to {\mathcal H}$ for which
$Te_k=\lambda_k e_k$. Let $h:=\sum_{k=1}^\infty \sqrt{1-|\lambda_k|^2}e_k$ and consider the iterated system
\begin{eqnarray}\label{1506b}\{T^nh\}_{n=0}^\infty=\left\{\sum_{k=1}^\infty \lambda_k^n\sqrt{1-|\lambda_k|^2}e_k\right\}_{n=0}^\infty.\end{eqnarray}
We will now state the mentioned result from \cite{A1}. Our proof
is only based on Proposition \ref{706a} and standard frame theory.
\begin{thm}\label{906b} Let $\{\lambda_k\}_{k=1}^\infty\subset\mathbb{D}$ and assume that $\{\sqrt{1-|\lambda_k|^2}\}_{k=1}^\infty\in{\ell}^2(\mathbb N)$.
Then the sequence $\{T^nh\}_{n=0}^\infty$ in \eqref{1506b} is a frame for ${\mathcal H}$ if and only if $\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition.
\end{thm}
{\noindent\bf Proof. \ }
Define formally the synthesis operator $V:\ell^2(\mathbb N_0)\to{\mathcal H}$ by $V\{a_n\}_{n=0}^\infty=\sum_{n=0}^\infty a_n T^nh$. By Theorem 5.5.1 in \cite{CB}, the sequence $\{T^nh\}_{n=0}^\infty$ is a frame for ${\mathcal H}$ if and only if the operator $V$ is well-defined and surjective.
First assume that $\{T^nh\}_{n=0}^\infty$ is a frame for ${\mathcal H}.$ Take an arbitrary $\{c_j\}_{j=1}^\infty\in{\ell}^2(\mathbb N)$. The surjectivity of $V$ implies that there exists $\{a_n\}_{n=0}^\infty$ in $\ell^2(\mathbb N_0)$ such that $\sum_{n=0}^\infty a_n T^nh=\sum_{j=1}^\infty c_je_j $. It follows that for each $k\in\mathbb N,$
\begin{eqnarray}\label{206a}c_k=\langle \sum_{j=1}^\infty c_j e_j,e_k \rangle
= \sum_{n=0}^\infty a_n \langle T^nh , e_k \rangle
=
\sum_{n=0}^\infty a_n\lambda_k^n\sqrt{1-|\lambda_k|^2}.\end{eqnarray}
\sloppy
Defining $f\in H^2(\mathbb{D})$ by $f(z)=\sum_{n=0}^{\infty}a_nz^n,$ the equation \eqref{206a} turns into $f(\lambda_k)\sqrt{1-|\lambda_k|^2}=c_k$. Formulated in terms of the operator $\Phi_\Lambda$ in \eqref{906a}, this means that ${\ell}^2(\mathbb N)\subseteq\Phi_\Lambda H^2(\mathbb{D}) $.
On the other hand, take an arbitrary $f\in H^2(\mathbb{D})$ and choose $\{a_n\}_{n=0}^\infty\in\ell^2(\mathbb N_0)$ such that $f(z)=\sum_{n=0}^{\infty}a_nz^n$.
For every $k\in\mathbb N$, we have
\begin{eqnarray*} \langle V\{a_n\}_{n=0}^\infty , e_k \rangle&=&\langle \sum_{n=0}^\infty a_n\sum_{j=1}^\infty \lambda_j^n\sqrt{1-|\lambda_j|^2} e_j , e_k \rangle = \sum_{n=0}^\infty a_n\lambda_k^n\sqrt{1-|\lambda_k|^2}.
\end{eqnarray*}
Therefore, $\Phi_{\Lambda} f=\{\langle V\{a_n\}_{n=0}^\infty , e_k \rangle\}_{k=1}^\infty\in{\ell}^2(\mathbb N)$
and hence, $\Phi_\Lambda H^2(\mathbb{D}) \subseteq {\ell}^2(\mathbb N)$.
Thus we get $\Phi_\Lambda H^2(\mathbb{D}) = {\ell}^2(\mathbb N)$, which by Proposition \ref{706a} implies that $\{\lambda_k\}_{k=1}^\infty$ satisfies the Carleson condition.
Conversely, assume that the sequence $\{\lambda_j\}_{j=1}^\infty \subset {\mathbb D}$ satisfies
the Carleson condition. We first show that $\sum_{n=0}^\infty a_n T^nh$
is convergent for all $\{a_n\}_{n=0}^\infty \in \ell^2(\mathbb N_0).$
Let $\{a_n\}_{n=0}^\infty \in \ell^2(\mathbb N_0),$ and consider the corresponding $f\in H^2({\mathbb D})$ determined by
$f(z):= \sum_{n=0}^\infty a_nz^n.$ By Proposition \ref{706a} we know that $\Phi_\Lambda H^2({\mathbb D})=
\ell^2(\mathbb N),$ so $\{f(\lambda_k) \sqrt{1-|\lambda_k|^2}\}_{k=1}^\infty\in \ell^2(\mathbb N).$ \sloppy
Now for $N\in\mathbb N$, consider the truncated sequence $\{a_n\}_{n=0}^N$
and the associated function $f_N\in H^2({\mathbb D})$ given by
$f_N(z):= \sum_{n=0}^N a_nz^n.$ Again, $\{f_N(\lambda_k) \sqrt{1-|\lambda_k|^2}\}_{k=1}^\infty\in \ell^2(\mathbb N),$ and since $\Phi_\Lambda: H^2({\mathbb D})\to \ell^2(\mathbb N)$ is bounded by Proposition \ref{706a},
there is a constant $C>0$ such that
\begin{eqnarray*} || \Phi_\Lambda f- \Phi_\Lambda f_N||^2 \le C\, ||f-f_N||^2= C\sum_{n=N+1}^\infty |a_n|^2 \to 0 \, \mbox{as} \, N\to \infty.\end{eqnarray*}
It follows that
\begin{eqnarray*} \sum_{n=0}^N a_n T^nh & = & \sum_{n=0}^N a_n \sum_{k=1}^\infty \sqrt{1-|\lambda_k|^2} \lambda_k^n e_k
= \sum_{k=1}^\infty \sqrt{1-|\lambda_k|^2} \sum_{n=0}^N a_n\lambda_k^n e_k
\\ & = & \sum_{k=1}^\infty \sqrt{1-|\lambda_k|^2} f_N(\lambda_k) e_k \to
\sum_{k=1}^\infty f(\lambda_k) \sqrt{1-|\lambda_k|^2} e_k \, \mbox{ as } \, N\to \infty. \end{eqnarray*}
This proves that $\sum_{n=0}^\infty a_nT^nh$ is convergent as claimed, and thus $V$ is well defined from $\ell^2(\mathbb N_0)$ into ${\mathcal H}$.
In order to prove that $\{T^nh\}_{n=0}^\infty$ is frame, it is now enough to show that the synthesis operator $V:\ell^2(\mathbb N_0)\to{\mathcal H}$
is surjective. Let $x\in{\mathcal H}$. By Proposition \ref{706a}, there is an $f\in H^2(\mathbb{D})$ such that $f(\lambda_k)\sqrt{1-|\lambda_k|^2}=\langle x,e_k \rangle$ for all $ k\in\mathbb N.$
Choose $\{a_n\}_{n=0}^\infty\in\ell^2(\mathbb N_0)$ such that $f(z)= \sum_{n=0}^\infty a_nz^n.$ Then for each $k\in\mathbb N$,
\begin{eqnarray*} \langle V\{a_n\}_{n=0}^\infty , e_k \rangle&=& \langle\sum_{n=0}^\infty a_n T^nh , e_k \rangle=
\sum_{n=0}^{\infty}a_n \langle
\sum_{j=1}^\infty \lambda_j^n\sqrt{1-|\lambda_j|^2}e_j , e_k \rangle\\
&=&\sum_{n=0}^{\infty}a_n
\lambda_k^n\sqrt{1-|\lambda_k|^2}=
f(\lambda_k)\sqrt{1-|\lambda_k|^2}=\langle x,e_k \rangle\end{eqnarray*}
Therefore $V\{a_n\}_{n=0}^\infty=x$ and thus $V$ is surjective, as desired.
\hfill$\square$\par\bigskip
Note that whenever a sequence $\{\lambda_k\}_{k=1}^\infty $ satisfies the Carleson condition,
the results in Lemma \ref{1506a} and Theorem \ref{906b} immediately lead to a number of alternative frame constructions.
\begin{ex}\label{17057a} Assume that $\{\lambda_k\}_{k=1}^\infty\subset ]0,1[$ satisfies the Carleson condition. By Theorem \ref{906b}, the sequence $\{T^nh\}_{n=0}^\infty$ defined in \eqref{1506b} is a frame for ${\mathcal H}$. For a fixed $\ell\in\mathbb N$, define the operator $T_{\ell}$ by $T_{\ell}e_k=\lambda_k^{1/\ell}e_k$, for all $k\in\mathbb N$, and extend it to a bounded operator on ${\mathcal H}$. Then
\[ \{T_{\ell}^n h\}_{n=0}^\infty=\bigcup_{r=0}^{\ell-1}
\{T_\ell^{n\ell+r}h\}_{n=0}^\infty=\bigcup_{r=0}^{\ell-1} \{T_\ell^{r}T^{n}h\}_{n=0}^\infty. \]
Since each of the operators $T_\ell^{r}$ are surjective and $\{T^n h\}_{n=0}^\infty$ is a frame, it follows that
the sequence $\{T_{\ell}^n h\}_{n=0}^\infty$ is also a frame.
\hfill$\square$\par\bigskip \end{ex}
\begin{ex} Assume that $\{\lambda_k\}_{k=1}^\infty\subset ]0,1[$ satisfies the Carleson condition.
For an arbitrary fixed $\ell\in\mathbb N$, define the operator $T_{\ell}$ by $T_{\ell}e_k=\lambda_k^{1/\ell}e_k$, for all $k\in\mathbb N$, and extend it to a bounded operator on ${\mathcal H}$. By Lemma \ref{1506a}, Corollary \ref{corcarleson}, and Theorem \ref{906b}, $h_{\ell}:=\sum_{k=1}^\infty \sqrt{1-|\lambda_k^{1/\ell}|^2}e_k$ is a well-defined element of ${\mathcal H}$ and $\{T_{\ell}^n h_{\ell}\}_{n=0}^\infty$ is a frame for ${\mathcal H}$.
\hfill$\square$\par\bigskip\end{ex}
\vspace{13pt}
\centerline{ACKNOWLEDGEMENT}
\vspace{13pt}
\noindent The authors would like to thank the reviewers for their
comments and suggestions, which improved the presentation.
The third author is grateful for the hospitality of the Technical University of Denmark during her visits there.
The research on this paper was partially supported by the Austrian Science Fund (FWF) START-project FLAME ('Frames and Linear Operators for Acoustical Modeling and Parameter Estimation'; Y 551-N13).
The first two authors thank the Acoustics Research Institute in Vienna for hospitality and
support during visits in 2016 and 2017.
|
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"redpajama_set_name": "RedPajamaArXiv"
}
| 9,700
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import React, {Component} from 'react';
import {
Text,
View,
TextInput,
ScrollView,
Switch,
Modal,
SafeAreaView,
} from 'react-native';
import KeyboardManager, {PreviousNextView} from 'react-native-keyboard-manager';
KeyboardManager.setEnable(true);
KeyboardManager.setEnableDebugging(true);
KeyboardManager.setKeyboardDistanceFromTextField(30);
KeyboardManager.setLayoutIfNeededOnUpdate(true);
KeyboardManager.setEnableAutoToolbar(true);
KeyboardManager.setToolbarDoneBarButtonItemText('Done');
KeyboardManager.setToolbarManageBehaviourBy('subviews'); // "subviews" | "tag" | "position"
KeyboardManager.setToolbarPreviousNextButtonEnable(true);
KeyboardManager.setToolbarTintColor('#FF00FF'); // Only #000000 format is supported
KeyboardManager.setToolbarBarTintColor('#FFFF00'); // Only #000000 format is supported
KeyboardManager.setShouldShowToolbarPlaceholder(true);
KeyboardManager.setOverrideKeyboardAppearance(false);
KeyboardManager.setKeyboardAppearance('default'); // "default" | "light" | "dark"
KeyboardManager.setShouldResignOnTouchOutside(true);
KeyboardManager.setShouldPlayInputClicks(true);
const INPUT_KEYS = [
'input1',
'input2',
'input3',
'input4',
'input5',
'input6',
'textarea1',
'textarea2',
'textarea3',
'textarea4',
];
type StateType = {
enableDisable?: boolean;
inputsValues: {
[key: string]: string;
};
};
class App extends Component<any, StateType> {
constructor(props: any) {
super(props);
this.state = {
enableDisable: true,
inputsValues: {},
};
}
componentDidMount() {
KeyboardManager.resignFirstResponder();
}
componentDidUpdate() {
KeyboardManager.isKeyboardShowing().then(isShowing => {
console.log('isKeyboardShowing: ' + isShowing);
});
}
onEnableDisable = (value: boolean) => {
KeyboardManager.setEnable(value);
this.setState({
enableDisable: value,
});
};
getRef<T>(key: string) {
// eslint-disable-next-line react/no-string-refs
return this.refs[key] as T;
}
renderInput = (ref: string, index: number) => {
let nextRef = INPUT_KEYS[index + 1];
const nextFocus = () => {
if (!nextRef) {
return;
}
this.getRef<TextInput>(nextRef)?.focus();
};
const multiline = ref.startsWith('textarea');
return (
<View key={ref} style={{padding: 10}}>
<Text>{ref}</Text>
<TextInput
style={{
minHeight: 40,
borderColor: '#000000',
borderWidth: 1,
borderRadius: 2,
paddingLeft: 5,
// maxHeight is recommended for multiline, to prevent infinite grown
maxHeight: multiline ? 300 : undefined,
}}
ref={ref}
value={this.state.inputsValues[ref] || ''}
onChangeText={text => {
this.setState(previous => ({
inputsValues: {
...previous.inputsValues,
[ref]: text,
},
}));
}}
placeholder={ref}
onSubmitEditing={!multiline ? nextFocus : undefined}
multiline={multiline}
numberOfLines={multiline ? 10 : 1}
returnKeyType={multiline ? 'default' : 'next'}
onLayout={() => {
// When multiline=true and the input height changes, it updates the keyboard position.
KeyboardManager.reloadLayoutIfNeeded();
}}
/>
</View>
);
};
render() {
return (
<View style={{flex: 1}}>
<SafeAreaView style={{flex: 1}}>
{/* To try with Modal, uncomment the two following lines. */}
{/* <Modal visible={true}> */}
{/* <PreviousNextView style={{flex: 1}}> */}
{/* ScrollView is not required, but may be needed in some cases. */}
<ScrollView>
<View style={{alignItems: 'center'}}>
<Text style={{marginTop: 10, textAlign: 'center'}}>
React-Native Keyboard Manager
</Text>
<View
style={{
marginTop: 10,
flexDirection: 'row',
alignItems: 'center',
}}>
<Text>Enable/Disable </Text>
<Switch
onValueChange={this.onEnableDisable}
value={this.state.enableDisable}
/>
</View>
</View>
<View>{INPUT_KEYS.map(this.renderInput)}</View>
</ScrollView>
{/* </PreviousNextView> */}
{/* </Modal> */}
</SafeAreaView>
</View>
);
}
}
export default App;
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 5,502
|
// Package host_path contains the internal representation of hostPath
// volumes.
package host_path
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 6,421
|
\section{Introduction}
Duality is one of the oldest and most beautiful ideas in human knowledge.
It has a simple origin from the oriental philosophy of
{\em yin-yang principle} tracing back
5000 years ago.
According to {\em I Ching}\footnote{Also known as the {\em Book of Changes, Zhouyi} and {\em Yijing,}
is the world�s oldest and most sophisticated system of wisdom
divination, the fundamental source of most of the east�s philosophy, medicine and spirituality.
Traditionally it was believed that the principles of the I Ching originated with the mythical King Fu Xi
during the 3rd and 2nd millennia BCE.},
the fundamental law of the nature is the {\em Dao},
the duality of one yin and one yang, which gives two opposite or complementary points of view of looking at the same object. %
In quantum mechanics, the wave-particle duality is a typical example to fully describe the behavior of quantum-scale objects.
Mathematically, duality represents certain translation of
concepts, theorems or mathematical structures in a one-to-one fashion, i.e., if the dual of A is B, then the dual of B is A (cf. \cite{atiyah,cla-dav,morr}).
This one-to-one complementary relation is called the {\em canonical duality}.
It is emphasized recently by Sir Michael Atiyah that duality in mathematics is not a theorem, but a ``principle" \cite{atiyah}.
Therefore, any duality gap is not allowed. This fact is well-known in mathematics and physics, but not in optimization
due to the existing gap between these fields.
To bridge this gap, a canonical duality-triality theory
has been developed originally from nonconvex mechanics \cite{gao-dual00} with
extensive applications
in
engineering, mathematics, and sciences, especially in the multidisciplinary fields of nonconvex mechanics
and global optimization
\cite{gao-amma03,gao-cace09,gao-sherali-amma}.
\subsection{Nonconvex analysis/mechanics and difficulties
Mathematical theory of duality for convex problems has been well-established.
In linear elasticity, it is well-known that each potential energy principle is associated
with a unique complementary energy principle through Legendre transformation.
This one-to-one duality is guaranteed
by convexity of the stored energy.
The well-known Helinger-Reissner principle is actually a special Lagrangian saddle min-max duality theory in convex analysis,
which lays a foundation for mixed/hybrid finite element methods with successful applications in structural limit analysis \cite{gao-88a,gao-88b}.
However, the one-to-one duality is broken in nonconvex systems.
In large deformation theory, the stored energy is generally nonconvex and its Legendre conjugate can't be uniquely determined.
It turns out that the existence of a pure stress-based
complementary-dual energy principle (no duality gap) was a well-known open problem over a half century
and subjected to extensive discussions by many leading experts including Levison \cite{levi65}, Koiter \cite{koit},
Oden and Reddy \cite{oden-redd}, Ogden \cite{ogden75},
Lee and Shield \cite{lee-shie80}, Stumpf \cite{stum}, etc.
Nonconvex phenomena arise naturally in large classes of engineering applications.
Many real-life problems in modern mechanics and complex systems require consideration of nonconvex
effects
for their accurate modelling.
For example, in modelling of hysteresis, phase transitions, shape-memory alloys, and super-conducting materials,
the free energy functions are usually nonconvex due to certain internal variables
\cite{gao-anti,gao-ogden-qjmam,gao-ogden-zamp}. In large deformation analysis, thin-walled structure can
buckle even before the stress reaches its elastic limit \cite{gao-sam94,gao-ejm95,gao-strang89b}.
Mathematically speaking, many fundamentally difficult problems in engineering and the sciences are mainly due to the
nonconvexity of their modelling.
In static systems, the nonconvexity usually leads to multi-solutions in the related governing equations.
Each of these solutions represents certain possible phase or buckled state in large deformed solids.
These local solutions are very sensitive to the internal parameters and external force.
In dynamical systems, the so-called chaotic behavior is mainly due to nonconvexity of the objective functions
\cite{gao-thes02}.
Numerical methods (such as FEM, FDM, etc) for solving nonconvex minimal potential variational problems usually end up with nonconvex
optimization problems \cite{gao-jem,gao-jogo00,gao-yu,ionita,santos-gao}. Due to the lack of global optimality criteria, finding global optimal solutions is
fundamentally difficult, or even impossible by traditional numerical methods and optimization techniques.
For example, it was discovered by Gao and Ogden \cite{ gao-ogden-qjmam,gao-ogden-zamp}
that for certain given external loads, both the global and local minimizers are nonsmooth and
cannot be determined by any Newton-type numerical methods.
In fact, many nonconvex problems are considered as NP-hard (Non-deterministic Polynomial-time hard) in global
optimization and computer science \cite{gao-cace09,gao-sherali-amma}.
Unfortunately, these well-known difficulties are not fully recognized
in computational mechanics due to the significant gap between engineering mechanics and global
optimization. Indeed, engineers and scientists are mistakenly attempting to use traditional finite element
methods and commercial software for solving nonconvex mechanics problems. In order to identify the
fundamental difficulty of the nonconvexity from the traditional definition of nonlinearity, the terminology
of {\em Nonconvex Mechanics } was formally proposed by Gao, Ogden and Stavroulakis in 1999 \cite{gao-ogden-stav}.
The {\em Handbook of Nonconvex Analysis} by Gao and Motreanu \cite{gao-motr} presents recent advances in the field.
\subsection{Global optimization and challenges}
In parallel with the nonconvex mechanics, global optimization
is a multi-disciplinary research field developed mainly from
nonconvex/combinatorial optimization and computational science
during the last nineties.
In general, the global optimization problem is formulated in terms of finding
the absolutely best set of solutions for the following constrained optimization problem
\eb
\min f(x) , \;\; \mbox{ s.t. } \; h_i(x) = 0, \;\; g_j(x) \le 0 \;\; \forall i \in I_m , \;\; j \in I_p, \label{eq-go}
\ee
where $f(x)$ is the so-called ``objective function"\footnote{This terminology is used mainly in English literature.
The function $f(x)$ is called the target function in Chinese and Japanese literatures, the goal function in Russian and German literatures.},
$h_i(x)$ and $ g_j(x)$ are constraint functions,
$I_m= \{1, \dots, m\} $ and $I_p=\{1, \dots, p\} $ are index sets.
It must be emphasized that, different from the the basic concept of {\em objectivity} in continuum physics,
the objective function extensively used in mathematical optimization is allowed to be any arbitrarily given function,
even the linear function.
Clearly, this mathematical model is artificial. Although it enables one to ``model" a very wide range of problems,
it comes at a price: even very special kinds of nonconvex/discrete optimization problems are considered to be NP-hard.
This dilemma is due to the gap between mathematical optimization and mathematical physics.
In science, the concept of objectivity is often attributed with the property of scientific measurements that can be measured independently of the observer.
Therefore, a function in mathematical physics is called objective only if it depends on certain measure of its
variables (see Definition 6.1.2, \cite{gao-dual00} and the next section).
Generally speaking, a useful mathematical model must obey certain fundamental law of nature.
Without detailed information on these arbitrarily given functions,
it is impossible to have a general theory for finding global extrema of the general nonconvex problem (\ref{eq-go}). This could be the reason why there was no
breakthrough in nonlinear programming during the past 60 years.
In addition to the nonconvexity,
many global optimization problems in engineering design and operations research explicitly require integer or binary decision variables.
For example, in topology optimization of engineering structures, the design variable of material density
$\rho (\xx) = \{ 0, 1\} $ is a discrete selection field, i.e. by selection it has to take the value, 1,
and by de-selection it has to take the value, 0
(see \cite{bendsoe-sigmund}).
By the fact that the deformation variable is a continuous field, which should be determined
in each iteration for topological structure, therefore,
the finite element method for solving topology optimization problems ends up with a coupled
mixed integer nonlinear programming problem.
Discrete problems are frequently encountered in modeling real world systems for a wide spectrum of applications in
decision science, management optimization, industrial and systems engineering.
Imposing such integer constraints on the variables makes the global optimization problems much more difficult to solve.
It is well-known in computational science and global optimization that even the most simple
quadratic minimization problem with boolean constraint
\eb
\min
\left\{\frac{1}{2} \xx^T {\bf Q} \xx - \xx^T {\bf f} | \;\; \xx \in \{ 0, 1\}^n \right\} \label{eq-qip}
\ee
is considered to be NP-hard (Non-deterministic Polynomial-time hard) \cite{gao-ruan-jogo10}. Indeed, this integer minimization problem has
$2^n$ local solutions. Due to the lack of global optimality criterion,
traditional direct approaches, such as the popular branch and bound methods,
can only handle very small size problems.
Actually, it was proved by Pardalos and Vavasis \cite{pardalos91, vavasis90} that
instead of the integer constraint,
the continuous quadratic minimization with box constraints $ \xx \in [ 0, 1]^n $
is NP-hard as long as the matrix ${\bf Q} $ has one negative eigenvalue.
During the last 20 years, the field of global optimization has been developed dramatically to
across almost every branch of sciences, engineering, and complex systems \cite{floudas,flod-pard,panos}.
By the fact that the mathematical model (\ref{eq-go}) is too general to have a mathematical theory for identifying global extrema,
the main task in global optimization is to study algorithmic methods for numerically solving the
optimal solutions.
These methods can be categorized into two main groups: deterministic and stochastic.
{\em Stochastic methods} are based on an element of random choice. Because of this, one has to sacrifice the
possibility of an absolute guarantee of success within a finite amount of computation.
{\em Deterministic methods,} such as the cutting plane, branch and bound methods, can find global optimal solutions, but
not in polynomial time. Therefore, this type of methods can be used only for solving very small-sized problems.
Indeed, global optimization problems with 200 variables
are referred to as ``medium scale", problems with 1,000 variables as ``large scale", and the so-called
``extra-large scale" is only around 4,000 variables \cite{bura}.
In topology optimization, the variables could be easily 100 times more than this extra-large scale in global optimization.
Therefore, to develop a unified deterministic theory for efficiently solving general global optimization problems
is fundamentally important, not only in mathematical optimization, but also in general nonconvex analysis and mechanics.
\section{Canonical Duality-Triality Theory}
The canonical duality-triality theory comprises mainly three parts:
i) a {\em canonical dual transformation}, ii) a
{\em complementary-dual principle,} and iii) a {\em triality theory. }
The canonical dual transformation is a versatile
methodology which can be used to model complex systems within a unified framework
and to formulate perfect dual problems without a duality gap.
The complementary-dual principle presents a unified analytic solution form for general problems in continuous and
discrete systems. The triality theory reveals an intrinsic duality pattern in multi-scale systems, which can be used
to identify both global and local extrema, and to develop
deterministic algorithms for effectively solving a wide class of
nonconvex/nonsmooth/discrete optimization/variational problems.
\subsection{ General modeling and objectivity}
A useful methodological theory should have solid foundations not only in physics, but also in mathematics,
even in philosophy and aesthetics.
The canonical duality theory was developed from Gao and Strang's original work for solving the following general nonconvex/nonsmooth variational problem \cite{gao-strang89}:
\eb
\min \{ \PP ({\mbox{\boldmath$\chi$}}) = W(D{\mbox{\boldmath$\chi$}}) - F({\mbox{\boldmath$\chi$}}) \; | \; {\mbox{\boldmath$\chi$}} \in {\cal X}_c \}, \label{eq-gs}
\ee
where $F({\mbox{\boldmath$\chi$}})$ is the external energy, which must be linear on its domain ${\cal X}_a$;
the linear operator $D:{\cal X}_a \rightarrow {\cal{W}}_a$ assigns each configuration ${\mbox{\boldmath$\chi$}}$ to an internal variable
${\bf w} = D {\mbox{\boldmath$\chi$}}$ and,
correspondingly, $\WW:{\cal{W}}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ is called the internal (or stored) energy.
The feasible set ${\cal X}_c = \{ {\mbox{\boldmath$\chi$}} \in {\cal X}_a| \;\; D{\mbox{\boldmath$\chi$}} \in {\cal{W}}_a\} $ is the {\em kinetically admissible space}.
By Riesz representation theorem, the external energy can be written as
$F({\mbox{\boldmath$\chi$}}) = \langle {\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\chi$}}^* \rangle$, where $\bar{\mbox{\boldmath$\chi$}}^* \in {\cal X}^*$ is a given input (or source).
The bilinear form $\langle {\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\chi$}}^* \rangle :{\cal X} \times {\cal X}^* \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ puts ${\cal X} $ and ${\cal X}^*$ in duality.
Therefore, the variation (or G\^{a}teaux derivative) of $F({\mbox{\boldmath$\chi$}})$ leads to the
{\em action-reaction duality}: $\bar{\mbox{\boldmath$\chi$}}^* = \partial F({\mbox{\boldmath$\chi$}}) $.
Dually, the internal energy must be an {\em objective function} on its domain ${\cal{W}}_a$
such that the intrinsic physical behavior of the system can be described by the {\em constitutive duality}:
$\mbox{\boldmath$\sigma$} = \partial W({\bf w})$.
Objectivity is a basic concept in mathematical modeling \cite{ciarlet,holz,marsd-hugh,ogden}, but is still
subjected to seriously study in continuum physics \cite{liu,murd,murd05}.
The mathematical definition was given in Gao's book (Definition 6.1.2 \cite{gao-dual00}).
\begin{definition}[Objectivity and Isotropy]
Let
$ {\cal R} $ be
a proper orthogonal group, i.e. ${\bf R} \in {\cal R} $ if and only if
$ {\bf R}^T = {\bf R}^{-1} , \; \det {\bf R} = 1$.
A set ${\cal{W}}_a $ is said to be objective if
\[
{\bf R} {\bf w} \in {\cal{W}}_a \;\; \forall {\bf w} \in {\cal{W}}_a, \; \forall {\bf R} \in {\cal R}.
\]
A real-valued function $\WW:{\cal{W}}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ is said to be objective if
\eb
\WW({\bf R} {\bf w} ) = \WW({\bf w}) \;\; \forall {\bf w} \in {\cal{W}}_a, \; \forall {\bf R} \in {\cal R}.
\ee
A set ${\cal{W}}_a $ is said to be isotropic if $
{\bf w} {\bf R} \in {\cal{W}}_a \;\; \forall {\bf w} \in {\cal{W}}_a, \; \forall {\bf R} \in {\cal R}.$\\
A real-valued function $\WW:{\cal{W}}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ is said to be isotropic if
\eb
\WW({\bf w} {\bf R} ) = \WW({\bf w}) \;\; \forall {\bf w} \in {\cal{W}}_a, \; \forall {\bf R} \in {\cal R}.
\ee
\end{definition}
Geometrically speaking, an objective function does not depend on the rotation, but only on certain measure of its variable.
The isotropy means that the function $\WW(\mbox{\boldmath$\epsilon$})$ possesses a certain symmetry.
In continuum physics, the right Cauchy-Green tensor\footnote{Tensor is a geometrical object
which is defined as a multi-dimensional array satisfying a transformation law (see \cite{ogden}). A tensor must be independent of a particular choice of coordinate system (frame-indifference).
But this terminology has been misused in optimization literature, where, any multi-dimensional array of data
is called tensor (see \cite{bade}).} ${\bf C} ({\bf F}) = {\bf F}^T {\bf F}$ is an objective strain
measure, while the left Cauchy-Green tensor ${\bf c} = {\bf F} {\bf F}^T$ is an isotropic strain measure.
In Euclidean space ${\cal{W}}_a \subset {\mathbb R}} %\newcommand{\real}{{\bf R}^n$, the simplest objective function is the $\ell_2$-norm
$\|{\bf w}\|$ in ${\mathbb R}} %\newcommand{\real}{{\bf R}^n$ as we have
$\|{\bf R} {\bf w} \|^2 = {\bf w}^T {\bf R}^T {\bf R} {\bf w} = \|{\bf w}\|^2 \;\; \forall {\bf R} \in {\cal R}$.
In this case, the objectivity is equivalent to isotropy and, in
Lagrangian mechanics, the kinetic energy is required to be isotropic \cite{land-lif}.
Physically, an objective function doesn't depend on observers \cite{murd05}, which is essential for any real-world mathematical
modelling. In continuum physics,
objectivity
implies that the equilibrium condition of angular momentum (symmetry of the
Cauchy stress tensor $\mbox{\boldmath$\sigma$} = \partial \WW(\mbox{\boldmath$\epsilon$})$, Section 6.1 \cite{gao-dual00}) holds.
It is emphasized by P. Ciarlet that the objectivity is not an assumption, but an axiom \cite{ciarlet}.
Indeed, the objectivity is also known as the
{\em axiom of material frame-invariance}, which lays a foundation for the canonical duality theory.
As an objective function, the internal energy $W({\bf w})$ does not depends on each
particular problem. Dually, the external energy $F({\mbox{\boldmath$\chi$}})$ can be called the {\em subjective function,}
which depends on each given problem, such as the inputs, boundary conditions and geometrical constraints in ${\cal X}_a$.
Together, $\PP({\mbox{\boldmath$\chi$}}) = W(D{\mbox{\boldmath$\chi$}}) - F({\mbox{\boldmath$\chi$}})$ is called the total potential energy and the minimal potential principle
leads to the general optimization problem (\ref{eq-gs}).
For dynamical problems, the liner operator $\DD = \{ \partial_t , \partial_x\}$ and
$W(\DD{\mbox{\boldmath$\chi$}}) = \TT(\partial_t {\mbox{\boldmath$\chi$}}) - \VV(\partial_x {\mbox{\boldmath$\chi$}})$, where $\TT({\bf v})$ is the kinetic energy and $\VV({\bf e})$
can be viewed as stored potential energy, then
\[
\PP({\mbox{\boldmath$\chi$}}) = \TT(\partial_t {\mbox{\boldmath$\chi$}}) - \VV(\partial_x {\mbox{\boldmath$\chi$}}) - \FF({\mbox{\boldmath$\chi$}})
\]
is the total action in dynamical systems.
The necessary condition $\delta \PP({\mbox{\boldmath$\chi$}}) = 0$ for the solution of the minimization problem (\ref{eq-gs}) leads to
a general equilibrium equation:
\eb
A({\mbox{\boldmath$\chi$}}) = D^* \partial_{\mbox{\boldmath$\epsilon$}} W(D{\mbox{\boldmath$\chi$}}) = \bar{\mbox{\boldmath$\chi$}}^* . \label{eq-geq}
\ee
This abstract form of equilibrium equation covers extensive real-world applications ranging from
traditional mathematical physics, modern economics, ecology, game theory, information technology, network optimization,
operations research, and much more
\cite{gao-dual00,gao-sherali-amma,strang}.
Particularly, if $\WW(\mbox{\boldmath$\epsilon$})$ is quadratic such that $\partial^2 \WW(\mbox{\boldmath$\epsilon$}) = H$, then the operator $A:{\cal X}_c \rightarrow {\cal X}^*$
is linear and can be written in the triality form: $A = \DD^* H \DD$,
which appears extensively in mathematical physics, optimization, and linear systems \cite{gao-dual00,oden-reddy,strang}.
Clearly, any convex quadratic function $\WW(\mbox{\boldmath$\epsilon$})$ is objective due to the
Cholesky decomposition $A = \Lam^* \Lam \succeq 0 $.
\begin{example}[Manufacturing/Production Systems]
{\em
In management science, the configuration variable is a vector ${\mbox{\boldmath$\chi$}} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^n$, which could represent the products of a manufacture company.
Its dual variable $\bar{\mbox{\boldmath$\chi$}}^* \in {\mathbb R}} %\newcommand{\real}{{\bf R}^n$ can be considered as market price (or demands). Therefore, the external energy
$\FF({\mbox{\boldmath$\chi$}}) = \langle {\mbox{\boldmath$\chi$}} , \bar{\mbox{\boldmath$\chi$}}^*\rangle = {\mbox{\boldmath$\chi$}}^T \bar{\mbox{\boldmath$\chi$}}^* $ in this example
is the total income of the company.
The products are produced by workers $\mbox{\boldmath$\epsilon$} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^m$. Due to the cooperation, we have $\mbox{\boldmath$\epsilon$} = \DD {\mbox{\boldmath$\chi$}}$ and
$\DD \in {\mathbb R}} %\newcommand{\real}{{\bf R}^{m\times n}$ is a matrix. Workers are paid by salary $\mbox{\boldmath$\sigma$} = \partial \WW(\mbox{\boldmath$\epsilon$})$,
therefore, the internal energy $\WW(\mbox{\boldmath$\epsilon$})$ in this example is the cost, which should be an objective function.
Thus, $\PP({\mbox{\boldmath$\chi$}}) = \WW(\DD {\mbox{\boldmath$\chi$}}) - \FF({\mbox{\boldmath$\chi$}})$ is the {\em total cost or target} and the minimization problem $\min \PP({\mbox{\boldmath$\chi$}})$ leads to
the equilibrium equation
\[
\DD^T \partial_{\mbox{\boldmath$\epsilon$}} \WW(\DD {\mbox{\boldmath$\chi$}}) = \bar{\mbox{\boldmath$\chi$}}^*,
\]
which is an algebraic equation in ${\mathbb R}} %\newcommand{\real}{{\bf R}^n$. The weak form of this equilibrium equation is
$\langle {\mbox{\boldmath$\chi$}}, D^T \mbox{\boldmath$\sigma$} \rangle = \langle D {\mbox{\boldmath$\chi$}} ; \mbox{\boldmath$\sigma$} \rangle = \langle {\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\chi$}}^* \rangle$, which is the well-known {\em D'Alembert's principle} or the {\em principle of virtual work} in Lagrangian mechanics.
The cost function $\WW(\mbox{\boldmath$\epsilon$})$ could be convex for a very small company, but
usually nonconvex for big companies to allow some people having the same salaries.
}
\end{example}
\begin{example}[Lagrange Mechanics] \label{exam-lag}
{\em
In analytical mechanics, the configuration ${\mbox{\boldmath$\chi$}} \in {\cal X}_a \subset {\cal C}^1[I; {\mathbb R}} %\newcommand{\real}{{\bf R}^{n}]$ is a continuous vector-valued
function of time $t\in I \subset {\mathbb R}} %\newcommand{\real}{{\bf R}$. Its components $\{ \chi_i \} \; (i = 1, \dots, n) $ are known as
the {\em Lagrangian coordinates}\footnote{It is an unfortunate truth that
many people don't know the relation between the Lagrangian space ${\mathbb R}} %\newcommand{\real}{{\bf R}^n$ they work in and the Minkowski (physical) space ${\mathbb R}} %\newcommand{\real}{{\bf R}^3\times {\mathbb R}} %\newcommand{\real}{{\bf R}$ they live in.}. Its dual variable $\bar{\mbox{\boldmath$\chi$}}^*$ is the action vector function in ${\mathbb R}} %\newcommand{\real}{{\bf R}^n$, say ${\bf f}(t)$.
The external energy $\FF({\mbox{\boldmath$\chi$}}) = \langle {\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\chi$}}^* \rangle = \int_I {\mbox{\boldmath$\chi$}}(t) \cdot {\bf f}(t) {\,\mbox{d}t}$.
While the internal energy $\WW(\DD{\mbox{\boldmath$\chi$}})$ is the so-called action:
\[
\WW(\DD {\mbox{\boldmath$\chi$}}) = \int_I L({\mbox{\boldmath$\chi$}}, \dot{ {\mbox{\boldmath$\chi$}}} ) {\,\mbox{d}t} , \;\; L= \TT(\dot{ {\mbox{\boldmath$\chi$}}} ) - \VV( {\mbox{\boldmath$\chi$}})
\]
where $\TT $ is the kinetic energy density, $\VV $ is the potential density, and $L= \TT - \VV$ is the standard
{\em Lagrangian density}.
In this case, the linear operator $\DD {\mbox{\boldmath$\chi$}} = \{ \partial_t, 1 \} {\mbox{\boldmath$\chi$}} = \{ \dot{{\mbox{\boldmath$\chi$}}}, \; {\mbox{\boldmath$\chi$}}\}$ is a vector-valued mapping.
The kinetic energy $\TT $ must be an objective function of the velocity ${\bf v}_k = \dot{{\bf x}}_k({\mbox{\boldmath$\chi$}})$
(or isotropic since ${\bf v}_k$ is a vector) of each particle ${\bf x}_k = {\bf x}_k({\mbox{\boldmath$\chi$}}) \in {\mathbb R}} %\newcommand{\real}{{\bf R}^3 \;\; \forall k \in I_m$, while the potential density $\VV$ depends on each problem.
Together, $\PP({\mbox{\boldmath$\chi$}}) = \WW(\DD {\mbox{\boldmath$\chi$}}) - \FF({\mbox{\boldmath$\chi$}})$ is called {\em total action}. Its stationary condition leads to the {\em Euler-Lagrange equation}:
\eb
\DD^* \partial\WW(\DD{\mbox{\boldmath$\chi$}}) = - \partial_t \frac{\partial \TT( \dot{{\mbox{\boldmath$\chi$}}} )}{\partial \dot{{\mbox{\boldmath$\chi$}}}} - \nabla \VV( {\mbox{\boldmath$\chi$}}) = {\bf f}. \label{eq-e-l}
\ee
For Newton mechanics, $\TT({\bf v}) = \frac{1}{2} \sum_{k\in I_m} m_k \|{\bf v}_k\|^2 $ is quadratic, where $\|{\bf v}_k\| $ represents the Euclidean norm
(speed) of the $k$-th particle in $ {\mathbb R}} %\newcommand{\real}{{\bf R}^3$.
For Einstein's special relativity theory, $\TT({\bf v}) = -m_0 c \sqrt{c^2 - \|{\bf v}\|^2} $ is convex (see Chapter 2.1.2, \cite{gao-dual00}),
where $m_0 > 0$ is the mass of a particle at rest, $c$ is the speed of light.
Therefore, the total action $\PP({\mbox{\boldmath$\chi$}})$ is convex only if $\VV({\mbox{\boldmath$\chi$}})$ is linear. In this case, the solution of the
Euler-Lagrange equation (\ref{eq-e-l}) minimizes the total action.
The total action is nonconvex as long as the potential density $\VV({\mbox{\boldmath$\chi$}})$ is nonlinear.
In this case, the system may have periodic solution if $\VV({\mbox{\boldmath$\chi$}})$ is convex and the well-known {\em least action principle is indeed a misnomer} (see Chapter 2, \cite{gao-dual00}).
The system may have chaotic solution if the potential density $\VV({\mbox{\boldmath$\chi$}})$ is nonconvex \cite{gao-na00,gao-amma03}.
Unfortunately, these important facts are not well-realized in both classical mechanics and modern nonlinear dynamical systems. The recent review article\cite{gao-bc15}
presents a unified understanding
bifurcation, chaos, and NP-hard problems in complex systems.
} \end{example}
In nonlinear analysis, the linear operator $\DD$ is a partial differential operator, say $\DD= \{ \partial_t, \; \partial_x\}$,
and the abstract equilibrium equation (\ref{eq-geq})
is a nonlinear partial differential equation.
For convex $W({\bf w})$, the solution of this equilibrium equation is also a solution to the minimization problem (\ref{eq-gs}).
However, for nonconvex $W({\bf w})$, the solution of (\ref{eq-geq}) is only a stationary point of $\PP({\mbox{\boldmath$\chi$}})$.
In order to study stability and regularity of the local solutions in nonconvex problems,
many generalized definitions, such as
quasi-, poly- and rank-one convexities have been introduced and subjected to extensively study for more than fifty years \cite{ball}.
But all these generalized convexities provide only local extremality conditions, which lead to many ``outstanding open problems"
in nonlinear analysis \cite{ball}.
However, by the canonical duality-triality theory, we can have clear understandings on these challenges.
\subsection{Canonical transformation and classification of nonlinearities}\label{sec-cdt}
According to the canonical duality, the linear measure ${\bf w} = D {\mbox{\boldmath$\chi$}}$ can't be used directly for
studying constitutive law due to the objectivity.
Also, the linear operator can't change the nonconvexity of $W(D{\mbox{\boldmath$\chi$}})$.
Indeed, it is well-known that the deformation gradient ${\bf F} = \nabla {\mbox{\boldmath$\chi$}}$ is not considered as a strain measure in nonlinear elasticity.
The most commonly used strain measure is the right Cauchy-Green strain tensor ${\bf C} = {\bf F}^T {\bf F}$,
which is, clearly, an objective function since ${\bf C}({\bf F}) = {\bf C}({\bf Q} {\bf F})$.
According to P. Ciarlet (Theorem 4.2-1, \cite{ciarlet1}),
the stored energy $W({\bf F})$ of a hyperelastic material is objective if and only if there exists
a function $\tilde{W}$ such that $W({\bf F}) = \tilde{W}({\bf C})$.
Based on this fact in continuum physics,
the canonical transformation is naturally introduced.
\begin{definition}[Canonical Function and Canonical Transformation]$\;$ \hfill
A real-valued function $\Phi:{\cal E}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ is called canonical if the duality mapping
$ \partial \Phi: {\cal E}_a \rightarrow {\cal E}_a^*$ is one-to-one and onto.
For a given nonconvex function $W:{\cal{W}}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$, if there exists a geometrically admissible mapping
$\Lam:{\cal{W}}_a \rightarrow {\cal E}_a$ and a canonical function $\Phi:{\cal E}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ such that
\eb
W({\bf w}) = \Phi( \Lam({\bf w})), \label{eq-ct}
\ee
then, the transformation (\ref{eq-ct}) is called the canonical transformation
and ${\mbox{\boldmath$\xi$}} = \Lam({\bf w}) $ is called the canonical measure.
\end{definition}
By this definition, the one-to-one duality relation
${\mbox{\boldmath$\xi$}}^* = \partial \Phi({\mbox{\boldmath$\xi$}}) : {\cal E}_a \rightarrow
{\cal E}^*_a$ implies that the canonical function $\Phi({\mbox{\boldmath$\xi$}})$ is differentiable
and its conjugate function $\Phi^*:{\cal E}^*_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$
can be uniquely defined by the Legendre transformation \cite{gao-dual00}
\eb
\Phi^*({\mbox{\boldmath$\xi$}}^*) = \{ \langle {\mbox{\boldmath$\xi$}} ; {\mbox{\boldmath$\xi$}}^* \rangle - \Phi({\mbox{\boldmath$\xi$}}) | \; {\mbox{\boldmath$\xi$}}^* = \partial \Phi({\mbox{\boldmath$\xi$}}) \} ,
\ee
where $\langle {\mbox{\boldmath$\xi$}} ; {\mbox{\boldmath$\xi$}}^* \rangle $ represents the bilinear form on ${\cal E}$ and its dual space ${\cal E}^*$.
In this case, $\Phi:{\cal E}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ is a canonical function if and only if
the following canonical duality relations hold on ${\cal E}_a \times {\cal E}^*_a$:
\eb
{\mbox{\boldmath$\xi$}}^* = \partial \Phi({\mbox{\boldmath$\xi$}}) \;\; \Leftrightarrow \;\; {\mbox{\boldmath$\xi$}}= \partial \Phi^*({\mbox{\boldmath$\xi$}}^* ) \;\; \Leftrightarrow \;\;
\Phi({\mbox{\boldmath$\xi$}}) + \Phi^*({\mbox{\boldmath$\xi$}}^*) = \langle {\mbox{\boldmath$\xi$}} ; {\mbox{\boldmath$\xi$}}^* \rangle. \label{eq-cdr}
\ee
A canonical function $\Phi({\mbox{\boldmath$\xi$}})$ can also be nonsmooth but should be convex such that its conjugate can be well-defined by Fenchel
transformation
\eb
\Phi^\sharp({\mbox{\boldmath$\xi$}}^*) = \sup \{ \langle {\mbox{\boldmath$\xi$}} ; {\mbox{\boldmath$\xi$}}^* \rangle - \Phi({\mbox{\boldmath$\xi$}}) | \; {\mbox{\boldmath$\xi$}} \in {\cal E}_a \} .
\ee
In this case, $\partial \Phi({\mbox{\boldmath$\xi$}}) \subset {\cal E}^*_a$ is understood as
the sub-differential and the canonical duality relations (\ref{eq-cdr}) should be written in the generalized form
\eb
{\mbox{\boldmath$\xi$}}^* \in \partial \Phi({\mbox{\boldmath$\xi$}}) \;\; \Leftrightarrow \;\; {\mbox{\boldmath$\xi$}} \in \partial \Phi^\sharp({\mbox{\boldmath$\xi$}}^* ) \;\; \Leftrightarrow \;\;
\Phi({\mbox{\boldmath$\xi$}}) + \Phi^\sharp({\mbox{\boldmath$\xi$}}^*) = \langle {\mbox{\boldmath$\xi$}} ; {\mbox{\boldmath$\xi$}}^* \rangle. \label{eq-cdrn}
\ee
This generalized canonical duality plays an important role in unified understanding Lagrangian duality and KKT theory
for constrained optimization problems (see \cite{g-r-s,lato-gao-opl} and Section \ref{sec-const}).
In analysis, nonlinear PDEs are classified as { semilinear}, { quasi-linear}, and { fully nonlinear}
three categories based on the degree of the nonlinearity \cite{feng-etal}. A {\em semilinear PDE} is a differential
equation that is nonlinear in the unknown function but linear in all its
partial derivatives. A {\em quasi-linear PDE} is one that is nonlinear in (at
least) one of the lower order derivatives but linear in the highest order derivative(s)
of the unknown function. {\em Fully nonlinear PDEs } are referred
to as the class of nonlinear PDEs which are nonlinear in the highest order derivatives
of the unknown function.
However, this classification is not essential as we know that the main difficulty is nonconvexity, instead of nonlinearity
since these nonlinear PDEs could be related to certain
convex variational problems, which can be solved easily by numerical methods.
The concepts of geometrical and physical nonlinearities are well-known in continuum physics,
but not in abstract analysis and optimization.
This leads to many confusions.
Based on the canonical transformation, we can have the following classification.
\begin{definition}[Geometrical, Physical and Complete Nonlinearities] $\;$\hfill
The general problem (\ref{eq-gs}) is called geometrically nonlinear (resp. linear) if the geometrical operator $\Lam({\bf w})$
is nonlinear (resp. linear);
The problem (\ref{eq-gs}) is called physically nonlinear (resp. linear) if the constitutive relation $ {\mbox{\boldmath$\xi$}}^* = \partial \Phi({\mbox{\boldmath$\xi$}})$
is nonlinear (resp. linear);
The general problem (\ref{eq-gs}) is called completely nonlinear if it is both geometrically and physically nonlinear.
\end{definition}
According to this clarification, the minimization problem (\ref{eq-gs}) is
geometrically linear as long as the stored energy $W({\bf w})$ is convex. In this case, $\Lam(D{\mbox{\boldmath$\chi$}}) = D {\mbox{\boldmath$\chi$}}$ and
$\Phi(\Lam({\bf w}) ) = W({\bf w})$.
Thus, a physically nonlinear but geometrically linear problem could be equivalent to a fully nonlinear PDE,
which can be solved easily by well-developed convex optimization techniques.
Therefore, the main difficulty in complex systems is the geometrical nonlinearity.
This is the reason why only this nonlinearity was emphasized in the title of Gao-Strang's paper \cite{gao-strang89}.
The complete nonlinearity is also called fully nonlinearity in engineering mechanics.
Hope this new classification will clear out this confusion.
By the canonical transformation, the completely nonlinear minimization problem (\ref{eq-gs})
can be equivalently written in the following canonical form
\eb
({\cal{P}}): \;\;\; \min \{ \Pi({\mbox{\boldmath$\chi$}}) = \Phi(\Lam( D {\mbox{\boldmath$\chi$}})) - F({\mbox{\boldmath$\chi$}} ) | \; {\mbox{\boldmath$\chi$}} \in {\cal X}_c \}. \label{eq-canp}
\ee
In order to solving this nonconvex problem, we need to find its canonical dual form.
\subsection{Complementary-dual principle}
For geometrically linear problems, the stored energy $\WW({\bf w})$ is convex and the complementary energy $\WW^*(\mbox{\boldmath$\sigma$})$ can be uniquely defined
on ${\cal{W}}^*_a$ by Legendre transformation.
Therefore, by using equality $\WW({\bf w}) = \langle {\bf w} ; \mbox{\boldmath$\sigma$} \rangle - \WW^*(\mbox{\boldmath$\sigma$})$, the total potential $\PP({\mbox{\boldmath$\chi$}})$ can be equivalently written
in the classical Lagrangian form $L:{\cal X}_a \times {\cal{W}}_a^* \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$
\eb
L({\mbox{\boldmath$\chi$}}, \mbox{\boldmath$\sigma$}) = \langle D {\mbox{\boldmath$\chi$}} ; \mbox{\boldmath$\sigma$} \rangle - W^*(\mbox{\boldmath$\sigma$}) - F({\mbox{\boldmath$\chi$}}) = \langle {\mbox{\boldmath$\chi$}} , D^* \mbox{\boldmath$\sigma$} - \bar{\mbox{\boldmath$\chi$}}^* \rangle - W^*(\mbox{\boldmath$\sigma$}),
\ee
where, ${\mbox{\boldmath$\chi$}}$ can be viewed as a Lagrange multiplier for the equilibrium equation $D^* \mbox{\boldmath$\sigma$} = \bar{\mbox{\boldmath$\chi$}}^*$.
In linear elasticity, $L({\mbox{\boldmath$\chi$}}, \mbox{\boldmath$\sigma$})$ is the well-known Hellinger-Reissner complementary energy.
Let
${\cal S}_c = \{ \mbox{\boldmath$\sigma$} \in {\cal{W}}^*_a | \; D^* \mbox{\boldmath$\sigma$} = \bar{\mbox{\boldmath$\chi$}}^* \} $ be the so-called
{\em statically admissible space}. Then the Lagrangian dual of the general problem (\ref{eq-gs}) is given by
\eb
\max \{ \PP^*(\mbox{\boldmath$\sigma$}) = - \WW^*(\mbox{\boldmath$\sigma$}) | \; \mbox{\boldmath$\sigma$} \in {\cal S}_c \}, \label{eq-ld}
\ee
and the following Lagrangian min-max duality is well-known:
\eb
\min_{{\mbox{\boldmath$\chi$}} \in {\cal X}_c} \PP({\mbox{\boldmath$\chi$}}) = \min_{{\mbox{\boldmath$\chi$}} \in {\cal X}_a} \max_{\mbox{\boldmath$\sigma$} \in {\cal{W}}^*_a} L({\mbox{\boldmath$\chi$}}, \mbox{\boldmath$\sigma$}) =
\max_{\mbox{\boldmath$\sigma$} \in {\cal{W}}^*_a} \min_{{\mbox{\boldmath$\chi$}} \in {\cal X}_a} L({\mbox{\boldmath$\chi$}}, \mbox{\boldmath$\sigma$}) =
\max_{\mbox{\boldmath$\sigma$} \in {\cal S}_c} \PP^*(\mbox{\boldmath$\sigma$}) .
\ee
In continuum mechanics, this one-to-one duality is called {\em complementary-dual variational principle} \cite{oden-reddy}.
In finite elasticity, the Lagrangian dual is also known as the {\em Levison-Zubov principle}.
However, this principle holds only for convex problems.
If the stored energy $\WW({\bf w})$ is nonconvex, its complementary energy can't be determined uniquely by the Legendre transformation.
Although its Fenchel conjugate $\WW^\sharp:{\cal{W}}^*_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R} \cup \{ + \infty\}$ can be uniquely defined,
the Fenchel-Moreau dual problem
\eb
\max \{ \PP^\sharp(\mbox{\boldmath$\sigma$}) = - \WW^\sharp(\mbox{\boldmath$\sigma$}) | \;\; \mbox{\boldmath$\sigma$} \in {\cal S}_c\}
\ee
is not considered as a complementary-dual problem due to Fenchel-Young inequality:
\eb
\min \{ \PP({\mbox{\boldmath$\chi$}}) | \; {\mbox{\boldmath$\chi$}} \in {\cal X}_c \} \ge \max \{ \PP^\sharp(\mbox{\boldmath$\sigma$}) | \;\; \mbox{\boldmath$\sigma$} \in {\cal S}_c\} ,
\ee
and $\theta = \min \PP({\mbox{\boldmath$\chi$}}) - \max \PP^\sharp (\mbox{\boldmath$\sigma$}) \neq 0$ is the so-called {\em duality gap}.
This duality gap is intrinsic to all type of Lagrangian duality problems since the nonconvexity of $\WW(D{\mbox{\boldmath$\chi$}})$
can't be changed by any linear operator.
It turns out that the existence of a pure stress based complementary-dual principle has been a well-known debet in finite elasticity
for more than forty years \cite{li-gupta}.
\begin{remark}[Lagrange Multiplier Law]
{\em
Strictly speaking, the Lagrange multiplier method can be used mainly for equilibrium constraint
in ${\cal S}_c$ and the Lagrange multiplier must be the solution to the primal problem (see Section 1.5.2 \cite{gao-dual00}).
The equilibrium equation $\DD^* \mbox{\boldmath$\sigma$} = \bar{\mbox{\boldmath$\chi$}}^*$
must be an invariant under certain coordinates transformation,
say the law of angular momentum conservation,
which is guaranteed by the objectivity of the stored energy $\WW(\DD{\mbox{\boldmath$\chi$}})$ in continuum mechanics (see Definition 6.1.2, \cite{gao-dual00}), or by the
isotropy of the kinetic energy $\TT(\dbchi)$ in Lagrangian mechanics \cite{land-lif}.
Specifically, the equilibrium equation for Newton's mechanics is an invariant under the Calilean transformation;
while for Einstein's special relativity theory, the equilibrium equation $\DD^* \mbox{\boldmath$\sigma$} = \bar{\mbox{\boldmath$\chi$}}^*$ is an invariant under the
Lorentz transformation.
For linear equilibrium equation, the quadratic
$\WW(\mbox{\boldmath$\epsilon$})$ is naturally an objective function for convex systems.
Unfortunately, since the concept of the objectivity is misused in mathematical optimization,
the Lagrange multiplier method has been mistakenly used for solving general nonconvex problems, which produces
many different duality gaps.
}
\end{remark}
In order to recover the duality gap in nonconvex problems, we use the canonical transformation $\WW(\DD{\mbox{\boldmath$\chi$}}) = \Phi(\Lam(\DD\chi))$ such that the nonconvex total potential $\Pi({\mbox{\boldmath$\chi$}})$ can be reformulated as
the total complementary energy $\Xi: {\cal X}_a \times {\cal E}^*_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$
\eb
\Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) = \langle \Lam (D{\mbox{\boldmath$\chi$}}) ; {\mbox{\boldmath$\xi$}}^* \rangle - \Phi^*({\mbox{\boldmath$\xi$}}^*) - F({\mbox{\boldmath$\chi$}}),
\ee
which was first introduced by Gao and Strang in 1989 \cite{gao-strang89}.
The stationary condition $\delta \Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) = 0$ leads to the following canonical equations:
\begin{eqnarray}
\Lam(D{\mbox{\boldmath$\chi$}}) = \partial \Phi^*({\mbox{\boldmath$\xi$}}^*) , \label{eq-canc}\\
D^*\Lam_t(D{\mbox{\boldmath$\chi$}}) {\mbox{\boldmath$\xi$}}^* = \partial F({\mbox{\boldmath$\chi$}}) ,\label{eq-cane}
\end{eqnarray}
where $\Lam_t({\bf w}) = \partial \Lam({\bf w})$ is a generalized G\^{a}teaux derivative of $\Lam({\bf w})$.
By the canonical duality, (\ref{eq-canc}) is equivalent to
${\mbox{\boldmath$\xi$}}^* = \partial_{\mbox{\boldmath$\xi$}} \Phi(\Lam(D {\mbox{\boldmath$\chi$}}))$.
Therefore, the canonical equilibrium equation (\ref{eq-cane}) is the general equilibrium equation (\ref{eq-geq}).
By using the Gao-Strang complementary function, the canonical dual of $\Pi({\mbox{\boldmath$\chi$}})$ can be obtained as
\eb
\Pi^d({\mbox{\boldmath$\xi$}}^*) = {\rm sta} \{ \Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) | \;\; {\mbox{\boldmath$\chi$}} \in {\cal X}_a \} = \FF^\Lam ({\mbox{\boldmath$\xi$}}^*) - \Phi^*({\mbox{\boldmath$\xi$}}^*),
\ee
where $\FF^\Lam({\mbox{\boldmath$\xi$}}^*)$ is the $\Lam$-transformation defined by \cite{gao-jogo00}
\eb
\FF^\Lam({\mbox{\boldmath$\xi$}}^*) = {\rm sta} \{ \langle \Lam(D {\mbox{\boldmath$\chi$}}) ; {\mbox{\boldmath$\xi$}}^* \rangle - \FF({\mbox{\boldmath$\chi$}}) | \; {\mbox{\boldmath$\chi$}} \in {\cal X}_a \}.
\ee
Clearly, the stationary condition in this $\Lam$-transformation is the canonical equilibrium equation (\ref{eq-cane}).
Let ${\cal S}_c \subset {\cal E}^*_a$ be a feasible set, on which $\FF^\Lam({\mbox{\boldmath$\xi$}}^*)$ is well-defined. Then we have the following
result.
\begin{thm}[Complementary-Dual Principle \cite{gao-mrc99,gao-mecc99}]
If $(\bar{\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\xi$}}^*) \in {\cal X}_a \times {\cal E}^*_a $ is a stationary point of $\Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*)$, then
$\bar{\mbox{\boldmath$\chi$}}$ is a stationary point of $\Pi({\mbox{\boldmath$\chi$}}) $ on ${\cal X}_c$, while $\bar{\mbox{\boldmath$\xi$}}^*$ is a stationary point of $\Pi^d({\mbox{\boldmath$\xi$}}^*)$ on ${\cal S}_c$,
and
\eb
\Pi(\bar{\mbox{\boldmath$\chi$}}) = \Xi(\bar{\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\xi$}}^*) = \Pi^d(\bar{\mbox{\boldmath$\xi$}}^*).
\ee
\end{thm}
This theorem shows that there is no duality gap between $\Pi({\mbox{\boldmath$\chi$}})$ and $\Pi^d({\mbox{\boldmath$\xi$}}^*)$.
In many real-world applications, the geometrical operator $\Lam({\bf w})$ is usually quadratic such that
the total complementary function $\Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*)$ can be written as
\eb
\Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) = \frac{1}{2} \langle {\mbox{\boldmath$\chi$}} , {\bf G}({\mbox{\boldmath$\xi$}}^*) {\mbox{\boldmath$\chi$}} \rangle - \Phi^*({\mbox{\boldmath$\xi$}}^*) - \langle {\mbox{\boldmath$\chi$}}, {\bf F}({\mbox{\boldmath$\xi$}}^*)\rangle \label{eq-xiq}
\ee
where ${\bf G}({\mbox{\boldmath$\xi$}}^*) = \nabla^2_{{\mbox{\boldmath$\chi$}}} \Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*)$ and ${\bf F}({\mbox{\boldmath$\xi$}}^*)$ depends on the linear terms in $\Lam(\DD{\mbox{\boldmath$\chi$}})$ and the input $\bar{\mbox{\boldmath$\chi$}}^*$.
The first term in $\Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*)$
\eb
G_{ap}({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) = \frac{1}{2} \langle {\mbox{\boldmath$\chi$}} , {\bf G}({\mbox{\boldmath$\xi$}}^*) {\mbox{\boldmath$\chi$}} \rangle
\ee
is the so-called {\em complementary gap function} introduced by Gao and Strang in \cite{gao-strang89}.
In this case, the canonical equilibrium equation $\nabla_{\mbox{\boldmath$\chi$}} \Xi({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) = {\bf G}({\mbox{\boldmath$\xi$}}^*) {\mbox{\boldmath$\chi$}} - {\bf F}({\mbox{\boldmath$\xi$}}^*) = 0$ is linear in ${\mbox{\boldmath$\chi$}}$
and the canonical dual $\Pi^d$ can be explicitly formulated as
\eb
\Pi^d({\mbox{\boldmath$\xi$}}^*) = - G^*_{ap}({\mbox{\boldmath$\xi$}}^*) - \Phi^*({\mbox{\boldmath$\xi$}}^*), \label{eq-cdg}
\ee
where
$G^*_{ap} ({\mbox{\boldmath$\xi$}}^*) = \frac{1}{2} \langle {\bf G}^{-1} ({\mbox{\boldmath$\xi$}}^*) {\bf F}({\mbox{\boldmath$\xi$}}^*) , {\bf F}({\mbox{\boldmath$\xi$}}^*) \rangle $
is called {\em pure complementary gap function}.
Comparing this canonical dual with the Lagrangian dual $\PP^*(\mbox{\boldmath$\sigma$}) = - \WW^*(\mbox{\boldmath$\sigma$})$ in (\ref{eq-ld}) we can find that
in addition to replace $\WW^*$ by the canonical dual $\Phi^*$, the first term in $\Pi^d$ is
identical to the Gao-Strang complementary gap function, which recovers the duality gap in Lagrangian duality theory
and plays an important role in triality theory.
\begin{thm}[Analytical Solution Form]
If $\bar{\mbox{\boldmath$\xi$}}^* \in {\cal S}_c$ is a stationary point of $\Pi^d({\mbox{\boldmath$\xi$}}^*)$, then
\eb
\bar{\mbox{\boldmath$\chi$}} = {\bf G}^{-1} (\bar{\mbox{\boldmath$\xi$}}^*) {\bf F}(\bar{\mbox{\boldmath$\xi$}}^*) \label{eq-anas}
\ee
is a stationary point of $\Pi({\mbox{\boldmath$\chi$}})$ on ${\cal X}_c$ and $\Pi(\bar{\mbox{\boldmath$\chi$}}) = \Pi^d(\bar{\mbox{\boldmath$\xi$}}^*)$.
\end{thm}
This theorem shows that the primal solution is analytically depends on its
canonical dual solution. Clearly, the canonical dual of a nonconvex primal problem is also nonconvex and may
have multiple stationary points. By the canonical duality, each of these stationary solutions is corresponding to a primal solution
via (\ref{eq-anas}). Their extremality is governed by Gao and Strang's complementary gap function.
\subsection{Triality theory}\label{sec-tri}
In order to identify extremality of these stationary solutions,
we need to assume that the canonical function $\Phi:{\cal E}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ is convex and let
\eb
{\cal S}_c^+ = \{ {\mbox{\boldmath$\xi$}}^* \in {\cal S}_c| \;\; {\bf G} ({\mbox{\boldmath$\xi$}}^*) \succ 0 \} , \;\; \;\;{\cal S}_c^- = \{ {\mbox{\boldmath$\xi$}}^* \in {\cal S}_c | \;\; {\bf G} ({\mbox{\boldmath$\xi$}}^*) \prec 0 \}
.
\ee
Clearly, for any given ${\mbox{\boldmath$\chi$}} \in {\cal X}_a $ and $ {\mbox{\boldmath$\chi$}} \neq0 $, we have
\[
G_{ap}({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) > 0 \;\; \Leftrightarrow \;\; {\mbox{\boldmath$\xi$}}^* \in {\cal S}_c^+, \;\;
G_{ap}({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) < 0 \;\; \Leftrightarrow \;\; {\mbox{\boldmath$\xi$}}^* \in {\cal S}_c^-.
\]
\begin{thm}[Triality Theorem]\label{thm-tri}
Suppose $ \bar{\mbox{\boldmath$\xi$}}^* $ is a stationary point of $\Pi^d({\mbox{\boldmath$\xi$}}^*)$ and
$\bar{\mbox{\boldmath$\chi$}} = {\bf G}^{-1} (\bar{\mbox{\boldmath$\xi$}}^*) \bar{\mbox{\boldmath$\xi$}}^*$. If $\bar{\mbox{\boldmath$\xi$}}^* \in {\cal S}_c^+$, we have
\eb
\Pi(\bar{\mbox{\boldmath$\chi$}}) = \min_{{\mbox{\boldmath$\chi$}} \in {\cal X}_c} \Pi({\mbox{\boldmath$\chi$}}) \;\; \Leftrightarrow \;\; \max_{{\mbox{\boldmath$\xi$}}^* \in {\cal S}_c^+} \Pi^d({\mbox{\boldmath$\xi$}}^*) = \Pi^d(\bar{\mbox{\boldmath$\xi$}}^*);\label{eq-tris}
\ee
If $\bar{\mbox{\boldmath$\xi$}}^* \in {\cal S}_c^-$, then on a neighborhood\footnote{The neighborhood ${\cal X}_o$ of $\bar{\mbox{\boldmath$\chi$}}$ means that on which,
$\bar{\mbox{\boldmath$\chi$}}$ is the only stationary point.} ${\cal X}_o\times {\cal S}_o \subset {\cal X}_c\times {\cal S}_c^-$ of $(\bar{\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\xi$}}^*)$,
we have either
\eb
\Pi(\bar{\mbox{\boldmath$\chi$}}) = \max_{{\mbox{\boldmath$\chi$}} \in {\cal X}_o} \Pi({\mbox{\boldmath$\chi$}}) \;\; \Leftrightarrow \;\; \max_{{\mbox{\boldmath$\xi$}}^* \in {\cal S}_o} \Pi^d({\mbox{\boldmath$\xi$}}^*) = \Pi^d(\bar{\mbox{\boldmath$\xi$}}^*) , \label{eq-trima}
\ee
or (only if ${\mbox{dim}} \bar{\mbox{\boldmath$\chi$}} = {\mbox{dim}} \bar{\mbox{\boldmath$\xi$}}^*$)
\eb
\Pi(\bar{\mbox{\boldmath$\chi$}}) = \min_{{\mbox{\boldmath$\chi$}} \in {\cal X}_o} \Pi({\mbox{\boldmath$\chi$}}) \;\; \Leftrightarrow \;\; \min_{{\mbox{\boldmath$\xi$}}^* \in {\cal S}_o} \Pi^d({\mbox{\boldmath$\xi$}}^*) = \Pi^d(\bar{\mbox{\boldmath$\xi$}}^*)\label{eq-trimi}.
\ee
\end{thm}
The first statement (\ref{eq-tris}) is called {\em canonical min-max duality}. Its weak form
was discovered by Gao and Strang in 1989 \cite{gao-strang89}. This duality
can be used to identify global minimizer of the nonconvex problem (\ref{eq-gs}).
According this statement, the nonconvex problem (\ref{eq-gs}) is equivalent to
the following canonical dual problem, denoted by $({\cal{P}}^d)$:
\eb
({\cal{P}}^d): \;\;\; \max \{ \Pi^d({\mbox{\boldmath$\xi$}}^*) | \; {\mbox{\boldmath$\xi$}}^* \in {\cal S}_c^+ \}. \label{eq-cdmax}
\ee
This is a concave maximization problem which can be solved easily by well-developed convex analysis and optimization techniques.
The second statement (\ref{eq-trima}) is the {\em canonical double-max duality} and
(\ref{eq-trimi}) is the {\em canonical double-min duality}.
These two statements can be used to identify the biggest local maximizer and local minimizer of the primal problem, respectively.
The triality theory was first discovered by Gao 1996 in
post-buckling analysis of a large deformed beam \cite{gao-amr97}. The generalization to global optimization
was made in 2000 \cite{gao-jogo00}.
It was realized in 2003 that the double-min duality (\ref{eq-trimi}) holds under certain additional condition \cite{gao-amma03,gao-opt03}.
Recently, it is proved that this additional condition is simply ${\mbox{dim}} \bar{\mbox{\boldmath$\chi$}} = {\mbox{dim}} \bar{\mbox{\boldmath$\xi$}}^*$
to have the strong canonical double-min duality (\ref{eq-trimi}), otherwise,
this double-min duality holds weakly in subspaces of ${\cal X}_o\times {\cal S}_o$
\cite{gao-wu-jimo,gao-wu-jogo,mora-gao-memo,mora-gao-naco}.
\begin{example}
{\em
To explain the theory, let us consider a very simple nonconvex optimization in
${\mathbb R}} %\newcommand{\real}{{\bf R}^n$:
\begin{eqnarray}
\min \left\{ \PP({\bf x})=\frac{1}{2} \alpha \left(\frac{1}{2}\|{\bf x}\|^2-\lam \right)^2-{\bf x}^T {\bf f} \; \;\; \forall {\bf x} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^n \right\} , \label{eq-exam1}
\end{eqnarray}
where ${\alpha}, \lam > 0$ are given parameters.
The criticality condition $\nabla P({\bf x})=0$ leads to a nonlinear algebraic
equation system in ${\mathbb R}} %\newcommand{\real}{{\bf R}^n$
\begin{eqnarray}
\alpha (\frac{1}{2} \|{\bf x}\|^2-\lam){\bf x} ={\bf f}.
\end{eqnarray}
Clearly, to solve this nonlinear algebraic equation directly is difficult.
Also traditional convex optimization theory
can not be used to identify global minimizer. However, by the
canonical dual transformation, this problem can be solved completely and easily.
To do so, we let $\xi=\Lam({\bf x})=\frac{1}{2}\|{\bf x}\|^2 \in {\mathbb R}} %\newcommand{\real}{{\bf R}$, which is an objective measure. Then,
the nonconvex function $W({\bf x}) = \frac{1}{2} \alpha(\frac{1}{2} \| {\bf x} \|^2 -\lam)^2$
can be written in canonical form
$\Phi(\xi) = \frac{1}{2} \alpha (\xi - \lam)^2$.
Its Legendre conjugate is given by
$\Phi^{\ast}(\varsigma)=\frac{1}{2} \alpha^{-1}\varsigma^2 + \lam \varsigma$, which is strictly convex.
Thus,
the total complementary function for this nonconvex optimization
problem is
\begin{eqnarray}
\Xi({\bf x},\varsigma)= \frac{1}{2} \|{\bf x}\|^2 \varsigma-\frac{1}{2}
\alpha^{-1}\varsigma^2 - \lam \varsigma - {\bf x}^T {\bf f}.
\end{eqnarray}
For a fixed $\varsigma \in {\mathbb R}} %\newcommand{\real}{{\bf R}$, the criticality condition
$\nabla_{{\bf x}} \Xi({\bf x})=0$ leads to
\begin{eqnarray}\label{balance}
\varsigma {\bf x}-{\bf f}=0.
\end{eqnarray}
For each $\varsigma \neq 0 $,
the equation
(\ref{balance}) gives ${\bf x}={\bf f}/\varsigma$ in vector form. Substituting this into the
total complementary function $\Xi$,
the canonical dual function can be easily obtained as
\begin{eqnarray}
\Pi^d(\varsigma)= \{\Xi({\bf x},\varsigma)| \nabla_{{\bf x}} \Xi({\bf x},\varsigma)
=0\}
= -\frac{{\bf f}^T {\bf f}}{2 \varsigma}-\frac{1}{2} \alpha^{-1} \varsigma^2
-\lam \varsigma, \;\;\; \forall \varsigma\neq 0.
\end{eqnarray}
The critical point of this canonical function is obtained
by solving the following dual algebraic equation
\begin{eqnarray}
2 (\alpha^{-1} \varsigma+\lam)\varsigma^2= {\bf f}^T {\bf f}. \label{eq-deuler}
\end{eqnarray}
For any given parameters $\alpha$, $\lam$ and the vector ${\bf f}\in {\mathbb R}} %\newcommand{\real}{{\bf R}^n$,
this cubic algebraic equation has at most three real roots
satisfying $\varsigma_1 \ge 0 \ge \varsigma_2\ge \varsigma_3$,
and each of these roots leads to a critical point of the nonconvex function
$P({\bf x})$, i.e., ${\bf x}_i={\bf f}/\varsigma_i$, $i=1,2,3$. By
the fact that $\varsigma_ 1 \in {\cal S}^+_c = \{ \varsigma \in {\mathbb R}} %\newcommand{\real}{{\bf R}\; |\; \varsigma > 0 \}$,
$\varsigma_{2,3} \in {\cal S}^-_c = \{ \varsigma \in {\mathbb R}} %\newcommand{\real}{{\bf R}\; |\; \varsigma < 0 \}$,
then Theorem \ref{thm-tri} tells us that ${\bf x}_1$ is
a global minimizer of $\Pi({\bf x})$, ${\bf x}_3 $ is a local maximizer of $\Pi({\bf x})$,
while ${\bf x}_2$ is a local minimizer if $n=1$ (see Fig. 1).
If we choose $n = 1, \;\; \alpha= 1$, $\lam=2$, and $f= \frac{1}{2}$,
the primal function and canonical dual function
are shown in Fig. \ref{onedim} (a), where, $x_1= 2.11491$ is global minimizer
of $\Pi({\bf x})$, $\varsigma_1=0.236417$ is global maximizer of $\Pi^d(\mbox{\boldmath$\varsigma$})$, and
$\Pi(x_1)=-1.02951=\Pi^d(\varsigma_1)$ (see the two black dots).
Also it is easy to verify that $x_2 $ is a local minimizer, while $x_3$ is a local maximizer.
\begin{figure}
\includegraphics[scale=.55]{1dim.jpg}
$ \mbox{ (a) $f = 0.5$ }$ \hspace{5cm} (b) $f = 0.\;\;\;\;\;\;$
\centering
\caption{ Graphs of $\Pi({\bf x})$ (solid) and $\Pi^d(\varsigma)$ (dashed) }\label{onedim}
\end{figure}
If we let ${\bf f}= 0$, the graph of $\Pi({\bf x})$ is symmetric (i.e. the so-called double-well potential or the Mexican hat for $n=2$
\cite{gao-amma03})
with infinite number of global minimizers
satisfying $\| {\bf x} \|^2 = 2 \lam$.
In this case, the canonical dual $\Pi^d (\varsigma) = - \frac{1}{2} {\alpha}^{-1} \varsigma^2 - \lam \varsigma$ is strictly concave
with only one critical point (local maximizer) $\varsigma_3 = - {\alpha} \lam \in {\cal S}_c^-$ (for ${\alpha}, \lam > 0$).
The corresponding solution ${\bf x}_3 = {\bf f} /\varsigma_3 = 0$ is a local maximizer.
By the canonical dual equation (\ref{eq-deuler})
we have $\varsigma_1 = \varsigma_2 = 0$ located on the boundary of ${\cal S}^+_c$,
which corresponding to the two global minimizers $x_{1,2} = \pm \sqrt{2 \lam}$ for $n=1$, see Fig. 1 (b).
This is similar to the post-buckling of large deformed beam.
Due to symmetry $(f = 0)$, the nonconvex function $\Pi({\bf x})$ has two possible buckled solutions ${\bf x}_{1,2} = ( \pm \sqrt{2 \lam}, 0 )$
with
the axial load $\lam = \frac{1}{2} (b^2 - a^2)$.
While the local maximizer ${\bf x}_3 = \{0, 0\}$ is corresponding to the unbuckled state.
This simple example shows a fundament issue in global optimization, i.e.,
the optimal solutions of a nonconvex problem depends sensitively on the linear term (input or perturbation) ${\bf f}$.
Geometrically speaking, the objective function $\WW(\DD {\bf x})$
in $\Pi({\bf x})$ possesses certain symmetry.
If there is no linear term (subjective function) in $\Pi({\bf x})$,
the nonconvex problem usually has more than one
global minimizer due to the symmetry.
Traditional direct approaches and the popular SDP method are usually failed to deal with this situation.
By the canonical duality theory, we understand that in this case the canonical dual function $\Pi^d(\varsigma)$ has no critical point in
${\cal S}_c^+$.
Therefore, the input ${\bf f}$ breaks
the symmetry so that $\Pi^d(\varsigma)$ has a unique stationary point in ${\cal S}_c^+$ which can be obtained easily.
This idea was originally from Gao's work (1996) on post-buckling analysis of large deformed beam \cite{gao-mrc96}, where the triality theorem was first proposed \cite{gao-amr97}. The potential energy of this beam model is a double-well function, similar to this example,
without lateral force or imperfection, the beam could have two buckling states
(corresponding to two minimizers) and one un-buckled state (local maximizer).
Later on (2008) in the Gao and Ogden work on analytical solutions in phase transformation \cite{gao-ogden-qjmam},
they further discovered that the nonconvex system has no phase transition unless the force distribution
$f(x)$ vanished at
certain points.
They also discovered that if force field $f(x) $ changes dramatically, all the Newton type direct approaches
failed even to find any local minimizer.
The linear perturbation method has been used successfully for solving global optimization problems \cite{chen-gao-oms,mora-gao-naco,r-g-j,wang-ea}.
}\end{example}
\section{Applications for modeling of complex systems}
By the fact that the canonical duality is a fundamental law governing natural phenomena
and the objectivity is a basic condition for mathematical models,
the canonical duality-triality theory can be used for modeling real-world problems within a unified framework.
\subsection{Mixed integer nonlinear programming }
The most general and challenging problem in global optimization could be the mixed integer nonlinear program (MINP),
which is a minimization problem generally formulated as (see \cite{gros})
\eb
\min \{ f( {\bf x},{\bf y}) | \;\; g_i ({\bf x},{\bf y}) \le 0 \;\; \forall i \in I_m, \;\; {\bf x} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^n, \;\; {\bf y} \in {\mathbb{Z}}^p \} \label{eq-minp}
\ee
where ${\mathbb{Z}}^p$ is an integer set,
the ``objective function" $f({\bf x},{\bf y})$ and constraints $g_i({\bf x},{\bf y})$ for $i\in I_m$ are arbitrary functions \cite{burer-le}.
Certainly, this artificial model is virtually applicable to any problem in operations research, but it is impossible to develop
a general theory and powerful algorithm without detailed information given on these functions.
As we know that the objectivity is a fundamental concept in mathematical modeling.
Unfortunately, this concept has been mistakenly used with other functions,
such as target, cost, energy, and utility functions, etc\footnote{See $http://en.wikipedia.org/wiki/Mathematical_{-}optimization$}.
Based on the Gao-Strang model (\ref{eq-gs}), we let ${\mbox{\boldmath$\chi$}} = ({\bf x},{\bf y}), \; {\bf D}{\mbox{\boldmath$\chi$}} = ( {\bf D}_x {\bf x}, \; {\bf D}_y {\bf y})$, and
$\bar{\mbox{\boldmath$\chi$}}^* = ( {{\bf b}}, {\bf t} )$. Then the general MINP problem (\ref{eq-minp}) can be remodeled in the following form
\eb
\min \{ \PP({\bf x},{\bf y}) = \WW({\bf D}_x {\bf x}, {\bf D}_y {\bf y}) - {\bf x}^T {{\bf b}} - {\bf y}^T {\bf t} \; | \;\;
({\bf x},{\bf y}) \in {\cal X}_c \times {{\cal Y}}_c, \;\; {\bf x} \in {\mathbb{Z}}^p \},
\ee
where the feasible sets are, correspondingly,
\[
{\cal X}_c = \{ {\bf x} \in {\cal X}_a \subset {\mathbb R}} %\newcommand{\real}{{\bf R}^n \; | \;\; {\bf D}_x {\bf x} \in {\cal U}_a \},
\; \; {\cal Y}_c = \{ {\bf y} \in {\cal Y}_a \subset {\mathbb R}} %\newcommand{\real}{{\bf R}^p | \; {\bf D}_y {\bf y} \in {\cal V}_a \}.
\]
In ${\cal X}_a, {\cal Y}_a$, certain linear constraints are given, while in ${\cal U}_a , \; {\cal V}_a$, general nonlinear (constitutive) constraints
are prescribed such that the nonconvex (objective) function $\WW:{\cal U}_a \times {\cal V}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ can be written in
the canonical form
$\WW({\bf D} {\mbox{\boldmath$\chi$}}) = \Phi_\chi({\mbox{\boldmath$\Lambda$}}({\mbox{\boldmath$\chi$}}))$
for certain geometrical operator ${\mbox{\boldmath$\Lambda$}}({\mbox{\boldmath$\chi$}})$.
By the fact that any integer set ${\mathbb{Z}}^p$ is equivalent to a Boolean set \cite{ruan-gao-jogo14,wang-ea1},
we simply let ${\mathbb{Z}}^p= \{ 0, 1 \}^p$.
This constitutive constraint can be relaxed by the canonical transformation \cite{gao-jimo07,gao-ruan-jogo10}
\eb
\mbox{\boldmath$\epsilon$} = {\mbox{\boldmath$\Lambda$}}_x({\bf x}) = {\bf x} \circ ({\bf x} - {\bf 1}) = \{ x_i^2 - x_i \}^p,
\ee
and the canonical function $\Phi_x(\mbox{\boldmath$\epsilon$}) = \{ 0 \mbox{ if } \mbox{\boldmath$\epsilon$} = {\bf 0}, \; \infty \mbox{ otherwise} \}$.
Therefore, the canonical form for the MINP problem is
\eb
\min \{ \Pi({\bf x},{\bf y}) = \Phi_\chi({\mbox{\boldmath$\Lambda$}}({\bf x},{\bf y})) + \Phi_x({\mbox{\boldmath$\Lambda$}}_x({\bf x})) - {\bf x}^T {{\bf b}} - {\bf y}^T {\bf t} \; | \;
({\bf x},{\bf y}) \in {\cal X}_c \times {\cal Y}_c\}.
\ee
This canonical form covers many real-world applications, including the so-called fixed cost problem \cite{g-r-s-fix}.
By the fact that the canonical function $\Phi_x(\mbox{\boldmath$\epsilon$})$ is convex, semi-continuous,
the canonical duality relation should be replaced by
the sub-differential form $\mbox{\boldmath$\sigma$} \in \partial \Phi_x(\mbox{\boldmath$\epsilon$}) $, which is equivalent to
\eb
\mbox{\boldmath$\sigma$}^T \mbox{\boldmath$\epsilon$} = 0 \;\;\Leftrightarrow \;\; \mbox{\boldmath$\epsilon$} = {\bf 0} \;\; \forall \mbox{\boldmath$\sigma$} \neq {\bf 0}
\ee
Thus, the integer constraint $\mbox{\boldmath$\epsilon$} = {\mbox{\boldmath$\Lambda$}}_x({\bf x}) = \{x_i(x_i -1)\} = {\bf 0}$ can be relaxed by the
canonical dual constraint $\mbox{\boldmath$\sigma$} \neq {\bf 0}$ in continuous space.
The canonical duality-triality theory has be used successfully for solving mixed integer programming problems
\cite{chen-gao-ruan,gao-ruan-jogo10,g-r-s-fix}. Particularly, for the quadratic integer programming problem (\ref{eq-qip}), i.e.
\[
\min \left\{ \PP({\bf x}) = \frac{1}{2} {\bf x}^T {\bf Q} {\bf x} - {\bf x}^T {\bf f} | \;\; {\bf x} \in \{ 0, 1 \}^n \right\},
\]
the canonical dual is \cite{fang-gao-h-w06,gao-jimo07}
\eb
\max \left \{ \Pi^d(\mbox{\boldmath$\sigma$}) = -\frac{1}{2} ( {\bf f} + \mbox{\boldmath$\sigma$})^T {\bf G}^{-1}(\mbox{\boldmath$\sigma$}) ({\bf f} + \mbox{\boldmath$\sigma$}) | \;\; \mbox{\boldmath$\sigma$} \in {\cal S}_c^+ \right\}
\ee
where ${\bf G} (\mbox{\boldmath$\sigma$}) = {\bf Q} + 2 {\mbox{Diag }} (\mbox{\boldmath$\sigma$}) $. This is a concave maximization problem
over the convex set in continuous space
\[
{\cal S}_c^+ = \{ \mbox{\boldmath$\sigma$} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^n | \; \mbox{\boldmath$\sigma$} \neq {\bf 0} , \;\; {\bf G}(\mbox{\boldmath$\sigma$}) \succ 0 \},
\]
which can be solved easily if ${\cal S}_c^+ \neq \emptyset $.
Otherwise, the integer programming problem (\ref{eq-qip}) could be NP-hard, which is a conjecture proposed in \cite{gao-jimo07}.
In this case, a second canonical dual problem has been proposed in \cite{gao-cace09,gao-watson-etal}
\eb
\min\left\{ \Pi^g(\mbox{\boldmath$\sigma$}) = - \frac{1}{2} \mbox{\boldmath$\sigma$}^T {\bf Q}^{-1} \mbox{\boldmath$\sigma$} - \sum_{i=1}^n | f_i - \sig_i| \;\; | \; \mbox{\boldmath$\sigma$} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^n \right\}.
\ee
This is a unconstrained nonsmooth minimization problem, which can be solved by some deterministic methods, such as DIRECT method
\cite{gao-watson-etal}.
\begin{remark}[Subjective Function and NP-hard Problems] {\em
The subjective function $\FF({\mbox{\boldmath$\chi$}}) = \langle {\mbox{\boldmath$\chi$}} , \bar{\mbox{\boldmath$\chi$}}^* \rangle $ in the general model
$ \PP({\mbox{\boldmath$\chi$}}) = \WW(\DD{\mbox{\boldmath$\chi$}}) - \FF({\mbox{\boldmath$\chi$}})$ plays an important role in
global optimization problems.
It was proved in \cite{gao-cace09} that for quadratic integer programming problem (\ref{eq-qip}), if the
source term ${\bf f}$ is bigger enough, the solution is simply $\{ x_i\} = \{0 \mbox{ if } f_i < 0 , \; 1 \; \mbox{ if } f_i > 0\}$ (Theorem 8, \cite{gao-cace09}).
If a system has no input, by Newton's law, it has either trivial solution or infinite number solutions.
For example, the well-known max-cut problem
\eb
\max \left\{ \PP({\bf x}) = \frac{1}{4} \sum_{i,j = 1}^{n+1} \omega_{ij} (1 - x_i x_j) \; | \; x_i \in \{-1, 1\} \forall i = 1, \dots, n\right\}
\ee
is a special case of quadratic integer programming problem without the linear term. The integer condition
is a physical (constitutive) constraint. Since there is no geometrical constraint, the graph is not fixed and any rigid motion is possible. Due to the symmetry $\omega_{ij} = \omega_{ji} > 0$,
the global solution is not unique.
The canonical dual feasible space ${\cal S}^+_c$ in this example is empty and the problem is considered as NP-complete even if $\omega_{ij} = 1$ for all edges $i, j = 1, \dots, n$ \cite{kap}.
However, by adding a linear perturbation term, this problem can be solved efficiently by the canonical duality theory \cite{wang-ea}.
}
\end{remark}
\subsection{Unified model in mathematical physics}
In analysis and mathematical physics,
the configuration variable ${\mbox{\boldmath$\chi$}}(t,{\bf x})$ is a continuous field function
${\mbox{\boldmath$\chi$}} : [0,T]\times \Omega \subset {\mathbb R}} %\newcommand{\real}{{\bf R}\times {\mathbb R}} %\newcommand{\real}{{\bf R}^d\rightarrow
\omega \subset {\mathbb R}} %\newcommand{\real}{{\bf R}^p$ (which is a hyper-surface if $d+1 = p$ in differential geometry).
The linear operator $\DD = ( \partial_t, \partial_x)$ is a partial differential operator
and the stored energy $\WW(\DD{\mbox{\boldmath$\chi$}}) = \TT(\partial_t {\mbox{\boldmath$\chi$}}) - \UU(\partial_x {\mbox{\boldmath$\chi$}})$ with $\TT({\bf v})$ as the kinetic energy
and $\UU(\mbox{\boldmath$\epsilon$})$ as deformation energy.
Since ${\bf v} = \partial_t {\mbox{\boldmath$\chi$}}$ is a vector, the objectivity for kinetic energy $\TT({\bf v})$ is also known as isotropy.
But $\mbox{\boldmath$\epsilon$} = \partial_x {\mbox{\boldmath$\chi$}}$ is a tensor, the deformation energy $\UU(\mbox{\boldmath$\epsilon$})$ should be an objective function.
In this case, the Gao and Strang model (\ref{eq-gs}) is
\eb
\min \left\{ \PP({\mbox{\boldmath$\chi$}}) = \TT(\partial_t {\mbox{\boldmath$\chi$}}) - \UU(\partial_x {\mbox{\boldmath$\chi$}}) - \langle {\mbox{\boldmath$\chi$}} , \bar{\mbox{\boldmath$\chi$}}^* \rangle \; | \; {\mbox{\boldmath$\chi$}} \in {\cal X}_c \right\} .
\ee
The stationary condition $\delta \PP({\mbox{\boldmath$\chi$}}) = 0$ leads to a general nonlinear partial differential equation
\eb
\partial^*_t \partial_{{\bf v}} \TT(\partial_t {\mbox{\boldmath$\chi$}}) - \partial^*_x \partial_{\mbox{\boldmath$\epsilon$}} \UU(\partial_x {\mbox{\boldmath$\chi$}}) = \bar{\mbox{\boldmath$\chi$}}^*.
\ee
The nonlinearity of this equation mainly depends on $\TT$ and $\UU$.
For Newtonian mechanics, $\TT({\bf v})$ is quadratic. By the objectivity, the deformation energy $\UU(\mbox{\boldmath$\epsilon$})$ can also
be split into quadratic part and a nonlinear part such that
$\WW(\DD {\mbox{\boldmath$\chi$}}) = \frac{1}{2} \langle {\mbox{\boldmath$\chi$}}, {\bf Q} {\mbox{\boldmath$\chi$}} \rangle + \VV({\bf D} {\mbox{\boldmath$\chi$}})$, where ${\bf Q}:{\cal X}_c \rightarrow {\cal X}^* $ is a self-adjoint operator,
${\bf D}$ is a linear operator, and $\VV(\mbox{\boldmath$\epsilon$})$ is a nonlinear objective functional.
The most simple example is a fourth-order polynomial
\eb
\VV(\mbox{\boldmath$\epsilon$} ) = \int_\Omega \frac{1}{2} \left( \frac{1}{2} \| \mbox{\boldmath$\epsilon$} \|^2 - \lam \right)^2 \,\mbox{d}\Oo,
\ee
which is nonconvex for $\lam > 0$. This nonconvex functional appears extensively in mathematical physics.
In fluid mechanics and thermodynamics, $\VV(\mbox{\boldmath$\epsilon$} )$ is the well-known {\em van de Waals double-well energy}.
It is also known as the {\em sombrero potential} in cosmic string theory \cite{edm-cop-kib}, or the {\em Mexican hat} in {\em Higgs mechanism} \cite{davier}
and quantum field theory \cite{a-e}.
For this most simple nonconvex potential, the general model (\ref{eq-gs}) can be written as
\eb
{\bf Q} {\mbox{\boldmath$\chi$}} + {\bf D}^* \left[ \left( \frac{1}{2} \|{\bf D} {\mbox{\boldmath$\chi$}} \|^2 - \lam \right) {\bf D} {\mbox{\boldmath$\chi$}} \right] = \bar{\mbox{\boldmath$\chi$}}^* . \label{eq-gsg}
\ee
This model covers many well-known equations.
1) {\bf Duffing equation} (${\bf Q} = - \partial^2_t$ and ${\bf D} = {\bf I}$ is an identical operator):
\eb
\chi_{_{tt}} + \left( \frac{1}{2} \chi^2 - \lam \right) \chi = f (t)
\ee
2) {\bf Landau-Ginzburg equation} (${\bf Q} = -\Delta, \; {\bf D} = {\bf I}$):
\eb
-\Delta {\mbox{\boldmath$\chi$}} + \left( \frac{1}{2} \|{\mbox{\boldmath$\chi$}}\|^2 - \lam \right) {\mbox{\boldmath$\chi$}} = {\bf f}
\ee
3) {\bf Cahn-Hillar equation} (${\bf Q} = -\Delta + {\mbox{curl}} {\mbox{curl}}, \;\; {\bf D} = {\bf I}$):
\eb
-\Delta {\mbox{\boldmath$\chi$}} + {\mbox{curl}} {\mbox{curl}} {\mbox{\boldmath$\chi$}} + \left( \frac{1}{2} \|{\mbox{\boldmath$\chi$}}\|^2 - \lam \right) {\mbox{\boldmath$\chi$}} = {\bf f}.
\ee
4) {\bf Nonlinear Gorden equation} (${\bf Q} = - \partial_{tt} + \Delta, \;\; {\bf D} = {\bf I}$):
\eb
-\chi_{_{tt}} + \Delta {\mbox{\boldmath$\chi$}} + \left( \frac{1}{2} \|{\mbox{\boldmath$\chi$}}\|^2 - \lam \right) {\mbox{\boldmath$\chi$}} = {\bf f}.
\ee
5) {\bf Nonlinear Gao beam} (${\bf Q} = \rho \partial_{tt} + K \partial_{xxxx} , \;\; {\bf D} = \partial_x$):
\eb
\rho \chi_{_{tt}} + K \chi_{_{xxxx}} - \left[\left(\frac{1}{2} \chi_{_x}^2 - \lam \right)\chi_{_x} \right]_x= f,
\ee
where $\lam \in {\mathbb R}} %\newcommand{\real}{{\bf R}$ is an axial force and $f(t,x)$ is the lateral load.
According to the nonlinear classification discussed in Section \ref{sec-cdt}, the general equation (\ref{eq-gsg})
is semilinear as long as ${\bf D} = {\bf I}$.
While the nonlinear Gao beam is quasi-linear.
However, if $\lam > 0$, all these PDEs equations are geometrically nonlinear but physically linear
since by the canonical transformation
\[
{\mbox{\boldmath$\xi$}} = \Lam(\mbox{\boldmath$\epsilon$}) = \frac{1}{2} \| \mbox{\boldmath$\epsilon$} \|^2 - \lam , \;\; \VV(\mbox{\boldmath$\epsilon$}) = \Phi(\Lam(\mbox{\boldmath$\epsilon$}) ) = \int_\Omega \frac{1}{2} {\mbox{\boldmath$\xi$}}^2 \,\mbox{d}\Oo ,
\]
the canonical duality relation $ {\mbox{\boldmath$\xi$}}^* = \partial \Phi({\mbox{\boldmath$\xi$}}) = {\mbox{\boldmath$\xi$}} $ is linear.
{\small \begin{figure}[h]
\includegraphics[scale=.45]{chaos.jpg}
\caption{ Chaotical trajectories of the nonlinear Gao beam computed by ``ode23'' (left) and ``ode15s'' (right) in MATLAB} \vspace{-.2cm}\label{fig-chaos}
\end{figure}
}
The geometrical nonlinearity represents large deformation in continuum physics, or far from the equilibrium state in complex systems, which is necessary for nonconvexity but not sufficient.
The nonconvexity of a geometrically nonlinear problem depends on external force and internal parameters.
For example, the total potential of the nonlinear Gao beam is nonconvex only if the
compressive load $\lam > \lam_c$, the Euler buckling load, i.e. the first eigenvalue of $K\chi_{_{xxxx}}$ \cite{gao-mrc96,gao-beam00}. In this case, the two minimizers represent the two buckled states,
while the local maximizer represents the unbuckled (unstable) state.
For dynamical loading,
these two local minimizers are very sensitive to the driving force and initial conditions
this nonconvex beam model could produce chaotic vibration.
The so-called strange attractor is actually a local minimizer
\cite{gao-thes02,gao-amma03}.
Particularly, if the variable $\chi(t,x)$ can be separate variable as $\chi=q(t) \sin(\theta x)$, this nonlinear beam model is equivalent to
the Duffing equation, which is well-known in chaotic dynamics.
Figure \ref{fig-chaos} shows clearly that for the same given initial data,
the same Runger-Kutta iteration but with different solvers in MATLAB produces very different
``trajectories'' in phase space $q$-$p$ ($p=q_{,t}$).
Therefore, this nonlinear beam model is important for understanding many challenging problems
in both mathematics and engineering applications and has been subjected to extensive study recently \cite{ahn,bengue-etal,cai-gao-qin,gao-thes02,kuttler-etal,li-etal,macha-netu}.
The canonical duality theory has been successfully for modeling real-world problems in
nonconvex/nonsmooth dynamical systems \cite{gao-phil01}, differential geometry \cite{gao-yang-sam},
contact mechanics \cite{gao-jmaa98},
post-buckling structures \cite{gao-beam00},
multi-scale phase transitions of solids \cite{gao-yu}, and general mathematical physics (see Chapter 4, \cite{gao-dual00}).
\section{Applications in large deformation mechanics}
For mixed boundary-value problems,
the input $\bar{\mbox{\boldmath$\chi$}}^* $ is the body force $ {\bf f} $ in the domain $\Omega\subset {\mathbb R}} %\newcommand{\real}{{\bf R}^d $
and surface traction ${\bf t}$ on the boundary ${\Gamma_t}\subset \partial \Omega$.
The external energy
\eb
\FF({\mbox{\boldmath$\chi$}}) = \langle {\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\chi$}}^* \rangle = \int_\Omega {\mbox{\boldmath$\chi$}} \cdot {\bf f} \,\mbox{d}\Oo
+ \int_{{\Gamma_t}} {\mbox{\boldmath$\chi$}} \cdot {\bf t} \,\mbox{d} \Gamma
\ee
is a linear functional defined on
${\cal X}_a = \{ {\mbox{\boldmath$\chi$}} \in {\cal C}^1[\Omega; {\mathbb R}} %\newcommand{\real}{{\bf R}^p] | \;\; {\mbox{\boldmath$\chi$}} = 0 \; \mbox{ on } {\Gamma_u}\}$.
For a hyper-elastic material deformation problem, we have ${\mbox{dim}} \Omega = d = p =3$. The stored energy $W({\bf F})$
is usually a nonconvex functional of the deformation gradient tensor
${\bf F} = \nabla {\mbox{\boldmath$\chi$}} $
\eb
\WW({\bf F}) = \int_\Omega \UU({\bf F} ) \,\mbox{d}\Oo,
\ee
where $\UU({\bf F} )$ is the stored energy density defined on ${\cal{W}}_a =
{\mathbb{M}}_+^3 = \{ {\bf F}= \{ F^i_{\alpha}\} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^{3\times 3} | \;\; \det {\bf F} > 0 \}$.
Thus, on the kinetically admissible space
\[
{\cal X}_c = \{ {\mbox{\boldmath$\chi$}} \in {\cal C}^1[\Omega; {\mathbb R}} %\newcommand{\real}{{\bf R}^d] | \;\;\det ( \nabla {\mbox{\boldmath$\chi$}} ) > 0 ,\;\; {\mbox{\boldmath$\chi$}} = 0 \; \mbox{ on } {\Gamma_u}\},
\]
the general model (\ref{eq-gs}) is a typical nonconvex variational problem
\eb
\min_{{\mbox{\boldmath$\chi$}} \in {\cal X}_c } \left\{ \PP({\mbox{\boldmath$\chi$}}) = \int_\Omega \UU(\nabla {\mbox{\boldmath$\chi$}}) \,\mbox{d}\Oo - \int_\Omega {\mbox{\boldmath$\chi$}} \cdot {\bf f} \,\mbox{d}\Oo
- \int_{{\Gamma_t}} {\mbox{\boldmath$\chi$}} \cdot {\bf t} \,\mbox{d} \Gamma \right\} . \label{eq-nela}
\ee
The linear operator
$D = \grad : {\cal X}_a \rightarrow {\mathbb{M}}_+^3 $ in this problem is a gradient.
The stationary condition $\delta \Pi({\mbox{\boldmath$\chi$}}) = 0$ leads to a mixed boundary-value problem (BVP)
\eb
(BVP): \;\; \; A({\mbox{\boldmath$\chi$}}) = \nabla^* \partial_{\bf F} \WW(\nabla {\mbox{\boldmath$\chi$}}) = \left\{
\begin{array}{ll}
- \nabla \cdot \nabla_{\bf F} \UU(\nabla {\mbox{\boldmath$\chi$}}) = {\bf f} \;\; \mbox{ in } \Omega, \label{eq-pde}\\
\hfill \\ \smallskip\noindent \cdot \nabla_{\bf F} \UU(\nabla {\mbox{\boldmath$\chi$}}) = {\bf t} \;\; \mbox{ on } {\Gamma_t}
\end{array}
\right.
\ee
According to the definition of nonlinear PDEs, the first equilibrium equation (\ref{eq-pde}) is fully nonlinear
as long as $\partial \UU({\bf F})$ is nonlinear.
However, it is geometrically linear if $\UU({\bf F})$ is convex. It is completely nonlinear only if $\UU({\bf F})$ is nonconvex.
Therefore, the definition of fully nonlinearity in PDEs can't be used to identify difficulty of the nonlinear problems.
It is well-known in finite deformation theory that the convexity of the stored energy density $\UU({\bf F})$
contradicts the most immediate physical experience (see Theorem 4.8-1, \cite{ciarlet1}).
Indeed, even its domain ${\mathbb{M}}_+^3$ is not a convex subset of ${\mathbb R}} %\newcommand{\real}{{\bf R}^{3\times 3}$ (Theorem 4.7-4, \cite{ciarlet1}).
Therefore, the solution to the (BVP) is only a stationary point of the total potential $\Pi({\mbox{\boldmath$\chi$}})$.
In order to identify minimizer of the problem,
many generalized convexities have been suggested
and the following results are well-known (see \cite{gao-dual00}):
\eb
\UU({\bf F}) \mbox{ is convex } \Rightarrow \mbox{ poly-convex } \; \Rightarrow
\; \mbox{ quasi-convex}\footnote{The quasiconvexity used in variational calculus and continuum physics has an entirely different meaning from that used in optimization, where a function $f:{\mathbb R}} %\newcommand{\real}{{\bf R}^n \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$ is called quasiconvex if
its level set ${\cal L}_{{\alpha}}[f] = \{ x \in {\mathbb R}} %\newcommand{\real}{{\bf R}^n | \; f(x) \le {\alpha} \} $ is convex. For example, the nonconvex function $f(x) = \sqrt{|x|}$ is quasiconvex.}
\; \Rightarrow \mbox{ rank-one convex}.
\ee
If $\UU \in {\cal C}^2(\mathbb{M}_+^3)$, then the
rank-one convexity is equivalent to the Legendre-Hadamard (L.H.) condition:
\eb
\sum_{i,j = 1}^3 \sum_{{\alpha},\beta =1}^3 \frac{\partial^2 \UU({\bf F}) }{\partial F^i_{\alpha} \partial F^j_\beta} a_i a_j b^{\alpha} b^\beta \ge 0 \;\; \forall {\bf a} = \{ a_i \} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^3 , \; \forall {\bf b} = \{ b^{\alpha} \} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^3.
\ee
The Legendre-Hadamard condition in finite elasticity
is also referred to as the {\em ellipticity condition}, i.e.,
if the L.H. condition holds, the partial differential operator $A({\mbox{\boldmath$\chi$}})$ in (\ref{eq-pde})
is considered to be elliptic. %
For one-dimensional problems $\Omega \subset {\mathbb R}} %\newcommand{\real}{{\bf R}$, all these convexities are equivalent and the rank-one convexity is the
well-known convexity in vector space.
We should emphasize that these generalized convexities and L.H. condition are local criteria not global.
As long as the total potential $\Pi({\mbox{\boldmath$\chi$}})$ is locally nonconvex in certain domain of $\Omega$,
the boundary-value problem (\ref{eq-pde}) could have multiple solutions ${\mbox{\boldmath$\chi$}}({\bf x})$
at each material point ${\bf x} \in \Omega$ and the total potential $\Pi({\mbox{\boldmath$\chi$}})$ could have infinitely number of local minimizers
(see \cite{gao-ogden-qjmam}). This is the main difference between nonconvex analysis and nonlinear PDEs,
which is a key point to understand NP-hard problems in computer science and global optimization.
Unfortunately, this difference is not fully understood in both fields.
It turns out that extensive efforts have been devoted
for solving nonconvex variational problems directly.
It was discovered by Gao and Ogden in 2008 that even for one-dimensional problems,
the L.H. condition can only identify local local minimizers, and
a geometrically nonlinear ODE could have infinite number solutions,
both local and global minimal solutions
could be nonsmooth and can't be determined by any Newton type of numerical methods \cite{gao-ogden-qjmam}.
By the objectivity of the stored energy density $\UU({\bf F})$, it is reasonable to assume a canonical function $\VV({\bf C})$ such that
the following canonical transformation holds:
\eb
\WW({\bf F}) = \Phi(\Lam({\bf F})) = \int_\Omega \VV({\bf F}^T {\bf F}) \,\mbox{d}\Oo .
\ee
In this transformation, the geometrical nonlinear operator $\Lam({\bf F}) ={\bf F}^T {\bf F}$ is quadratic (objective) and
${\bf C} = {\bf F}^T {\bf F} \in {\mathbb{S}}^+ = \{ {\bf C} = \{ C_{{\alpha} \beta} \} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^{3 \times 3} | \;\; {\bf C} = {\bf C}^T , \;\; {\bf C} \succ 0 \}$
is the well-known right Cauchy-Green strain tensor.
Its canonical dual ${\bf S} = \partial \Phi({\bf C}) = \nabla \VV({\bf C}) \in { \mathbb{S}}$ is a {\em second Piola-Kirchhoff type stress tensor}\footnote{The second Piola-Kirchhoff stress tensor
is defined by ${\bf T} = \partial \Phi({\bf E})$, where ${\bf E} = \frac{1}{2} ({\bf C} - {\bf I})$ is the Green-St. Venant strain tensor. Therefore, we have ${\bf S} = 2 {\bf T}$.}.
In terms of the canonical strain measure ${\bf C} ({\bf F})$, the kinetically admissible space ${\cal X}_c = \{ {\mbox{\boldmath$\chi$}} \in {\cal C}^1[\Omega, {\mathbb R}} %\newcommand{\real}{{\bf R}^3] | \;\; {\bf C}(\nabla {\mbox{\boldmath$\chi$}}) \in {\mathbb{S}}^+ , \;\; {\mbox{\boldmath$\chi$}} = 0 \mbox{ on } {\Gamma_u}\}$
is convex and the
nonconvex variational problem (\ref{eq-nela}) can be written in the canonical form
\eb
\min \left \{ \Pi({\mbox{\boldmath$\chi$}}) = \Phi({\bf C}(\nabla {\mbox{\boldmath$\chi$}})) - \langle {\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\chi$}}^* \rangle | \;\; {\mbox{\boldmath$\chi$}} \in {\cal X}_c \right\}.
\ee
By the Legendre transformation $\VV^*({\bf S}) = \{ {\bf C}: {\bf S} - \VV({\bf C}) | \; {\bf S} = \nabla \VV({\bf C}) \}$,
the total complementary functional $\Xi({\mbox{\boldmath$\chi$}}, {\bf S})$ has the following form:
\eb
\Xi({\mbox{\boldmath$\chi$}}, {\bf S}) = \int_\Omega \left [ {\bf C}(\nabla {\mbox{\boldmath$\chi$}}) : {\bf S} - \VV^*({\bf S}) - {\mbox{\boldmath$\chi$}} \cdot {\bf f} \right]\,\mbox{d}\Oo
- \int_{\Gamma_t} {\mbox{\boldmath$\chi$}} \cdot {\bf t} \,\mbox{d} \Gamma. \label{eq-xie}
\ee
By the fact that the linear operator $\DD = \grad$ is a differential operator, it is difficult to find its inverse operator.
In order to obtain the canonical dual $\Pi^d({\bf T})$,
we need to introduce the following {\em statically admissible space}
\[
{\cal T}_c = \{ {\mbox{\boldmath$\tau$}} \in {\cal C}^1[\Omega; {\mathbb R}} %\newcommand{\real}{{\bf R}^{3\times 3} ] | \; - \nabla \cdot {\mbox{\boldmath$\tau$}} = {\bf f} \mbox{ in } \Omega, \;\;
\hfill \\ \smallskip\noindent \cdot {\mbox{\boldmath$\tau$}} = {\bf t} \mbox{ on } {\Gamma_t} \}.
\]
Clearly, for any given ${\mbox{\boldmath$\chi$}} \in {\cal X}_a = \{ {\mbox{\boldmath$\chi$}} \in {\cal C}^1[\Omega; {\mathbb R}} %\newcommand{\real}{{\bf R}^3] |\; \det (\nabla {\mbox{\boldmath$\chi$}}) > 0, \;\;
{\mbox{\boldmath$\chi$}} = 0 \mbox{ on } {\Gamma_u} \}$, the external energy $\FF({\mbox{\boldmath$\chi$}})$ can be written equivalently as
\eb
\FF_{\mbox{\boldmath$\tau$}}({\mbox{\boldmath$\chi$}}) = \int_\Omega {\mbox{\boldmath$\chi$}} \cdot (-\nabla \cdot {\mbox{\boldmath$\tau$}} )\,\mbox{d}\Oo + \int_{{\Gamma_t}} {\mbox{\boldmath$\chi$}} \cdot {\bf t} \,\mbox{d} \Gamma
= \int_\Omega (\nabla {\mbox{\boldmath$\chi$}}) : {\mbox{\boldmath$\tau$}} \,\mbox{d}\Oo\;\; \;\forall {\mbox{\boldmath$\tau$}} \in {\cal T}_c
\ee
Thus, for any given ${\mbox{\boldmath$\tau$}} \in {\cal T}_c$, the $\Lam$-conjugate of $\FF({\mbox{\boldmath$\chi$}})$
can be obtained
\eb
\FF^\Lam_{\mbox{\boldmath$\tau$}}({\bf S}) = {\rm sta} \{\langle {\bf C}(\nabla {\mbox{\boldmath$\chi$}}) ; {\bf S} \rangle - \FF_{\mbox{\boldmath$\tau$}}({\mbox{\boldmath$\chi$}}) | \; {\mbox{\boldmath$\chi$}} \in {\cal X}_a\}
= -\int_\Omega \frac{1}{4} {\mbox{tr}} ({\mbox{\boldmath$\tau$}} \cdot {\bf S}^{-1} \cdot {\mbox{\boldmath$\tau$}}^T ) \,\mbox{d}\Oo.
\ee
Its domain should be
\eb
{\cal S}_c = \{ {\bf S} \in {\cal E}^*_a | \; \det({\mbox{\boldmath$\tau$}} \cdot {\bf S}^{-1}) > 0 \}.
\ee
Therefore, the pure complementary energy can be obtained as
\eb
\Pi^d({\bf S}; {\mbox{\boldmath$\tau$}}) = - \int_\Omega\left[ \frac{1}{4} {\mbox{tr}} ({\mbox{\boldmath$\tau$}} \cdot {\bf S}^{-1} \cdot {\mbox{\boldmath$\tau$}}^T ) + \VV^*({\bf S}) \right] \,\mbox{d}\Oo ,
\ee
which depends on not only the canonical stress ${\bf S} \in {\cal S}_c$, but also the statically admissible field ${\mbox{\boldmath$\tau$}}\in {\cal T}_c$.
Let
\eb
{\cal S}_c^+ = \{ {\bf S} \in {\cal S}_c | \; {\bf S} \succ 0 \}, \;\;\; {\cal S}_c^- = \{ {\bf S} \in {\cal S}_c | \; {\bf S} \prec 0 \}.
\ee
\begin{thm}[Pure Complementary Energy Principle, Gao \cite{gao-ima98,gao-mrc99,gao-dual00}]\label{thm-gao}$\;$ \hfill
If $(\bar{\bf S}, \bar{\mbox{\boldmath$\tau$}})\in {\cal S}_c \times {\cal T}_c$ is a stationary points of $\Pi^d({\bf S}; {\mbox{\boldmath$\tau$}})$, then
the deformation defined by
\eb
\bar{\mbox{\boldmath$\chi$}} ({\bf x}) = \frac{1}{2} \int_{{\bf x}_0}^{\bf x} \bar{\mbox{\boldmath$\tau$}} \cdot \bar{\bf S}^{-1} \mbox{d} {\bf x} \label{eq-solu}
\ee
along any path from ${\bf x}_0 \in \Gamma_{\chi}$ to ${\bf x} \in \Omega$ is a critical point of $\Pi({\mbox{\boldmath$\chi$}})$ and
$\Pi(\bar{\mbox{\boldmath$\chi$}}) = \Pi^d(\bar{\bf S}; \bar{\mbox{\boldmath$\tau$}})$.
Moreover, $ \bar{\mbox{\boldmath$\chi$}} ({\bf x})$ is a global minimizer of $\Pi({\mbox{\boldmath$\chi$}})$ if $\bar{\bf S} ({\bf x}) \in {\cal S}_c^+ \;\; \forall {\bf x} \in \Omega$.
The vector-valued function
$ \bar{\mbox{\boldmath$\chi$}} ({\bf x})$ is a solution to the boundary-value problem
of the second equilibrium equation in (\ref{eq-pde}) if the compatibility condition
$ \nabla \times (\bar{\mbox{\boldmath$\tau$}} \cdot \bar{\bf S}^{-1} ) = 0 $ holds.
\end{thm}
{\bf Proof}.
Using Lagrange multiplier ${\mbox{\boldmath$\chi$}} \in {\cal X}_a$ to relax the equilibrium conditions in ${\cal T}_c$, we have
\eb
\Theta ({\bf S}; {\mbox{\boldmath$\tau$}}, {\mbox{\boldmath$\chi$}}) = - \int_\Omega\left[ \frac{1}{4} {\mbox{tr}} ({\mbox{\boldmath$\tau$}} \cdot {\bf S}^{-1} \cdot {\mbox{\boldmath$\tau$}}^T ) + \VV^*({\bf S}) \right] \,\mbox{d}\Oo
- \int_\Omega {\mbox{\boldmath$\chi$}} \cdot( \nabla \cdot {\mbox{\boldmath$\tau$}} + {\bf f} ) \,\mbox{d}\Oo + \int_{\Gamma_t} {\mbox{\boldmath$\chi$}} \cdot {\bf t} \,\mbox{d} \Gamma.
\ee
Its stationary condition leads to
\eb
2 \nabla {\mbox{\boldmath$\chi$}} = {\mbox{\boldmath$\tau$}} \cdot {\bf S}^{-1} \label{eq-fts}
\ee
\eb
4 {\bf S} \cdot (\nabla \VV^*({\bf S}) ) \cdot {\bf S} = {\mbox{\boldmath$\tau$}}^T \cdot {\mbox{\boldmath$\tau$}} \label{eq-cda}
\ee
and the equilibrium equations in ${\cal T}_c$.
From (\ref{eq-fts}) we have ${\mbox{\boldmath$\tau$}} = 2 (\nabla {\mbox{\boldmath$\chi$}}) \cdot {\bf S}$. Substituting this into (\ref{eq-cda}) we have
$(\nabla {\mbox{\boldmath$\chi$}})^T (\nabla {\mbox{\boldmath$\chi$}}) = \nabla \VV^*({\bf S})$, which is equivalent to
${\bf S} = \nabla \VV({\bf C}(\nabla {\mbox{\boldmath$\chi$}}))$ due to the canonical duality.
Thus, from the canonical transformation, we have
\eb
{\mbox{\boldmath$\tau$}} = 2 (\nabla {\mbox{\boldmath$\chi$}}) \cdot (\nabla_{\bf C} \VV({\bf C}(\nabla {\mbox{\boldmath$\chi$}}))) = \nabla_{\bf F} \UU(\nabla {\mbox{\boldmath$\chi$}}) \label{eq-tau}
\ee
due to the chain role. This shows that the integral (\ref{eq-solu}) is indeed a stationary point of $\PP({\mbox{\boldmath$\chi$}}) $ since
${\mbox{\boldmath$\tau$}} \in {\cal T}_c$.
By the fact that ${\bf C} = \Lam({\bf F})$ is a quadratic operator, the Gao-Strang gap function is
\[
G_{ap} ({\mbox{\boldmath$\chi$}}, {\bf S}) = \int_\Omega {\mbox{tr}}[(\nabla {\mbox{\boldmath$\chi$}}) \cdot {\bf S} \cdot (\nabla {\mbox{\boldmath$\chi$}}) ] \,\mbox{d}\Oo.
\]
Clearly, $G_{ap}({\mbox{\boldmath$\chi$}}, {\bf S})$ is non negative for any given ${\mbox{\boldmath$\chi$}} \in {\cal X}_a$ if and only if ${\bf S}({\bf x}) \in {\cal S}^+_c \;\; \forall {\bf x} \in \Omega$.
Replace $\nabla {\mbox{\boldmath$\chi$}} = \frac{1}{2} {\mbox{\boldmath$\tau$}} \cdot {\bf S}^{-1}$, this gap function reads
\[
G_{ap} ({\mbox{\boldmath$\chi$}}({\bf S}, {\mbox{\boldmath$\tau$}}), {\bf S}) = \int_\Omega \frac{1}{4} {\mbox{tr}}[{\mbox{\boldmath$\tau$}}\cdot {\bf S}^{-1} \cdot {\mbox{\boldmath$\tau$}}^T] \,\mbox{d}\Oo,
\]
which is convex for any ${\mbox{\boldmath$\tau$}}\in {\cal T}_c$ if and only if ${\bf S}({\bf x}) \in {\cal S}_c^+ \;\;\forall {\bf x} \in \Omega$.
Therefore, the canonical dual $\Pi^d({\bf S}; {\mbox{\boldmath$\tau$}})$ is concave on ${\cal S}^+_a \times {\cal T}_c$.
By the canonical min-max duality, $\bar{\mbox{\boldmath$\chi$}}$ is a unique global minimizer if $\bar{\bf S}(({\bf x}) \succ 0 \;\; \forall {\bf x} \in \Omega$.
The compatibility condition $\nabla \times ({\mbox{\boldmath$\tau$}} \cdot {\bf S}) = 0$ is necessary for an analytical solution to the
mixed boundary-value problem (\ref{eq-pde}) due to the fact that ${\mbox{curl}} \;\grad {\mbox{\boldmath$\chi$}} = 0$. \hfill $\square $\\
The pure complementary energy principle was first proposed by Gao (1997) in post-buckling problems of a large deformed beam \cite{gao-amr97}.
Generalization to 3-D finite deformation theory and nonconvex analysis were given during 1998-2000 \cite{gao-ima98,gao-mrc99,gao-mecc99,gao-dual00,gao-na00}.
The equation (\ref{eq-cda}) is called the {\em canonical dual algebraic equation} first obtained in 1998 \cite{gao-ima98}.
This equation shows that by the canonical dual transformation, the nonlinear partial differential equation can be equivalently reformed as an algebraic equation.
The equation (\ref{eq-tau}) show that the statically admissible field ${\mbox{\boldmath$\tau$}} = \nabla \UU({\bf F})$ is actually the
{\em first Piola-Kirchhoff stress}.
For one-dimensional problems, ${\mbox{\boldmath$\tau$}} \in {\cal T}_c$ can be easily obtained by the given input.
For geometrically nonlinear problems, $\nabla \VV^*({\bf S})$ is linear and (\ref{eq-cda})
can be solved analytically to obtain a complete set of analytical solutions
\cite{gao-dual00,gao-na00,gao-anti,gao-ogden-qjmam,gao-ogden-zamp}.
By the triality theory, the positive solution ${\bf S} \in {\cal S}^+_c$ produces a global minimal solution $\bar{\mbox{\boldmath$\chi$}}$, while the
negative ${\bf S} \in {\cal S}^-_c$ can be used to identify local extremal solutions.
To see this, let us consider the Hessian of the stored energy $\UU({\bf F}) = \VV({\bf C}({\bf F}))$.
By chain rule, we have
\eb
\frac{\partial^2 \UU({\bf F})}{\partial F^i_{\alpha}\partial F^j_\beta} = 2 \delta^{ij} S_{{\alpha}\beta} + 4
\sum_{\theta, \nu = 1}^3 F^i_\theta H_{\theta {\alpha}\beta \nu} F^j_\nu,
\ee
where ${\bf H} = \{ H_{\theta {\alpha}\beta \nu}\} = \nabla^2 \VV({\bf C}) \succ 0 $
due to the convexity of the canonical function $\VV({\bf C})$.
Clearly, if ${\bf S} \succeq 0 $, the L.H. condition holds and the associated
$\bar{\mbox{\boldmath$\chi$}}$ is a global minimal solution.
By the fact that $2 {\bf F} = {\mbox{\boldmath$\tau$}} {\bf S}^{-1}$, we know that
$\nabla^2 \UU({\bf F})$ could be either positive or negative definite even if ${\bf S} \prec 0$.
Therefore, depending the eigenvalues of ${\bf S}\prec 0$, the L.H. condition could also hold
at a local minimizer of $\Pi({\mbox{\boldmath$\chi$}})$ \cite{gao-anti}.
This shows that the triality theory can be used to identify both global and local extremal solutions,
while the L.H. condition is only a necessary condition for a local minimal solution.
It is known that an elliptic equation is corresponding to a convex variational problem.
Therefore, it is a question if the Legendre-Hadamard condition can still be called as the
ellipticity condition in finite elasticity and nonconvex analysis.
By the fact that the well-known open problem left by Reissner {\em et al} \cite{reissner} has been solved by
Theorem \ref{thm-gao}, the pure complementary energy principle
is known as the Gao principle in literature (see \cite{li-gupta}).
The canonical transformation $\WW({\bf F}) = \Phi(\Lam({\bf F}))$
is not unique since the geometrical operator $\Lam({\bf F})$ can be chosen differently to have different canonical strain measures.
For example, the well-known {\em Hill-Seth strain family}
\eb
{\bf E}^{(\eta)} = \Lam({\bf F}) = \frac{1}{2 \eta} [ ({\bf F}^T \cdot {\bf F})^\eta - {\bf I} ]
\ee
is a geometrically admissible objective strain measure for any given $\eta \in {\mathbb R}} %\newcommand{\real}{{\bf R}$ (see Definition 6.3.1, \cite{gao-dual00}).
Particularly, ${\bf E}^{(1)} $ is the well-known {\em Green-St. Venant strain tensor} ${\bf E}$.
For {\em St. Venant-Kirchhoff materials}, the stored strain density is quadratic: $\VV({\bf E}) = \frac{1}{2} {\bf E} : {\bf H} : {\bf E} $,
where ${\bf H}$ is the Hooke tensor. Clearly, $\VV({\bf E})$ is convex but
\[
\UU({\bf F}) = \VV({\bf E}({\bf F})) = \frac{1}{8} ({\bf F}^T \cdot {\bf F} - {\bf I}) : {\bf H} : ({\bf F}^T \cdot {\bf F} - {\bf I} )
\]
is a (nonconvex) double-well type function of
${\bf F}$, which is not even rank-one convex \cite{raou}.
The canonical duality is linear ${\bf T} = \nabla \VV({\bf E}) = {\bf H} : {\bf E}$ and
the generalized total complementary energy $\Xi({\mbox{\boldmath$\chi$}}, {\bf T})$ is the well-known Hellinger-Reissner complementary energy
\eb
\Xi({\mbox{\boldmath$\chi$}},{\bf T}) = \int_\Omega \left [ {\bf E}(\nabla {\mbox{\boldmath$\chi$}}) : {\bf T} - \frac{1}{2} {\bf T} : {\bf H}^{-1} : {\bf T} - {\mbox{\boldmath$\chi$}} \cdot {\bf f} \right]\,\mbox{d}\Oo - \int_{\Gamma_t} {\mbox{\boldmath$\chi$}} \cdot {\bf t} \,\mbox{d} \Gamma .
\ee
In this case, the primal problem (\ref{eq-nela}) is a geometrically nonlinear variational problem, and its canonical dual functional is
\eb
\Pi^d({\bf T}; {\mbox{\boldmath$\tau$}}) = - \int_\Omega \frac{1}{2} \left[ {\mbox{tr}} ({\mbox{\boldmath$\tau$}} \cdot {\bf T}^{-1} \cdot {\mbox{\boldmath$\tau$}}^T + {\bf T} ) + {\bf T} : {\bf H}^{-1} : {\bf T} \right]\,\mbox{d}\Oo
\ee
The canonical dual algebraic equation (\ref{eq-cda}) is then a cubic tensor equation
\eb
2 \; {\bf T} \cdot ( {\bf H}^{-1} : {\bf T} + {\bf I} ) \cdot {\bf T} = {\mbox{\boldmath$\tau$}}^T \cdot {\mbox{\boldmath$\tau$}} \label{eq-cdals}
\ee
For a given statically admissible stress field ${\mbox{\boldmath$\tau$}} \in {\cal T}_c$, this tensor equation could have at most 27 solutions ${\bf T}({\bf x})$
at each material point ${\bf x} \in \Omega$,
but only one ${\bf T}({\bf x}) \succ 0$, which leads to a global minimal solution \cite{gao-haji}.
For many real-world problems, the statically admissible stress ${\mbox{\boldmath$\tau$}} \in {\cal T}_c$ can
be uniquely obtained and the
canonical dual algebraic equation (\ref{eq-cdals}) can be solved to obtain all possible stress solutions.
The canonical duality-triality theory has been used successfully for solving a class of nonconvex
variational/boundary value problems \cite{gao-na00,gao-lv,gao-ogden-qjmam},
pure azimuthal shear \cite{gao-ogden-zamp} and
anti-plane shear problems \cite{gao-anti}.
\section{Applications to computational mechanics and global optimization}
Numericalization for solving the nonconvex variational problem (\ref{eq-gs}) leads to a global optimization problem
in a finite dimensional space ${\cal X}= {\cal X}^*$.
In complex systems, the decision variable
${\mbox{\boldmath$\chi$}}$ could be either vector or matrix. In
operations research, such as logistic and supply chain management sciences, ${\mbox{\boldmath$\chi$}}$ can be even a
high-order matrix ${\mbox{\boldmath$\chi$}}= \{ \chi_{ij... k}\}$.
Correspondingly, the linear operator $\DD:{\cal X}_a \rightarrow {\cal{W}}_a$ is
a matrix or high-order tensor.
In general global optimization problems, the internal energy $\WW(\DD{\mbox{\boldmath$\chi$}})$ is not necessary to be an objective function.
As long as the canonical transformation $\WW(\DD({\mbox{\boldmath$\chi$}}) = \Phi(\Lam(\DD{\mbox{\boldmath$\chi$}}))$ holds, the
canonical duality-triality theory can be used for solving a large class of nonconvex/discrete optimization problems.
\subsection{Canonical dual finite element method}
It was shown in \cite{gao-jem} that by using independent finite element interpolations for displacement and
generalized stress:
\eb
{\mbox{\boldmath$\chi$}}({\bf x}) = {\bf N}_u ({\bf x}) {\bf q}^e , \;\; {\bf S}({\bf x}) = {\bf N}_\varsigma ({\bf x}) {{\bf p}}^e \;\; \forall {\bf x} \in \Omega^e \subset \Omega , \label{mixedFEM}
\ee
the total complementary functional $\Xi({\mbox{\boldmath$\chi$}}, {\bf S})$ defined by (\ref{eq-xie}) can be discretized as a function in finite dimensional space
\eb
\Xi({\bf q}, {{\bf p}}) = \frac{1}{2} {\bf q}^T {\bf G}({{\bf p}}) {\bf q} - \Phi^*({{\bf p}}) - {\bf q}^T {\bf f},
\ee
where ${\bf f}$ is the generalized force and ${\bf G}({{\bf p}})$ is the Hessian matrix of the discretized Gao-Strang complementary gap function.
In this case, the pure complementary energy can be formulated explicitly as \cite{gao-jem}
\eb
\Pi^d({{\bf p}}) = - \frac{1}{2} {\bf f}^T {\bf G}^+({{\bf p}}) {\bf f} - \Phi^*({{\bf p}}),
\ee
where ${\bf G}^+$ represents a generalized inverse of ${\bf G}$. Let
\[
{\cal S}_c^+ = \{ {{\bf p}} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^m | \; {\bf G}({{\bf p}}) \succeq 0 \}, \;\; {\cal S}_c^- = \{ {{\bf p}} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^m | \; {\bf G}({{\bf p}}) \prec 0 \}.\vspace{-.2cm}
\]
By the fact that $\Pi^d({{\bf p}})$ is concave on the convex set ${\cal S}^+$, the canonical dual FE programming proble
\eb
\max \{ \Pi^d({{\bf p}}) | \; {{\bf p}} \in {\cal S}_c^+ \
\ee
can be solved easily (if $ {\cal S}_c^+ \neq \emptyset$) to obtain the global maximizer $\bar{\bf p}$. By the triality theory, we know that $\bar{\bf q} = {\bf G}^+(\bar{\bf p}) {\bf f}$ is a global minimizer of
the nonconvex potential $\Pi({\bf q})$.
On the other hand, if ${\mbox{dim}} {\bf q} = {\mbox{dim}} {{\bf p}}$, the biggest local min and local max of $\Pi({\bf q})$ can be obtained respectively
by \cite{gao-wu-jimo}
\[
\min \{ \Pi^d ({{\bf p}}) | \; {{\bf p}} \in {\cal S}_c^- \}, \;\; \max \{ \Pi^d({{\bf p}}) | \; {{\bf p}} \in {\cal S}_c^- \}.
\]
The canonical dual FEM has been used successfully in phase transitions of solids \cite{gao-yu} and in post-buckling analysis
for the large deformation beam model (2)
to obtain all three possible solutions \cite{santos-gao} (see Fig. \ref{fig-beam}).
It was discovered that the local minimum is very sensitive to the lateral load and the size of the finite element meshes
(see Fig. \ref{fig-beam}). This method can be used for solving general nonconvex mechanics problems.
\begin{figure}[t]
\includegraphics[width=2.7in,height=4cm]{beam1.jpg}\hspace{1.cm}
\includegraphics[width=2.7in,height=4cm]{beam2.jpg}
$\;$\\
\hspace{1cm} $\;\;\;\;\;\;\;\;\; \mbox{ (a) 30 elements.}$ \hspace{5cm} (b) 40 elements.
\caption{{\small Canonical dual FEM solutions for post-buckled nonlinear beam:
Global minimal solution, i.e. stable buckled state (doted); local min, i.e. unstable buckled state (triangle);
and local max, i.e. unbuckled state (squared).}} \label{fig-beam}
\end{figure}
\subsection{Global optimal solutions for discrete nonlinear dynamical systems}
General nonlinear dynamical systems can be modeled as a nonlinear initial-value problem
\eb
{\mbox{\boldmath$\chi$}}'(t) = {\bf F}(t, {\mbox{\boldmath$\chi$}}(t) ) \;\; t \in [0, T] , \;\; {\mbox{\boldmath$\chi$}}(0) = {\mbox{\boldmath$\chi$}}_0,\label{eq-nivp}
\ee
where $T > 0$, ${\bf F}:[0,T]\times {\mathbb R}} %\newcommand{\real}{{\bf R}^d \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}^d $ is a given vector-valued function.
Generally speaking, if a nonlinear equation has multiple solutions at each time $t$ in a subset of its domain $[0,T]$,
then the associated initial-valued problem should have infinite number of solutions since the unknown ${\mbox{\boldmath$\chi$}}(t) $
is a continuous function.
With time step size $h = T/n$, a discretization of the configuration ${\mbox{\boldmath$\chi$}}(t)$ is
${\bf X} = ( {\mbox{\boldmath$\chi$}}_0, {\mbox{\boldmath$\chi$}}_1, \cdots, {\mbox{\boldmath$\chi$}}_n) \in {\cal X}_a \subset {\mathbb R}} %\newcommand{\real}{{\bf R}^{d \times (n+1)}$.
By the finite difference method, the initial value problem (\ref{eq-nivp})
can be written approximately as
\eb
{\mbox{\boldmath$\chi$}}_{k} = {\mbox{\boldmath$\chi$}}_{k-1} + \frac{1}{2} h {\bf F}(t_{k-1}, {\mbox{\boldmath$\chi$}}_{k-1}), \;\; k = 1, \cdots, n. \label{eq-fdm}
\ee
This is still a nonlinear algebraic system.
Clearly, any linear iteration can only produce one of the infinite number solutions, and such a
numerical ``solution" is very sensitive to
the step-size and numerical errors. This is the reason why different numerical solvers produce totally different results,
i.e. the so-called chaotic solutions.
Rather than the traditional linear iteration from an initial value, we use the least squares method such that the
nonlinear algebraic system (\ref{eq-fdm}) can be equivalently written as
\eb
\min_{ {\bf X} \in {\cal X}_a } \left\{ \Pi({\bf X}) = \frac{1}{2} \sum_{k=1}^n \left\| {\mbox{\boldmath$\chi$}}_k - {\mbox{\boldmath$\chi$}}_{k-1} - h {\bf F}(t_{k-1}, {\mbox{\boldmath$\chi$}}_{k-1}) \right\|^2 \; \right\}.\label{eq-lsq}
\ee
Clearly, for any given nonlinear function ${\bf F}(t, {\mbox{\boldmath$\chi$}}(t))$, this is a global optimization problem, which could have multiple
minimizers at each ${\mbox{\boldmath$\chi$}}_k$. Particularly,
if ${\bf F}(t,{\mbox{\boldmath$\chi$}})$ is quadratic,
then $\Pi({\bf X})$ is a double-well typed fourth order polynomial function, and is considered to be NP-hard in global optimization
even for $d = 1$ (one-dimensional systems) \cite{a-g-y,sax}.
However, by simply using the quadratic geometrical operator
${\mbox{\boldmath$\xi$}}_k = \Lam({\mbox{\boldmath$\chi$}}_k) = {\bf F}(t_k, {\mbox{\boldmath$\chi$}}_k)$, the nonconvex leas squares problem (\ref{eq-lsq}) can be solved by the canonical duality-triality
theory to obtain global optimal solution.
Applications have been given to the logistic map \cite{li-zhou-gao} and population growth problems \cite{ruan-gao-ima}.
\subsection{Unconstrained nonconvex minimization}
The general model (\ref{eq-gs})
for unconstrained global optimization can be
written in the following form
\eb
\min \left\{ \PP({\mbox{\boldmath$\chi$}}) = \WW({\bf D} {\mbox{\boldmath$\chi$}}) + \frac{1}{2} \langle {\mbox{\boldmath$\chi$}} , {\bf A} {\mbox{\boldmath$\chi$}} \rangle - \langle {\mbox{\boldmath$\chi$}}, {\bf f} \rangle | \;\; {\mbox{\boldmath$\chi$}} \in {\cal X}_a \right\}, \label{eq-gop}
\ee
where ${\bf D} : {\cal X}_a \rightarrow {\cal{W}}_a$ and ${\bf A} = {\bf A}^T $ are two given operators and
${\bf f} \in {\cal X}_a$ is a given input.
For the nonconvex function $\WW({\bf w})$, we assume that the canonical transformation $\WW({\bf D} {\mbox{\boldmath$\chi$}}) = \Phi(\Lam({\mbox{\boldmath$\chi$}}))$
holds for a quadratic operator
\eb
\Lam ({\mbox{\boldmath$\chi$}} ) = \left\{ \frac{1}{2} {\mbox{\boldmath$\chi$}}^T {\bf H}_{{\alpha}\beta} {\mbox{\boldmath$\chi$}} \right\} :{\cal X}_a \rightarrow {\cal E}_a \subset {\mathbb R}} %\newcommand{\real}{{\bf R}^{m\times m},
\ee
where ${\bf H}_{{\alpha}\beta} = {\bf H}^T_{{\alpha}\beta} \;\; \forall {\alpha}, \beta \in I_m=\{1, \dots, m\}$ is a linear operator such that ${\cal E}_a$ is either a vector ($\beta = 1$) or tensor (${\alpha}, \beta > 1$) space.
By the convexity of the canonical function $\Phi:{\cal E}_a \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$, the
canonical duality ${\bf S} = \partial \Phi({\mbox{\boldmath$\xi$}}) \in {\cal E}^*_a \subset {\mathbb R}} %\newcommand{\real}{{\bf R}^{m\times m}$ is invertible and the total complementary function $\Xi :{\cal X}_a \times {\cal E}_a^* \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}$
reads
\eb
\Xi({\mbox{\boldmath$\chi$}}, {\bf S}) = \frac{1}{2} \langle {\mbox{\boldmath$\chi$}} , {\bf G}({\bf S}) {\mbox{\boldmath$\chi$}} \rangle - \Phi^*({\bf S}) - \langle {\mbox{\boldmath$\chi$}}, {\bf f} \rangle
\ee
where
$ {\bf G}({\bf S}) = {\bf A} + \sum_{{\alpha},\beta \in I_m} {\bf H}_{{\alpha}\beta} S_{{\alpha}\beta} $.
Thus, on ${\cal S}_c^+ = \{ {\bf S} \in {\cal E}^*_a | \;\; {\bf G}({\bf S}) \succ 0 \}$,
the canonical dual problem (\ref{eq-cdmax}) for the unconstrained global optimization reads
\eb
\max \left\{ \Pi^d({\bf S}) = - \frac{1}{2} \langle {\bf G}^{-1}({\bf S}) {\bf f} , {\bf f} \rangle - \Phi^*({\bf S}) \; | \; \; {\bf S} \in {\cal S}_c^+ \right\} .
\ee
The canonical duality-triality theory has been used successfully for solving the following nonconvex problems.
1) {\bf Euclidian Distance Geometry Problem}
\eb
\WW({\bf D} {\mbox{\boldmath$\chi$}}) = \sum_{i, j= 1}^n \omega_{ij} \left[ \| {\mbox{\boldmath$\chi$}}_i - {\mbox{\boldmath$\chi$}}_j \|^2 - d_{ij} \right]^2 ,
\ee
where the decision variable ${\mbox{\boldmath$\chi$}}_i \in {\mathbb R}} %\newcommand{\real}{{\bf R}^d$ is a position (location) vector,
$\omega_{ij}, \; d_{ij} > 0 \; \forall i,j = 1, \dots, n, \; i \neq j $ are given weight and distance parameters, respectively.
The linear operator ${\bf D} {\mbox{\boldmath$\chi$}} = \{ {\mbox{\boldmath$\chi$}}_i - {\mbox{\boldmath$\chi$}}_j \}$ in this problem is similar to the finite difference in numerical analysis.
Such a problem appears frequently in computational biology \cite{z-g-y}, chaotic dynamics \cite{li-zhou-gao,ruan-gao-ima},
numerical algebra \cite{r-g-j},
sensor localization \cite{LV14,ruan-gao-pe}, network communication \cite{gao-ruan-pardalos}, transportation optimization,
as well as finite element analysis of structural mechanics \cite{cai-gao-qin,gao-yu}, etc.
These problems are considered to be NP-hard even the Euclidian dimension $d = 1$ \cite{a-g-y}.
However, by the combination of the canonical duality-triality theory and perturbation methods,
these problems can be solved efficiently (see \cite{ruan-gao-pe}).
2) {\bf Sum of Fractional Functions}
\eb
\WW({\bf D} {\mbox{\boldmath$\chi$}}) = \sum_{i\in I_m} \frac{G_i({\bf D}_g {\mbox{\boldmath$\chi$}})}{H_i({\bf D}_h{\mbox{\boldmath$\chi$}})}
\ee
where $G_i$ and $H_i > 0 \;\; \forall \; i \in I_m $ are given functions, ${\bf D}_g$ and ${\bf D}_h$ are linear operators.
3) {\bf Exponential-Sum-Polynomials}
\eb
W({\bf D} {\mbox{\boldmath$\chi$}}) =\sum_{i\in I_m} \exp\left(\frac{1}{2}{\mbox{\boldmath$\chi$}}^T {\bf B}_i{\mbox{\boldmath$\chi$}}-{\alpha}_i\right) +
\sum_{j\in I_p}\frac{1}{2} \left(\frac{1}{2}{\mbox{\boldmath$\chi$}}^T {\bf C}_j{\mbox{\boldmath$\chi$}} -\beta_j \right)^2,
\ee
where ${\bf B}_i $ and ${\bf C}_j$ are given symmetrical matrices in ${\mathbb R}} %\newcommand{\real}{{\bf R}^{n\times n}$, ${\alpha}_i, \beta_j $ are given parameters.
4) {\bf Log-Sum-Exp Functions}
\eb
\WW({\bf D}{\mbox{\boldmath$\chi$}}) = \frac{1}{\beta} \log \left[ 1 + \sum_{i\in I_p} \exp \left( \beta \left ( \frac{1}{2} {\mbox{\boldmath$\chi$}}^T {\bf B}_i {\mbox{\boldmath$\chi$}} + d \right) \right) \right],
\ee
where $\beta > 0$, ${\bf B}_i = {\bf B}^T_i$, and $d \in {\mathbb R}} %\newcommand{\real}{{\bf R}$ are given.
All these functions appear extensively in modeling real-world problems, such as computational biology \cite{z-g-y},
bio-mechanics, phase transitions \cite{gao-ogden-qjmam}, filter design \cite{wu-gao-teo}, location/transportation and networks optimization \cite{gao-ruan-pardalos,ruan-gao-pe}, communication
and information theory (see \cite{la-gao}) etc.
By using the canonical duality-triality theory, these problems can be solved nicely (see \cite{chen-gao-jogo,gao-ruan-mmor,LS14,mora-gao-memo,z-g-y-amc}).
\subsection{Constrained global optimization}\label{sec-const}
Recall the standard mathematical model in global optimization
(\ref{eq-go})
\eb\label{eq: original problem}
\min f({\bf x}) , \;\; \mbox{ s.t. } \; h_i({\bf x}) = 0, \;\; g_j({\bf x}) \le 0 \;\; \forall i \in I_m , \;\; j \in I_p,
\ee
where $f$, $g_i$ and $h_j$ are differentiable, real-valued functions on a subset of ${\mathbb R}} %\newcommand{\real}{{\bf R}^n$ for all $i\in I_m$ and
$j\in I_p$. For notational convenience,
we use vector forms for constraints
$$
{\bf g}({\bf x})=\left(g_1({\bf x}),\dots, g_m({\bf x})\right) , \;\;
\bh({\bf x})=\left(h_1({\bf x}),\dots, h_p({\bf x})\right).
$$
Therefore, the feasible space can be defined as
$$
{\cal X}_c:=\{{\bf x}\in {\mathbb R}} %\newcommand{\real}{{\bf R}^n| {\bf g}({\bf x})\le 0, \;\; \bh({\bf x})=0 \}.
$$
Lagrange multiplier method was originally proposed by J-L Lagrange from analytical mechanics
in 1811 \cite{lagrange}.
During the past two hundred years, this method and the associated Lagrangian duality theory have been well-developed
with extensively applications to many fields of physics, mathematics and engineering sciences.
Strictly speaking, the Lagrange multiplier method can be used only for equilibrium constraints.
For inequality constraints, the well-known KKT conditions are involved.
Here we show that both the classical Lagrange multiplier method and the KKT theory can be unified by the canonical duality theory.
For convex constrained problem, i.e. $f({\bf x})$, ${\bf g}({\bf x})$ and $\bh({\bf x})$ are convex,
the standard canonical dual transformation can be used.
We can choose the geometrical operator ${\mbox{\boldmath$\xi$}}_0 = {\mbox{\boldmath$\Lambda$}}_0 ({\bf x})= \{ {\bf g}({\bf x}), \bh({\bf x}) \} : {\mathbb R}} %\newcommand{\real}{{\bf R}^n \rightarrow {\mathbb R}} %\newcommand{\real}{{\bf R}^{m+p}$ and
let
\[
\Phi_0({\mbox{\boldmath$\xi$}}_0) = \Psi_g({\bf g}) + \Psi_h(\bh),
\]
where
\[
\Psi_g({\bf g})= \{
0 \;\; \mbox{if } {\bf g}\le0, \; \;
+\infty \;\; \mbox{otherwise}\}, \;\;\;
\Psi_h(\bh)= \{
0 \;\; \mbox{if } \bh=0, \;\;\;
+\infty \;\; \mbox{otherwise} \},
\]
are the so-called indicator functions for the inequality and equality constraints.
Then the convex constrained problem (\ref{eq: original problem})
can be written in the following canonical form
\begin{equation}\label{eq: indicator f}
\min \left\{ \Pi({\bf x}) = f({\bf x})+ \Phi_0({\mbox{\boldmath$\Lambda$}}_0({\bf x})) | \;\; \forall {\bf x} \in \mathbb{R}\right\}.
\end{equation}
By the fact that the canonical function $\Phi_0({\mbox{\boldmath$\xi$}}_0)$ is convex and lower semi-continuous, the canonical duality relations
(\ref{eq-cdr}) should be replaced by the following subdifferential forms \cite{gao-jogo00}:
\eb
{\mbox{\boldmath$\xi$}}_0^* \in \partial \Phi_0({\mbox{\boldmath$\xi$}}_0) \;\; \Leftrightarrow \;\; {\mbox{\boldmath$\xi$}}_0 \in \partial \Phi_0^*({\mbox{\boldmath$\xi$}}^*_0)
\;\; \Leftrightarrow \;\; \Phi_0({\mbox{\boldmath$\xi$}}_0) + \Phi_0^*({\mbox{\boldmath$\xi$}}_0^*) = {\mbox{\boldmath$\xi$}}_0^T {\mbox{\boldmath$\xi$}}^*_0 ,
\ee
where $\Phi_0^* ({\mbox{\boldmath$\xi$}}^*_0) = \Psi^*_g({\mbox{\boldmath$\lambda$}}) + \Psi_h^*(\mbox{\boldmath$\mu$})$ is the Fenchel conjugate of $\Phi_0({\mbox{\boldmath$\xi$}}_0)$
and ${\mbox{\boldmath$\xi$}}_0^* = ({\mbox{\boldmath$\lambda$}} , \mbox{\boldmath$\mu$})$. By the Fenchel transformation, we have
\[
\Psi_g^*({\mbox{\boldmath$\lambda$}} )=\sup_{{\bf g} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^m} \{{\bf g}^T{\mbox{\boldmath$\lambda$}} -\Psi_g({\bf g}) \}=
\left\{
\begin{array}{ll}
0 & \mbox{if } {\mbox{\boldmath$\lambda$}} \ge 0 \\
+ \infty & \mbox{otherwise} ,
\end{array}
\right.
\]
\[
\Psi_h^*(\mbox{\boldmath$\mu$})=\sup_{\bh \in {\mathbb R}} %\newcommand{\real}{{\bf R}^p}\{\bh^T\mbox{\boldmath$\mu$}-\Psi_h(\bh) \} = 0 \;\; \; \forall \; \mbox{\boldmath$\mu$}\in{\mathbb R}} %\newcommand{\real}{{\bf R}^p.
\]
It is easy to verify that
for the indicator $\Psi_g({\bf g})$, the canonical duality leads to
\begin{equation}\label{eq: conditions on g}
\begin{array}{cll}
{\mbox{\boldmath$\lambda$}} \in \partial \Psi_g({\bf g}) &\Longrightarrow& {\mbox{\boldmath$\lambda$}}\ge 0 \\
{\bf g} \in\partial \Psi^*_g({\mbox{\boldmath$\lambda$}}) &\Longrightarrow & {\bf g} \le0 \\
{\mbox{\boldmath$\lambda$}}^T {\bf g} =\Psi_g({\bf g} )+\Psi^*_g({\mbox{\boldmath$\lambda$}})&\Longrightarrow & {\mbox{\boldmath$\lambda$}}^T {\bf g}=0 ,
\end{array}
\end{equation}
which are the KKT conditions for the inequality constrains ${\bf g}({\bf x}) \le 0$.
While for $\Psi_h(\bh)$, the canonical duality lead to
\begin{equation}\label{eq: conditions on h}
\begin{array}{cll}
\mbox{\boldmath$\mu$} \in \partial \Psi_h(\bh ) &\Longrightarrow& \mbox{\boldmath$\mu$}\in {\mathbb R}} %\newcommand{\real}{{\bf R}^p\\
\bh \in\partial \Psi^*_h(\mbox{\boldmath$\mu$}) &\Longrightarrow & \bh =0 \\
\mbox{\boldmath$\mu$}^T \bh =\Psi_h(\bh)+\Psi^*_h(\mbox{\boldmath$\mu$})&\Longrightarrow & \mbox{\boldmath$\mu$}^T \bh=0 .
\end{array}
\end{equation}
From the second and third conditions in the (\ref{eq: conditions on h}), it is clear that in order to enforce the constrain $\bh({\bf x})=0$,
the dual variable $\mbox{\boldmath$\mu$} = \{\mu_i\} $ must be not zero $\forall i\in I_p$.
This is a special complementarity condition for equality constrains,
generally not mentioned in many textbooks.
However, the implicit constraint $\mbox{\boldmath$\mu$} \neq 0$
is important in nonconvex optimization.
By using the Fenchel-Young equality $ \Phi_0({\mbox{\boldmath$\xi$}}_0) = {\mbox{\boldmath$\xi$}}_0^T {\mbox{\boldmath$\xi$}}_0^* - \Phi_0^*({\mbox{\boldmath$\xi$}}_0^*)$
to replace $\Phi_0({\mbox{\boldmath$\Lambda$}}_0({\bf x}))$ in (\ref{eq: indicator f}),
the
{ total complementarity function } can be obtained in the following form:
\begin{equation}\label{eq: complete complementarity}
\Xi_0({\bf x},{\mbox{\boldmath$\xi$}}^*_0)=f({\bf x})+[{\mbox{\boldmath$\lambda$}}^T {\bf g}({\bf x})-\Psi_g^*({\mbox{\boldmath$\lambda$}})]+[ \mbox{\boldmath$\mu$}^T \bh({\bf x})-\Psi_g^*(\mbox{\boldmath$\mu$})].
\end{equation}
Let $\mbox{\boldmath$\sigma$}_0 = ({\mbox{\boldmath$\lambda$}} , \mbox{\boldmath$\mu$}) $. The
dual feasible spaces should be defined as
\[
{\cal S}_0 = \{ \mbox{\boldmath$\sigma$}_0 = ( {\mbox{\boldmath$\lambda$}}, \mbox{\boldmath$\mu$}) \in {\mathbb R}} %\newcommand{\real}{{\bf R}^{m \times p }|\;\; \lambda_i\ge 0 \;\; \forall i\in I_m, \;\;
\mu_j\neq 0 \;\;\forall j \in I_p\}.
\]
Thus, on the feasible space ${\mathbb R}} %\newcommand{\real}{{\bf R}^n\times{\cal S}_0$,
the total complementary function (\ref{eq: complete complementarity}) can be simplified as
\begin{equation}\label{eq: lagrangian}
\Xi_0({\bf x},\mbox{\boldmath$\sigma$}_0)=f({\bf x})+{\mbox{\boldmath$\lambda$}}^T {\bf g}({\bf x}) +\mbox{\boldmath$\mu$}^T \bh({\bf x})={\cal L}({\bf x},{\mbox{\boldmath$\lambda$}} , \mbox{\boldmath$\mu$}) ,
\end{equation}
which is the classical Lagrangian and we have
\[
P({\bf x}) = \sup \left\{ \Xi_0({\bf x}, \mbox{\boldmath$\sigma$}_0) | \; \forall \mbox{\boldmath$\sigma$}_0 \in {\cal S}_0 \right\} .
\]
This shows that the canonical duality theory is an extension of the Lagrangian theory
(indeed, the total complementary function was called the extended Lagrangian in \cite{gao-dual00}).
For nonconvex constrained problems, the so-called
{\em sequential canonical transformation } (see Chapter 4, \cite{gao-dual00})
\[
{\mbox{\boldmath$\Lambda$}}_0({\mbox{\boldmath$\Lambda$}}_1(\dots ({\mbox{\boldmath$\Lambda$}}_k({\bf x})) \dots ))
\]
can be used for target function and constraints to obtain high-order canonical dual problem.
Applications have been given to the high-order polynomial optimization \cite{gao-jogo06,gaot-ima},
nonconvex analysis \cite{gao-dual00}, neural network \cite{la-gao}, and nonconvex constrained problems \cite{g-r-s,gao-yang-opt,lato-gao-opl,mora-gao-jogo,z-g-y-opl}.
\subsection{SDP relaxation and canonical primal-dual algorithms }
Recall the primal problem $({\cal{P}})$ (\ref{eq-canp})
\[
({\cal{P}}): \;\; \min \{ \Pi({\mbox{\boldmath$\chi$}}) = \Phi(\Lam(\DD{\mbox{\boldmath$\chi$}})) - \langle {\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\chi$}}^* \rangle | \; {\mbox{\boldmath$\chi$}} \in {\cal X}_c\}
\]
and its canonical dual $({\cal{P}}^d)$ (\ref{eq-cdmax})
\[
({\cal{P}}^d): \;\;\; \max \left\{ \Pi^d({\bf S}) = -G^*_{ap}({\bf S}) - \Phi^*({\bf S}) \; | \; {\bf S} \in {\cal S}_c^+ \right\},
\]
where $G^*_{ap}({\bf S}) = \frac{1}{2} \langle {\bf G}^{-1}({\bf S}) {\bf F}({\bf S}) , {\bf F}({\bf S}) \rangle$ is the pure gap function.
By the fact that $({\cal{P}}^d)$ is a concave maximization on a convex domain ${\cal S}^+_c$,
this canonical dual
can be solved easily if $\Pi^d({\mbox{\boldmath$\xi$}}^*)$ has a stationary point in ${\cal S}_c^+$.
For many challenging (NP-hard) problems,
the stationary points $\Pi^d({\bf S})$ are usually located on the boundary of ${\cal S}^+_c = \{ {\bf S} \in {\cal S}_c | \;\; {\bf G}({\bf S}) \succ 0 \}$.
In this case, the matrix ${\bf G}({\bf S})$ is singular and the canonical dual problem could have multiple solutions.
Two methods can be suggested for solving this challenging case.\\
{\bf 1) SDP Relaxation}. By using the Schur complement Lemma, the canonical dual problem $({\cal{P}}^d)$ can be relaxed as \cite{z-g-y-amc}
\eb
({\cal{P}}^r): \;\; \min \Phi^*({\bf S}) \;\mbox{ s.t. } \; \left( \begin{array}{cc}
{\bf G} ({\bf S}) & {\bf F} ({\bf S}) \\
{\bf F}^T({\bf S}) & 2 G_{ap}({\bf S}) \end{array} \right) \succeq 0 , \;\; \forall {\bf S} \in {\cal S}_c .
\ee
Since $\Phi^*({\bf S})$ is convex and the feasible space is closed, this relaxed canonical dual problem has at least one solution $\bar{\bf S}$.
The associated $\bar{\mbox{\boldmath$\chi$}} = {\bf G}(\bar{\bf S})^{-1} {\bf F}(\bar{\bf S})$ is a solution to $({\cal{P}})$ only if $\bar{\bf S}$ is a stationary point of $\Pi^d({\bf S})$.
Particularly, if $\Phi^*({\bf S}) = \langle {\bf Q} ; {\bf S} \rangle $ is linear, ${\bf F} = 0$, ${\bf G}({\bf S}) = {\bf S}$, and
\[
{\cal S}_c = \{ {\bf S} \in {\mathbb{S}}_n | \;\; \langle {\bf A}_i ; {\bf S} \rangle = b_i \; \forall i\in I_m \}
\]
is a linear manifold, where ${\mathbb{S}}_n = \{ {\bf S} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^{n\times n} | \; {\bf S} = {\bf S}^T \}$ is a symmetrical $n\times n$-matrix space,
${\bf Q} , \; {\bf A}_i \in {\mathbb{S}}_n \;\; i\in I_m$ are given matrices and ${{\bf b}} = \{ b_i \} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^m$ is a given vector,
then by the notation $ {\bf Q} \bullet {\bf S} = \langle {\bf Q} ; {\bf S} \rangle ={\mbox{tr}}({\bf Q} \cdot {\bf C}) = {\bf Q} : {\bf C}$, the
relaxed canonical dual problem can be written as
\eb
\min {\bf Q} \bullet {\bf S} \;\; \mbox{ s.t. } \; {\bf S} \succeq 0 , \;\; {\bf A}_i \bullet {\bf S} = b_i , \;\; \forall i \in I_m ,
\ee
which is a typical Semi-Definite Programming (SDP) problem in optimization \cite{todd}.
This shows that the popular SDP problem is indeed a special case of the canonical duality-triality theory for solving the general
global optimization problem (\ref{eq-gs}).
The SDP method and algorithms have been well-studied in global optimization.
But this method provides only a lower bound approach for the
global minimal solution to $({\cal{P}})$ if its canonical dual has no stationary point in ${\cal S}^+_c$.
Also, in many real-world applications, the local solutions are also important. Therefore, a second method is needed.\\
{\bf 2) Quadratic perturbation and canonical primal-dual algorithm}.
By introducing a quadratic perturbation, the total complementary function
(\ref{eq-xiq}) can be written as
\begin{eqnarray*}
\Xi_{\delta_k} ({\mbox{\boldmath$\chi$}}, {\mbox{\boldmath$\xi$}}^*) & = & \Xi({\mbox{\boldmath$\chi$}}, {\bf S}) + \frac{1}{2} \delta_k \| {\mbox{\boldmath$\chi$}} - {\mbox{\boldmath$\chi$}}_k \|^2 \\
&= & \frac{1}{2} \langle {\mbox{\boldmath$\chi$}} , \bGd({\bf S} ) {\mbox{\boldmath$\chi$}} \rangle - \Phi^*({\bf S} ) - \langle {\mbox{\boldmath$\chi$}}, \bFd({\bf S} )\rangle + \frac{1}{2} \delta_k \langle {\mbox{\boldmath$\chi$}}_k, {\mbox{\boldmath$\chi$}}_k \rangle ,
\end{eqnarray*}
where $\delta_k > 0, \; {\mbox{\boldmath$\chi$}}_k \; \; k\in I_p $ are perturbation parameters, $\bGd({\bf S}) = {\bf G}({\bf S}) + \delta_k {\bf I} $, $\bFd({\bf S}) = {\bf F}({\bf S}) + \delta_k {\mbox{\boldmath$\chi$}}_k$.
Thus, the original canonical dual feasible space ${\cal S}_c^+$ can be enlarged to
${\cal S}_{\delta_k}^+ = \{ {\bf S} \in {\cal S}_c | \; \bGd({\bf S}) \succ 0 \}$.
Using the perturbed total complementary function $\Xi_{\delta_k}$, the perturbed canonical dual problem can be proposed
\eb
({\cal{P}}^d_k): \;\; \max \left\{ \min \{ \Xi_{\delta_k} ({\mbox{\boldmath$\chi$}}, {\bf S}) |\;\; {\mbox{\boldmath$\chi$}} \in {\cal X}_a \} | \; \; {\bf S} \in {\cal S}_{\delta_k}^+ \right\}
\ee
Based on this perturbed canonical dual problem, a canonical primal�dual algorithm has been developed \cite{wu-li-gao,z-g-y-amc}. \\
\noindent{\bf Canonical Primal-Dual Algorithm}. Given initial data $\delta_0 > 0$, ${\mbox{\boldmath$\chi$}}_0 \in {\cal X}_a$, and error allowance $omega > 0$.
Let $k=1$.
\begin{verse}
1) Solve the perturbed canonical dual problem $({\cal{P}}^d_k)$ to obtain ${\bf S}_k \in {\cal S}_{\delta_k}^+$. \\
2) Computer $\bar{\mbox{\boldmath$\chi$}}_k = [ \bGd ({\bf S}_k)]^{-1} \bFd({\bf S}_k)$ and let
\[
{\mbox{\boldmath$\chi$}}_k = {\mbox{\boldmath$\chi$}}_{k-1} + \beta_k (\bar{\mbox{\boldmath$\chi$}}_k - {\mbox{\boldmath$\chi$}}_{k-1}), \;\; \beta_k \in [0,1].
\]\\
3) If $|\Pi({\mbox{\boldmath$\chi$}}_k) - \Pi({\mbox{\boldmath$\chi$}}_{k-1}) | \le \omega $, then stop, ${\mbox{\boldmath$\chi$}}_k$ is the optimal solution to $({\cal{P}})$.
Otherwise, let $k = k + 1$, go back to 1).
\end{verse}
In this algorithm, $\{ \beta_k\} $ are given the parameters, which change the search directions. Clearly, if
$\beta_k = 1$, we have ${\mbox{\boldmath$\chi$}}_k = \bar{\mbox{\boldmath$\chi$}}_k $.
This algorithm has been used successfully for solving a class of benchmark problems and sensor network optimization problems
\cite{ruan-gao-pe,z-g-y-amc}.
Let ${\cal S}_{\delta_k}^- = \{ {\bf S} \in {\cal S}_c | \; \bGd({\bf S}) \prec 0 \}$. The combination of this algorithm with the double-min and double-max dualities in the
triality theory can be used for finding local optimal solutions \cite{cai-gao-qin}.
\section{Challenges and breakthrough}
In the history of sciences, a ground-breaking theory usually has to pass through serious arguments and challenges.
This is duality nature and certainly true for the canonical duality-triality theory,
which has benefited from
recent challenges by M. Voisei, C. \Z and his former student R. Strugariu
in a set of 11 papers. These papers fall naturally into three interesting groups.
\subsection{ Group 1: Bi-level duality}
One paper in this group by Voisei and \Z \cite{vz3} challenges
Gao and Yang's work for solving
the following minimal distance between two surfaces \cite{gao-yang-opt}
\eb
\min \left\{ \frac{1}{2} \| {\bf x} - {\bf y}\|^2 \; | \;\; g({\bf x}) = 0, \;\; h({\bf y}) = 0, \;\; {\bf x}, {\bf y} \in {\mathbb R}} %\newcommand{\real}{{\bf R}^n\right\},\label{eq-gy}
\ee
where $g({\bf x})$ is convex, while $h({\bf y})$ is a nonconvex function.
By the canonical transformation $h({\bf y}) = \VV(\Lam({\bf y})) - {\bf y}^T {\bf f} $, the Gao-Strang complementary function
was written in the form of $\Xi({\bf x}, {\bf y}, \mbox{\boldmath$\sigma$}_0, \varsigma)$, where $\mbox{\boldmath$\sigma$}_0 = \{ \lam, \mu)$ is the first level canonical dual variable, i.e. the Lagrange multiplier
for $\{ g({\bf x}) = 0, \; h({\bf y}) = 0\}$, while $\varsigma $ is the second level canonical dual variable for the nonconvex
constraint (see equation (11) in \cite{gao-yang-opt}).
Using one counterexample
\eb
g({\bf x}) = \frac{1}{2} (\| {\bf x} \|^2 -1) , \;\; h({\bf y}) = \frac{1}{2} \left( \frac{1}{2} \|{\bf y} - {\bf c}\|^2 - 1 \right)^2 -
{\bf f}^T ({\bf y} - {\bf c}), \label{eq-vz}
\ee
with $n=2$ and $ {\bf c} = (
1,0) , \;\; {\bf f} = (
\frac{\sqrt{6}}{96} , 0 )$,
Voisei and \Z proved that
``the main results in Gao and Yang \cite{gao-yang-opt} are false"
and they concluded: ``The consideration of the function $\Xi$ is useless, at least for the problem
studied in \cite{gao-yang-opt}".
This paper raises up two issues on different levels.
The first issue is elementary: there is indeed a mistake in Gao and Yang's work, i.e. instead of $ ({\bf x}, {\bf y},\mbox{\boldmath$\sigma$}_0, \varsigma)$ used in \cite{gao-yang-opt}, the
variables in the total complementary function $\Xi$ should be the vectors
${\mbox{\boldmath$\chi$}} = ({\bf x} , {\bf y})$ and $(\mbox{\boldmath$\sigma$}_0, \varsigma)$ since $\Xi({\mbox{\boldmath$\chi$}}, \mbox{\boldmath$\sigma$}_0, \varsigma)$ is convex in ${\bf x}$ and ${\bf y}$ but may not in
${\mbox{\boldmath$\chi$}}$.
This mistake has been easily corrected in \cite{mora-gao-jogo}.
Therefore, the duality on this level is: opposite to Voisei and Z\u{a}linescu's conclusion,
the consideration of the Gao-Strang total complementary function $\Xi$
is indeed quite useful for solving the challenging problem (\ref{eq-gy}) \cite{mora-gao-jogo}.
The second issue is crucial. The ``counterexample" (\ref{eq-vz}) has two global minimal solutions due to the symmetry
(see Fig. \ref{fig-vz}). Similar to Example 1, the canonical dual problem (\ref{eq-cdmax}) $\max \{ \Pi^d(\mbox{\boldmath$\sigma$}_0,\varsigma) | (\mbox{\boldmath$\sigma$}_0,\varsigma) \in {\cal S}_c^+\}$
has two stationary points on the boundary of ${\cal S}_c^+$ (cf. Fig. 1(b)). Such case has been discussed by Gao in integer programming problem \cite{gao-jimo07}.
It was first realized that many so-called NP-hard problems in global optimization usually have multiple global minimal solutions
and a conjecture was proposed in \cite{gao-jimo07}, i.e. a global optimization problem is NP-hard if its canonical dual has no stationary point in ${\cal S}_c^+$.
In order to solve such challenging problems, different perturbation methods have been suggested with successful applications in global optimization
\cite{gao-ruan-jogo10,ruan-gao-pe,r-g-j,wang-ea}, including a recent paper on solving hard-case of a trust-region subproblem \cite{chen-gao-oms}.
For this problem, by simply using linear perturbation ${\bf f}_k =( \frac{\sqrt{6}}{96} , \frac{1}{k})$ with $|k| \gg 1$,
both global minimal solutions can be easily obtained by the canonical duality-triality theory
\cite{mora-gao-jogo} (see Fig. \ref{fig-vz} and Fig. 1(a)).
Therefore, the duality on this level is: Voisei and Z\u{a}linescu's
``counterexample" does not contradict the canonical duality-triality theory even in this crucial case.
\begin{figure}[h]
\centering
{\label{2DPert64}\includegraphics[width=0.3\textwidth]{MinDist2DPert64-eps-converted-to.pdf}}\quad
{\label{2DPert100K}\includegraphics[width=0.3\textwidth]{MinDist2DPert100K-eps-converted-to.pdf}}
\caption{Perturbations for breaking symmetry with $k=64$ (left) and $k=10^5$ (right).} \label{fig-vz}
\end{figure}
Actually, by the general model (\ref{eq-gs}), the nonconvex hyper-surface $h({\bf y}) $ in this paper can be written as
$h({\bf y}) = \WW(\DD {\bf y}) - \FF({\bf y})$, where the double-well function $\WW(\DD{\bf y})$ is objective (also isotropic), which represents the modeling with symmetry;
while the linear term $\FF({\bf y})$ is a subjective function, which breaks the symmetry and leads to a particular problem.
By the fact that nothing in this world is perfect, therefore, any real-world problem must have certain
input or defects. This simple truth lays a foundation for the perturbation method and the triality theory for solving
challenging problems.
However, this fact is not well-recognized in mathematical optimization and computational science\footnote{Indeed, one authors' paper \cite{ruan-gao-pe} was first submitted to a computational optimization journal and received such a reviewer's comment:
``the authors applied a perturbation, which changed the problem
mathematically, ... and I suggest an immediate rejection."},
it turns out that many challenges and NP-hard problems are artificially proposed.
\subsection{Group 2: Conceptual duality}
Of four papers in this group, two were published in pure math journals \cite{vz2,vz1}
and two were rejected by applied math journals ({\em ZAMP} and {\em Q.J. Mech. Appl. Math}).
The paper by Voisei and \Z \cite{vz1} challenges Gao and Strang's original work on solving the general nonconvex variational problem (\ref{eq-gs}) in finite deformation theory.
As we discussed in Section \ref{sec-cdt} that the stored energy $\WW(\mbox{\boldmath$\epsilon$}) $ must be objective and can't be linear,
the deformation operator $\Lam$ should be geometrically admissible in order to have the canonical transformation $\WW(\mbox{\boldmath$\epsilon$}) =\Phi(\Lam(\mbox{\boldmath$\epsilon$}))$,
and the external energy $\FF({\mbox{\boldmath$\chi$}})$ must be linear such that $\bar{\mbox{\boldmath$\chi$}}^* = \partial \FF({\mbox{\boldmath$\chi$}})$ is the given input.
Oppositely, by listing total six counterexamples, Voisei and \Z
choose a piecewise linear function $g(u,v) = \{ u \; (\mbox{if } v=u^2 )\; ; \;0 \mbox{ (otherwise)} \}$
as $\Phi({\mbox{\boldmath$\xi$}})$, a parametric function $f(t) = (t, t^2)$ as the geometrically nonlinear operator $\Lam(t)$
(see Example 3.1 in \cite{vz1}), and
quadratic functions as $\FF({\mbox{\boldmath$\chi$}})$
(see Examples 3.2, 3.4, 3.5 and 3.6 in \cite{vz1}).
While in the rest counterexample (Example 3.3 in \cite{vz1}), they simply let the external energy $\FF(u) = 0$ and $\Lam(u) = u^2 -u$.
Clearly, the piecewise linear function listed by Voisei and \Z is not objective and can't be the stored energy for any real material.
Also, both $\Lam(t)$ and $\Lam(u)$ are simply not strain measures.
Such conceptual mistakes are repeatedly made in their recent papers, say in the paper by
Strugariu, Voisei, and \Z
(Example 3.3 in \cite{vz2}), they let $(x(t) , y(t) ) = A (t) = ( \frac{1}{2} t^2 , t ) $ be the geometrical mapping
${\mbox{\boldmath$\xi$}}(t) = \Lam(t)$ and, in their notation,
$
f(x, y) = x y^3 ( x^2 + (x- y^4)^2 )^{-1}$ as the stored energy $\Phi({\mbox{\boldmath$\xi$}})$.
For quadratic $\FF({\mbox{\boldmath$\chi$}})$, the input $\bar{\mbox{\boldmath$\chi$}}^* = \partial \FF({\mbox{\boldmath$\chi$}}) $ depends linearly on the
output ${\mbox{\boldmath$\chi$}}$, which is called the {\em follower force}. In this case, the system is not conservative and the
traditional variational methods do not apply. In order to study such nonconservative minimization problems,
a so-called rate variational method and duality principle were proposed by Gao and Onat \cite{gao-onat}.
While for $\FF({\mbox{\boldmath$\chi$}}) = 0$, the minimization $\min \{\PP({\mbox{\boldmath$\chi$}}) = \WW(\DD{\mbox{\boldmath$\chi$}})\}$ is not a problem but a modelling,
which has either trivial solution ${\mbox{\boldmath$\chi$}} = 0$ or multiple solutions
${\mbox{\boldmath$\chi$}} = constant$ due to certain symmetry of the mathematical modelling. This is a key mistake
happened very often in global optimization, which leads to many man-made NP-hard problems as we discussed in the
previous subsection.
The concept of a Lagrangian was introduced by J.L. Lagrange in analytic mechanics 1788, which has a standard notation in physics as
(see \cite{land-lif})
\eb
L({\mbox{\boldmath$\chi$}}) = T( \dbchi) - \VV({\mbox{\boldmath$\chi$}}),
\ee
where $\TT$ is the kinetic energy and $\VV$ is the potential energy.
By the Legendre transformation $\TT^* ({{\bf p}}) = \langle \dbchi, {{\bf p}} \rangle - \TT(\dbchi) $, the Lagrangian is also written as
\eb
L({\mbox{\boldmath$\chi$}}, {{\bf p}}) = \langle \dbchi, {{\bf p}} \rangle - \TT^*({{\bf p}}) - \VV({\mbox{\boldmath$\chi$}}).
\ee
It is commonly known that for
problems with linear potential $\VV({\mbox{\boldmath$\chi$}}) = \langle {\mbox{\boldmath$\chi$}}, \bar{\mbox{\boldmath$\chi$}}^*\rangle$,
the Lagrangian $L({\mbox{\boldmath$\chi$}}) $ is convex and
$L({\mbox{\boldmath$\chi$}}, {{\bf p}}) $ is a saddle point functional which leads to a well-known min-max duality
in convex systems.
But for problems with convex potential $\VV({\mbox{\boldmath$\chi$}})$,
the Lagrangian $L({\mbox{\boldmath$\chi$}}) $ is a d.c. function (difference of convex functions)
and $L({\mbox{\boldmath$\chi$}}, {{\bf p}}) $ is not a saddle functional any more. In this case, the Hamiltonian $H({\mbox{\boldmath$\chi$}}, {{\bf p}}) = \langle \dbchi, {{\bf p}} \rangle - L({\mbox{\boldmath$\chi$}}, {{\bf p}}) = \TT^*({{\bf p}}) + \VV({\mbox{\boldmath$\chi$}})$ is convex.
Therefore, a {\em bi-duality} (i.e. the combination of the
double-min and double-max dualities) was proposed in convex Hamilton systems (see Chapter 2 \cite{gao-dual00}).
However, in the paper by Strugariu, Voisei, and \Z
\cite{vz2}, the function
\[
L(x,y) = \langle a, x \rangle \langle b , y \rangle - \frac{1}{2} {\alpha} \| x\|^2 - \frac{1}{2} \beta \| y \|^2
\]
is defined as the ``Lagrangian", by which, they produced several ``counterexamples" for the bi-duality in convex Hamilton systems.
In this ``Lagrangian", if we consider $\VV(x) = \frac{1}{2} {\alpha} \| x\|^2$ as a potential energy and $\TT^*(y) = \frac{1}{2} \beta \| y \|^2$
as the complementary kinetic energy, but the term $\langle a, x \rangle \langle b , y \rangle$ is not the bilinear form
$\langle \DD x; y\rangle$
required in
Lagrange mechanics, where $\DD$ is a differential operator such that $\DD x $ and $y$ form a (constitutive) duality pair. This term does not make any sense
in Lagrangian mechanics \cite{land-lif} and duality theory \cite{eke-tem}.
Therefore, the ``Lagrangian" used by Strugariu, Voisei, and \Z
for producing counterexamples of the bi-duality theory is not the
Lagrangian used in Gao's book \cite{gao-dual00}, i.e. the standard Lagrangian in classical mechanics \cite{land-lif,panza}, convex analysis \cite{eke-tem}, and modern physics \cite{davier,a-e}. Actually, the bi-duality theory in finite dimensional space is a corollary of the so-called {\em Iso-Index Theorem}
and the proof was given in Gao's book
(see Theorem 5.3.6 and Corollary 5.3.1 \cite{gao-dual00}).
Papers in this group show a big gap between mathematical physics/analysis and optimization.
As V.I. Arnold said \cite{arnold}: ``In the middle of the twentieth century it was attempted to divide physics and mathematics. The consequences turned out to be catastrophic."
\subsection{Group 3: Anti-Triality} Six papers are in this group on the triality theory. By listing simple
counterexamples (cf. e.g. \cite{vz-jogo}), Voisei and \Z claimed:
``a correction of this theory is impossible without falling into trivia"\footnote{This sentence is deleted
by Voisei and \Z in their revision of \cite{vz-jogo} after they were informed by referees that their counterexamples are not new
and the triality theory has been proved.}.
However, even some of these counterexamples are correct, they are not new. This type of counterexamples was first discovered by Gao in 2003
\cite{gao-amma03,gao-opt03}, i.e. the double-min duality holds under certain additional constraints (see Remark on page 288 \cite{gao-amma03} and
Remark 1 on page 481 \cite{gao-opt03}).
But neither \cite{gao-amma03} nor \cite{gao-opt03} was cited by Voisei and \Z in their papers.
As mentioned in Section \ref{sec-tri}, the triality was proposed originally from post-buckling analysis \cite{gao-amr97}
in ``either-or" format
since the double-max duality is always true but the double-min duality was proved only in one-dimensional nonconvex analysis \cite{gao-dual00}.
Recently, this double-min duality has been proved first for polynomial optimization \cite{gao-wu-jimo,mora-gao-naco,mora-gao-memo},
and then for general global optimization problems \cite{chen-gao-jogo,gao-wu-jogo}.
The �certain additional constraints� are simply the dimensions of the primal problem and its canonical dual should be the same in order to have strong double-min duality. Otherwise, this double-min duality holds weakly in subspaces with elegant symmetrical forms. Therefore, the triality theory
now has been proved in global optimization, which should play important roles for solving NP-hard problems in complex systems.
\section{Concluding Remarks and Open Problems}
In this article we have discussed the existing gaps between nonconvex analysis/mechanics and global optimization.
Common misunderstandings and confusions on some basic concepts have been addressed and clarified, including
the objectivity, nonlinearity, and Lagrangian.
By the fact that the canonical duality is a fundamental law in nature, the canonical duality-triality theory
is indeed powerful for unified understanding complicated phenomena and solving challenging problems.
So far, this theory can be summarized for having the following functions:
\begin{verse}
1. To correctly model complex phenomena in multi-scale systems within a unified framework \cite{gao-dual00,gao-amma03,gao-yu}.\\
2. To solve a large class of nonconvex/nonsmooth/discrete global optimization problems for obtaining
both global and local optimal solutions. \\
3. To reformulate certain nonlinear partial differential equations in algebraic forms with possibility to obtain all
possible analytical solutions \cite{gao-na00,gao-anti,gao-ogden-zamp,gao-ogden-qjmam}.\\
4. To understand and identify certain NP-hard problems, i.e., the general global optimization problems are not NP-hard if they can be solved by the canonical duality-triality theory \cite{gao-jimo07,gao-ruan-jogo10,ruan-gao-pe}.\\
5. To understand and solve nonlinear (chaotic) dynamic systems by obtaining global stable solutions \cite{ruan-gao-ima,li-zhou-gao}.\\
6. To check and verify correctness of existing modelling and theories.
\end{verse}
There are still many open problems existing in the canonical duality-triality theory.
Here we list a few of them.
\begin{verse}
1. Sufficient condition for the existence of the canonical dual solutions on ${\cal S}^+_c$.\\
2. NP-Harness conjecture: A global optimization problem is NP-hard if its canonical dual $\Pi^d({\mbox{\boldmath$\xi$}}^*)$ has no stationary point on the closed domain
$\bar{{\cal S}}^+_c = \{ {\mbox{\boldmath$\xi$}}^* \in{\cal S}_a| \; {\bf G}({\mbox{\boldmath$\xi$}}^* \succeq 0 \}$.\\
3.Extremality conditions for stationary points of $\Pi^d({\mbox{\boldmath$\xi$}}^*)$ on the domain such that ${\bf G}({\mbox{\boldmath$\xi$}}^*)$ is in-definite in order to identify all local extrema. \\
4. Bi-duality and triality theory for $d$-dimensional ($d> 1$) nonconvex analysis problems.
\end{verse}
The following research topics are challenging:
1.
Canonical duality-triality theory for solving bi-level optimization problems.
2. Using least-squares method and canonical duality theory for solving 3-dimensional chaotic dynamical problems, such as
Lorenz system and Navier-Stokes equation, etc.
3. Perturbation methods for solving NP-hard integer programming problems, such as quadratic Knapsack problem, TSP, and mixed integer nonlinear programming problems.
4. Unilateral post-buckling problem of the Gao nonlinear beam
\eb
\min_{\chi \in {\cal X}_a} \left\{ \Pi(\chi) = \int_0^L \left[ \frac{1}{2} EI \chi_{xx}^2 + \frac{1}{12} {\alpha} E \chi_{x}^4 - \frac{1}{2} \lam E \chi_{x}^2 - f \chi \right] \mbox{ d}x
\;\; | \;\;
\chi(x) \ge 0 \right\} .
\ee
Due to the axial compressive load $\lam > 0$, the
downward lateral load $f(x) $ and the unilateral constraint $\chi(x) \ge 0 \;\; \forall x\in [0,L]$,
the solution of this nonconvex variational problem is a local minimizer of $\Pi(\chi)$ which can be obtained numerically
by the canonical dual finite element methods \cite{cai-gao-qin,santos-gao} if $\lam$ and $f$ are not big enough such that
$\chi(x) > 0 \;\;\forall x\in [0,L]$.
However, if the buckling state $\chi(x) = 0 $ happens at any $x\in [0, L]$, the problem
could be NP-hard.
The open problems include:
1) under what conditions for the external loads $\lam > 0 $ and $f(x)$, the problem
has a solution $\chi(x) > 0 \;\;\forall x \in [0,L]$?
2) how to solve the unilateral buckling problem when $\chi(x) = 0 $ holds for certain $x \in [0,L]$? \\
\noindent{\bf Acknowledgement}:
This paper is based on a series of plenary lectures presented at
international conferences of mathematics, mechanics and global optimization during 2012-2014.
Invitations from organizers are sincerely acknowledged.
The research has been supported by a grant (AFOSR FA9550-10-1-0487)
from the US Air Force Office of Scientific Research. Dr. Ning Ruan was
supported by a funding from the Australian Government
under the Collaborative Research Networks (CRN) program.
The authors sincerely thank Professor D. Steigmann at University of Berkeley for his invitation of editing the special issue of
the journal {\em Math. Mech. Solids}
on the canonical duality theory.
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using System.Linq;
using Microsoft.CodeAnalysis;
using Microsoft.CodeAnalysis.CSharp;
using Microsoft.CodeAnalysis.CSharp.Syntax;
namespace CSharpCodeGenerator.DataStructures
{
public class DocumentStructure : DataStructure
{
protected readonly CompilationUnitSyntax _node;
public DocumentStructure(CompilationUnitSyntax node)
{
_node = node;
}
public ClassStructure[] Classes {
get
{
return _node.DescendantNodes()
.Where(m => m.IsKind(SyntaxKind.ClassDeclaration))
.Select((node, index) => new ClassStructure(node as ClassDeclarationSyntax))
.ToArray();
}
}
}
}
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Home » Archives for Michelle Schenker
Michelle Schenker
Michelle holds an MBA from Vanderbilt University and has worked in marketing at Bank of America, Mattel and Hanes. She is the proud co-founder of Canine Journal and a dog lover through and through. Since the day she was born, she has lived in a home full of dogs. Her adult home is no exception where she and her husband live with Bella and Lily, their two adorable rescue pups. In addition to her love for snuggling with dogs, she also has enjoyed working professionally in the canine field since 1999 when she started her first dog-related job at a dog bakery.
@csm_michelle
Top Dog: Jack The Jumping DockDog Lab
Michelle Schenker Updated: August 12, 2019 Top Dogs 1
Jack is a black lab who has an inspiring story of fighting and winning against cancer while competing in sporting competitions. He is a fun-loving, dock-diving team competitor and his mom is a childhood friend of Canine Journal's co-founder, Michelle. We recently had the chance to chat with Jack about his advice for being a DockDog. He also shared his incredible comeback from cancer through his holistic treatments and lifestyle…
Top Dog Interview: American Ninja Warrior's K9 Ninja, Roo Yori
Michelle Schenker Updated: July 25, 2019 Animal Activism, Top Dogs 0
Roo Yori competes on the hit NBC TV show American Ninja Warrior as the K9 Ninja to raise awareness for homeless dogs. His rescue pit bull Wallace became a World Champion frisbee dog and he adopted Hector, another pit bull, from the Michael Vick dogfighting case. Roo continues to build quite an impressive resume. Learn about his inspiring story and what led him down the path from rescue advocate to American Ninja Warrior in our exclusive interview…
How To Teach Your Dog Obedience Commands
Michelle Schenker Updated: September 13, 2018 Behavior 2
You just brought home a new dog and are not sure where to start. Sure you need to make sure you have the right food, a collar with ID tag and leash along with a comfy place to sleep but you will also need to teach it how to behave in your home and around others. Sit, stay, down, release — these are all important obedience commands that you will need to communicate with your dog properly, so we think it is essential to explain how to train these desired behaviors…
Q&A with Granola Barks Creator Michael Quaranta
Michelle Schenker Updated: April 3, 2018 Stories 0
Michael Quaranta is a California native and founder of Granola Barks bars for dogs. He over-indexes on the value of empathy and emotional intelligence…
Celebrating Our 10th Birthday
Michelle Schenker Updated: November 15, 2017 Stories 2
In 2007, I created a business to make custom dog collars and leashes for internet shoppers. As we celebrate ten years online, I could not be more proud of how Canine Journal has transformed and grown into this wonderful web community! And it is in no small part thanks to each and every one of you. Together we have made Canine Journal the premier resource for all things dog and have helped pet parents make better decisions that enhance the lives of their pets. To celebrate a decade of dog-related content, we asked our fans to submit photos of their dog to be featured on our site. The dog with the most votes wins a customized prize pack including a Tote Tails bag, a personalized pillow from LifeGoesPOP and an ASPCA gift pack…
Any tips on how to safely use a hands-free dog leash?
Michelle Schenker Updated: May 11, 2017 3
Has anyone ever used a hands-free dog leash? If so, do you like it? I would be so worried that my dog would spot something, take off after it and I would be on my face. Would love any tips on how to properly use this to avoid the potential dangers. Thanks!
Top Dog Interview: Blind Hiker Trevor Thomas' Dog Tennille
Michelle Schenker Updated: September 16, 2016 Top Dogs 1
As if that list isn't impressive enough, she is also a sponsored athlete and brand ambassador for SPOT, Ruffwear, Marmot, Big Agnes, and In Clover. She has been featured in numerous magazine and newspaper articles, NBC Nightly News, numerous local and regional television spots, will be featured on The Secret Lives of Dogs in January 2017, and is a feature in Service Tales Book by Ace Collins. Tennille is currently in active service and resides in Charlotte, NC with her partner, Trevor Thomas…
Fifty the Two-Legged Pit Bull Dog
Michelle Schenker Updated: May 12, 2016 Top Dogs 2
In September 2007, Fifty fell victim to Pit Bull breed discrimination and was shot with a gun by a police officer in both of his right limbs. This led to a double amputation and survived with two strong legs. He was put in a shelter and was adopted 9 months later by his current mom. Fifty now lives happily in his forever home in Chicago, Illinois where he is an ambassador for pit bulls and dogs everywhere to make sure they are treated with respect and dignity. Let's learn from our mistakes and stop history from repeating itself. His smile and spirit is likely to help you understand why you should never, ever judge a book from its cover. Now, let's get to know Fifty the two-legged Pitbull in this exclusive interview…
Guide to Miniature Dog Breeds
Michelle Schenker Updated: February 2, 2016 Breed 1
Miniature dogs meet many unique family needs. Whether living in an apartment or looking for a dog that isn't too large to knock down young children, miniature dog breeds are often a better choice for some families. Below we will take a look at some of the more popular miniature dog breeds including: the Chihuahua, the miniature pinscher, the Italian greyhound and the cavalier King Charles spaniel…
Top Dog Interview with Denver the Guilty Dog
Michelle Schenker Updated: November 24, 2015 Top Dogs 0
Denver was born on the 4th of July and raised on the Eastern Shore of Maryland. She is your typical Labrador Retriever and loves swimming, fetching, rolling in everything, making her family happy and playing with her sister Masey, a Golden Retriever, and her two brother kittens, Pouncer and Clover. Her absolute favorite two things to do are playing in the creek behind the house and being an active member of our family! She is a very, very special dog with a unique personality that is well-loved and taken care of by her family. Everyone that meets Denver quickly realizes she truly has a personality unlike any animal they have ever seen…
Page 1 of 912345 » ...Last »
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| null | null |
Avengers: Endgame is reported to be his final film as this character. If so, I'm gonna miss him in the role. Hopefully, he will get a good sendoff. Maybe appear before Thanos as a hologram to allow The Avengers to win the day. "Ha! Ha! You think this is the real Steve? It is!"
He was perfect in the role. They'll have massive balls if they really do kill him off.
I think his contract is done and has spoken about wanting to do other things.
I recall he wanted to direct.
True, but I was referring to how the viewers would feel if they did kill him off. It'd be so heart-wrenching.
There are two loose thread possibilities: Winter Soldier and Falcon both have become Captain America in the comics, so maybe if one of them does in the movies Evans can come back in a supporting role?
I still think Stark dies while Rogers retires.
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\section*{Author contributions statement}
V.K. conceived and directed the project. D.H. collected the data, implemented the methods, and performed experiments. V.K. and D.H. designed experiments, analyzed data, and wrote the paper.
\section*{Additional information}
The authors declare no competing interests.
\begin{refsegment}
\input{si}
\printbibliography[title=Additional References,segment=\therefsegment,filter=notother]
\end{refsegment}
\end{document}
\section*{Methods}
\subsection*{Highly-cited researchers}
We construct a dataset of highly-cited researchers in four research fields: biology, computer science, economics, and physics.
To begin, we retrieve a set of highly-cited researchers in each field via Google Scholar. To this end, we query Google Scholar with labels that are characteristic of different research areas (Supplementary Fig.~\ref{fig:scholar_search_labels}). The retrieved authors are sorted by the number of citations: most highly cited researchers appear first. However, the results are noisy because the queries retrieve all authors that feature the queried keyword phrases in their profiles. For example, a physicist who features ``high performance computing'' as a keyword phrase in their profile would be retrieved by the corresponding query. Since ``high performance computing'' is one of our queries for computer science researchers, the physicist would, in the absence of further validation, be added to the computer science dataset.
To clean up the initial lists compiled via Google Scholar, we cross-reference them with the Scopus database. A scientist's Scopus profile indicates their primary research area. We use this primary research area to filter the initial lists. To this end, we need to match author profiles in Google Scholar with Scopus profiles.
To perform the association, we first create a set of candidate matches by querying the Scopus database with the researcher's name. To obtain the query name, we clean the Google Scholar profile name via simple heuristics (e.g.\ remove extraneous information such as links or affiliation names).
To reduce false positives, we limit the candidates to Scopus profiles with more than 50 papers (more than 30 papers for economics). To perform the actual matching, we analyze the top 100 papers (sorted by citation counts) of the different candidate profiles. If we find at least three matching paper titles in the Scholar and Scopus profiles, we associate the two profiles.
After matching, we filter the authors in each field by their primary subject area in Scopus (Supplementary Fig.~\ref{fig:search_subject_areas}).
After filtering, we retain the top 1,000 authors in each field. This filtered set is derived from the top 1,186 Google Scholar profiles in biology, 1,711 in computer science, 1,632 in economics, and 1,296 in physics. This means that, in aggregate, more than two thirds of the initial Google Scholar profiles are matched to corresponding Scopus profiles with the desired primary subject area. Authors that could not be matched or do not have the requisite primary subject area are removed from the corresponding list. (They may still be retained in a list for a different field; e.g.\ physics rather than computer science.) One attribute of our filtering procedure is that the lists of authors in the four fields are disjoint: a scientist is only included in at most one list.
\subsection*{Google Scholar data}
For all 4,000 researchers, we collect their Google Scholar publications including citation data~\cite{scholar}.
In particular, we collect (for each publication) the publication year, the number of authors, and the number of citations per year. We filter out certain publications: (i)~publications that do not list authors or the publication year, (ii)~patents, and (iii)~duplicates marked by Google Scholar.
Moreover, we noticed that the publication date and the citation years in Google Scholar are sometimes inconsistent: a publication is sometimes cited \emph{before} is was published. As a remedy, we take the minimum of the publication year and the year of the first citation as the effective publication year.
We also noticed that Google Scholar generally under-reports the number of authors for publications with large author sets. Manual inspection indicates that Scholar does not record all authors, but only the first $\sim$150 authors. In particular, the maximal value of the average author count in the Scholar dataset is 230, versus 3,130 in Scopus.
This is an important limitation of the Scholar data that has to be kept in mind. The consistency of our findings across the Scholar and Scopus datasets, in spite of the truncated author counts in the Scholar data, indicates that our findings are robust to such noise and bias in the data.
\subsection*{Scopus data}
Similar to the Google Scholar data, we collect for each of the 4,000 authors their Scopus publications with citation data~\cite{scopus}.
Since the Scopus data is significantly less noisy than the Scholar data, no special data cleaning and filtering are required.
\medskip
One salient difference between the datasets is that the Google Scholar datasets contain approximately twice as many publications and citations than the Scopus datasets. One contributing factor is that Scopus indexes only a subset of the venues crawled by Google Scholar. For example, Scopus does not index online repositories such as arXiv. In agreement with prior studies, we have found Google Scholar data to be both broader and noisier than Scopus~\cite{Waltman2016}. The consistency of our findings across the Scholar and Scopus datasets highlights their robustness.
\subsection*{Award data}
We use awards bestowed by the scientific community as indicators of scientific reputation. To this end, we consider highly selective distinctions, some of which span multiple scientific fields, such as membership in the National Academy of Sciences, and some of which are field-specific, such as fellowship of the Econometric Society (Supplementary Fig.~\ref{fig:winner_all}, Supplementary Table~\ref{tab:awards}, and \url{https://h-frac.org/dataset-s1}).
Our award data collection procedure begins by compiling complete lists of laureates for each award from the respective web sites. (This is nontrivial since it requires customized parsing techniques for each award.)
Next, we search these lists of laureates for names in our datasets. This search is based on the surname and the initials from each Scopus author profile in our dataset. This yields a list of candidate matches. We then manually check all candidate matches, considering the author details in the Scopus profile, such as name variations, affiliations, and subject areas, as well as details extracted from the corresponding award pages, such as bio, affiliation, and country. (Supplementary Figs.~\ref{fig:awards}, A, B, and Supplementary Table~\ref{tab:awards}).
For each laureate, we also retain the year in which the award was conferred. This is central to our measurement of correlation and predictive power over time.
\section*{Supplementary Information}
\subsection*{Data Collection}
\subsubsection*{Scholar Data}
In total, we collect 2,624,994 (valid) publications in Google Scholar that are collectively cited 220,783,854 times.
The distribution of the publications and citations among the research fields is as follows (Fig.~\ref{fig:data_cum}(bottom)): biology accounts for 31\% of the publications and 38\% of the citations, computer science for 22\% and 17\%, economics for 12\% and 10\%, and physics for 35\% and 35\%.
Our dataset offers yearly granularity from 1970 onwards.
\subsection*{Scopus Data}
In total, the Scopus dataset comprises 1,290,219 publications with 102,405,086 citations. The distribution of publications and citations is as follows (Fig.~\ref{fig:data_cum}(top)): biology accounts for 34\% of publications and 49\% of citations, computer science for 20\% and 14\%, economics for 6\% and 4\%, and physics for 41\% and 33\%.
\subsection*{Award Data}
In total, we trace 1,848 distinct awards to the 4,000 scientists in our dataset. Some scientists have received multiple awards. The number of distinct scientists who have received at least one award in the dataset is 976 (24.4\%). 13.3\% of the researchers received exactly one award, 5.1\% received two, 3.1\% three, and 2.9\% more than three awards (Fig.~\ref{fig:awards_dist}). Of the 1,848 distinct awards, 653 (35.3\%) were granted to researchers in biology, 526 (28.5\%) in economics, 402 (21.8\%) in physics, and 267 (14.4\%) in computer science (Fig.~\ref{fig:awards_yearly}).
\subsection*{Scientometric Measures}
The following paragraphs explain the main scientometric measures that we consider in this work.
\subsubsection*{H-Index}
The h-index, originally proposed by Hirsch in 2005~\cite{Hirsch2005}, is defined as the maximal value of $h$ such that $h$ publications by the author have at least $h$ citations each. Let $N$ be the number of publications and let $\{c_1, \ldots, c_N\}$ the number of citations per paper in decreasing order; i.e.\ $c_i \ge c_j$ for $i < j$. The h-index is given by
\begin{equation}
\textrm{h} \,=\, \max\left( h \right)
\quad \textrm{s.t.} \quad
c_h \ge h
\,.
\end{equation}
\subsubsection*{C-Index}
We define the c-index as the total number of citations to all publications by the author:
\begin{equation}
\textrm{c} \,=\, \sum_{i=1}^N c_i \,.
\end{equation}
\subsubsection*{$\mu$-Index}
Lehmann et al.~\cite{Lehmann2006} advocated the use of the mean number of citations per paper:
\begin{equation}
\mu \,=\, \frac{1}{N} \, \sum_{i=1}^N c_i \,.
\end{equation}
\subsubsection*{G-Index}
Egghe's g-index~\cite{Egghe2006} is a variation on the h-index. It is defined as the maximal value of $g$ such that $g$ publications by the author collectively have at least $g^2$ citations in total:
\begin{equation}
\textrm{g} \,=\, \max\left( g \right)
\quad \textrm{s.t.} \quad
\sum_{i \le g} c_i \,\ge\, g^2
\,.
\end{equation}
\subsubsection*{O-Index}
The o-index, proposed by Dorogovtsev and Mendes in 2015~\cite{DorogovtsevMendes2015}, is defined as the geometric mean of the h-index (h) and the citation count of the most-cited publication ($c_1$):
\begin{equation}
\textrm{o} \,=\, \sqrt{\textrm{h} \; c_1} \,.
\end{equation}
\subsubsection*{M-Index}
The m-index, proposed by Bornmann et al.~\cite{Bornmann2008}, is defined as the median number of citations received by publications in the h-core. The h-core comprises the top h publications ranked by citation count. Thus
\begin{equation}
\textrm{m} \,=\, \textrm{median} \left( \{ c_1, \ldots, c_\textrm{h} \} \right) \,.
\end{equation}
\medskip
Based on these traditional scientometric measures, we define their factional counterparts (\emph{-frac}). The fractional measures are based on citation counts $\bar{c}$ that are normalized by the number of authors per publication:
\begin{equation}
\bar{c} \,=\, \frac{c}{A} \,,
\end{equation}
where $A$ is the number of authors.
The intuition is that this normalization distributes the contribution of a publication equally among the authors. This is clearly a simplification of credit allocation in science~\cite{Waltman2016}, but it is simple and does not introduce new parameters.
\subsubsection*{H-Frac}
The fractional h-index, h-frac, is defined as
\begin{equation}
\textrm{h-frac} \,=\, \max\left( h \right)
\quad \textrm{s.t.} \quad
\bar{c}_h \ge h
\,.
\end{equation}
Here $\{\bar{c}_1, \ldots, \bar{c}_N\}$ are the normalized citation counts per paper in decreasing order; i.e.\ $\bar{c}_i \ge \bar{c}_j$ for $i < j$.
\subsubsection*{C-Frac}
The fractional measure c-frac is the aggregate of the author's normalized citation counts:
\begin{equation}
\textrm{c-frac} \,=\, \sum_{i=1}^N \bar{c}_i \,.
\end{equation}
\subsubsection*{$\mu$-Frac}
$\mu$-frac is the mean of the normalized citation counts, averaged over all publications by the author:
\begin{equation}
\mu\textrm{-frac} \,=\, \frac{1}{N} \, \sum_{i=1}^N \bar{c}_i \,.
\end{equation}
\subsubsection*{G-Frac}
g-frac is likewise defined by analogy with the g-index using normalized citation counts:
\begin{equation}
\textrm{g-frac} \,=\, \max\left( g \right)
\quad \textrm{s.t.} \quad
\sum_{i \le g} \bar{c}_i \,\ge\, g^2
\,.
\end{equation}
\subsubsection*{O-Frac}
We define o-frac as the geometric mean of the fractional h-index (h-frac) and the largest normalized citation count ($\bar{c}_1$):
\begin{equation}
\textrm{o-frac} \,=\, \sqrt{\textrm{h-frac} \; \bar{c}_1} \,.
\end{equation}
\subsubsection*{M-Frac}
The fractional counterpart of the m-index, m-frac, is the median of the normalized citation counts among the top h-frac publications ranked by normalized citation counts:
\begin{equation}
\textrm{m-frac} \,=\, \textrm{median} \left( \{ \bar{c}_1, \ldots, \bar{c}_\textrm{h-frac} \} \right) \,.
\end{equation}
\subsection*{Effectiveness of Scientometric Measures}
\subsubsection*{ROC Curves}
We analyze a receiver operating characteristic (ROC) curve for each dataset (Fig.~\ref{fig:roc}).
We rank the scientists by the considered scientometric measure. Lower rank corresponds to higher value of the measure. The scientist with the highest value in the dataset has rank 1. The ROC curve starts at $(0,0)$.
We iterate over the list of scientists, in order of rank $r$ (from 1 onwards), and aggregate the awards. Step $r$ adds the following data point to the ROC curve. The x-coordinate is the fraction of the first $r$ scientists that have not received any award in the dataset (\emph{false positive rate}). The y-coordinate is the fraction of the total number of awards in the dataset received by the first $r$ scientists (\emph{true positive rate}). By construction, the ROC curve ends, for $r=$1,000, at $(1, 1)$. The area under the curve (AUC) is an indicator of the effectiveness of the considered scientometric measure~\cite{Sinatra2016}.
If a measure ranks scientists that have garnered more awards more highly, the ROC curve rises faster and the AUC is higher.
The fractional measures perform much better than their non-fractional counterparts. h-frac performs best across all research areas and datasets (Fig.~\ref{fig:roc_and_auc}).
\medskip
In addition to the AUC, we analyze other criteria that quantify the correlation between a ranking of scientists by a certain scientometric measure and a ranking by the number of awards. If the two rankings are similar (high correlation), the scientometric measure is taken to be a more veridical indicator of scientific reputation.
We evaluate the following correlation measures.
\subsubsection*{Kendall's $\tau$}
We use the $\tau_b$ form of Kendall's $\tau$, which accounts for ties~\cite{Kendall1945}.
It is defined as
\begin{equation}
\label{eq:kendall}
\tau
\;=\; \tau_b \;=\;
\frac{C - D}{\sqrt{(C + D + T_A) \cdot (C + D + T_B)}} \,,
\end{equation}
where $C$ is the number of concordant and $D$ the number of discordant pairs in two rankings $A$ and $B$. $T_A$ is the number of ties in $A$ only and $T_B$ is the number of ties in $B$ only. If a tie occurs in both $A$ and $B$, it is not added to either $T_A$ or $T_B$.
Equation~\eqref{eq:kendall} reduces to $\tau_a$ when no ties are present~\cite{Kendall1938}:
\begin{equation}
\tau_a
\;=\;
\frac{C - D}{n \, (n-1) / 2} \,,
\end{equation}
where $n$ is the number of elements in $A$ or $B$.
\subsubsection*{Somers' D}
We also measure Somers' D~\cite{Somers1962}. Somers' D of a ranking $A$ w.r.t.\ a ranking $B$ is defined as
\begin{equation}
\label{eq:somers}
\textrm{D}_{AB}
\;=\;
\frac{\tau_a(A,B)}{\tau_a(B,B)} \,.
\end{equation}
Note that Somers' D is asymmetric. In our evaluation, we set $A$ to the ranking by the considered scientometric measure and $B$ to the ranking based on awards.
\subsubsection*{Goodman and Kruskal's $\gamma$}
Goodman and Kruskal's $\gamma$ is defined as follows~\cite{Goodman1954}:
\begin{equation}
\label{eq:goodman}
\gamma
\;=\;
\frac{C - D}{C + D} \,.
\end{equation}
\subsubsection*{Spearman's $\rho$}
We also compute Spearman's rank correlation coefficient~\cite{Lovie1995}, which is defined as the Pearson correlation coefficient between the rank variables:
\begin{equation}
\label{eq:spearman}
\rho
\;=\;
\frac{\textrm{cov}(r_A, r_B)}{\sigma_{r_A} \, \sigma_{r_B}} \,,
\end{equation}
where $r_A$ and $r_B$ are rank variables and $\sigma_{r_A}$ and $\sigma_{r_B}$ the corresponding standard deviations.
\medskip
The results in Table~\ref{tab:effectiveness} support the following observations. First, the fractional measures perform consistently better than their non-fractional counterparts. Furthermore, the relative order of effectiveness of scientometric measures is consistent in the different correlation statistics. This highlights the robustness of our findings. Overall, h-frac is the most effective scientometric measure in terms of correlation with scientific reputation (as indicated by scientific awards).
Of the four research fields we study, economics stands out in terms of the relative effectiveness of different scientometric measures. In economics, g-frac and o-frac appear to be the most effective measures. However, the variation between the scientometric measures in economics is substantially smaller than in the other research fields. For example, the minimal and maximal values of Kendall's $\tau$ in biology in the Scopus dataset are 0.02 and 0.34, while the minimal and maximal values for economics are 0.22 and 0.30 (Table~\ref{tab:effectiveness}(top)). Examination of the data suggests that the field of economics has retained more classical publication patterns, with smaller author sets, fewer publications per author, and minimal hyperauthorship.
\subsection*{Temporal Dynamics}
\subsubsection*{Effectiveness Over Time}
Next, we analyze the effectiveness of scientometric measures in each year from 1990 onwards. To this end, we consider for each year Y the publication and award data up to that year. In particular, we only consider publications up to year Y as well as citations and awards up to the end of year Y. This enables us to investigate the evolution of the effectiveness of scientometric measures over time (Fig.~\ref{fig:effect_and_predict}(top)).
\medskip
We again observe that the fractional measures perform better than their non-fractional counterparts. While most measures tend to decrease in effectiveness over time, the factional measures are more stable. The difference between the fractional and non-fractional measures increases over time. From 2014 onwards, \emph{all} fractional measures are on average more effective than any of the traditional measures (Fig.~\ref{fig:effect_and_predict_summary}(top)). Among all measures, h-frac is the most effective in terms of correlation with scientific reputation (Fig.~\ref{fig:effect_and_predict}(top)).
\subsubsection*{Predictive Power Over Time}
We also investigate the temporal evolution of the predictive power of scientometric measures. Our aim is to quantify how well a scientometric measure predicts \emph{future} scientific reputation.
To this end, we compare a ranking of scientists induced by the considered scientometric measure in year Y to a ranking induced by awards garnered up to year Y + X. A high correlation among these two rankings implies that the scientometric measure is a good predictor of scientific reputation X years into the future.
We compute the same correlation measures defined earlier and take $X=5$ as our default. That is, we measure the ability of scientometric indicators to predict scientific reputation (as evidenced by awards) 5 years in advance (Fig.~\ref{fig:effect_and_predict}(bottom)).
\medskip
Our findings on predictive power are consistent with our earlier findings:
The fractional measures are consistently more predictive than their non-fractional counterparts.
All scientometric measures tend to decline in predictive power over time, but the fractional measures are more stable. The differences between fractional and non-fractional measures increase over time.
From 2014 onwards, all fractional measures are more predictive than the traditional ones (Fig.~\ref{fig:effect_and_predict_summary}(bottom)). h-frac is the most predictive scientometric measure (Fig.~\ref{fig:effect_and_predict}(bottom)).
\clearpage
\begin{figure}
\centering
\includegraphics[width=\textwidth]{fig/list_stats/scholar_labels.pdf}%
\caption{Google Scholar queries used to initialize the datasets.
Distribution of search queries in the initial lists of researchers; i.e.\ the number of researchers in the initial lists who feature the respective keyword phrase in their profile.
}
\label{fig:scholar_search_labels}
\end{figure}
\clearpage
\begin{figure}
\centering
\includegraphics[width=\textwidth]{fig/list_stats/subject_areas.pdf}
\caption{Scopus subject areas used for filtering the initial author list compiled from Google Scholar. The plots show the number of author profiles in the filtered datasets with the respective subject as their primary research area.}
\label{fig:search_subject_areas}
\end{figure}
\clearpage
\begin{figure}
\centering
\includegraphics[width=\textwidth]{fig/data_stats/data.pdf}
\caption{Overview of Scopus and Google Scholar datasets.
Scholar (top) and Google Scholar (bottom) datasets. From left to right: Cumulative number of authors, publications, and citations per year, from 1970 onwards. Authors are considered present in the database if they have at least one publication recorded by the considered year.
}
\label{fig:data_cum}
\end{figure}
\clearpage
\begin{figure}
\centering
\begin{subfigure}[c]{0.66\textwidth}
\centering
\caption{}
\label{fig:winner_all}
\includegraphics[width=\textwidth]{fig/award_stats/winner_all.pdf}
\end{subfigure}
\begin{subfigure}[c]{0.33\textwidth}
\centering
\caption{}
\label{fig:awards_all}
\includegraphics[width=\textwidth]{fig/award_stats/awards_all.pdf}
\end{subfigure}
\begin{subfigure}[t]{0.495\textwidth}
\centering
\caption{}
\label{fig:awards_yearly}
\includegraphics[width=\textwidth]{fig/award_stats/award_yearly.pdf}
\end{subfigure}
\begin{subfigure}[t]{0.495\textwidth}
\centering
\caption{}
\label{fig:awards_dist}
\includegraphics[width=\textwidth]{fig/award_stats/dist.pdf}
\end{subfigure}
\caption{Award statistics.
\sflabel{a}~Cumulative number of awards indexed in our data collection.
\sflabel{b}~Cumulative number of awards to scientists in our datasets.
\sflabel{c}~Cumulative number of awards to scientists in each research field.
\sflabel{d}~Distribution of the number of awards garnered by individual scientists.
}
\label{fig:awards}
\end{figure}
\clearpage
\begin{figure}
\centering
\begin{subfigure}[c]{\textwidth}
\centering
\caption{}
\label{fig:roc}
\includegraphics[width=\textwidth]{fig/eval/roc.pdf}
\end{subfigure}
\begin{subfigure}[c]{\textwidth}
\centering
\caption{}
\label{tab:auc}
\begin{tabu} to 0.9\textwidth{@{\extracolsep{8pt}}X[l]rrrrrrrrX[r]@{}}
\toprule
& \multicolumn{4}{c}{Scopus} & \multicolumn{4}{c}{Scholar} & \\
\cline{2-5} \cline{6-9}
Measure & Bio & CS & Eco & Phy & Bio & CS & Eco & Phy & Avg.\ \\
\midrule
c & 0.60 & 0.68 & 0.77 & 0.54 & 0.59 & 0.74 & 0.83 & 0.45 & 0.65 \\
$\mu$ & 0.57 & 0.59 & 0.74 & 0.71 & 0.56 & 0.59 & 0.75 & 0.51 & 0.63 \\
h & 0.69 & 0.69 & 0.71 & 0.49 & 0.70 & 0.76 & 0.78 & 0.39 & 0.65 \\
g & 0.65 & 0.69 & 0.73 & 0.58 & 0.61 & 0.76 & 0.82 & 0.44 & 0.66 \\
m & 0.63 & 0.66 & 0.74 & 0.69 & 0.66 & 0.71 & 0.82 & 0.47 & 0.67 \\
o & 0.53 & 0.62 & 0.77 & 0.52 & 0.48 & 0.68 & 0.81 & 0.41 & 0.60 \\
c-frac & 0.77 & 0.71 & 0.79& \textbf{0.90} & 0.74 & 0.74 & 0.83 & 0.74 & 0.78 \\
$\mu$-frac & 0.76 & 0.62 & 0.77 & 0.88 & 0.68 & 0.62 & 0.77& \textbf{0.79} & 0.74 \\
h-frac& \textbf{0.80}& \textbf{0.72} & 0.76 & 0.89& \textbf{0.81}& \textbf{0.79} & 0.81 & 0.78& \textbf{0.80} \\
g-frac & 0.78 & 0.69 & 0.79 & 0.89 & 0.73 & 0.74& \textbf{0.84} & 0.73 & 0.77 \\
m-frac & 0.78 & 0.69 & 0.77 & 0.89 & 0.76 & 0.74 & 0.82 & 0.66 & 0.77 \\
o-frac & 0.75 & 0.66& \textbf{0.79} & 0.89 & 0.67 & 0.69 & 0.82 & 0.72 & 0.75 \\
\bottomrule
\end{tabu}
\end{subfigure}
\caption{Receiver operating characteristic (ROC) curve and area under the curve (AUC) for each research field and data source.
\sflabel{a}~The horizontal axis is the accumulated fraction of scientists with no awards (\emph{false positive rate}). The vertical axis is the fraction of awards accumulated by scientists (\emph{true positive rate}). Larger area under the curve (AUC) indicates that a given bibliometric indicator ranks scientists who have received more awards more highly. Details are given in the text.
\sflabel{b}~Numerical values of AUC for each research field and data source.}
\label{fig:roc_and_auc}
\end{figure}
\clearpage
\begin{figure}
\centering
\includegraphics[width=\textwidth]{fig/eval/all_desc.pdf}%
\caption{Effectiveness of scientometric measures over time for different evaluation criteria.
From left to right:
Kendall's~$\tau$,
area under the curve~(AUC),
Somers'~D,
Goodman and Kruskal's~$\gamma$,
Spearman's~$\rho$.
}
\label{fig:criteria_all}
\end{figure}
\begin{figure}
\centering
\includegraphics[width=\textwidth]{fig/eval/awards_all.pdf}%
\caption{Effectiveness of scientometric measures over time for different perturbations of rankings induced by awards.
From left to right:
equal weight for all awards (default),
higher weight for awards with $<$ 100 laureates,
binary (yes / no) award counting,
random subsets of awards reveiced by researchers in our database (75$\%$ and 50$\%$).
}
\label{fig:awards_all}
\end{figure}
\clearpage
\begin{figure}
\centering
\includegraphics[width=\textwidth]{fig/eval/subsets_all.pdf}%
\caption{Effectiveness of scientometric measures over time for different subsets of researchers.
From left to right:
all researchers,
without hyperauthors,
authors with fewer citations (bottom half),
authors with publication peak in $\left[2000, 2010\right)$,
authors with publication peak in $\left[2010, 2020\right)$.
}
\label{fig:subsets_all}
\end{figure}
\clearpage
\begin{table}
\begin{center}
\caption{Awards used in our study.
The first five awards apply to all research areas (\emph{cross}-field), while the others are field-specific (\emph{CS} stands for \emph{computer science}). The second-to-last column lists the total number of laureates of each award. The last column shows the number of laureates in our datasets.
}
\label{tab:awards}
\begin{tabularx}{\textwidth}{lXrr}
\toprule
& Award & Laureates & Matches \\
\midrule
\multirow{5}{*}{\rotatebox{90}{Cross}}
& American Academy of Arts \& Sciences & 13,837 & 354 \\
& Fellows of the American Association for the Advancement of Science & 65,303 & 390 \\
& Fellows of the American Statistical Association & 2,485 & 45 \\
& National Academy of Engineering & 4,401 & 106 \\
& National Academy of Sciences & 6,085 & 263 \\
\midrule
\multirow{4}{*}{\rotatebox{90}{Biology}}
& Breakthrough Prize in Life Sciences & 48 & 11 \\
& National Academy of Medicine & 2,980 & 121 \\
& Nobel Prize in Chemistry & 184 & 5 \\
& Nobel Prize in Physiology or Medicine & 219 & 2 \\
\midrule
\multirow{2}{*}{\rotatebox{90}{CS}}
& ACM Prize in Computing & 13 & 7 \\
& Turing Award & 70 & 9 \\
\midrule
\multirow{13}{*}{\rotatebox{90}{Economics}}
& AEA/AFA Joint Luncheon Speakers & 58 & 10 \\
& American Economic Association Distinguished Fellows & 172 & 25 \\
& American Economic Association Foreign Honorary Members & 40 & 11 \\
& American Economic Association Richard T. Ely Lecturers & 58 & 14 \\
& American Finance Association Fischer Black Prize & 8 & 4 \\
& Fellows of the American Finance Association & 66 & 22 \\
& Fellows of the Econometric Society & 719 & 194 \\
& Fisher-Schultz Lecture & 54 & 13 \\
& Frisch Memorial Lecture & 9 & 2 \\
& John Bates Clark Medal & 42 & 13 \\
& Morgan Stanley - AFA Award for Excellence in Finance & 5 & 0 \\
& Nobel Prize in Economics & 84 & 17 \\
& Walras-Bowley Lecture & 48 & 12 \\
\midrule
\multirow{3}{*}{\rotatebox{90}{Physics}}
& Breakthrough Prize in Fundamental Physics & 33 & 13 \\
& Fellows of the American Physical Society & 10,902 & 178 \\
& Nobel Prize in Physics & 213 & 10 \\
\bottomrule
\end{tabularx}
\end{center}
\end{table}
\clearpage
\begin{table}
\centering
\caption{Effectiveness of scientometric measures. Higher is better. The most effective measure in each dataset is highlighted in bold.
}
\label{tab:effectiveness}
\begin{tabu} to 0.9\textwidth{@{\extracolsep{8pt}}X[0.2l]X[l]rrrrrrrrX[r]@{}}
\toprule
& & \multicolumn{4}{c}{Scopus} & \multicolumn{4}{c}{Scholar} & \\
\cline{3-6} \cline{7-10}
& Measure & Bio & CS & Eco & Phy & Bio & CS & Eco & Phy & Avg.\ \\
\midrule
\multirow{12}{*}{\rotatebox{90}{Kendall's $\tau$}} &
c & 0.10 & 0.17 & 0.26 & 0.05 & 0.08 & 0.20 & 0.33 & -0.05 & 0.14 \\
& $\mu$ & 0.07 & 0.05 & 0.24 & 0.20 & 0.06 & 0.05 & 0.24 & -0.01 & 0.11 \\
& h & 0.21 & 0.20 & 0.22 & 0.00 & 0.22 & 0.26 & 0.27 & -0.10 & 0.16 \\
& g & 0.15 & 0.18 & 0.24 & 0.10 & 0.11 & 0.23 & 0.32 & -0.06 & 0.16 \\
& m & 0.13 & 0.15 & 0.22 & 0.19 & 0.16 & 0.19 & 0.31 & -0.05 & 0.16 \\
& o & 0.02 & 0.10 & 0.27 & 0.02 & -0.03 & 0.13 & 0.32 & -0.09 & 0.09 \\
\cline{2-11}
& c-frac & 0.31 & 0.20 & 0.29 & 0.42 & 0.27 & 0.21 & 0.34 & 0.23 & 0.28 \\
& $\mu$-frac & 0.30 & 0.08 & 0.27 & 0.40 & 0.21 & 0.08 & 0.27 & 0.27 & 0.23 \\
& h-frac& \textbf{0.34}& \textbf{0.23} & 0.27& \textbf{0.43}& \textbf{0.36}& \textbf{0.29} & 0.32& \textbf{0.28}& \textbf{0.32} \\
& g-frac & 0.32 & 0.18 & 0.30 & 0.43 & 0.26 & 0.20& \textbf{0.35} & 0.21 & 0.28 \\
& m-frac & 0.32 & 0.18 & 0.26 & 0.41 & 0.30 & 0.21 & 0.32 & 0.14 & 0.27 \\
& o-frac & 0.28 & 0.14& \textbf{0.30} & 0.41 & 0.19 & 0.15 & 0.33 & 0.20 & 0.25 \\
\midrule
\multirow{12}{*}{\rotatebox{90}{Somers' D}} &
c & 0.13 & 0.31 & 0.40 & 0.08 & 0.11 & 0.37 & 0.51 & -0.09 & 0.23 \\
& $\mu$ & 0.09 & 0.09 & 0.36 & 0.33 & 0.08 & 0.09 & 0.37 & -0.02 & 0.17 \\
& h & 0.29 & 0.37 & 0.32 & 0.01 & 0.31 & 0.47 & 0.41 & -0.16 & 0.25 \\
& g & 0.21 & 0.33 & 0.36 & 0.16 & 0.15 & 0.41 & 0.49 & -0.11 & 0.25 \\
& m & 0.18 & 0.28 & 0.34 & 0.32 & 0.22 & 0.35 & 0.48 & -0.08 & 0.26 \\
& o & 0.03 & 0.18 & 0.41 & 0.04 & -0.05 & 0.25 & 0.49 & -0.15 & 0.15 \\
\cline{2-11}
& c-frac & 0.43 & 0.36 & 0.45& \textbf{0.70} & 0.37 & 0.39 & 0.52 & 0.38 & 0.45 \\
& $\mu$-frac & 0.41 & 0.15 & 0.41 & 0.67 & 0.29 & 0.14 & 0.41 & 0.46 & 0.37 \\
& h-frac& \textbf{0.47}& \textbf{0.42} & 0.40 & 0.69& \textbf{0.50}& \textbf{0.52} & 0.49& \textbf{0.46}& \textbf{0.49} \\
& g-frac & 0.44 & 0.32 & 0.45 & 0.69 & 0.36 & 0.37& \textbf{0.53} & 0.35 & 0.44 \\
& m-frac & 0.45 & 0.33 & 0.40 & 0.69 & 0.42 & 0.39 & 0.50 & 0.24 & 0.42 \\
& o-frac & 0.39 & 0.25& \textbf{0.46} & 0.69 & 0.26 & 0.27 & 0.50 & 0.34 & 0.39 \\
\midrule
\multirow{12}{*}{\rotatebox{90}{Goodman and Kruskal's $\gamma$}} &
c & 0.13 & 0.31 & 0.40 & 0.08 & 0.11 & 0.37 & 0.51 & -0.09 & 0.23 \\
& $\mu$ & 0.09 & 0.09 & 0.36 & 0.33 & 0.08 & 0.09 & 0.37 & -0.02 & 0.17 \\
& h & 0.29 & 0.37 & 0.34 & 0.01 & 0.31 & 0.47 & 0.42 & -0.16 & 0.26 \\
& g & 0.21 & 0.34 & 0.36 & 0.16 & 0.15 & 0.42 & 0.50 & -0.11 & 0.25 \\
& m & 0.18 & 0.28 & 0.34 & 0.32 & 0.22 & 0.35 & 0.48 & -0.08 & 0.26 \\
& o & 0.03 & 0.18 & 0.41 & 0.04 & -0.05 & 0.25 & 0.49 & -0.15 & 0.15 \\
\cline{2-11}
& c-frac & 0.43 & 0.36 & 0.45 & 0.70 & 0.37 & 0.39 & 0.52 & 0.38 & 0.45 \\
& $\mu$-frac & 0.41 & 0.15 & 0.41 & 0.67 & 0.29 & 0.14 & 0.41 & 0.46 & 0.37 \\
& h-frac& \textbf{0.48}& \textbf{0.43} & 0.42& \textbf{0.70}& \textbf{0.51}& \textbf{0.53} & 0.50& \textbf{0.47}& \textbf{0.50} \\
& g-frac & 0.44 & 0.32& \textbf{0.46} & 0.70 & 0.36 & 0.37& \textbf{0.53} & 0.35 & 0.44 \\
& m-frac & 0.45 & 0.33 & 0.40 & 0.69 & 0.42 & 0.39 & 0.50 & 0.24 & 0.42 \\
& o-frac & 0.39 & 0.25 & 0.46 & 0.69 & 0.26 & 0.27 & 0.50 & 0.34 & 0.39 \\
\midrule
\multirow{12}{*}{\rotatebox{90}{Spearman's $\rho$}} &
c & 0.12 & 0.21 & 0.33 & 0.06 & 0.10 & 0.25 & 0.41 & -0.07 & 0.18 \\
& $\mu$ & 0.08 & 0.06 & 0.30 & 0.25 & 0.07 & 0.06 & 0.31 & -0.02 & 0.14 \\
& h & 0.26 & 0.25 & 0.27 & 0.00 & 0.29 & 0.32 & 0.34 & -0.12 & 0.20 \\
& g & 0.19 & 0.23 & 0.29 & 0.12 & 0.14 & 0.28 & 0.40 & -0.08 & 0.20 \\
& m & 0.16 & 0.19 & 0.28 & 0.24 & 0.21 & 0.24 & 0.39 & -0.06 & 0.21 \\
& o & 0.03 & 0.12 & 0.34 & 0.03 & -0.04 & 0.17 & 0.40 & -0.11 & 0.12 \\
\cline{2-11}
& c-frac & 0.40 & 0.24 & 0.37& \textbf{0.53} & 0.34 & 0.26 & 0.42 & 0.29 & 0.36 \\
& $\mu$-frac & 0.38 & 0.10 & 0.34 & 0.50 & 0.27 & 0.09 & 0.34 & 0.34 & 0.30 \\
& h-frac& \textbf{0.43}& \textbf{0.28} & 0.33 & 0.52& \textbf{0.46}& \textbf{0.35} & 0.40& \textbf{0.35}& \textbf{0.39} \\
& g-frac & 0.40 & 0.22 & 0.37 & 0.52 & 0.33 & 0.25& \textbf{0.43} & 0.27 & 0.35 \\
& m-frac & 0.41 & 0.22 & 0.33 & 0.51 & 0.38 & 0.26 & 0.41 & 0.18 & 0.34 \\
& o-frac & 0.36 & 0.17& \textbf{0.38} & 0.51 & 0.24 & 0.19 & 0.41 & 0.26 & 0.31 \\
\bottomrule
\end{tabu}
\end{table}
\clearpage
\section*{Introduction}
The h-index, proposed by Hirsch in 2005~\cite{Hirsch2005}, has become the leading measure for quantifying the impact of a scientist's published work. The h-index is prominently featured in citation databases such as Google Scholar, Scopus, and Web of Science. It informs hiring, promotion, and funding decisions~\cite{Abbott2010,McNutt2014,Hicks2015}. It thereby shapes the evolution of the scientific community and the progress of science.
Numerous variants of the h-index have been explored, and sophisticated alternatives have been proposed~\cite{PanaretosMalesios2009,Sinatra2016}. None of these has displaced the h-index as the dominant measure of a scientist's output. The endurance of the h-index can be attributed to a number of characteristics. First, it summarizes a scientist's output in a single number that can be readily used for comparison and ranking. Second, it does not require a minimal number of publications or career length, and can thus be computed for scientists at all career stages. Third, it does not require tuning thresholds or parameters. Fourth, it is easily interpretable. Lastly, criticism notwithstanding, the h-index is seen as a robust measure of an individual scientist's impact~\cite{Hirsch2007,Radicchi2008,Henzinger2010,Acuna2012}.
Science continues to evolve and publication patterns change over time~\cite{Fortunato2018}.
Here we report an extensive empirical evaluation of individual research metrics.
Since publication patterns differ across scientific fields~\cite{Alonso2009,Waltman2015,Waltman2016},
we collect large datasets in four fields of research: biology, computer science, economics, and physics.
In each field, we consider 1,000 most highly cited researchers and trace their published output and its impact through two bibliographic data platforms:
Scopus~\cite{scopus} and Google Scholar~\cite{scholar}. The resulting datasets comprise 1.3 million articles and 102 million citations identified via Scopus and 2.6 million articles and 221 million citations identified via Google Scholar (Supplementary Fig.~\ref{fig:data_cum}).
We have cross-referenced the scientists in our datasets against lists of recipients of scientific awards that indicate recognition by the scientific community: Nobel Prizes, Breakthrough Prizes, membership in the National Academies, fellowship of the American Physical Society, Turing Award, fellowship of the Econometric Society, and other distinctions (Supplementary Fig.~\ref{fig:awards} and Supplementary Table~\ref{tab:awards}).
Among the 4,000 authors in our dataset, 75.6\% have no such awards, 13.3\% have one award, 5.1\% have two, and 6.0\% have three or more (Supplementary Fig.~\ref{fig:awards_dist}).
Our basic methodology is to correlate rankings induced by scientometric measures with rankings induced by scientific awards. The assumption is that a citation-based measure that more reliably uncovers laureates of elite awards is a more veridical indicator of scientific reputation~\cite{Sinatra2016,Ioannidis2016}.
Since publication, citation, and award patterns differ substantially across fields, we conduct parallel experiments in the four fields of research. To confirm the robustness of the findings, the studies are replicated across the two bibliographic platforms (Scopus and Google Scholar).
A number of prior studies are related to our work.
Sinatra et al.~\cite{Sinatra2016} analyze the careers of 2,887 physicists in the APS dataset and 7,630 scientists in the Web of Science database, considering approximately one million publications in total. Their study includes evaluations that correlate individual scientific impact indicators with scientific awards. However, this is performed on a limited scale, taking into account only Nobel prizes in physics and Dirac and Boltzmann medals as indicators of scientific reputation.
Considering publication and citation data of 84,116 scientists, Ioannidis et al.~\cite{Ioannidis2016} investigate a number of citation indicators based on how well they capture Nobel prize winners from the years 2011--2015.
The recent study of Ayaz and Masood~\cite{Ayaz2020} evaluates indices of researchers' impact by analyzing 236,416 publications in the area of computer science. Their comparison of bibliometric indices is based on 47 award winners in their dataset.
Our study is conducted on a much larger scale. We analyze millions of articles in four different research fields that are cited hundreds of millions of times. We collect more than 10,000 awards and trace 1,848 distinct awards to the 4,000 scientists in our dataset. (See supplementary information.)
Most importantly, our datasets have yearly temporal granularity from 1970 onwards. This enables detailed evaluation of the temporal evolution of the effectiveness and predictive power of research metrics that, to the best of our knowledge, has not been presented before.
Our first major finding is that the effectiveness of scientometric measures is declining. For example, the correlation of the h-index with scientific awards in physics has dropped from 0.34 in 2010 to 0.00 in 2019 (Kendall's $\tau$, Scopus physics dataset). This is associated with changing authorship patterns, including a higher prevalence of hyperauthorship. Our second major finding is that fractional allocation of citations among coauthors can mitigate this decline~\cite{Price1981,Egghe2008,Waltman2016}. In particular, for each measure we study, its fractional counterpart is a better correlate and predictor of scientific awards. Among all measures, a fractional analogue of the h-index, h-frac, consistently outperforms alternatives.
We test the robustness of the findings via controlled experiments across datasets. The main findings hold in all conditions: fractional allocation improves the effectiveness and predictive power of research metrics, and h-frac is consistently the most reliable bibliometric indicator.
Our results suggest that the use of the h-index in ranking scientists should be reconsidered, and that fractional allocation measures such as h-frac provide more robust alternatives.
The data also indicate, contrary to concerns expressed in the literature, that fractional allocation measures are not antithetic to collaboration.
Our findings can lead to more effective distribution of resources and thus accelerate scientific discovery~\cite{Ioannidis2015}.
Our data, methodology, and findings may also have broader applications in the empirical analysis of science~\cite{Fortunato2018}.
\section*{Results}
\subsection*{Declining effectiveness of individual research metrics}
Fig.~\ref{fig:effectiveness_scopus_physics} shows the effectiveness of scientometric measures over the past 30 years. The effectiveness of a scientometric measure is quantified by the correlation between the ranking induced by this measure and the ranking induced by scientific community awards at a given point in time. Here we report Kendall's $\tau$ on the Scopus physics dataset (see Supplementary Fig.~\ref{fig:criteria_all} for other correlation criteria and datasets). In addition to the h-index~(h), we evaluate the total number of citations to a scientist's work~(c), the mean number of citations per paper~($\mu$, advocated by Lehmann et al.~\cite{Lehmann2006}), Egghe's g-index~\cite{Egghe2006}, the o-index~\cite{DorogovtsevMendes2015}, and the median number of citations received by a scientist's highly-cited papers~(m, highlighted by Bornmann et al.~\cite{Bornmann2008}). (See supplementary information.)
\begin{figure*}[t!]
\centering
\begin{subfigure}[t]{0.5\textwidth}
\centering
\caption{}
\label{fig:effectiveness_scopus_physics}
\includegraphics[width=\textwidth]{fig/main/num_authors.pdf}
\end{subfigure}%
\begin{subfigure}[t]{0.5\textwidth}
\centering
\caption{}
\label{fig:num_authors_scopus_physics}
\includegraphics[width=\textwidth]{fig/main/map_authors.png}
\end{subfigure}\\[-5mm]
\begin{subfigure}[t]{\textwidth}
\centering
\caption{}
\label{fig:evolution_scopus_physics}
\includegraphics[width=\textwidth]{fig/main/scopus_physics_h.pdf}
\end{subfigure}%
\caption{The effectiveness of scientometric measures is declining.
\sflabel{a}~Effectiveness of scientometric measures as correlates of scientific awards in the Scopus physics dataset.
\sflabel{b}~Color-coded distribution of the average number of coauthors per publication in this dataset.
\sflabel{c}~Ranking of physicists by the h-index. Each data point is a scientist. Color and the vertical axis represent the average number of coauthors per publication.
}
\end{figure*}
As Fig.~\ref{fig:effectiveness_scopus_physics} demonstrates, the effectiveness of scientometric measures has declined. The decline is particularly pronounced for the h-index.
The effectiveness of the h-index, as measured by Kendall's $\tau$, varied between 0.33 and 0.36 from 1990 to 2010, but dropped to 0.00 by 2019 on the Scopus physics dataset. This is concomitant with a dramatic shift in authorship patterns, illustrated by the average number of coauthors per paper for highly-cited physicists. While the mean number of coauthors per publication, averaged across highly cited physicists, was 78 in 1994 and 121 in 2004,
it rose to 952 in 2019, with 10\% of the scientists having more than 2,441 coauthors per publication on average. (See \url{https://h-frac.org/dataset-s2}.)
This is further illustrated in Fig.~\ref{fig:num_authors_scopus_physics}, which shows the distribution of the average number of coauthors per paper for highly-cited physicists in each year from 1970 onwards. While small authorship teams were nearly universal in the beginning of this period (84\% of the scientists had $<$10 coauthors per publication on average in 1980), the set of highly-cited physicists has come to be dominated by ``hyper-collaborators'': 68\% of the scientists had $>$100 coauthors per publication on average in 2019. Large-scale collaboration has been a feature of science for centuries, but joint authorship has been institutionalized on a new scale in the past decade~\cite{Ioannidis2016}. Scientific consortia comprise thousands of authors who jointly author hundreds of publications~\cite{King2012}. All members of the consortium are listed as authors on all papers~\cite{ATLAS2010}.
This has been referred to as hyperauthorship~\cite{Castelvecchi2015,Milojevic2014}. Our results indicate that this behavior is reducing the effectiveness of established scientometric indicators. This is further illustrated in Fig.~\ref{fig:evolution_scopus_physics}, which shows the ranking of physicists by h-index in 1999, 2009, and 2019. The hyper-collaborators have permeated the ranking.
\subsection*{Fractional allocation}
Are there scientific impact metrics that share the advantages of the h-index and are robust to contemporary publication patterns? Hirsch proposed a bibliometric indicator that takes authorship into account~\cite{Hirsch2010}, but his mechanism requires recursive computation across the citation network and, even in its more tractable approximate form, is ``particularly unkind to junior researchers''~\cite{Hirsch2010}.
An alternative that inherits the simplicity of the h-index is to allocate citations fractionally among authors.
Derek de Solla Price~\cite{Price1981} advocated distributing credit for a scientific publication among all authors to preclude undesirable publication practices: ``The payoff in brownie points of publications or citations must be divided among all authors listed on the byline, and in the absence of evidence to the contrary it must be divided equally among them. [...] If this is strictly enforced it can act perhaps as a deterrent to the otherwise pernicious practice of coining false brownie points by awarding each author full credit for the whole thing.''~\cite{Price1981}.
Since the introduction and broad adoption of the h-index~\cite{Hirsch2005}, many variants and related measures have been proposed~\cite{PanaretosMalesios2009,Waltman2016,Abambres2016}. Some of these implement fractional allocation.
Batista et al.~\cite{Batista2006} present a normalization of the h-index by the average number of authors of papers in the h-core.
Wan et al.~\cite{Wan2007} perform a similar normalization, but use the square root of the average authors of papers in the h-core.
Chai et al.~\cite{Chai2008} describe a variant of the h-index that is based on citation counts normalized by the square root of the number of authors per paper.
Egghe~\cite{Egghe2008} introduces alternative versions of the h- and g-index (see supplementary information) that use citation counts normalized by the number of authors. Egghe's version of the h-index corresponds to the h-frac measure that we find to be particularly effective in our experiments. Note that the work of Egghe is purely theoretical and does not include any experiments with real bibliographic data~\cite{Egghe2008}.
Schreiber~\cite{Schreiber2008,Schreiber2008a} presents an alternative fractional allocation measure. Instead of using normalized citation counts, Schreiber proposes to first compute alternative (``effective'') publication ranks that are divided by the number of authors.
These effective ranks are then used to determine the $\textrm{h}_\textrm{m}$-index, akin to computing the h-index with unmodified publications ranks. A related alternative has also been proposed for the g-index~\cite{Schreiber2009,Schreiber2010}.
Other variants that apply different fractional allocation schemes can also be found in the literature~\cite{Prathap2011,Tol2011,Galam2011,Rousseau2014}.
While there exist bibliometric tools that implement fractional versions of the h-index~\cite{Harzing2007,Kozlowski2019}, we are not aware of published systematic empirical evaluation of fractional allocation measures with real bibliographic data, on a large scale (millions of articles), and across multiple scientific fields and data platforms. We contribute such an evaluation.
Among other measures, we experimentally evaluate h-frac alongside the scientometric measures of Batista et al.~\cite{Batista2006} ($\textrm{h}_\textrm{I}$), Schreiber~\cite{Schreiber2008,Schreiber2008a} ($\textrm{h}_\textrm{m}$), Wan et al.~\cite{Wan2007} ($\textrm{h}_\textrm{p}$), and Chai et al.~\cite{Chai2008} ($\textrm{h}_\textrm{ap}$).
\begin{figure*}[t!]
\centering
\begin{subfigure}[t]{0.375\textwidth}
\centering
\caption{}
\label{fig:effect_and_predict_summary}
\includegraphics[width=\textwidth]{fig/main/summary_both.pdf}
\end{subfigure}%
\begin{subfigure}[t]{0.375\textwidth}
\centering
\caption{}
\label{fig:effect_and_predict_other}
\includegraphics[width=\textwidth]{fig/main/hm.pdf}
\end{subfigure}
\caption{Effectiveness and predictive power of scientometric measures.
In each subfigure, the top row depicts the correlation of bibliometric indicators and scientific awards, and the bottom row shows the predictive power five years into the future.
\sflabel{a}~Evaluation across all research areas and data platforms (Scopus and Google Scholar).
\sflabel{b}~Evaluation of h-frac alongside additional measures across all research areas and data platforms.
}
\label{fig:effect_and_predict}
\end{figure*}
Fig.~\ref{fig:effect_and_predict_summary}(top) contrasts the effectiveness of fractional allocation measures and traditional ones across all research fields and data platforms. We again measure the correlation of rankings induced by different bibliometric measures and scientific reputation as evidenced by awards bestowed by the scientific community.
Detailed results for the individual research areas can be found in Supplementary Fig.~\ref{fig:criteria_all}(left).
We find that fractional measures are significantly more effective correlates of scientific awards than unnormalized indicators such as the h-index.
The fractional analogue of the h-index, h-frac, is the most effective measure across datasets (average ${\tau = 0.32}$ in 2019, compared to $0.16$ for the h-index; see Supplementary Table~\ref{tab:effectiveness}(top)). The effectiveness of fractional allocation measures is more stable over time than the effectiveness of their traditional counterparts. (For h-frac, average $\tau=0.28$ in 1989 and $0.32$ in 2019; for the h-index, average $\tau=0.27$ in 1989 and $0.16$ in 2019.)
\subsection*{Predictive power and other measures}
Next we evaluate the predictive power of different bibliometric measures. Prior studies have largely focused on the ability of measures to predict their own future values, or those of other bibliometric indicators~\cite{Hirsch2007,Acuna2012,Penner2013}. In contrast, we study the ability of an indicator to predict a scientist's future reputation as evidenced by scientific awards. (Hirsch recognized this as a meaningful goal when he wrote ``how likely is each candidate to become a member of the National Academy of Sciences 20 years down the line?'', but did not operationalize this~\cite{Hirsch2007}.) We measure the correlation of rankings induced by scientometric indicators in a given year (e.g.\ 2010) with rankings induced by awards in a future year (e.g.\ 2015). Higher correlation implies stronger ability to predict future scientific reputation based on present-day bibliometric data.
Fig.~\ref{fig:effect_and_predict_summary}(bottom) reports predictive power five years into the future. The results are summarized across all research fields and data sources.
The predictive power of the h-index has declined since its introduction (average $\tau= 0.32$ in 2004 versus $0.24$ in 2014). Other traditional indicators have also declined in effectiveness. Fractional measures are more predictive. h-frac has the highest predictive power across datasets and its predictive power is stable over time (average $\tau$ is $0.34$ in 1994, $0.36$ in 2004, and $0.33$ in 2014).
We further evaluate h-frac alongside an extensive list of other scientometric measures~\cite{PanaretosMalesios2009,Batista2006,Schreiber2008,Schreiber2008a,Wan2007,Chai2008,Jin2006,Jin2007,Kosmulski2006,Egghe2008a,Wu2009,Kosmulski2007,scholar}.
The results are summarized in Fig.~\ref{fig:effect_and_predict_other}.
Measures that integrate some form of normalization by the number of coauthors (h-frac, $\text{h}_\text{I}$, $\text{h}_\text{m}$, $\text{h}_\text{p}$, $\text{h}_\text{ap}$) outperform measures that do not apply such normalization.
h-frac is the best-performing measure in terms of both correlation with scientific awards and predictive power.
\subsection*{Robustness of the findings}
We now test the robustness of the findings in a number of additional controlled experiments.
\begin{figure*}[t!]
\begin{minipage}{0.25\textwidth}
\begin{subfigure}[t]{\textwidth}
\centering
\caption{}
\label{fig:analysis_ref}
\includegraphics[width=\textwidth]{fig/main/analysis_ref.pdf}
\end{subfigure}
\end{minipage}
\begin{minipage}{0.75\textwidth}
\begin{subfigure}[t]{\textwidth}
\centering
\caption{}
\label{fig:analysis_criteria}
\includegraphics[width=\textwidth]{fig/main/analysis_criteria.pdf}
\end{subfigure}\\[-6mm]
\begin{subfigure}[t]{\textwidth}
\centering
\caption{}
\label{fig:analysis_awards}
\includegraphics[width=\textwidth]{fig/main/analysis_awards.pdf}
\end{subfigure}\\[-6mm]
\begin{subfigure}[t]{\textwidth}
\centering
\caption{}
\label{fig:analysis_subsets}
\includegraphics[width=\textwidth]{fig/main/analysis_subsets.pdf}
\end{subfigure}
\end{minipage}
\caption{Controlled experiments that test the robustness of the findings.
\sflabel{a}~Reference result from the main experiments (cf.\ Fig.~\ref{fig:effect_and_predict_summary}(top)).
\sflabel{b}~Corresponding results with other correlation statistics.
(\textbf{c} and \textbf{d})~Results in different conditions: using subsets of awards, researchers, and different mechanisms for counting awards.
}
\label{fig:robustness}
\end{figure*}
First, we repeat the experiments with different correlation statistics (see supplementary information). The results are summarized in Fig.~\ref{fig:analysis_criteria}, and detailed results for all research areas and data platforms can be found in the supplementary materials (Supplementary Fig.~\ref{fig:criteria_all}).
Fractional measures continue to outperform their traditional counterparts, and h-frac is the most reliable indicator.
Next we analyze robustness with respect to the set of scientific awards considered in our datasets.
Our main experiments treated all awards equally, and ranked scientists by the total number of awards received. For example, a Nobel prize was given the same weight as membership in the National Academy of Sciences, and a scientist with two awards was ranked higher than a scientist with one award.
To examine whether our findings are sensitive to this choice, we repeat the experiments under different conditions.
First, we assign 10 times higher weight to awards with 100 or fewer laureates. (See Supplementary Table~\ref{tab:awards}.)
Second, we evaluate a design in which the number of awards does not affect a scientist's ranking: a scientist with an award of any kind is ranked higher than a scientist with no awards, but all scientists with one or more awards are ranked equally. The results are summarized in Fig.~\ref{fig:analysis_awards}(left) and presented in detail in the supplementary materials (Supplementary Fig.~\ref{fig:awards_all}). Our findings hold for both conditions. (The results remain consistent for other weighting factors and thresholds as well.)
To further assess sensitivity, we repeat the experiments with random subsets of awards (using 75$\%$ and 50$\%$ of awards in our database). The results are reported in Fig.~\ref{fig:analysis_awards}(right) and Supplementary Fig.~\ref{fig:awards_all}. Our findings again hold.
This demonstrates the robustness of our findings with respect to the considered awards and the matching procedure. (See supplementary information.)
Is the decline in the effectiveness of the h-index and other traditional scientometric measures solely due to the rise of hyperauthorship?
To investigate this hypothesis, we curtail the effect of hyperauthorship by reproducing the experiments with the set of authors who have at most 100 coauthors per paper on average. The results in Fig.~\ref{fig:analysis_subsets}(left) show that our findings hold in this condition as well: we see a strong decline in the effectiveness of traditional measures, in contrast to the stable performance of their fractional counterparts. Hyperauthors appear to be an extreme manifestation of a broader shift in publication patterns. Hyperauthors themselves are not the main cause of the decline in the effectiveness of the h-index and other measures, and pruning hyperauthors from datasets does not avert this decline.
Next we perform experiments with different subsets of researchers.
First we remove the most highly-cited researchers in our datasets and repeat the experiments with the bottom 50$\%$ of researchers in each field by number of citations.
This examines whether our findings hold for researchers that are not at the very top of their fields in terms of citations.
Then we analyze the effect of the main time period of a scientist's work. (Details on the temporal coverage of the authors in our dataset can be found in Supplementary Fig.~\ref{fig:data_cum}.)
To this end, we choose subsets of researchers that are active at different periods of time.
Specifically, we test the subset of researchers whose peak productivity (in terms of number of publications) occurs during the years $\left[2000, 2010\right)$, and another subset whose peak productivity occurs during the years $\left[2010, 2020\right)$.
The results are summarized in Fig.~\ref{fig:analysis_subsets} and given in detail in Supplementary Fig.~\ref{fig:subsets_all}. Our main findings are robust to all these perturbations and hold in all conditions: fractional allocation measures always outperform their traditional counterparts, and h-frac is the most reliable bibliometric indicator across all conditions.
\subsection*{Correlation between scientometric measures}
Our experiments indicate that fractional allocation measures are superior to their traditional counterparts. To analyze this further, we investigate the correlation between different scientometric measures~\cite{RadicchiCastellano2013,Ioannidis2016}. To this end, we compute the correlation between each pair of measures, aggregated over all datasets (Fig.~\ref{fig:metric_correlation}). To interpret the results, we consider three different 6x6 blocks in the correlation matrices:
\begin{enumerate}[label=(\roman*)]
\item
The \emph{lower right} block summarizes the correlations between the fractional measures. It is quite stable over the years. All fractional measures are moderately correlated, with the exception of $\mu$-frac. The lower correlation of $\mu$-frac with the other fractional measures can be explained by the explicit normalization by the number of publications in $\mu$-frac, which is absent in the other measures. As can be seen in the preceding results, $\mu$-frac is the worst-performing measure among the fractional ones.
\item
The \emph{upper left} block summarizes the correlations between the traditional measures. These correlations are stable over time. The traditional measures are moderately correlated with each other, again with the exception of $\mu$. This can again be attributed to the explicit normalization by the number of publications in $\mu$.
\item
The \emph{lower left} block captures the correlations between the traditional and fractional measures. Notably, we observe that these correlations decrease significantly from 2009 to 2019. All correlation values decrease, including the correlations between the traditional measures and their direct fractional counterparts (the diagonal in the lower-left block). The measures $\mu$ and $\mu$-frac stand out again, which can be attributed to the same factors as in the other blocks.
\end{enumerate}
\begin{figure*}[t!]
\centering
\begin{subfigure}[c]{0.6\textwidth}
\centering
\caption{}%
\label{fig:metric_correlation}
\includegraphics[width=\textwidth]{fig/eval/metric_correlation.pdf}
\end{subfigure}%
\begin{subfigure}[c]{0.4\textwidth}
\centering
\caption{}
\label{fig:metric_correlation_yearly}
\includegraphics[width=\textwidth]{fig/eval/metric_correlation_yearly.pdf}
\end{subfigure}
\caption{Correlation between scientometric measures.
\sflabel{a}~Correlation matrices of scientometric measures in the years 1999, 2009, 2019.
\sflabel{b}~Temporal evolution of correlations between traditional measures and their fractional counterparts.
}
\label{fig:correlation}
\end{figure*}
Why have the traditional and fractional measures become less correlated over time? We examine the temporal evolution of correlations between traditional measures and their fractional counterparts at finer granularity (Fig.~\ref{fig:metric_correlation_yearly}). We see that the correlation decreases over time, with accelerated decline after 2010. Concurrently, the average number of authors per publication rises significantly. The two trends are strongly correlated. Since accounting for the number of authors per publication is the central feature that distinguishes fractional measures from their traditional counterparts, we attribute the diminishing correlation between the measures to the changing publication culture, as reflected in the dramatic increase in the average number of authors per paper.
\subsection*{Further analysis}
Fig.~\ref{fig:ind_scopus_physics} provides a number of case studies that highlight the stability of h-frac and the deterioration of the h-index over time. These case studies are further illustrated in Fig.~\ref{fig:annotated_scatter_scopus_physics}.
The evolution of h and h-frac values over time is visualized in Figs.~\ref{fig:sankey_h} and~\ref{fig:sankey_h_frac}. Hyperauthors (red) acquire increasingly high h-indices over time, commonly rising above 80 by 2019. In contrast, their h-frac values remain low, predominantly less than 20. Fig.~\ref{fig:dist_h_frac_scopus} visualizes the distribution of h-frac values in the four fields of research. The top 100 scientists have h-frac values of 59 and higher in biology, 39 and higher in computer science, 37 and higher in physics, and 29 and higher in economics.
\begin{figure*}[t!]
\centering
\begin{subfigure}[t]{\textwidth}
\centering
\caption{}
\label{fig:ind_scopus_physics}
\includegraphics[width=\textwidth]{fig/main/ind_joint.pdf}
\end{subfigure}\\[-5mm]
\begin{subfigure}[t]{\textwidth}
\centering
\caption{}
\label{fig:annotated_scatter_scopus_physics}
\includegraphics[width=\textwidth]{fig/main/log_correlation.pdf}
\end{subfigure}
\centering
\begin{subfigure}[t]{0.45\textwidth}
\centering
\caption{}
\label{fig:sankey_h}
\includegraphics[width=\textwidth]{fig/main/sankey_h.png}
\end{subfigure}%
\begin{subfigure}[t]{0.45\textwidth}
\centering
\caption{}
\label{fig:sankey_h_frac}
\includegraphics[width=\textwidth]{fig/main/sankey_h-frac.png}
\end{subfigure}%
\begin{subfigure}[t]{0.1\textwidth}
\centering
\caption*{}
\includegraphics[width=\textwidth]{fig/main/cmap.pdf}
\end{subfigure}\\[-5mm]
\begin{subfigure}[t]{0.5\textwidth}
\centering
\caption{}
\label{fig:dist_h_frac_scopus}
\includegraphics[width=\textwidth]{fig/main/dist.pdf}
\end{subfigure}%
\begin{subfigure}[t]{0.5\textwidth}
\centering
\caption{}
\label{fig:num_authors_top_physicists}
\includegraphics[width=\textwidth]{fig/main/ridge.pdf}
\end{subfigure}
\caption{Further analysis.
\sflabel{a}~Ranking induced by h and h-frac for a number of scientists in the Scopus physics dataset.
\sflabel{b}~Comparison of rankings induced by h and h-frac in the Scopus physics dataset. Scientists are color-coded by the average number of coauthors per publication.
\sflabel{c}~Evolution of the h-index of each scientist in the Scopus physics dataset over time. Each scientist is a curve. Color represents the average number of coauthors per publication.
\sflabel{d}~Evolution of h-frac over time.
\sflabel{e}~Distribution of h-frac values in each field of research.
\sflabel{f}~Distribution of the number of authors per publication for 10 physicists with the highest h-frac in 2019.
}
\label{fig:further_analysis}
\end{figure*}
Fig.~\ref{fig:num_authors_top_physicists} examines in detail the output of the 10 physicists with the highest h-frac in 2019. The data suggests that the h-frac measure is not antithetical to collaboration, which is associated with scientific progress~\cite{Wuchty2007,Dong2017,Wu2019}. Among physicists with the highest h-frac are prolific collaborators such as Albert-L\'aszl\'o Barab\'asi (\#4, 5.6 authors per publication on average), Steven G. Louie (\#8, 4.9 authors per publication on average), and Manuel Cardona (\#9, 4.3 authors per publication on average).
\section*{Discussion}
We have conducted a large-scale systematic analysis of scientometric measures.
We have demonstrated that commonly used measures of a scientist's impact have become less effective as correlates and predictors of scientific reputation as evidenced by scientific awards. The decline in the effectiveness of these measures is associated with changing authorship patterns in the scientific community, including the rise of hyperauthorship.
We have also demonstrated that fractional allocation of citations among coauthors improves the robustness of scientometric measures. In particular, the h-frac, a fractional analogue of the h-index, is the most reliable measure across different experimental conditions.
Our analysis did not uncover unreasonable penalization of collaboration among researchers by fractional allocation measures. Fractional allocation does make explicit the expectation that each author makes a meaningful contribution to the publication's impact.
In the words of Derek de Solla Price, ``Those not sharing the work, support, and responsibility do not deserve their names on the paper, even if they are the great Lord Director of the Laboratory or a titular signatory on the project. Any time you take a collaborator you must give up a share of the outcome, and you diminish your own share. That is as it should be; to do otherwise is a very cheap way of increasing apparent productivity.''~\cite{Price1981}.
Our study indicates that fractional allocation neutralizes the inflationary effects of hyperauthorship on bibliometric impact indicators, but continues to reward collaborative production of impactful scientific research~\cite{Wuchty2007,Dong2017,Wu2019}.
A number of aspects of bibliometric impact indicators have not been addressed in our study. One is the normalization of bibliometric indicators across different fields, so as to enable direct comparison of scientists across fields with different publication and citation patterns~\cite{Waltman2015,Waltman2016}. Another is the presence of self-citations and whether such citations should be handled differently~\cite{Schreiber2009a,Waltman2016}. Likewise we have not addressed the role of author order and whether this order should be taken into account in automatically allocating credit for a publication's impact~\cite{Marusic2011,Waltman2016}. These are interesting avenues for future work.
Our work has both near-term and long-term implications. In the near term, our work indicates that the use of the h-index in assessing individual scientific impact should be reconsidered, and that h-frac can serve as a more robust alternative. This can ameliorate distortions introduced by contemporary authorship practices, lead to a more effective allocation of resources, and facilitate scientific discovery. In the longer term, our data, methodology, and findings can inform the science of science~\cite{Fortunato2018,Ioannidis2015} and support further quantitative analysis of research, publication, and scientific accomplishment.
An interactive visualization of our work can be found at \url{https://h-frac.org}.
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{
"redpajama_set_name": "RedPajamaArXiv"
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namespace base {
class SingleThreadTaskRunner;
} // namespace base
namespace remoting {
// Monitors and passes key/mouse events to a nested event executor. Injects
// Secure Attention Sequence (SAS) when Ctrl+Alt+Del key combination has been
// detected.
class SessionInputInjectorWin : public InputInjector {
public:
// |inject_sas| is invoked on |inject_sas_task_runner| to generate SAS on
// Vista+.
SessionInputInjectorWin(
scoped_refptr<base::SingleThreadTaskRunner> input_task_runner,
scoped_ptr<InputInjector> nested_executor,
scoped_refptr<base::SingleThreadTaskRunner> inject_sas_task_runner,
const base::Closure& inject_sas);
virtual ~SessionInputInjectorWin();
// InputInjector implementation.
virtual void Start(
scoped_ptr<protocol::ClipboardStub> client_clipboard) override;
// protocol::ClipboardStub implementation.
virtual void InjectClipboardEvent(
const protocol::ClipboardEvent& event) override;
// protocol::InputStub implementation.
virtual void InjectKeyEvent(const protocol::KeyEvent& event) override;
virtual void InjectTextEvent(const protocol::TextEvent& event) override;
virtual void InjectMouseEvent(const protocol::MouseEvent& event) override;
private:
// The actual implementation resides in SessionInputInjectorWin::Core class.
class Core;
scoped_refptr<Core> core_;
DISALLOW_COPY_AND_ASSIGN(SessionInputInjectorWin);
};
} // namespace remoting
#endif // REMOTING_HOST_WIN_SESSION_INPUT_INJECTOR_H_
|
{
"redpajama_set_name": "RedPajamaGithub"
}
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{"url":"http:\/\/www.reference.com\/browse\/Bissextile+day","text":"Related Searches\nDefinitions\nNearby Words\n\n# Calculating the day of the week\n\nThis article details various mathematical algorithms to calculate the day of the week for any particular date in the past or future.\n\nA typical application is to calculate the day of the week on which someone was born or some other special event occurred.\n\n## Introduction\n\nThe basis of nearly all the algorithms to calculate the day of the week is:\n\n1. Use arithmetic modulo 7 to add the number of days elapsed since the start of a known period (usually in practice a century). If we number the days of the week from 0 to 6 the result is some modulo value; if we use the range from 1 to 7, then 7 replaces 0.\n2. To look up or calculate using a known rule what day the given century started on.\n3. To look up or calculate what day the given year in that century started on.\n4. To look up or calculate what day the given month in that year in that century started on.\n5. To then add on the day of the month - this of course being the days elapsed since the month started.\n\nPut simply, using arithmetic modulo 7 means ignoring multiples of 7 during calculations. Thus we can treat 7 as 0, 8 as 1, 9 as 2, 18 as 4 and so on; the interpretation of this being that if we signify Sunday as day 0, then 7 days later (i.e. day 7) is also a Sunday, and day 18 will be the same as day 4, which is a Thursday since this falls 4 days after Sunday. Some algorithms do all the additions first and then cast out sevens whereas others cast them out at each step. Either way is quite permissible; the former is better when using calculators and in computer algorithms, the latter for mental calculation (it is quite possible to do all the calculations in one's head with a little practice).\n\n## Useful concepts\n\n### Corresponding months\n\n\"Corresponding months\" are those months within the calendar year that start on the same day. For example, September and December correspond, because September 1 falls on the same day as December 1. Months can only correspond if the number of days between their first days is divisible by 7, or in other words, if their first days are a whole number of weeks apart. For example, February corresponds to March because February has 28 days, a number divisible by 7, 28 days being exactly four weeks. In a leap year, January and February correspond to different months than in a common year, since February 29 means each subsequent month starts a day later.\n\nHere's how the months correspond:\n\n\u2022 Common year\n\u2022 January and October.\n\u2022 February, March and November.\n\u2022 April and July.\n\u2022 No month corresponds to August.\n\u2022 Leap year\n\u2022 January, April and July.\n\u2022 February and August.\n\u2022 March and November.\n\u2022 No month corresponds to October.\n\u2022 All years\n\u2022 September and December.\n\u2022 No month corresponds to May or June.\n\nNote that in the months table below, corresponding months have the same number, a fact which follows directly from the definition.\n\n### Corresponding years\n\nThere are 7 possible days that a year can start on, and leap years will alter the day of the week after February 29. This means that there are 14 configurations that a year can have. All the configurations are referenced in the article on Dominical letter. For example, 2007 is a common year starting on Monday, meaning that 2007 corresponds to the 2001 calendar year. 2008, on the other hand, is a leap year starting on Tuesday, meaning that the year starts off corresponding to 2002, but after February, corresponds to 2003.\n\n## An algorithm to calculate the day of the week\n\nThe algorithm is valid for the Gregorian calendar. This began in Britain and its colonies on September 14, 1752. The area now forming the United States changed at different times depending on the colonial power; Spain, France, Italy, and others had changed in 1582 and Russia had not changed by 1867 when Alaska was purchased by the U.S. from Russia.\n\nThis algorithm shows how to come up with four numbers. Find the sum of these four and using modulus to restrict the result to 0 through 6, the day of the week can be determined. Since this algorithm uses the \"zeroth\" day, we can add the day of the month directly (without subtracting 1). Examples of the evaluation of this algorithm are below. The four numbers are:\n\n1. Centuries: First, we can either refer to the centuries table below or use the rule: Where $century$ is the first two digits of the year, define $c = 2\\left(3 - \\left(centurymod \\left\\{4\\right\\}\\right)\\right)$\n2. Years: Because there are 365 days in a common year, which is 52 weeks plus 1 day, each year will start on the day of the week after that starting the preceding year. Each leap year has of course one more day than a common year. Assuming we know on which day a century starts (from above), if we add the number of years elapsed since the start of the century, plus the number of leap years that have elapsed since the start of the century, we get the day of the week on which the year starts. Where $year$ is the last two digits of the year, define $y = year + leftlfloor \\left\\{year over 4\\right\\} rightrfloor$\n3. Months: We refer to the months table below to work out on which day of the week a month starts. Notice that January starts on day 0, which is simply another way of saying that the year and January of that year start on the same day. The months table shown allows for leap years; other algorithms leave the correction to the end and then deduct 1 from the final figure if the month is a January or February of a leap year.\n4. Day of the Month: Once we know on which day of the week the month starts, we simply add the day of the month to find the final result (noting that as mentioned above, we've been working with the \"zeroth\" day of the month as the start).\n\n### Examples\n\nNow for an example of the complete algorithm, let's use April 24, 1982.\n\n1. Look up the 1900s in the centuries table: 0\n2. Note the last two digits of the year: 82\n3. Divide the 82 by 4: 82\/4 = 20.5 and drop the fractional part: 20\n4. Look up April in the months table: 6\n5. Add all numbers from steps 1-4 to the day of the month (in this case, 24): 0+82+20+6+24=132.\n6. Divide the sum from step 5 by 7 and find the remainder: 132\/7=18 remainder 6\n7. Find the remainder in the days table: 6=Saturday.\n\nNow let's try September 18, 1783.\n\n1. Look up the 1700s in the centuries table: 4\n2. Note the last two digits of the year: 83\n3. Divide the 83 by 4: 83\/4 = 20.75 and drop the fractional part: 20\n4. Look up September in the months table: 5\n5. Add all numbers from steps 1-4 to the day of the month (in this case, 18): 4+83+20+5+18=130.\n6. Divide the sum from step 5 by 7 and find the remainder: 130\/7=18 remainder 4\n7. Find the remainder in the days table: 4=Thursday.\n\nFinally, let's try June 19, 2054\n\n1. Look up the 2000s in the centuries table: 6\n2. Note the last two digits of the year: 54\n3. Divide the 54 by 4: 54\/4 = 13.5 and drop the fractional part: 13\n4. Look up June in the months table: 4\n5. Add all numbers from steps 1-4 to the day of the month (in this case, 19): 6+54+13+4+19=96.\n6. Divide the sum from step 5 by 7 and find the remainder: 96\/7=13 remainder 5\n7. Find the remainder in the days table: 5=Friday.\n\n### Centuries table\n\n`1700-1799 4 (Still Julian Calendar in Great Britain and its colonies until 1752)`\n`1800-1899 2`\n`1900-1999 0`\n`2000-2099 6`\n`2100-2199 4`\n`2200-2299 2`\n`2300-2399 0`\n`2400-2499 6`\n`2500-2599 4`\n\n### Months table\n\n`January 0 (in leap year 6)`\n`February 3 (in leap year 2)`\n`March 3`\n`April 6`\n`May 1`\n`June 4`\n`July 6`\n`August 2`\n`September 5`\n`October 0`\n`November 3`\n`December 5`\n\n### Days table\n\n`Sunday 0`\n`Monday 1`\n`Tuesday 2`\n`Wednesday 3`\n`Thursday 4`\n`Friday 5`\n`Saturday 6`\n\nOne can add constants (modulo 7) to these three tables provided the constant you add to the day table is equal to the sum of the constants you add to the centuries table and the months table modulo 7.\n\n## Mental calculation\n\nAn easy way to do the calculation in your head is to imagine the year starts on March 1 rather than January 1 (as it did in Roman times), so that the extra day in a leap year is the last day, rather than occurring in the middle of the year. This removes the need to do different calculations for a leap year. It leads to, \"day 0\" described above being the last day of February.\n\nApril 4, June 6, August 8, October 10 and December 12 all occur on the same day as day 0 (note that April is the 4th month, June the 6th, August the 8th, etc).\n\nMay 9 and September 5 are also the same day as day 0 (May is the 5th month and September the 9th \u2014 think of the Dolly Parton song \"9 to 5\": the 9th day of the 5th month and the 5th day of the 9th month).\n\nJuly 11 and November 7 are the same day as day 0 (the 7th and 11th months, respectively -- think of the 7-Eleven shops).\n\nThis day of the week is called Doomsday in the Doomsday algorithm, which uses these very same mnemonics.\n\nHowever, if one regards the new year as beginning on March 1 one has a simpler situation for February and January. Day 0 occurs on January 16 and February 6, which are the same day of the week as the previous last day of February (i.e. last year's Doomsday) for every year.\n\nAlso within each year beginning March 1, five months is always exactly 153 days and hence one day short of a whole number of weeks. This gives rise to the following dates for day 0: ``` ```\n\n``Month +5 months -5 months +10 Months``\n``` April 4 September 5 February 6 June 6 November 7 August 8 January 9 March 7 October 10 May 9 December 12 July 11 ```\n\nSo if you can figure out what day \"day 0\" is, you can quickly find a date in any month that falls on the same day, and you only have to add or subtract a few days to get to any other day in the month.\n\n### Finding day 0 for a given year\n\nFirst memorize this: in 2000, day 0 was a Tuesday. Every century, day 0 changes according to the following pattern: Tuesday, Sunday, Friday, Wednesday every 100 years; i.e., in 2100 day 0 will be Sunday; in 1900 it was Wednesday.\n\nEvery common year, day 0 moves forward one day, and two days every leap year.\n\nThe following also apply within any century beginning with a year ending with 00:\n\n\u2022 Every four years, day 0 moves two days earlier. Thus, February 29, 2004 is a Sunday; February 29, 2008 is a Friday; February 29, 2012 is a Wednesday, etc.\n\u2022 Every twelve years, day 0 moves one day later. Thus February 29, 2012 is a Wednesday, February 29, 2024 is a Thursday etc.\n\u2022 Every twenty-eight years the calendar returns to the same day Thus, February 29, 1972, 2000, 2028, 2056, 2084 are all Tuesdays\n\u2022 The Previous does not apply if a century year (year ending with \"00\", such as 1900 or 2100) is within that 28 year period, unless that year is divisble by 400, such as 2000, which is why that year is listed. Since the last time a leap year was skipped was 1900, and it will not be skipped again until 2100, this last part can be ignored for most purposes.\n\u2022 Every 400 years, the calendar returns to the same day, regardless of skipped leap years\n\n### Example\n\nSo let's say it is desired to know what day June 3 2017 will be. Day 0 for 2000 was a Tuesday, in 2012 it will be Wednesday, 2013 will be Thursday, 2014 Friday, 2015 Saturday, 2016 (a leap year) Monday, and 2017 Tuesday; June is the 6th month, so the 6 June is a Tuesday. Three days earlier is Saturday.\n\n## Babwani's formula\n\nSohael S. Babwani's method of finding the weekday was published in The Mathematical Gazette, London in November 2004. He developed alternative formulae which are easier to use and also allow one to find the date, month and year when the other information is given. The other known methods cannot find the other way round and are too complex to understand.\n\nIn Zeller\u2019s algorithm the months are numbered from 3 for March to 14 for February. The year is assumed to begin in March; this means, for example, that January 1995 is to be treated as month 13 of 1994. But in Babwani's method of finding the weekday, the months are numbered properly 1 for January to 12 for December. See \" An extended approach to the Julian and the Gregorian calendar\" for a lot of details to do various calculations.\n\n## Dominical letters\n\nThe system of dominical letters assigns a letter from A through G to each day of the year. In a leap year, February 24, the bissextile day, does not have a distinct letter. This causes all subsequent Sundays to be associated with a different dominical letter than those in the beginning of the year, so all leap years get two dominical letters. In this system, the \"dominical letter\" for a year is the letter which corresponds to the Sundays of that year.","date":"2013-05-24 23:54:47","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 4, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.403272807598114, \"perplexity\": 896.2299497965812}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2013-20\/segments\/1368705300740\/warc\/CC-MAIN-20130516115500-00013-ip-10-60-113-184.ec2.internal.warc.gz\"}"}
| null | null |
Q: Don't see messages from one specific sender any longer I am having a problem with Messages. Suddenly my iPhone stopped showing messages from a single contact (messages from other contacts are receiving fine). I did tried restarting my iPhone couple of times but this process was not as sufficient as it may.
So can you please tell me how to fix this problem?
A: I am guessing the original poster does not need this answer any longer, but I found the answer after having this same problem for months, so perhaps posting here will help others resolve it more quickly. Open your text stream to the sender for whom you are not getting alerts. In the upper right hand corner, you will see a "Details" Link. Click that, and then look for the Do Not Disturb Switch. If that is green (switched on), then you will not receive alerts from that user. The killer thing about this is that you are most likely to accidentally switch this on for someone whom you text often. It is no fun when the only person for whom you don't receive text notifications is the person you most need to hear from, like perhaps a spouse . . .. Glad I got this corrected.
A: Maybe you blocked the sender by mistake. To check if that is the case, you can go to Settings > Messages > Blocked.
If your contact is there, you can tap Edit and unblock him.
It could also be that you are filtering iMessages from people not on your contact list:
In iOS 8.3 and later, you can filter out iMessages from people who aren't saved in your contacts. Go to Settings > Messages and turn on Filter Unknown Senders. When you open Messages, you'll see a new tab for Unknown Contacts.
When you turn on this option, you won't get notifications for iMessages from Unknown Senders.
More info here: https://support.apple.com/en-us/HT201229
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"redpajama_set_name": "RedPajamaStackExchange"
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\section{Introduction}
\label{intro}
Giant radio galaxies (GRGs) are radio galaxies whose radio emitting regions (jets, lobes) extend over projected distances $ \geq 1 $ Mpc \citep{RefWorks:222, RefWorks:40, RefWorks:254, RefWorks:236, RefWorks:101}. Their morphology can be classified as core-brightened FRI or edge-brightened FRII \citep{Fanaroff1974}. There is no evidence that they are particularly more energetic than the general population of radio galaxies \citep[e.g.][]{Lara2001}.
A low-density environment may be the key factor enabling their growth to such large sizes. \cite{RefWorks:148} have indeed found that the surrounding medium for their sample of GRGs is an order of magnitude less dense than that around smaller radio sources. Hence the radio sources can expand freely, implying that expansion losses rather than radiative losses are the dominant energy loss mechanism for the relativistic particle populations in the radio lobes.
Apart from their size, GRGs are not fundamentally different from other radio galaxies, and they are expected to be subject to the same processes that are present in smaller radio galaxies. The AGN that power them go through a cycle of active and inactive periods \citep[e.g.][]{McNamara2007, Morganti2017}. Hence, we might expect GRGs to show evidence of multiple activity episodes, both in their radio morphology and spectra. They may exhibit double-double morphologies \citep[some examples can be found in the sample of][]{Malarecki2013} and show signs of spectral curvature indicating radiative ageing of the relativistic particles responsible for their extended radio emission.
There are several studies of the ages of GRGs using radio data. \cite{RefWorks:148} have performed radiative ageing analysis of five giant radio galaxies (including 3C~236), obtaining ages less than 400 Myr. More recently \cite{Hunik2016} have presented a restarted giant radio galaxy for which they derive a radiative age of 160 Myr. Also, Cantwell et al. (submitted) studied NGC~6251 and found ages raging from 50 Myr to greater than 200 Myr. \cite{Orru2015} have studied the famous double-double GRG B1864+620 and showed that the source ages derived for its outer pair of radio lobes indicate that the AGN activity has stopped in the recent past.
For many years following its discovery in the late 1950s, 3C~236 was an unresolved source. It was catalogued as such in the first 3C catalogue and kept its status up to and including the study of \cite{RefWorks:224}. However, using the Westerbork Synthesis Radio Telescope (WSRT), \cite{RefWorks:222} discovered low surface brightness radio lobes emanating from the compact source, extending over a total projected linear size 4.5 Mpc ($ z = 0.1005 $)\footnote{We assume a flat $\Lambda$CDM cosmology with $ H_{0} $ = 67.8$\,$km$\,$s$^{-1}$Mpc$^{-1}$ and $ \Omega_{m} $ = 0.308, taken from the cosmological results of the full-mission Planck observations \citepalias{Planck2016}, and use the cosmology calculator of \cite{Wright2006}. At the redshift of 3C~236, 1$\arcsec$ = 1.8 kpc.}. For decades, it was the largest known radio galaxy \citep[but see][for the current record holder]{RefWorks:236}, hence 3C~236 is listed as a GRG in radio survey catalogues.
\cite{RefWorks:130} investigated the radio morphology at a variety of scales. They noted that the low surface brightness emission of the lobes, especially the north-west (NW) one, shows a large-scale (300 kpc) wiggle, possibly associated with the jet slightly changing its orientation over the source's lifetime (see their Figure 4). The NW lobe terminates in a diffuse plateau, and there is an inner hotspot embedded in it, which may indicate a separate episode of AGN activity or intermittent accretion. The south-east (SE) lobe is more extended and shows a double hotspot morphology which the authors suggest may be caused by an oblique shock deflecting the jet. \cite{RefWorks:225} studied the spectral index variations across the lobes and found that the spectral index steepens going from the outer edges of the lobes towards the host galaxy, similar with that observed in (hotspot dominated) FRII radio galaxies.
The host galaxy of 3C~236 has been studied in detail by \citet{RefWorks:227}, \citet{RefWorks:228} and \citet{RefWorks:51}. Hubble Space Telescope (HST) imaging has revealed repeated bursts of star formation (on timescales of $ \sim 10^{7} $ and $ \sim 10^{9} $ yrs) in a warped dusty disk surrounding the AGN. This suggests that the younger starburst may be connected to the AGN reactivation which produced the currently active Compact Steep Spectrum (CSS) radio source at its centre \citep{RefWorks:51}. Thus, 3C~236 is an example of a radio galaxy showing signs of multiple epochs of radio activity.
The central regions of this radio galaxy are rich in gas. Atomic neutral hydrogen was revealed as a deep narrow absorption feature near the systemic velocity by \cite{vanGorkom1989}. The distribution of this gas was studied at high spatial resolution using VLBI techniques by \cite{Struve2012}, who speculate about the radio source interacting with the cold ISM gas. \cite{Morganti2005} have discovered a broad and shallow wing, blueshifted up to 1000 $\,$km$\,$s$^{-1}$ . This absorption is associated with a fast outflow (a feature shared by a number of restarted radio galaxies), and has been recently traced also on VLBI (pc) scales \citep{Schulz2018}. The presence of cold molecular gas (traced by CO) was found by \cite{Labiano2013}, using the Plateau de Bure Interferometer at 209.5 GHz. The gas appeared to be rotating around the AGN, and was observed to be co-spatial with the dusty disk in which the AGN is embedded.
With the advent of the LOw Frequency ARray \citep[LOFAR;][]{RefWorks:157} it is now possible, for the first time, to study the extended GRG morphology in a comprehensive manner at very low frequencies. LOFAR is sensitive to extended low surface brightness features due to its dense sampling of short spacings in the UV plane, while at the same time enabling high spatial resolution imaging leveraging its long (Dutch) baselines.
Within the framework of the LOFAR Surveys Key Science Project, the nearby-AGN working group has observed two GRGs: 3C~236 and NGC~6251. These are among the largest GRGs and have never been studied in such detail as LOFAR can provide in its frequency range. In this work, we present the results related to 3C~236. Our goal is to perform high resolution mapping of the radio morphology of its extended structure at the lowest frequencies to date, enabling us to trace the oldest emission regions. Our aim is also to extend the (resolved) spectral index studies of this object a factor of two lower in frequency compared to previous studies. This enables us to place tighter constraints on the source energetics and activity history, tying in with previous studies of this object.
The organization of this work is as follows. Section \ref{data} describes the observations and the reduction procedure. In Section \ref{res} we outline our results, we discuss them in Section \ref{dis} and conclude with Section \ref{con}.
\section{Observations}
\label{data}
\subsection{LOFAR observations}
The observations were performed with the LOFAR telescope operating in high-band (HBA) mode, for a total on-source time of 8 hours, on the morning of October 9, 2018. Details of the observation are given in Table \ref{table:obs}. Main and secondary calibrator scans were also performed before and after the target observation, ten minutes each in duration.
\begin{table}[!htpb]
\noindent \caption{\small LOFAR configuration}
\label{table:obs}
\centering
\small
\begin{tabular}{ll}
\hline\hline\\
Project code & LT10\_010 \\
Central Frequency [MHz] & 143.65 \\
Bandwidth [MHz] & 47 \\
Integration time & 1 second \\
Observation duration & 8 hours\\
Polarization & Full Stokes \\
Primary flux reference & 3C~147\\
\hline
\end{tabular}
\end{table}
The data were initially pre-processed (flagged and averaged) by the LOFAR observatory pipeline \citep{RefWorks:180}. The station gains were determined using the main calibrator pointing and set to the \citet{RefWorks:181} flux density scale.
\begin{figure*}[!ht]
\centering
\includegraphics[width=0.45\textwidth]{UV_cov_all.png}
\includegraphics[width=0.45\textwidth]{UV_profile_all.png}
\caption{UV coverage (left) and its radially averaged profile of the LOFAR data.}
\label{3C236:uv}
\end{figure*}
To image the entire field of view at these low frequencies, the influence of the ionosphere has to be properly taken into account. The observation used was part of the ongoing LOFAR Two-metre Sky Survey (LoTSS) project and the data were processed using its reduction pipelines which perform directional (self) calibration and imaging. For a full description, please refer to \cite{Shimwell2017,Shimwell2019}.
3C~236 was the brightest source in the field, and our main source of interest, so we did not calibrate and image across the entire FoV, focusing only on the area around the target (Tasse et al., van Weeren et al. in prep.). The calibrated data set (with uv-coverage as shown in Figure \ref{3C236:uv}) was imaged with WSclean \citep{Offringa2014} using multi-scale cleaning; scales of $ 0 - 2^{n}\, , n = [2, 6] $ pixels. The image shown in the main panel of Figure \ref{3C236:map} was obtained using a UV taper of $ 7.4\,\mathrm{k}\lambda $ and Briggs weights with robustness set to $ -0.5 $. To emphasize source structure on the smallest scale, we have imaged without tapering using the same weights as described previously. The final image properties are listed in Table \ref{table:imgs}.
LOFAR flux densities are known to suffer from a systematic effect when the amplitude scale is set by transferring the gains from calibrator to target pointing. Different elevations of the target and calibrator sources will yield different gain normalization of the LOFAR beam pattern, which can appear as a frequency dependent flux density offset \citep{Shimwell2019}. To further verify our flux scale as measured from the images we have obtained, a check was performed measuring the flux density of the unresolved bright core as well as another nearby point source and comparing it with catalogue values; we found a residual flux excess of 42\% which we corrected for by down-scaling the LOFAR image.
\subsection{Literature data}
In order to perform the spectral study of 3C~236, we have collected images from the literature that trace the emission of the extended lobes and could be combined with the LOFAR data. This combination needs to be done with care and in Section \ref{spec_ind} we comment more on the caveats.
We have used legacy Very Large Array (VLA) survey (NVSS\footnote{NVSS stands for the NRAO VLA Sky Survey carried out at a frequency of 1.4 GHz \citep{RefWorks:139}}), as well as Westerbork Synthesis Radio Telescope (WSRT) images. The image properties are listed in Table \ref{table:imgs}. The mid and high resolution LOFAR images are shown in Figure \ref{3C236:map}. The images collected allows us to produce spectral index maps and derive the spectral curvature and ages of the lobes.
In Figure \ref{3C236:int} we plot the integrated source flux density measurements taken from the study of \cite{Mack1997} (with frequency coverage up to 10550 MHz, given in Table \ref{table:intflux}), together with those measured in our low resolution LOFAR map and the NVSS map, both listed in Table \ref{table:imgs}.
\begin{figure}[!ht]
\centering
\includegraphics[width=0.5\textwidth]{Int_spec-eps-converted-to.pdf}
\caption{Integrated flux density of 3C~236.}
\label{3C236:int}
\end{figure}
The LOFAR integrated flux density (marked in red) shows a slight flattening of the integrated source spectrum at low frequencies compared to the points at high frequency. This is to be expected, as we shall discuss in the forthcoming sections of this work. This flattening was hinted at in previous studies \citep[e.g.][]{Mack1997}. As can be discerned from Figure \ref{3C236:int}, the flux density scale of our LOFAR observations is as expected, within the errors.
\begin{table}
\centering
\noindent \caption{\small Image properties.}
\label{table:imgs}
\small
\begin{tabular}{c c c c c}
\hline\hline\\
\small Instrument & \small $ \nu $ [MHz] & \small $ \Delta \nu $ [MHz] & \small $ \sigma $ [mJy/b] & \small Beam size\\
\hline\\
LOFAR & 143.65 & 46.87 & 0.26 & $ 11.77\arcsec \times 6.82\arcsec $ \\
LOFAR & 143.65 & 46.87 & 0.5 & $ 23.81\arcsec \times 19.18\arcsec $ \\
LOFAR & 143 & 53 & 3.0 & $ 50.0\arcsec $ \\
WSRT\tablefootmark{a} & 609 & - & 0.7 & $ 48\arcsec \times 28\arcsec $ \\
VLA\tablefootmark{b} & 1400 & 42 & 0.4 & $ 45\arcsec $ \\
\hline
\end{tabular}
\tablefoot{
\tablefoottext{a}{Image provided by K. H. Mack, \citep{Mack1997}}
\tablefoottext{b}{from VLA NVSS}
}
\end{table}
\begin{table}
\centering
\noindent \caption{\small Integrated flux density values.}
\label{table:intflux}
\small
\begin{tabular}{l l}
\hline\hline\\
\small $ \nu $ [MHz] & \small $ S_{\mathrm{int}} $ [mJy] \\
\hline\\
143 & $ 17744 \pm 3568.7 $\\
326 & $ 13132 \pm 140 $\\
609 & $ 8227.7 \pm 90.8 $\\
2695 & $ 3652 \pm 90.8 $\\
4750 & $ 2353.5 \pm 71.2 $\\
10550 & $ 1274.7 \pm 41.7 $\\
\hline
\end{tabular}
\tablefoot{
All other values except the 143 MHz one are taken from \cite{Mack1997}
}
\end{table}
\section{Results}
\label{res}
\subsection{The total intensity structure of 3C~236 at 143 MHz}
The intermediate resolution image ($ 23.8\arcsec \times 19.2\arcsec $) of 3C~236 obtained with LOFAR is shown in the main panel of Fig. \ref{3C236:map}, while the insets zoom in on the two lobes and show their morphology as it appears in our high resolution LOFAR image. Figure \ref{3C236:spix} shows the contour levels of the emission at lower resolution ($ 50\arcsec $), emphasizing better some of the new low surface brightness features detected by LOFAR. An overview of the images is presented in Table \ref{table:imgs}. The map presented in Figure \ref{3C236:map} shows some residual artifacts due to limitation in the calibration around the stronger sources (e.g., the central, very bright compact core of 3C~236), while the regions of diffuse emission are less affected.
Despite the huge source size (more than half a degree), the LOFAR observations recover the full extent of the source showing, for the first time, its structure at low frequencies and relatively high spatial resolution. The image reproduces well the main (previously known) morphological features of 3C~236 \citep{RefWorks:130}.
The overall structure (about $40\arcmin$ in size, corresponding to $ 4.32 $ Mpc) consists of two very elongated lobes. The north-west (NW) lobe radio emission is more extended transversely to the longitudinal symmetry axis (jet propagation direction) compared to the south-east (SE) lobe (about $ 4\arcmin $ and $ 2\arcmin $ in width towards the NW and SE respectively). At the resolution of the LOFAR observations, the central region including the restarted CSS is unresolved. The asymmetry of the large-scale structure, with the SE lobe extending farther away from the core compared to the NW, is also confirmed by the LOFAR images. Given the size of the source, projection effects are unlikely and hence the source asymmetry must be intrinsic.
The LOFAR images (especially the one at intermediate resolution) show that both lobes extend all the way to the core. The emission connecting the SE lobe to the core has very low surface brightness (around $ 0.5$ mJy beam$^{-1}$), nevertheless maintaining its width for the full length of the lobe (see the intensity contours in Fig. \ref{3C236:spix}).
There are no signs of spurs or very extended emission transverse to the lobe extent, with the exception of the extension to the south in the NW lobe, right next to the core (Figure \ref{3C236:spix}). This extension was earlier seen at higher frequencies, although much weaker \citep{RefWorks:130}. It is reminiscent of structures created by back-flows of plasma deposited in the lobe by the jet seen in other \citep[e.g., X-shaped,][]{Leahy1984, Hardcastle2019, Cheung2009, Saripalli2018} radio galaxies.
The high spatial resolution images of the lobes (seen in the insets of Fig. \ref{3C236:map}) show that in the NW lobe, the leading edge does not show a hotspot, but only a diffuse enhancement in surface brightness. However, as first noted by \cite{RefWorks:130}, there is a compact region in the middle of the lobe, confirmed by the LOFAR image (Fig. \ref{3C236:map}). This inner lobe region is split in two clumps (marked by a dashed ellipse in Figure \ref{3C236:map}), the leading one of which is probably a jet termination/hotspot. Structures of this type are seen in other objects \citep[c.f.][]{Malarecki2013}. The location of the hotspot within the lobe suggests that it may trace a separate event of source activity, propagating through the lobe, or tracing an interruption (flicker) in the accretion history of the activity episode that produced the large-scale lobes.
At the end of the SE lobe, a double hot-spot appears to be present (see bottom right inset in Fig. \ref{3C236:map}). For the first time, we observe that the southern hotspot of the pair has itself a double structure, having two distinct brightness peaks (labeled H2 and H3 in the lower right inset of Figure \ref{3C236:map}). This may be a sign of a jet interaction with IGM gas \citep[e.g.][]{Lonsdale1986}, possibly indicating that the jet used to terminate at the location of the H1 hotspot, then the termination point moved to H2 and currently is located at H3. This is consistent with the hypothesis that the most compact hotspot is where the jet terminates at the current epoch \citep{Hardcastle2001}. Also, it would explain why the SE lobe has a steeper spectrum along the northern edge (discussed below). It is also possible that H1 and H2 are created by lateral emission of plasma from the H3 termination shock. In the 3CR sample, one-sixth of the sources have multiple hotspots; the statistics vary depending on the definitions used and source samples under consideration \citep{Valtaoja1984}.
The differences in the structure of the lobes in 3C~236 suggest that they are not only the results of intermittence in the activity and/or changes in the position angle of the jet. Other effects due to e.g. the propagation of the jets in the inner region must have affected the large-scale morphology.
Given the overall size of the source (more than half a degree), several unresolved background sources are embedded in the lobe emission. Their positions are noted in \cite{Mack1997}. Some of these sources are relatively bright, but we find that they do not present an issue for our analysis.
\begin{figure*}[!ht]
\centering
\includegraphics[width=\textwidth]{3C236_LOFAR_hires_v5_invert-eps-converted-to.pdf}
\caption{
LOFAR intensity map (linear scale, level limits at 1 and 150 mJy beam$^{-1}$) of 3C~236 at 143.6 MHz. Fifteen positive contours are overlaid as solid gray lines with levels at $ \left(\sqrt{2}\right)^{\mathrm{n}} 3\sigma $, where $ \sigma = 0.6 $ mJy beam$^{-1}$ , and $ \mathrm{n} $ increasing from $ 0 $ to $ 14 $ in increments of $ 1 $. One negative contour level at $ -3 \sigma $ is overlaid as a dashed gray line. The restoring beam size of $ 23.81\arcsec \times 19.18\arcsec $ is shown in the lower left corner. High resolution image insets (logarithmic intensity scale, limits at 1 , 100 and 500 mJy beam$^{-1}$ , $ 11.77\arcsec \times 6.82\arcsec $ restoring beam, $ \sigma = 0.26 $ mJy beam$^{-1}$) of the NW and SE lobes are shown in the top-left and bottom-right corners respectively. Regions of interest are marked with a dashed ellipse and labeled.}
\label{3C236:map}
\end{figure*}
\begin{figure*}[!htpb]
\includegraphics[width=\textwidth]{3C236_spix-eps-converted-to.pdf}
\caption{$ \alpha_{143}^{609} $ spectral index map. The restoring beam size is $ 50\arcsec $ (bottom left). Overlaid in black are contours tracing the emission from the convolved LOFAR image (listed in Table \ref{table:imgs}) with levels at $ \left(\sqrt{2}\right)^{n} 5\sigma $, where $ n = [0, 9] $ and $ \sigma = 3 $ mJy beam$^{-1}$ . Inset are enlarged views of the lobes. Profile paths along which the spectral index values shown in Fig. \ref{3C236:profiles} are measured are shown using dashed lines, as well as measurement regions of the spectral index values listed in Table \ref{table:spix_regs} (solid labelled rectangles). Point sources embedded in the lobes have been masked.}
\label{3C236:spix}
\end{figure*}
\begin{figure}[!htpb]
\centering
\includegraphics[width=0.5\textwidth]{3C236_spixerr-eps-converted-to.pdf}\\
\includegraphics[width=0.5\textwidth]{NW_lobe_spix_profile.pdf}
\includegraphics[width=0.5\textwidth]{SE_lobe_spix_profile.pdf}
\caption{Spectral index error (top panel) and spectral index profiles along the paths shown in Fig. \ref{3C236:spix}. The profile paths start in the inner part of the lobes. The shaded area in the spectral profile plots represents the spectral index error.}
\label{3C236:profiles}
\end{figure}
\subsection{Spectral index}
\label{spec_ind}
We have derived a low frequency spectral index ($ S \propto \nu^{\alpha} $) map between 143 and 609~MHz using the images listed in Table \ref{table:imgs}, implementing the following procedure. The 609 MHz image \citep[from][]{Mack1997} was first re-gridded to a J2000 epoch, then we registered the lowest resolution 143~MHz and the 1400~MHz image to the same pixel scale as the 609~MHz image. Finally, we convolved the images with a Gaussian kernel resulting in a circular PSF of $ 50\arcsec $. The re-gridding and convolution were performed using the {\tt imregrid} and {\tt imsmooth} {\tt CASA} \citep{McMullin2007} tasks.
Producing spectral index images from datasets taken with different telescopes is always subject to caveats. In particular, observations at different frequencies must be sensitive to similar spatial structures. The UV-coverage of the datasets can help in checking whether this condition is fulfilled. The UV-range of the mid-resolution LOFAR image (from which the lowest resolution LOFAR map is obtained by convolution) is well matched to that of the WSRT image (upper cut of around $ 7\,\mathrm{k}\lambda $) , so the low frequency spectral index derivation is unaffected by spatial filtering. The NVSS image has relatively few short spacings, i.e., it is less sensitive to extended emission \citep{RefWorks:139,Jamrozy2004}. We keep this limitation in mind when interpreting our (spectral ageing) results.
The flux density scale was taken to be uncertain at a level of 20\% for the LOFAR \citep{Shimwell2017} and 5\% for the WSRT \citep{Mack1997} and VLA \citep{RefWorks:139} observations, respectively. We added these uncertainties in quadrature to the r.m.s. errors of the corresponding maps.
We have derived the $ \alpha_{143}^{609} $ spectral index using the standard expression: $ \alpha = \log(S_{1} / S_{2}) / \log(\nu_{1} / \nu_{2}) $. We show the results in Figure \ref{3C236:spix}, restricted to pixels having flux density values above $5\sigma$ in the corresponding images. The spectral index errors were obtained by error propagation of the flux density errors in the corresponding images:
\[ \delta\alpha = \frac{1}{\ln\frac{\nu_{1}}{\nu_{2}}}\sqrt{\left(\frac{\delta S_{1}}{S_{1}}\right)^{2} + \left(\frac{\delta S_{2}}{S_{2}}\right)^{2}} \]
\noindent here, $ \delta S $ represents the flux density measurement error. The resulting spectral index error map is shown in Fig. \ref{3C236:profiles}, top panel.
We have also measured flux densities in eleven characteristic regions, (along the lobes, encompassing the lobe termination regions and across the NW lobe). These numbered regions are listed in Table \ref{table:spix_regs}, and indicated in Fig. \ref{3C236:spix}. For each region we have computed the spectral index to investigate whether differences with the values reported in the spectral index map (which samples smaller spatial scales) are present. We find no significant deviations, indicating the robustness of the spectral index map. Also, we show the spectral index profiles along both lobes; the profiles are indicated as dashed lines in Fig. \ref{3C236:spix}.
\begin{table*}[!htpb]
\centering
\noindent \caption{\small Spectral index and spectral ages for the regions defined in Fig. \ref{3C236:spix}.}
\label{table:spix_regs}
\small
\begin{tabular}{c c c c c c c c c}
\hline\hline\\
\small Region ID & \multicolumn{3}{c}{\small $ \alpha_{143}^{609} $} & \small Model & \small $ \alpha_{\mathrm{inj}} $ & \small Spectral age [Myr] & & $ \small \chi^{2}_{\mathrm{red}} $ \\
\hline\\
$ 1 $ & & $ -0.82 \pm 0.14 $ & & JP & $ - $ & $ - $ & & $ - $ \\
$ 2 $ & & $ -0.74 \pm 0.14 $ & & JP & $ -0.57 $ & $ 51.3^{+7.2}_{-6.9} $ & & $ 0.01 $ \\
$ 3 $ & & $ -0.64 \pm 0.14 $ & & JP & $ -0.20 $ & $ 140.3^{+6.4}_{-1.5} $ & & $ 0.89 $ \\
$ 4 $ & & $ -0.32 \pm 0.14 $ & & JP & $ -0.20 $ & $ 116.7^{+3.5}_{-6.4} $ & & $ 2.63 $ \\
$ 5 $ & & $ -0.60 \pm 0.15 $ & & JP & $ - $ & $ - $ & & $ - $ \\
$ 6 $ & & $ -0.60 \pm 0.15 $ & & JP & $ -0.20 $ & $ 153.2^{+6.3}_{-6.3} $ & & $ 3.56 $ \\
$ 7 $ & & $ -0.88 \pm 0.14 $ & & JP & $ -0.54 $ & $ 159.2^{+2.5}_{-2.6} $ & & $ 0.00 $ \\
$ 8 $ & & $ -0.70 \pm 0.14 $ & & JP & $ -0.20 $ & $ 135.3^{+5.5}_{-1.9} $ & & $ 0.06 $ \\
$ 9 $ & & $ -0.67 \pm 0.14 $ & & JP & $ -0.40 $ & $ 83.8^{+3.5}_{-5.3} $ & & $ 0.03 $ \\
$ 10 $ & & $ -0.68 \pm 0.14 $ & & JP & $ -0.40 $ & $ 91.6^{+2.8}_{-8.0} $ & & $ 0.12 $ \\
$ 11 $ & & $ -0.59 \pm 0.14 $ & & JP & $ -0.40 $ & $ 75.6^{+3.1}_{-9.6} $ & & $ 0.67 $ \\
\hline\\
&\multicolumn{3}{c}{\small $ S_{\mathrm{int}} $[mJy]} & & & & \small $ \nu_{\mathrm{br}} $ [MHz] & \\
& 143[MHz] & 609[MHz] & 1400[MHz] & & & & &\\
\hline\\
\small NW lobe & $ 5030 \pm 80 $ & $ 1930 \pm 390 $ & $ 730 \pm 150 $ & CI & $ -0.55 $ & $ 129.1^{+41.2}_{-30.6} $ & $ 479 $ & $ 0.50 $ \\
\small SE lobe & $ 3580 \pm 100 $ & $ 1260 \pm 250 $ & $ 580 \pm 120 $ & CI & $ -0.55 $ & $ 117.1^{+41.1}_{-30.9} $ & $ 582 $ & $ 0.01 $ \\
\hline\\
\end{tabular}
\end{table*}
The spectral index map shows that the outer lobe regions have spectral index values (between $ -0.5 $ and $ -0.65 $) typical regions with ongoing particle acceleration. This is also observed in the embedded hotspot region in the NW lobe and in the hotspot in the SE lobe (although here the spectral index is around $ -0.1\mathrm{dex} $ steeper). The spectral index generally steepens (see bottom two panels in Figure \ref{3C236:profiles}) toward the edges of the lobes and toward the core (consistent with the FRII overall source morphology), indicating loss of energy and (spectral) ageing of the particle populations as they back-flow in the direction of the core. However, curiously, the SE lobe has a region of very flat spectral index in its core-facing end; a hint of this region is also observed in the higher frequency spectral index maps of \cite{RefWorks:148}. These trends are shown in the spectral index profiles of the lobes presented in Figure \ref{3C236:profiles}.
The SE lobe has the flattest spectral index along its southern edge. There is a transition to steeper spectral index values of $ \sim -0.9 $ along the northern edge of its outer region. Whereas the interpretation of the spectral index map in this region is not straightforward, the observed steepening could be real at least in some parts and warrants further investigation in future studies of this object.
\cite{RefWorks:148} derive $ \alpha_{326}^{609} $ spectral indices for the NW lobe of around $ -1 $ for the outer regions to $ -1.2 $ going toward the core. Our $ \alpha_{143}^{608} $ spectral index map shows much flatter spectral index values, around $ -0.5 $ to $ -0.6 $, (c.f. the spectral profiles in Figure \ref{3C236:profiles}) meaning that LOFAR detects the particle population related to the primary injection of energy in the lobe. For the SE lobe, the agreement between our spectral index values and those derived by \cite{RefWorks:148} is better, although we have flatter values, with $ \alpha_{143}^{609} \sim -0.6 $ versus their values of $ \alpha_{326}^{609} \sim -0.8 $ for the outer lobe. We have derived the spectral index for several regions in the source (Table \ref{table:spix_regs}) to test whether the values we obtain in our spectral index map are reliable; the spectral index values per region match those from the map. High resolution mapping helps to disentangle the detailed spectral behaviour.
\subsection{Source energetics and radiative ages}
Before discussing the 3C~236 energetics, we estimate the magnetic field value throughout the source. We make the assumption that the field structure in the lobes is uniform and oriented perpendicular to the line of sight. We use cylindrical geometry for the lobes, and calculate the magnetic field strength assuming that equal energy is contained in the relativistic particles and the field (equipartition assumption). Furthermore, we set the ratio of electrons to protons to unity, as well as the filling factor of the lobes. We adopt limits of the spectral range from 10~MHz to $ 10^{5} $ MHz, and we set the spectral index of the radiation in this range to $ \alpha = -0.85 $ (taking into account the observed values at low frequencies, as well as assuming spectral steepening to higher frequencies). Using the relation by \cite{Miley1980}, calculating at a frequency of 143 MHz (Table \ref{table:fluxes}) and averaging over both lobes, we obtain $ \mathrm{B} = 0.75 \, \mathrm{\mu} $G for the equipartition magnetic field strength. As was noted by \cite{Brunetti1997}, the equipartition field calculated in this manner should be corrected, to take into account a low energy cut-off value for the spectrum of the particles and a value for the particle spectral index at injection time. With $ \gamma_{min} = 200 $, and $ \mathrm{\alpha}_{\mathrm{inj}} = -0.75 $ (average low frequency spectral index in the lobes), we find $ \mathrm{B} = 1.28 \, \mathrm{\mu} $G for the average source magnetic field, a value we will be using further in our analysis. This value of the magnetic field is lower than the CMB equivalent magnetic field at the source redshift ($ B_{CMB} = 3.93 \, \mathrm{\mu} $G). Thus, the dominant energy loss mechanism of the relativistic particles generating the synchrotron radio emission will be inverse Compton scattering off the omnipresent CMB photons.
The spectral ages of the emitting regions are calculated using two different approaches: first for the regions defined in Figure \ref{3C236:spix} and second for measurement regions encompassing the NW and SE lobes separately, avoiding embedded point sources and measuring out to the $ 5\sigma $ contour in the 143 MHz image. We have used the {\tt fitintegrated} and {\tt fitcimodel} tasks of the {\tt BRATS}\footnote{http://www.askanastronomer.co.uk/brats/} software package \citep{Harwood2013,Harwood2015} for the two cases respectively. The fitting was performed using flux density measurements at three different frequencies, using the low resolution LOFAR image and the WSRT and VLA images listed in Table \ref{table:imgs}. In the {\tt fitintegrated} task we fitted a Jaffe-Perola \citep[JP,][]{Jaffe1973} model, and the {\tt fitcimodel} task fits a continuous injection (CI) model to the integrated flux densities for the source regions under consideration. The CI model was used when modelling the lobes assuming that they encompass regions where particle acceleration is ongoing, which can not be stated for (all) of the smaller measurement regions. Although the models do not give intrinsic ages \citep{Harwood2017}, they are useful to address the source properties. The injection spectral index was kept fixed for each fitting run, and the fitting was performed over a search grid spanning values from $ \alpha_{\mathrm{inj}} = -0.2 $ to $ \alpha_{\mathrm{inj}} = -0.9 $. The derived spectral ages and spectral break frequencies (in the CI fit case) resulting from the fitting procedure are shown in Table \ref{table:spix_regs}. The average reduced $ \chi^{2} $ measure for the goodness of the fit (one degree of freedom) is given in the last column. The fit results are shown in Figure \ref{CI_fits}.
\begin{figure}[!htpb]
\centering
\includegraphics[width=0.5\textwidth]{NW_fit.pdf}\\
\includegraphics[width=0.5\textwidth]{SE_fit.pdf}
\caption{CI model fits as reported in the lower section of Table \ref{table:spix_regs}.}
\label{CI_fits}
\end{figure}
The derived ages for individual regions indicate older plasma as one goes from the lobe outer edges toward the core, consistent with what would be expected if the main acceleration regions are located in the outer lobes. The injection spectral indices which best fit the data are not steep, indicating that LOFAR is probing particles which have retained their energy since their acceleration phase. We will discuss the spectral ages further in Section \ref{dis}.
The particle energy assuming equipartition can be expressed as \citep{RefWorks:148,Pacholzcyk1970}
\[ \mathrm{E}_{\mathrm{eq}} = \dfrac{7}{4}\left[(1+\mathrm{k})\mathrm{c}_{\mathrm{12}}\mathrm{P}\right]^{\frac{4}{7}}\left(\dfrac{\mathrm{\Phi} \mathrm{V}}{\mathrm{6\pi}}\right)^{\frac{3}{7}} \]
\noindent where $ \mathrm{\Phi} = 1 $ is the volume filling factor, $ \mathrm{V} $ the volume of the region filled with relativistic particles and fields, $ \mathrm{k} $ (= 1) the electron to proton ratio, $ \mathrm{P} $ the radio luminosity integrated over the earlier specified frequency range, for the regions under consideration, and $ \mathrm{c}_{\mathrm{12}} $ is a constant \citep[in our case $ \mathrm{c}_{\mathrm{12}} = 1.6 \times 10^{7} $;][]{Pacholzcyk1970}.
Assuming that the lobes are in pressure balance with the intergalactic medium (IGM), the relativistic gas pressure in the lobes, $ \mathrm{p}_{\mathrm{l}} $\footnote{$ \mathrm{p}_{\mathrm{l}} = (\gamma - 1)\mathrm{e}_{\mathrm{eq}} $, where $ \mathrm{e}_{\mathrm{eq}} = \mathrm{E}_{\mathrm{eq}} / \mathrm{V} $ is the lobe energy density and $ \gamma $ is the ratio of specific heats; for relativistic gas $ \gamma = \frac{4}{3} $} should balance with the gas pressure of the IGM ($ \mathrm{p}_{\mathrm{IGM}} = \mathrm{n}_{\mathrm{IGM}}\mathrm{kT} $), where $ \mathrm{k} $ is the Boltzmann constant and $ \mathrm{T} $ the temperature of the IGM in degrees Kelvin. Adopting $ \mathrm{T} = 10^{7} $K, we can roughly estimate the IGM particle density values $ \mathrm{n}_{\mathrm{eq}} = \frac{\mathrm{e}_{\mathrm{eq}}}{3\mathrm{kT}} $ \citep{RefWorks:148, Hunik2016}, and list the resulting values in Table \ref{table:fluxes}.
\begin{table*}[!htpb]
\centering
\noindent \caption{\small Source parameters and derived quantities}
\label{table:fluxes}
\small
\begin{tabular}{c c c c c c c}
\hline\hline\\
\small ID & \small $\mathrm{S}_{\mathrm{143}}$ [Jy] & \small $\mathrm{L}_{\mathrm{143}}$ [W$\mathrm{Hz}^{-1}$] & $ \mathrm{E}_{\mathrm{eq}} $ [J] & $ \mathrm{V} $ [$ \mathrm{m}^{3} $] & $ \mathrm{n}_{\mathrm{IGM}} $ [cm$ ^{-3} $] & $ \mathrm{P} $ [Pa] \\
\hline
NW lobe & $ 5.0 $ & $ 1.2 \times 10^{26} $ & $ 2.0\times10^{53} $ & $ 0.9\times10^{67} $ & $ 5.2 \times 10^{-5} $ & $ 7.2\times10^{-15} $ \\
Core & $ 9.0 $ & $ 2.2 \times 10^{26} $ & - & - & - & - \\
SE lobe & $ 3.6 $ & $ 8.9 \times 10^{25} $ & $ 1.7\times10^{53} $ & $ 1.0\times10^{67} $ & $ 4.2\times10^{-5} $ & $ 5.8\times10^{-15} $ \\
\hline\\
\end{tabular}
\end{table*}
\section{Discussion}
\label{dis}
Our LOFAR imaging recovers the source structure as described previously in the literature \citep{RefWorks:130, Mack1997}, and discussed in the previous section of this work. Owing to the high surface brightness sensitivity in our LOFAR images, we can now trace the SE lobe emission all the way to the core even in the intermediate resolution maps. We note that the NW lobe is shorter than the SE lobe. Interestingly, this asymmetry is inverted for the small-scale emission of the CSS core. There, the NW extension is longer than the SE as seen by \cite{RefWorks:258}. They also speculate that the dust lane imaged by HST close to the core may be part of the material that helps collimate the radio emission.
As was noted in Section \ref{intro}, there is a hint of a slight wiggle of the ridge line connecting the core and the outer lobe edges. It is visible in Figure \ref{3C236:map} as a departure from the symmetry axis in the NW lobe, where the inner hotspot and the outer diffuse region are not on a straight line to the core. This may be due to the wobble of the jet as it drills through the IGM/ICM over time. In this context, the appearance of the SE lobe hotspot is intriguing. It was described as a double hotspot in the literature \citep{RefWorks:130}; now, using LOFAR, we can see that it is in fact a triple hotspot; the southern component is split in two (Figure \ref{3C236:map}). It may be that the jet was deflected at the hotspot producing the observed morphology, or that the jet working surface has shifted over time. \cite{Lonsdale1986} have suggested that such hotspots can originate from a flow redirection in the primary hotspot.
\cite{RefWorks:228} have classified 3C~236 as a double-double \citep{Saikia2009,Orru2015} radio galaxy, since the restarted activity in the core has extended emission aligned with the large-scale lobes. Then, 3C~236 may be a "triple-double" radio galaxy; the inner hotspot in the NW lobe signifying a stall in the jet, or a short sputter in the accretion episode responsible for the creation of the large-scale lobes. In this view, the diffuse outer region of the NW lobe is the (still active) remnant hotspot of the previous activity episode and the embedded hotspot is produced by the jet expelled during the re-activation episode, which is still advancing through the lobe material. Within this context, the wiggle noticeable in the source morphology (mentioned above) can be explained by a slight shift in the jet axis during the jet stall/sputter event.
The lobe length asymmetry and the position of the hotspots may be caused by a difference in material density on the opposite sides of the host galaxy, at the position of the lobes, and higher for the NW lobe. This is tentatively supported by the particle density we have derived, presented in Table \ref{table:fluxes}, which is $ \sim 3 $ times higher than the medium density obtained by \cite{Mack1997} and hence broadly comparable with their result.
Owing to their sizes, GRGs can be used as probes of the physical conditions of the IGM. \cite{Malarecki2013} have performed such a study on a sample of 19 GRGs; we are in agreement with the values they have derived for the mean lobe pressures in their sample (ranging from $ 1.34\times10^{-15} $ to $ 1.91\times10^{-14} $ Pa). In a subsequent study of the same sample \citet{Malarecki2015} find that GRGs tend to occur in sparse environments (such as the one of the 3C~236 host galaxy), and they show tentatively that shorter lobes expand in regions of (on average) higher galaxy density. This may be relevant to explain the lobe morphology of 3C~236. Further studies on the immediate environment of the host galaxy of 3C~236 should test this hypothesis. If true, the environment should be denser to the north-west, where the shorter lobe extends. On the other hand, the large-scale asymmetry and the (reverse) small-scale asymmetry may have a physical origin in asymmetric host galaxy properties.
Recent studies of the GRG NGC~6251 by Cantwell et al. (submitted) have found ages for its lobes of less than 50 Myr, and show that the newly discovered faint lobe extensions have ages greater than 200 Myr. The radiative ages for the lobes of 3C~236 we derive fall in between of the ages derived for the different regions of NGC~6251. Given the morphological difference between the lobes of these two GRGs (the lobes of NGC~6251 are far less confined, and it is an FRI radio galaxy), the results of the studies are consistent. The lobe pressure values they find ($ 4.9\times10^{-16} $ to $ 4.8\times10^{-13} $ Pa) are also consistent with our findings.
Our derivations of the lobe ambient medium assume that the lobes are in pressure balance with the IGM. One may find this assumption objectionable, as radio galaxy lobes are often observed to be under-pressured. However, \cite{Croston2014} have argued that FRIs can be in pressure balance if there is entrainment of surrounding material by the jet flow. Recent reports that FRI lobes are energetically dominated by protons \cite{Croston2018} seem to support the entrainment scenario. Similarly, \cite{harwood2016, harwood2017b} argue that FRIIs can be brought back into agreement by considering the steeper than expected injection index which is sometimes derived using model fits to data from low-frequency observations.
Our 3C~236 spectral index map, with the highest spatial resolution obtained so far at these frequencies, allows us for the first time to associate morphological and spectral features. We clearly see a flatter (compared to the surrounding regions) spectral index associated with the inner hotspot of the NW lobe, hinting at it being a particle acceleration region. Also, while previous spectral index maps (Figure 3, top panel in \cite{RefWorks:148}) only weakly hinted at the spectral index steepening toward the lobe edges, we can now better trace that transition. The curious flattening of the spectral index in the inner SE lobe which was hinted at previously \citep{RefWorks:148}, now stands out. It can be a signature of the interaction between the jet inflating the SE lobe and the IGM at that position; the spectral index indicating that acceleration is ongoing.
In general, the spectral ages we have derived do not agree with the values published by \cite{RefWorks:148}; these authors obtain lower age estimates (ranging from less than $ 8 $ Myr to $ 20 $ Myr). The only exception is region two, where our age is broadly comparable with their estimate (they have an age of around $ 20 $ Myr for that region of the source, while our value is around $ 50 $ Myr, both using the JP model). The ages we derive measuring the integrated flux density of the lobes are substantially higher than what \cite{RefWorks:148} derive. The fact that the age for region eight using the single-injection JP model is comparable with the age for the NW lobe derived using the CI model, suggests that our ages are a more robust measure of the characteristic age compared to previous studies. The break-frequencies in our model lobe spectra are located in the lower frequency range of the data used by \cite{RefWorks:148}, which is consistent with the fact that we measure flatter spectral indices in the lobes. LOFAR can trace the spectral flattening towards still lower frequencies, and thus characterize the spectral break.
The age difference between these studies is most likely due to the fact that LOFAR measures the emission from the oldest particle population, affecting our estimates. It should also be noted that due to the uncertainties in the assumed values of the input parameters (especially the magnetic field value; \cite{RefWorks:148} use values between 0.3 $ \mu $G and 0.7 $ \mu $G), uncertainties in the model, mapping resolution as well as the sparse frequency coverage, these ages should be taken as limits to the actual values.
Our age estimates support a scenario where the lobes are built up by a jet advancing with a speed of around $ 0.1\mathrm{c} $ \citep[as argued by][]{RefWorks:130}, i.e. that speed is required to inflate the lobes to their present linear size in a time broadly consistent with their derived ages (overall ages based on the CI model). Further, as was already mentioned in the introduction section of this work, \cite{RefWorks:228} suggest (based on their HST studies of star formation in the nucleus of the host galaxy) an age of the large-scale lobes in the range of $ 10^{8} $ to $ 10^{9} $ years, in line with our findings.
\section{Conclusion}
\label{con}
We have presented new LOFAR observations of the GRG 3C~236. We have studied this radio galaxy for the first time at a resolution of up to $ 6\arcsec $ at 143 MHz. Also, we have derived the highest resolution spectral index maps to date (at $ 50 \arcsec $ resolution). Our main conclusions are:
\begin{itemize}
\item We observe an inner hotspot in the north-western lobe, separate from its more diffuse outer region. It is also discernible in the spectral index map, as a region undergoing more recent particle acceleration (flatter spectral index values). This detection, taken together with the overall source morphology, may be an indication of a short interruption of the accretion episode/jet sputter.
\item The brighter component of the SE lobe double hotspot is resolved in two components, making this feature a triple hotspot.
\item The source energy / pressure balance with the IGM suggests that confinement by the IGM may be responsible for the morphology of the lobes; the NW lobe is probably confined and the SE one has expanded in a lower density medium, reflected in the somewhat steeper spectrum of its outer region / northern edge.
\item The derived spectral ages are consistent with a jet advancing at $ 0.1 $c in the surrounding medium of the host galaxy.
\end{itemize}
LOFAR is a valuable instrument for studies of giant radio sources. Its sensitivity to low surface brightness features, combined with its capability for high resolution imaging at low frequencies, offers an unprecedented detailed view of source emission regions containing low energy plasma. This is useful to uncover previously unknown features even in targets which have been studied for decades, such as 3C~236.
\begin{acknowledgements}
LOFAR, the Low Frequency Array designed and constructed by ASTRON, has facilities in several countries, that are owned by various parties (each with their own funding sources), and that are collectively operated by the International LOFAR Telescope (ILT) foundation under a joint scientific policy.
We would like to thank Karl-Heinz Mack for providing fits images for the previously published WSRT map.
RM gratefully acknowledges support from the European Research Council under the European Union's Seventh Framework Programme (FP/2007-2013) / ERC Advanced Grant RADIOLIFE-320745.
MB acknowledges support from INAF under PRIN SKA/CTA 'FORECaST'
GJW gratefully acknowledges support from the Leverhulme Trust.
SM acknowledges funding through the Irish Research Council New Foundations scheme and the Irish Research Council Postgraduate Scholarship scheme.
This research has made use of the NASA/IPAC Extragalactic Database (NED), which is operated by the Jet Propulsion Laboratory, California Institute of Technology, under contract with the National Aeronautics and Space Administration.\\
This research has made use of APLpy, an open-source plotting package for Python hosted at http://aplpy.github.com
This research made use of Astropy, a community-developed core Python package for Astronomy (Astropy Collaboration, 2019).
\end{acknowledgements}
\bibliographystyle{3C236_lofar.bst}
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{
"redpajama_set_name": "RedPajamaArXiv"
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\section{Introduction}
Recently, the soliton interaction in integrable models has attracted much attention, especially the resonant theory in the KP-(II) theory \cite{bc, ko,ko1,ko2, ko3, ko5, ko6} (references therein) and Novikov-Veselov (NV) equation \cite{jh1, jh2}. The key point of soliton interaction in the KP-(II) equation is the $\tau$-function structure, i.e., the Wronskian formula. Using the Bitnet-Cauchy formula, one can express the $\tau$-function as a linear combination of exponential functions, whose coefficients have to satisfy the Plucker relations. To get the non-singular solutions, one leads to the totally non-negative Grassmannian. Then we can classify the resonant structures of KP-(II) equation using the Grassmannian. Due to the success in KP-(II) equation, one can investigate the soliton interaction of the Modified KP-(II) (MKP-(II)) equation. The $\tau$-function structure of MKP-(II) is the same as the KP-(II) equation; however, the solution of MKP-(II) equation is associated with the quotient of $\tau$-functions, i.e., there is a Miura transformation between the solutions of KP-(II) equation and MKP-(II) equation (see below). To get the non-singular solutions of MKP-(II) equation, the parameters are non-negative. In particular, one has kink-soliton solution and then can investigate their resonant structure. \\
\indent The MKP-(II) equation is defined by \cite{dk, kn, kd, jm}
\begin{eqnarray}
-4u_{t}+u_{xxx}-6u^2u_{x}+6u_{x}\partial_x^{-1}u_y+3\partial_x^{-1}u_{yy}=0. \label{mkp}
\end{eqnarray}
The equation (\ref{mkp}) was introduced in \cite{kn} within the framework of gauge-invariant description of the KP equation. In \cite{jm}, it appeared as the first member of modified KP hierarchy using the $\tau$-function theory. In \cite{kd}, the inverse-scattering-transformation method is used to get the exact solution for MKP equations, including rational solutions (lumps), line solitons and breathers. The MKP-(II) equation (\ref{mkp}) may be relevant to the description of water waves in a situation when one has to take cubic non-linearity into account. Also, it has been obtained by solving the associated coupled Maxwell and Landau-Lifshitz equations in two dimensions using a reductive perturbation method during the study on the propagation of electromagnetic wave (EMW) in an isotropic charge-free infinite ferromagnetic thin film \cite{vd}. In \cite{vd} it has pointed out that the magnetization of the medium is excited in the form of solitons and also the magnetic field component of the propagating EMW is modulated in the form of solitons. The MKP-(II) equation has also been derived in the study of the propagation of ion-acoustic waves in a plasma with
non-isothermal electrons \cite{xz}. This model can also describe the evolution of various solitary waves in the multi-temperature electrons plasmas, in which there exists a collision-less multi-component plasma conceiving cold ions and two temperature electrons having different Maxwellian distributions rendered in the form of two Boltzmann relations \cite{ds} . \\
\indent Letting
\begin{equation} u(x,y,t)= \partial_x \ln (F(x,y,t)/G(x,y,t)), \label{tr}
\end{equation}
we have the Hirota bi-linear equation \cite{hi, jm}
\begin{eqnarray}
&& (D_y-D_x^2)F \circ G =0 \label{h1} \\
&& (-4D_t +D_x^3+3 D_x D_y)F \circ G =0 \label{h2},
\end{eqnarray}
where the bi-linear operators $D_x^m$ and $D_y^n$ are defined by
\[D_x^m D_y^n F \circ G = (\partial_x-\partial_{x^{'}})^{m} (\partial_y-\partial_{y^{'}})^{n} F(x,y)G(x^{'},y^{'}).\]
To construct the solutions of these Hirota equations (\ref{h1}) and(\ref{h2}), one defines the determinant
\begin{equation}
\tau_N^{(n)}= det
\left[\begin{array}{cccc} f_1^{(n)} & f_1^{(n+1)} & \cdots & f_1^{(n+N-1)} \\
f_2^{(n)} & f_2^{(n+1)} & \cdots & f_2^{(n+N-1)} \\
\vdots & \vdots & \vdots & \vdots \\
f_N^{(n)}& f_N^{(n+1)} & \cdots & f_N^{(n+N-1)} \end{array} \right], \end{equation}
where the elements in the above determinant are defined by ($ i=1,2,3 \cdots, N $ )
\begin{equation}
\frac{\partial f_i}{\partial x_m} = \frac{\partial^m f_i}{ \partial x^m} , \quad x_1=x, \quad x_2=y, \quad x_3=t, \label{lin}
\end{equation}
and $f_i^{(n)}$ means the n-th order derivative with respect to $x$, $n=0,1,2,3, \cdots$. Also, we can write $\tau_N^{(n)}$ as a Wronskian, i.e.,
\[ \tau_N^{(n)}=Wr( f_1^{(n)}, f_2^{(n)}, f_3^{(n)}, \cdots, f_N^{(n)} ). \]
It is shown that \cite{hi}
\begin{equation}
F=\tau_N^{(1)}, \quad G=\tau_N^{(0)}, \quad or \quad u(x,y,t)= \partial_x \ln \frac{\tau_N^{(1)}}{\tau_N^{(0)}} , \label{h3}
\end{equation}
will be solutions of (\ref{h1}) and (\ref{h2}) for $N=1,2, \cdots $. \\
\indent We remark that after the Miura transformation \cite{kd}, using the Hirota equation (\ref{h1}), we have
\begin{eqnarray}
v= - \partial_x^{-1}u_y-u_x-u^2=2\partial_{xx} \ln \tau_N^{(0)}, \label{mi}
\end{eqnarray}
and then one can obtain the Hirota equation by (\ref{h2})
\[(-4D_t D_x +D_x^4+3 D_y^3) \tau_N^{(0)} \circ \tau_N^{(0)}=0, \]
or the KP-(II) equation
\begin{eqnarray}
-4v_t+v_{xxx}+6vv_x+\partial_x^{-1}3v_{yy}=0. \label{kp}
\end{eqnarray}
\indent Next, we construct the resonant solutions of MKP-(II) equation
using the totally non-negative Grassmannian in KP-(II) theory \cite{ ko3, ko6}. Here one considers a finite dimensional solution
\begin{eqnarray*}
f_i (x,y,t) &=& \sum_{j=1}^M a_{ij} E_j (x,y,t), \quad i=1,2, \cdots N < M, \\
E_j (x,y,t) &= & e^{\theta_j}, \quad \theta_j= k_j x+k_j^2 y+ k_j^3 t + \xi_j, \quad j=1,2, \cdots M
\end{eqnarray*}
where $k_j $ and $\xi_j$ are real parameters. For simplicity, we take $\xi_j=0$ in this article. Each $E_j(x,y,t)$ satisfies the equations (\ref{lin}). Then each resonant solution of MKP-(II) equation can be parametrized by a full rank matrix
\[ A= \left[\begin{array}{cccc} a_{11} & a_{12} & \cdots & a_{1M} \\
a_{21} & a_{22} & \cdots & a_{2M} \\
\vdots & \vdots & \vdots & \vdots \\
a_{N1} & a_{N2} & \cdots & a_{NM} \end{array} \right] \in M_{N \times M} (\textbf{R}). \]
Using the Binet-Cauchy formula, the $\tau$-function $\tau_N^{(0)}$ can be written as
\begin{eqnarray}
\tau_A &=& \tau_N^{(0)} = Wr (f_1, f_2, \cdots, f_N)=det
\left[\begin{array}{cccc} f_1 & f_1^{'} & \cdots & f_1^{(N-1)} \\
f_2 & f_2^{'} & \cdots & f_2^{(N-1)} \\
\vdots & \vdots & \vdots & \vdots \\
f_N & f_N^{'} & \cdots & f_N^{(N-1)} \end{array} \right] \nonumber \\
&=& det \left [\left(\begin{array}{cccc} a_{11} & a_{12} & \cdots & a_{1M} \\
a_{21} & a_{22} & \cdots & a_{2M} \\
\vdots & \vdots & \vdots & \vdots \\
a_{N1} & a_{N2} & \cdots & a_{NM} \end{array} \right) \left(\begin{array}{cccc} E_1 & k_1 E_1 & \cdots & k_1^{N-1}E_1 \\
E_2 & k_2 E_2 & \cdots & k_2^{N-1} E_2 \\
\vdots & \vdots & \vdots & \vdots \\
E_M & k_M E_M & \cdots & k_M^{N-1} E_M \end{array} \right) \right] \nonumber \\
&=& \sum_J \Delta_J (A) E_J (x,y,t), \label{ta}
\end{eqnarray}
where $\Delta_J (A)$ is the $ N \times N $ minor for the columns with the index set $J=\{ j_1, j_2, j_3, \cdots, j_N\} $, and $E_J$ is the Wronskian
\begin{equation} E_J= Wr (E_{j_1},E_{j_2}, E_{j_3}, \cdots, E_{j_N} )= \prod_{m< l} (k_{j_l}-k_{j_m}) E_{j_1} E_{j_2}E_{j_3} \cdots E_{j_N}. \label{va} \end{equation}
We notice that the coefficients $ \Delta_J (A)$ of $\tau_A$ have to satisfy the Plucker relations. \\
\indent Similarly,
\begin{eqnarray}
\tau_A^{(1)} &=& \tau_N^{(1)} = Wr (f_1^{'}, f_2^{'}, \cdots, f_N^{'}) =det
\left[\begin{array}{cccc} f_1^{'} & f_1^{''} & \cdots & f_1^{(N)} \\
f_2^{'} & f_2^{''} & \cdots & f_2^{(N)} \\
\vdots & \vdots & \vdots & \vdots \\
f_N^{'} & f_N^{''} & \cdots & f_N^{(N)} \end{array} \right] \nonumber \\
&=& det \left [\left(\begin{array}{cccc} k_1 a_{11} & k_2 a_{12} & \cdots & k_M a_{1M} \\
k_1 a_{21} & k_2 a_{22} & \cdots & k_M a_{2M} \\
\vdots & \vdots & \vdots & \vdots \\
k_1 a_{N1} & k_2 a_{N2} & \cdots & k_M a_{NM} \end{array} \right) \left(\begin{array}{cccc} E_1 & k_1 E_1 & \cdots & k_1^{N-1}E_1 \\
E_2 & k_2 E_2 & \cdots & k_2^{N-1} E_2 \\
\vdots & \vdots & \vdots & \vdots \\
E_M & k_M E_M & \cdots & k_M^{N-1} E_M \end{array} \right) \right] \nonumber \\
&=& \sum_J \Delta_J (A) k_{j_1} k_{j_2} k_{j_3} \cdots k_{j_N} E_J (x,y,t). \label{taa}
\end{eqnarray}
To obtain non-singular solutions of MKP-(II), from (\ref{h3}), (\ref{ta}) and (\ref{taa}), it can be seen that $ \Delta_J (A) \geq 0$ for all $J$, i.e., A is an element of totally non-negative Grassmannian $Gr(N,M)$, and we assume the ordering in the $k$-parameters,
\begin{equation} 0 \leq k_1 < k_2 < k_3 < \cdots < k_M. \label{or} \end{equation}
We remark here that the ordering
\begin{equation} k_1 < k_2 < k_3 < \cdots < k_M. \label{or1} \end{equation}
can obtain singular solutions of MKP-(II); however, it can obtain non-singular solutions of KP-(II) after the Miura transformation (\ref{mi}). The solutions of MKP-(II) under the condition (\ref{or}) are called Type II solutions, and they are pure 2+1 dimensional ones. On the other hand, the solutions of MKP-(II) under the condition (\ref{or1}) are called Type I solutions, and they admit 1+1 dimensional reduction \cite{kd}. For example, there is no solution of modified KdV (MKdV) equation obtained from the condition (\ref{or}). \\
\indent This paper is organized as follows: in section 2, we construct basic resonant solutions and then terrace-type solutions can be found. In section 3, we investigate the X-shape solitons, i.e., O-type and P-type solitons. The maximum amplitudes of the intersection of X-shape solitons are computed; moreover, the amplitudes of interaction between line soliton and kink soliton are found. In section 4, we conclude the paper with several remarks.
\section{Basic Resonant Solutions}
In this section, one constructs basic resonant solutions. We study the resonant interaction between line soliton and kink soliton, and find out terrace-type solutions. The resonant interaction inside the kink fronts is studied. In addition, the asymptotic line solitons are described as $ y \to \pm \infty $. \\
\indent Let's consider one line soliton. For N=1, one takes
\[f_1=E_1+ E_2=2e^{(\theta_1+ \theta_2)/2} \cosh\frac{\theta_2-\theta_1}{2}. \]
Also,
\[f_{1x}=k_1 E_1+ k_2 E_2= 2e^{(\Theta_1+ \Theta_2)/2} \cosh\frac{\Theta_2-\Theta_1}{2}, \]
where \[ \Theta_j=\theta_j+ \ln k_j. \]
Then one can get the line soliton:
\begin{equation} u=\partial_x \ln \frac{f_{1x}}{f_1}= \frac{k_2-k_1}{2} (\tanh \frac{\theta_2-\theta_1+\ln \frac{k_2}{k_1} }{2}-\tanh \frac{\theta_2-\theta_1}{2}) \geq 0. \label{pr} \end{equation}
A simple calculation shows that when $ \theta_2-\theta_1=-\frac{1}{2} \ln \frac{k_2}{k_1}$, $u$ has maximal value $ (\sqrt{k_2}-\sqrt{k_1})^2. $ Similar to the case KP-(II) \cite{ko1}, it can be seen that
the $[1,2]$-line soliton solution (\ref{pr}) has the wave vector
\begin{equation} \vec {K}_{[i,j]}=(k_j-k_i, k_j^2-k_i^2), \quad i=1, \quad j=2, \label{tr} \end{equation}
and can be measured in the counterclockwise sense from the $y$-axis, i.e.,
\begin{equation} \tan \Phi_{[i,j]}=\frac{k_j^2-k_i^2}{k_j-k_i}=k_i+k_j, \quad i=1, \quad j=2 ; \label{po} \end{equation}
moreover, its velocity is given by
\begin{equation} \vec {V}_{[i,j]}= \frac{k_i^2+k_ik_j+k_j^2}{1+(k_i+k_j)^2} (1, k_i+k_j), \quad i=1, \quad j=2, \label{ve} \end{equation}
and the frequency is given by
\begin{equation} \Omega_{i,j}= k_j^3-k_i^3=(k_j-k_i)(k_i^2+k_ik_j+k_j^2), \quad i=1, \quad j=2. \label{fe} \end{equation}
From (\ref{ve}), we see that any soliton propagates in the positive $x$-direction. \\
\indent We notice that a kink solution can be obtained by $k_1=0$. In this case, from (\ref{pr}), we have
\begin{equation} u=\frac{k_2}{2} (1-\tanh \frac{\theta_2}{2} ) \to \left\{\begin{array} {ll} k_2 , & x \to -\infty , \\ 0 , & x \to \infty . \end{array} \right. \label{hii} \end{equation}
One defines that the kink front of (\ref{hii}) is $ \theta_2=0$. Then by (\ref{po}) and (\ref{ve}) its wave vector and velocity are
\begin{equation} \tan \Phi_{[0,j]}=k_j, \quad \vec {V}_{[0,j]}= \frac{k_j^2}{1+k_j^2} (1, k_j), \quad \Omega_{0,j}= k_j^3, \quad j=2, \label{k2} \end{equation}
respectively. \\
\indent From the form of $\tau$-function (\ref{ta}), the $xy$-plane is partitioned into several regions depending on the dominant exponential $E_J$ in its own region. Each line soliton is obtained by the balance between adjacent regions and is localized only at the boundaries of the dominant regions. In \cite{bc}, it is proved that as $\vert y \vert \to \infty $ the unbounded line solitons remain invariant for any fixed time in KP-(II) equation case. From (\ref{ta}) and (\ref{taa}), it can be seen locally
\begin{eqnarray*}
\tau_A & \approx & E_{i, j_2, j_3 \cdots, j_N}+ E_{j , j_2, j_3 \cdots, j_N} \\
\tau_A^{(1)} & \approx & k_i k_{j_2} k_{j_3} \cdots k_{j_N} E_{i, j_2, j_3 \cdots, j_N} + k_j k_{j_2} k_{j_3} \cdots k_{j_N} E_{j, j_2, j_3 \cdots, j_N}.
\end{eqnarray*}
A similar calculation as (\ref{pr}) can yield locally ( $ [i,j]$-soliton )
\begin{equation} u \approx \frac{k_j-k_i}{2} (\tanh \frac{\Theta_j-\Theta_i+\ln \frac{k_j}{k_i} }{2}-\tanh \frac{\Theta_j-\Theta_i}{2}) \geq 0, \label{prg} \end{equation}
where
\[ \Theta_j=\theta_j+ \ln \vert \prod_{m=2}^N (k_j-k_{j_m})\vert , \quad \Theta_i=\theta_i+ \ln \vert \prod_{m=2}^N (k_i-k_{j_m})\vert . \]
Also, when $ \Theta_j-\Theta_i=-\frac{1}{2} \ln \frac{k_j}{k_i}$, this $ [i,j]$-soliton has maximal value $ (\sqrt{k_j}-\sqrt{k_i})^2$. It has the wave vector (\ref{tr}), the velocity (\ref{ve}) and the frequency (\ref{fe}). \\
\indent A multi-kink solilton can be obtained by $k_1=0$. In this case, each $[1,j]$-line soliton in (\ref{prg}) becomes kink front, i.e.,
\begin{equation} u \approx \frac{k_j}{2} (1-\tanh \frac{\Theta_j- \ln \prod_{m=2}^N k_{1_m} }{2} ) \to \left\{\begin{array} {ll} k_j , & x \to -\infty , \\ 0 , & x \to \infty, \end{array} \right. \label{mk} \end{equation}
and forms the boundary of the multi-kink solution. The front of the multi-kink solution of (\ref{mk}) is defined as
\[ \Theta_j- \ln \prod_{m=2}^N k_{1_m} =0. \]
Their wave vectors , the velocities and the frequencies (\ref{fe}) are defined by (\ref{k2}). \\
\indent Next, we consider basic resonant solitons, i.e., Y- type solutions. Firstly, for N=1, one takes
\begin{equation} g_1=E_1+ E_2+ E_3, \quad u=\partial_x \ln \frac{g_{1x}}{g_1}=\partial_x \ln \frac{k_1E_1+ k_2 E_2+k_3 E_3}{E_1+ E_2+ E_3} . \label{th} \end{equation}
Similar to the KP-(II) equation \cite{ko1}, three line solitons can interact to form a trivalent vertex and satisfy the resonant conditions for wave number and frequency by (\ref{tr}) and (\ref{fe}) ($i < m < j $)
\begin{equation} \vec{K}_{[i,j]}= \vec{K}_{[i,m]}+ \vec{K}_{[m,j]}, \quad {\Omega}_{[i,j]} ={\Omega}_{[i,m]} + {\Omega}_{[m,j]}, i=1, m=2, j=3. \label{re} \end{equation}
\indent For the kink soliton of (\ref{th}), we take $k_1=0$. Please see the figure 1.
\begin{figure}[h]
\includegraphics[width=1.2\textwidth]{MKP-4.pdf}
\caption{{ Y-type Kink (I) ($k_1=0, k_2=1, k_3=2$ ) }}
\end{figure} One obtains two kink fronts (from left to right):
\begin{itemize}
\item For $ y >> 0$: one has $[2,3]$-front and $[1,3]$-front.
\item For $ y << 0$: one has one kink front $[1,2]$-front and the line soliton $[2,3]$-soliton.
\end{itemize}
From (\ref{pr}), the kink bounded by $[2,3]$-front and $[1,3]$-front has the height: $\frac{k_3}{2} (1-\tanh \frac{\theta_3}{2} ) $, and the kink bounded by $[2,3]$-front and $[1,2]$-front has the height: $ \frac{k_2}{2} (1-\tanh \frac{\theta_2}{2} )$. The wave vectors and velocities of $[1,3]$-front and $[1,2]$-front are given by (\ref{k2}) for $j=3,2$. These three fronts satisfy the resonant conditions (\ref{re}). Also, we notice that $[2,3]$ is both a front and line soliton, its wave vector and velocity being by (\ref{po}) and (\ref{ve}), $i=2, j=3$. We see that the line soliton $[2,3]$-soliton penetrates through the kink soliton and becomes the boundary of different height of kink solitons. It is different from the KP-(II) case. \\
\indent Secondly, one considers another basic Y-type soliton for $N=2$. We consider the matrix
\[ A_Y=\left[\begin{array}{ccc} 1 & 0 & -b \\ 0 & 1 & a \end{array}
\right]. \]
where $a,b$ are positive number. The we know
\[f_1=E_1-b E_3, \quad f_2=E_2+a E_3. \]
By the formula (\ref{ta}), the corresponding $\tau$-function is
\[ \tau_{A_Y}= Wr(f_1, f_2)= (k_2-k_1) E_1E_2+a (k_3-k_1)E_1E_3+b (k_3-k_2)E_2E_3. \]
So
\begin{eqnarray} u &=& \partial_x \ln \frac{Wr(f_1', f_2')}{Wr(f_1, f_2)} \nonumber \\
&=& \partial_x \ln \frac{k_1k_2 (k_2-k_1) E_1E_2+a k_1k_3(k_3-k_1)E_1E_3+b k_2k_3(k_3-k_2)E_2E_3}{(k_2-k_1) E_1E_2+a (k_3-k_1)E_1E_3+b (k_3-k_2)E_2E_3} . \label{ree} \end{eqnarray}
For the kink soliton of (\ref{ree}), we take $k_1=0$. Please see the figure 2.
\begin{figure}[h]
\includegraphics[width=1.2\textwidth]{MKP-6.pdf}
\caption{{ Y-type Kink (II) ($k_1=0, k_2=1, k_3=2, a=10, b=40 $ ) }}
\end{figure}
One obtains two kink fronts
\begin{itemize}
\item for $ y >> 0$: $[2,3]$-front and $[1,2]$-front (from left to right);
\item for $ y << 0$ : one has one kink front $[1,3]$-front.
\end{itemize}
Also, from (\ref{pr}), the kink bounded by $[2,3]$-front and $[1,2]$-front has the height: $\frac{k_2}{2} (1-\tanh \frac{\theta_2}{2} ) $, and the kink bounded by $[2,3]$-front and $[1,3]$-front has the height: $ \frac{k_3}{2} (1-\tanh \frac{\theta_3}{2} )$. The wave vectors and velocities of $[1,3]$-front and $[1,2]$-front are given by (\ref{k2}) for $j=3,2$ but the wave vector and velocity of $[2,3]$-front is given by (\ref{po}) and (\ref{ve}). These three fronts also satisfy the resonant conditions (\ref{re}). \\
\indent We remark here that in \cite {hz,jt, sc} the Y-type resonance of line solitons of MKP-(II) is investigated but their N-soliton solutions are different from (\ref{taa}), i.e., there is no non-negative Grassmannian structure or Plucker relations.
\section{X-type Solitons}
In this section, one constructs O-type and P-type solitons using the totally non-negative Grassmannian. Then the amplitudes of intersection of line solitons are computed after choosing appropriate phases. Furthermore, the interaction between line soliton and kink soliton is described. \\
\subsection{O-type soliton}
The Grassmannian of O-type has the form \cite{ko1}
\[ A_O=\left[\begin{array}{cccc} 1 & a & 0 & 0 \\ 0 & 0 & 1 & b \end{array}
\right], \]
where $a, b$ are positive numbers.
Then the $\tau$-function is
\[ \tau_O = (k_3-k_1) e^{\theta_1+ \theta_3}+ b (k_4-k_1)e^{\theta_1+ \theta_4}+ a (k_3-k_2)e^{\theta_2+ \theta_3}+ ab (k_4-k_2) e^{\theta_2+ \theta_4}. \]
And \[ \tau_O^{(1)} = k_1 k_3 (k_3-k_1) e^{\theta_1+ \theta_3}+ b k_1 k_4 (k_4-k_1)e^{\theta_1+ \theta_4}+ a k_2 k_3(k_3-k_2)e^{\theta_2+ \theta_3} + ab k_2 k_4 (k_4-k_2) e^{\theta_2+ \theta_4}. \]
Near [1,2] soliton, we have by (\ref{prg})
\begin{equation} u \approx \frac{k_2-k_1}{2}(\tanh \frac{\Theta_2- \Theta_1+ \ln \frac{k_2}{k_1}}{2}-\tanh \frac{\Theta_2- \Theta_1}{2}), \label{uu} \end{equation}
where
\[ \Theta_2- \Theta_1=\theta_2- \theta_1+ \ln a +\ln (k_4-k_2)-\ln (k_4-k_1).\]
When $ \Theta_2- \Theta_1= -\frac{1}{2} \ln \frac{k_2}{k_1}$, we have the maximal amplitude. Also, the phase shift is :
\begin{eqnarray*}
\theta_{[1,2]}^+ &=& \frac{1}{2} \ln \frac{k_2}{k_1}-\ln a+ \ln (k_4-k_1)-\ln (k_4-k_2) \\
\theta_{[1,2]}^- &=& \frac{1}{2} \ln \frac{k_2}{k_1}-\ln a+ \ln (k_3-k_1)-\ln (k_3-k_2).
\end{eqnarray*}
Then
\[ \theta_{[1,2]}= \theta_{[1,2]}^+ - \theta_{[1,2]}^-= \ln \Delta_O, \]
where
\[\Delta_O= \frac{ (k_4-k_1)(k_3-k_2) }{ (k_4-k_2)( k_3-k_1) }=1- \frac{ (k_2-k_1)(k_4-k_3) }{ (k_4-k_2)( k_3-k_1) }.\]
Notice that $ 0 \leq \Delta_O \leq 1.$ Then $\theta_{[1,2]}= \theta_{[3,4]} < 0 $. Each $[i,j]$-soliton shifts in $x$ with
\[\Delta x_{i,j}= \frac{1}{k_j-k_i}\theta_{[i,j]} <0, \]
which indicates an attractive force in the interaction \cite{ko}.\\
\indent Now, we can choose $a$ such that
\begin{equation} \theta_{[1,2]}^+ + \theta_{[1,2]}^-= \ln \frac{k_2}{k_1}+ \ln \frac{k_4-k_1}{k_4-k_2}-2 \ln a + \ln \frac{k_3-k_1}{k_3-k_2}=0. \label{ca} \end{equation}
Then
\[ a=\sqrt{\frac{k_2(k_4-k_1)(k_3-k_1)}{k_1(k_4-k_2)(k_3-k_2)}}. \]
Likewise, near [3,4] soliton, one yields
\[ u \approx \frac{k_4-k_3}{2}(\tanh \frac{\Theta_4- \Theta_3+ \ln \frac{k_4}{k_3}}{2}-\tanh \frac{\Theta_4- \Theta_3}{2}), \]
where
\[ \Theta_4- \Theta_3=\theta_4- \theta_3+ \ln b +\ln (k_4-k_1)-\ln (k_3-k_1).\]
When $ \Theta_4- \Theta_3= -\frac{1}{2} \ln \frac{k_4}{k_3}$, we have the maximal amplitude. Also, the phase shift is
\begin{eqnarray*}
\theta_{[3,4]}^+ &=& \frac{1}{2} \ln \frac{k_4}{k_3}-\ln b+ \ln (k_3-k_2)-\ln (k_4-k_2) \\
\theta_{[3,4]}^- &=& \frac{1}{2} \ln \frac{k_2}{k_1}-\ln b+ \ln (k_3-k_1)-\ln (k_4-k_1).
\end{eqnarray*}
Then
\[ \theta_{[3,4]}= \theta_{[3,4]}^+ - \theta_{[3,4]}^-= \ln \Delta_O=\theta_{[1,2]}. \]
We can choose $b$ such that
\[\theta_{[3,4]}^+ + \theta_{[3,4]}^-= \ln \frac{k_4}{k_3}+ \ln \frac{k_3-k_1}{k_4-k_1}-2 \ln b + \ln \frac{k_3-k_2}{k_4-k_2}=0. \]
Then
\[ b=\sqrt{\frac{k_4(k_3-k_2)(k_3-k_1)}{k_3(k_4-k_2)(k_4-k_1)}}. \]
For these particular choices of $a$ and $b$, we have using (\ref{h3}), after a little algebra,
\begin{eqnarray*}
\tau_O &\equiv & \sqrt{k_1k_3} e^{\theta_1+ \theta_3}+ \sqrt{k_1 k_4 \Delta_O} e^{\theta_1+ \theta_4}+ \sqrt{k_2 k_3 \Delta_O}e^{\theta_2+ \theta_3} + \sqrt{k_2 k_4}e^{\theta_2+ \theta_4} \\
&=& e^{\hat \theta_1+ \hat \theta_3}+ \sqrt{\Delta_O} e^{\hat \theta_1+ \hat \theta_4}+ \sqrt{\Delta_O}e^{\hat \theta_2+ \hat \theta_3} + e^{\hat \theta_2+ \hat \theta_4} \\
&=& e^{\hat \theta_1+\hat \theta_2+ \hat \theta_3+ \hat \theta_4} [E_{12}^+ ( E_{34}^+ + \sqrt{\Delta_O}E_{34}^-) + E_{12}^- ( \sqrt{\Delta_O} E_{34}^+ + E_{34}^-)] \\
&\equiv & \cosh {\hat \theta_+}^O +\sqrt{\Delta_O} \cosh {\hat \theta_-}^O, \\
\end{eqnarray*}
where
\begin{eqnarray*}
{\hat \theta_{\pm}}^O &=& \frac{1}{2} [ ({\hat \theta_2}- {\hat \theta_1}) \pm ({\hat \theta_4}- {\hat \theta_3})] \\
E_{ij}^{ \pm} &=& e^{\frac{\pm (\hat \theta_i-\hat \theta_j)}{2} }, \quad
\hat \theta_j = \theta_j +\frac{1}{2} \ln k_j,
\end{eqnarray*}
and $ \equiv $ means it is equivalent by (\ref{h3}).
Similarly, one has
\[ \tau_O^{(1)} \equiv \cosh {\tilde \theta_+}^O +\sqrt{\Delta_O} \cosh {\tilde \theta_-}^O, \]
where
\[\quad {\tilde \theta_{\pm}}^O = \frac{1}{2} [ ({\tilde \theta_2}- {\tilde \theta_1}) \pm ({\tilde \theta_4}- {\tilde \theta_3})], \quad \tilde \theta_j=\theta_j +\frac{3}{2} \ln k_j. \]
Then
\[ u= \partial_x \ln \frac{ \tau_O^{(1)}}{ \tau_O }= \partial_x \ln \frac{ \cosh {\tilde \theta_+}^O+\sqrt{\Delta_O} \cosh {\tilde \theta_-}^O }{\cosh {\hat \theta_+}^O+\sqrt{\Delta_O} \cosh {\hat \theta_-}^O}.\]
\indent Next, we compute the amplitude of the intersection part of $[1,2]$-soliton and $[3,4]$-soliton . It is determined by the linear system
\begin{eqnarray}
{ \hat \theta_2}- {\hat \theta_1} &=& -\frac{1}{2} \ln \frac{k_1}{k_2} \nonumber \\
{ \hat \theta_4}- {\hat \theta_3} &=& -\frac{1}{2} \ln \frac{k_4}{k_3}. \label{int}
\end{eqnarray}
Then
\begin{eqnarray*}
{\hat \theta_+^O} &=& -\frac{1}{4} (\ln \frac{k_1}{k_2}+ \ln \frac{k_4}{k_3}) \\
{\hat \theta_-^O} &=& -\frac{1}{4} (\ln \frac{k_1}{k_2}- \ln \frac{k_4}{k_3}),
\end{eqnarray*}
and
\begin{eqnarray*}
{\tilde \theta_+^O} &=& \frac{1}{4} (\ln \frac{k_1}{k_2}+ \ln \frac{k_4}{k_3}) \\
{\tilde \theta_-^O} &=& \frac{1}{4} (\ln \frac{k_1}{k_2}- \ln \frac{k_4}{k_3}).
\end{eqnarray*}
These imply
\[ \tilde \theta_+^O=- \hat \theta_+^O , \quad \tilde \theta_-^O=- \hat \theta_-^O. \]
A direct calculation shows that at the intersection part
\begin{eqnarray}
u &=& (k_2-k_1)\frac{(\sqrt{k_2k_4}-\sqrt{k_1k_3})+ \sqrt{\Delta_O}(\sqrt{k_2k_3}-\sqrt{k_1k_4}) }{(\sqrt{k_2k_4}+\sqrt{k_1k_3})+ \sqrt{\Delta_O}(\sqrt{k_2k_3}+\sqrt{k_1k_4}) } \nonumber \\
&+& (k_4-k_3)\frac{(\sqrt{k_2k_4}-\sqrt{k_1k_3})- \sqrt{\Delta_O}(\sqrt{k_2k_3}-\sqrt{k_1k_4}) }{(\sqrt{k_2k_4}+\sqrt{k_1k_3})+ \sqrt{\Delta_O}(\sqrt{k_2k_3}+\sqrt{k_1k_4}) }. \label{am}
\end{eqnarray}
We remark that in \cite{lc} the N-soliton solution of MKP-(II) is constructed using the Darboux transformation and the O-type soliton of two lines is investigated; however, the authors didn't compute the amplitude of intersection of these two line solitons.
Using the inequality, $ 0<x=\sqrt{\Delta_O}<1$, $a,b,c,d \in R $,
\[ \frac{a+b}{c+d} < \frac{ax+b}{cx+d} < \frac{b}{d}, \quad iff \quad (ad-bc) < 0, \]
it is not difficult to see that
\[ A_{[1,2]} + A_{[3,4]} < u < \frac{(\sqrt{k_2k_4}-\sqrt{k_1k_3}) }{(\sqrt{k_2k_4}+\sqrt{k_1k_3})} (k_4-k_3+k_2-k_1). \]
The middle portion has the highest amplitude. Also,
\begin{itemize}
\item when $\Delta_O=1$, we get $k_3=k_4$ or $k_2=k_1$. Then $u=A_{[1,2]}$ or $ A_{[3,4]} $, i.e., one-line soliton;
\item when $\Delta_O=0$, we get $k_3=k_2$. Then $u=A_{[1,4]}=(\sqrt{k_4}-\sqrt{k_1})^2$, i.e., Y-type soliton; moreover, if $ A_{[1,2]}= A_{[3,4]}=A $, then we have $u=4A$. It is similar to the KP-(II) case .
\item when $k_1=0$, from (\ref{uu}) and (\ref{ca}) we choose $a$ such that, noticing that the kink front is $\Theta_2- \Theta_1=0$,
\[ \theta_{[1,2]}^+ + \theta_{[1,2]}^-= \ln \frac{k_4}{k_4-k_2}-2 \ln a + \ln \frac{k_3}{k_3-k_2}=0. \]
Then
\begin{eqnarray*} \tau_O &=& \sqrt{k_3} e^{\theta_1+ \theta_3}+ \sqrt{\Delta_O} \sqrt{k_4} e^{\theta_1+ \theta_4}+ \sqrt{\Delta_O} \sqrt{k_3}e^{\theta_2+ \theta_3}\\
&+& \sqrt{k_4} e^{\theta_2+ \theta_4}. \end{eqnarray*}
And $ \tau_O^{(1)} = k_2 k_3 \sqrt{\Delta_O} \sqrt{k_3}e^{\theta_2+ \theta_3} + k_2 k_4 \sqrt{k_4} e^{\theta_2+ \theta_4}. $ Then also from (\ref{am})
\begin{equation} u=k_2+ {\frac{(k_4-k_3)^2}{(\sqrt{k_4-k_2}+ \sqrt{k_3-k_2} )^2}}. \label{ki} \end{equation}
The last term is the interaction term between line soliton and kink soliton. Please see the figure 3.
\end{itemize}
\begin{figure}[h]
\includegraphics[width=0.9\textwidth]{O-type.png}
\caption{Left: O-type Kink Soliton ($ k_1=0, k_2=1, k_3=1.5, k_4=3 $ ); Right: P-type Kink Soliton($ k_1=0, k_2=0.3, k_3=2.5, k_4=5$ )}
\end{figure}
\subsection{P-type Soliton}
The Grassmannian of the P-type has the form \cite{ko1}
\[ A_P=\left[\begin{array}{cccc} 1 & 0 & 0 & -b \\ 0 & 1 & a & 0 \end{array}
\right], \]
where $a, b$ are positive numbers.
Then the $\tau$-function is
\[ \tau_P = (k_2-k_1) e^{\theta_1+ \theta_2}+ a (k_3-k_1)e^{\theta_1+ \theta_3}+ b(k_4-k_2)e^{\theta_2+ \theta_4}+ ab (k_4-k_3) e^{\theta_3+ \theta_4}. \]
And \[ \tau_P^{(1)} = k_1 k_2 (k_2-k_1) e^{\theta_1+ \theta_2}+ a k_1 k_3 (k_3-k_1)e^{\theta_1+ \theta_3}+ b k_2 k_4(k_4-k_2)e^{\theta_2+ \theta_4} + ab k_3 k_4 (k_4-k_3) e^{\theta_3+ \theta_4}. \]
Near [1,4] soliton, one has by (\ref{prg})
\begin{equation} u \approx \frac{k_4-k_1}{2}(\tanh \frac{\Theta_4- \Theta_1+ \ln \frac{k_4}{k_1}}{2}-\tanh \frac{\Theta_4- \Theta_1}{2}), \label{up} \end{equation}
where
\[ \Theta_4- \Theta_1=\theta_4- \theta_1+ \ln b +\ln (k_4-k_3)-\ln (k_3-k_1).\]
When $ \Theta_4- \Theta_1= -\frac{1}{2} \ln \frac{k_4}{k_1}$, we have the maximal amplitude. Also, the phase shift is :
\begin{eqnarray*}
\theta_{[1,4]}^+ &=& \frac{1}{2} \ln \frac{k_4}{k_1}-\ln b+ \ln (k_3-k_1)-\ln (k_4-k_3) \\
\theta_{[1,4]}^- &=& \frac{1}{2} \ln \frac{k_4}{k_1}-\ln b+ \ln (k_2-k_1)-\ln (k_4-k_2).
\end{eqnarray*}
Then
\[ \theta_{[1,4]}= \theta_{[1,4]}^+ - \theta_{[1,4]}^-=\ln (\Delta_P), \]
where $ \Delta_P= \frac{ (k_4-k_2)( k_3-k_1) }{(k_2-k_1)(k_4-k_3) }. $ Notice that $ \Delta_P \geq 1 .$ Then $\theta_{[1,4]}= \theta_{[2,3]} > 0 $. Each $[i,j]$-soliton shifts in $x$ with
\[ \Delta x_{i,j}= \frac{1}{k_j-k_i}\theta_{[i,j]} > 0, \]
which indicates an repulsive force in the interaction \cite{ko}. \\
\indent Now, we can choose $b$ such that
\begin{equation} \theta_{[1,4]}^+ + \theta_{[1,4]}^-= \ln \frac{k_4}{k_1}+ \ln \frac{k_3-k_1}{k_4-k_3}-2 \ln b + \ln \frac{k_2-k_1}{k_4-k_2}=0. \label{cp} \end{equation}
Then
\[ b=\sqrt{\frac{k_4(k_2-k_1)(k_3-k_1)}{k_1(k_4-k_3)(k_4-k_2)}}. \]
Similarly, near [2,3] soliton, one yields
\[ u \approx \frac{k_3-k_2}{2}(\tanh \frac{\Theta_3- \Theta_2+ \ln \frac{k_2}{k_3}}{2}-\tanh \frac{\Theta_3- \Theta_2}{2}), \]
where
\[ \Theta_3- \Theta_2=\theta_3- \theta_2+ \ln a +\ln (k_4-k_3)-\ln (k_4-k_2).\]
When $ \Theta_3- \Theta_2= -\frac{1}{2} \ln \frac{k_3}{k_2}$, we have the maximal amplitude. Also, the phase shift is
\begin{eqnarray*}
\theta_{[2,3]}^+ &=& \frac{1}{2} \ln \frac{k_3}{k_2}-\ln a+ \ln (k_4-k_2)-\ln (k_4-k_3) \\
\theta_{[2,3]}^- &=& \frac{1}{2} \ln \frac{k_3}{k_2}-\ln a+ \ln (k_2-k_1)-\ln (k_3-k_1).
\end{eqnarray*}
Then
\[ \theta_{[2,3]}= \theta_{[2,3]}^+ - \theta_{[2,3]}^-= \ln \Delta_P=\theta_{[1,4]}. \]
We can choose $a$ such that
\[\theta_{[2,3]}^+ + \theta_{[2,3]}^-= \ln \frac{k_3}{k_2}+ \ln \frac{k_2-k_1}{k_3-k_1}-2 \ln a + \ln \frac{k_4-k_2}{k_4-k_3}=0. \]
Then
\[ a=\sqrt{\frac{k_3(k_2-k_1)(k_4-k_2)}{k_2(k_3-k_1)(k_4-k_3)}}. \]
Similar to the O-type soliton, for these particular choices of $a$ and $b$ , we have, after a simple calculation,
\begin{eqnarray*}
\tau_P &\equiv & \cosh {\hat \theta_+}^P+\sqrt{\Delta_P} \cosh {\hat \theta_-}^P \\
\tau_P^{(1)} &\equiv & \cosh {\tilde \theta_+}^P+ \sqrt{\Delta_P} \cosh {\tilde \theta_-}^P,
\end{eqnarray*}
where
\begin{eqnarray*}
{\hat \theta_{\pm}}^P &=& \frac{1}{2} [ ({\hat \theta_4}- {\hat \theta_1}) \pm ({\hat \theta_3}- {\hat \theta_2})] \\
{\tilde \theta_{\pm}}^P &=& \frac{1}{2} [ ({\tilde \theta_4}- {\tilde \theta_1}) \pm ({\tilde \theta_3}- {\tilde \theta_2})],
\end{eqnarray*}
and $ \hat \theta_j=\theta_j +\frac{1}{2} \ln k_j, \quad \tilde \theta_j=\theta_j +\frac{3}{2} \ln k_j. $
Then
\[ u= \partial_x \ln \frac{ \tau_P^{(1)}}{ \tau_P }=\partial_x \ln \frac{ \cosh {\tilde \theta_+}^P+ \sqrt{\Delta_P} \cosh {\tilde \theta_-}^P}{\cosh {\hat \theta_+}^P+\sqrt{\Delta_P} \cosh {\hat \theta_-}^P}.\]
\indent Next, we compute the amplitude of the intersection part of $[1,4]$-soliton and $[2,3]$-soliton . It is determined by the linear system
\begin{eqnarray}
{ \hat \theta_3}- {\hat \theta_2} &=& -\frac{1}{2} \ln \frac{k_3}{k_2} \nonumber \\
{ \hat \theta_4}- {\hat \theta_1} &=& -\frac{1}{2} \ln \frac{k_4}{k_1}. \label{inp}
\end{eqnarray}
Then
\begin{eqnarray*}
{\hat \theta_+^P} &=& -\frac{1}{4} (\ln \frac{k_3}{k_2}+ \ln \frac{k_4}{k_1}) \\
{\hat \theta_-^P} &=& -\frac{1}{4} (\ln \frac{k_3}{k_2}- \ln \frac{k_4}{k_1}),
\end{eqnarray*}
and
\begin{eqnarray*}
{\tilde \theta_+^P} &=& \frac{1}{4} (\ln \frac{k_3}{k_2}+ \ln \frac{k_4}{k_1}) \\
{\tilde \theta_-^P} &=& \frac{1}{4} (\ln \frac{k_3}{k_2}- \ln \frac{k_4}{k_1}).
\end{eqnarray*}
These imply
\[ \tilde \theta_+^P=- \hat \theta_+^P, \quad \tilde \theta_-^P=- \hat \theta_-^P. \]
A direct calculation shows that at the intersection part
\begin{eqnarray}
u &=& (k_4-k_1)\frac{(\sqrt{k_3k_4}-\sqrt{k_1k_2})+ \sqrt{\Delta_P}(\sqrt{k_4k_2}-\sqrt{k_1k_3}) }{(\sqrt{k_3k_4}+\sqrt{k_1k_2})+ \sqrt{\Delta_P}(\sqrt{k_2k_4}+\sqrt{k_1k_3}) } \nonumber \\
&+& (k_3-k_2)\frac{(\sqrt{k_3k_4}-\sqrt{k_1k_2})- \sqrt{\Delta_P}(\sqrt{k_4k_2}-\sqrt{k_1k_2}) }{(\sqrt{k_3k_4}+\sqrt{k_1k_2})+ \sqrt{\Delta_P}(\sqrt{k_2k_4}+\sqrt{k_1k_3})}. \label{amp}
\end{eqnarray}
Using the inequality, $ 0<x=\frac{1}{\sqrt{\Delta_P}} <1$, $a,b,c,d \in R $,
\[ \frac{b}{d} < \frac{ax+b}{cx+d} < \frac{a+b}{c+d}, \quad iff \quad (ad-bc) > 0, \]
it is not difficult to see that
\[ \frac{(\sqrt{k_2k_4}-\sqrt{k_1k_3}) }{(\sqrt{k_2k_4}+\sqrt{k_1k_3})} (k_4-k_3+k_2-k_1) < u < A_{[1,4]} + A_{[2,3]}. \]
The middle portion has the lower amplitude than the [1,4]-line soliton's one. It is very different from the O-type soliton. Also,
\begin{itemize}
\item when $\Delta_P=\infty$, we get $k_3=k_4$ or $k_2=k_1$. Then $u=A_{[1,2]}$ or $ A_{[3,4]} $, i.e., Y-type soliton;
\item when $\Delta_P=1$, we get $k_3=k_2$. Then $u=A_{[1,4]}$, i.e., one-line soliton.
\item when $k_1=0$, from (\ref{up}) and (\ref{cp}) we choose $b$ such that, noticing that the kink front is $\Theta_4- \Theta_1=0$,
\[ \theta_{[1,4]}^+ + \theta_{[1,4]}^-= \ln \frac{k_3}{k_4-k_3}-2 \ln b + \ln \frac{k_2}{k_4-k_2}=0. \]
Then
\begin{eqnarray*} \tau_P &=& \sqrt{k_2} e^{\theta_1+ \theta_2}+ \sqrt{\Delta_P} \sqrt{k_3} e^{\theta_1+ \theta_3}+ \sqrt{\Delta_P} \sqrt{k_2}e^{\theta_2+ \theta_4}\\
&+& \sqrt{k_3} e^{\theta_3+ \theta_4}. \end{eqnarray*}
And $ \tau_P^{(1)} = k_2 k_4 \sqrt{\Delta_P} \sqrt{k_2}e^{\theta_2+ \theta_4} + k_3 k_4 \sqrt{k_3} e^{\theta_3+ \theta_4}. $ Then also from (\ref{amp})
\begin{equation} u=k_2- {\frac{(k_3-k_2)^2}{(\sqrt{k_4-k_3}+ \sqrt{k_4-k_2} )^2}}. \label{kii} \end{equation}
The last term is the interaction term between line soliton and kink soliton. It is different from the O-type soliton. In (\ref{ki}), the amplitude of interaction is higher than $k_2$; however, in (\ref{kii}), the amplitude of interaction is lower than $k_2$. Please also see the figure 3 .
\end{itemize}
\section{Concluding Remarks}
In this article, we construct the non-singular soliton solutions of MKP-(II) using the Wronskian structure of $\tau$-functions. As a result, the totally non-negative Grassmannian manifold can be utilized to study the resonance of line solitons, as the KP-(II) solitons does. Letting $k_1=0$, one can investigate the resonance of kink solitons. Also, Y-type kink-soliton resonance, O-type kink soliton and P-type kink soliton of X-shape are investigated. The amplitudes of the intersections of O-type and P-type are computed after choosing appropriate phases and their lower bounds and upper bounds are estimated, and the ones of interactions of kink solitons and line solitons are also found. \\
\indent In addition, one makes a comparison with the KP-(II) equation. In MKP-(II) equation, all the parameters $k_i \geq 0$ to obtain non-singular soliton solutions; moreover, one can get multi-kink solitons when $k_1=0$. Neither such condition nor any kink soliton exists for the KP-(II) equation. One has the resonance structure of the multi-kink solitons (\ref{pr}) and (\ref{ree}). Therefore, in MKP-(II) equation one has different unbounded line solitons as $ y \to \pm \infty$ from the KP-(II) equation. As for the O-type and P-type solitons, the interaction between kink solitons and line solitons could be interesting. The Mach-type soliton for the MKP-(II) could be interesting when compared with the KP-(II) equation \cite{ko5} and the Novikov-Veselov equation \cite{jh1}. Also, when $k_1$=0, the self-dual $\tau$-functions \cite{ko2} (or T-type soliton \cite{lp}) , which are characterized by identical sets of asymptotic line solitons as $ y \to \pm \infty$, are to be investigated. In particular, the asymptotic line solitons inside the multi-kink soliton could be interesting. These issues will be published elsewhere.
\subsection*{Acknowledgments}
This work is supported by the Ministry of Science and Technology of Taiwan under Grant No. MOST 105-2115-M-606-001.
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Костадин Ганчев Ганев е български физик, член-кореспондент на Българската академия на науките от 2014 година и заместник-председател на Академията от 2017 година.
Биография
Костадин Ганев е роден на 14 октомври 1953 г. в София. През 1978 г. завършва специалност физика във Физическия факултет на Софийски университет "Св. Климент Охридски".
От същата година работи в Геофизическия институт на БАН (днес Национален институт по геофизика, география и геодезия), като последователно преминава през всички академични длъжности. През 1984 г. защитава образователната и научна степен "доктор", а през 2009 г. – доктор на науките. Избран е за член-кореспондент на БАН през 2014 г. На заседание на Общото събрание на БАН на 9 януари 2017 година е избран за заместник-председател на Академията.
Неговите области на научен интерес включват мезомащабната атмосферна динамика, динамиката на планетарния граничен слой, пренос на замърсяване в атмосферата и изучаване качеството на въздуха. Костадин Ганев има дългогодишен експертен опит в областта на контрола и управлението на качеството на въздуха и участва и ръководи разработването на национални регулаторни методики в тази област.
Към февруари 2020 година чл.-кор. Костадин Ганев има индексирани над 100 научни публикации в международни списания и поредици, с над 370 цитирания, и h-index 7 (с изключени самоцитирания). Главен редактор е на списанието на НИГГГ "Bulgarian Geophysical Journal" ("Българско геофизично списание").
Източници
Външни препратки
Информация за проф. Костадин Ганев от сайта на НИГГГ-БАН
Ganev, Kostadin G. (Author ID: 6603786318) – профил в Scopus
Kostadin G. Ganev (Author ID: 6603786318) – профил в Mendeley
Български физици
Възпитаници на Софийския университет
Родени в София
Член-кореспонденти на БАН
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{"url":"https:\/\/nepis.epa.gov\/Exe\/ZyPURL.cgi?Dockey=50000RI3.txt","text":"AP-42 SUPPLEMENT C SEPTEMBER 1990 SUPPLEMENT C TO COMPILATION OF AIR POLLUTANT EMISSION FACTORS i VOLUME I: STATIONARY POINT AND AREA SOURCES ------- PUBLICATIONS IN SERIES Issue COMPILATION OF AIR POLLUTANT EMISSION FACTORS (Fourth Edition) SUPPLEMENT A Introduction Section 1.1 1.2 1.3 1.4 1.6 1.7 5.16 7.1 7.2 7.3 7.4 7.5 7.6 7.7 7.8 7.-10 7.11 8.1 8.3 8.6 8.10 8.13 8.15 8.19.2 8.22 8.24 10.1 11.2.6 Appendix C.1 Appendix C.2 Date 9\/85 10\/86 Bituminous And Subbituminous Coal Combustion Anthracite Coal Combustion \u2022 Fuel Oil Combustion Natural Gas Combustion Wood Waste Combustion In Boilers Lignite Combustion Sodium Carbonate Primary Aluminum Production Coke Production Primary Copper Smelting Ferroalloy Production Iron And Steel Production Primary Lead Smelting Zinc Smelting : Secondary Aluminum Operations \u2022G-ray fron\u2014Foundrie's\" ~ \" Secondary Lead Processing Asphaltic Concrete Plants Bricks And Related Clay Products Portland Cement Manufacturing Concrete Batching Glass Manufacturing Lime Manufacturing Crushed Stone Processing Taconite Ore Processing Western Surface Coal Mining Chemical Wood Pulping Industrial Paved Roads Particle Size Distribution Data And Sized Emission Factors For Selected Sources Generalized Particle Size Distributions SUPPLEMENT B Section 1.1 1.2 1.10 1.11 2.1 2.5 4.2 4.12 Bituminous And Subbituminous Coal Combustion Anthracite Coal Combustion Residential Wood Stoves Waste Oil Combustion Refuse Combustion Sewage Sludge Incineration Surface Coating Polyester Resin Plastics Product Fabrication 9\/88 iii ------- Section 5.15 6.4 8.15 8.19.2 11.1 11.2.1 11.2.3 \u2022 11.2.6 11.2.7 Appendix C.3 Soap And Detergents Grain Elevators And Processing Plants Lime Manufacturing Crushed Stone Processing Wildfires And Prescribed Burning Unpaved Roads Aggregate Handling And Storage Piles Industrial Paved Roads Industrial Wind Erosion Silt Analysis Procedures [ SUPPLEMENT C Section 1.10 2.1 2.5 4.2.2.13 4.2.2.14 5.19 7.6 7.10 10.1 11.1 11.2.6 11.2.7 11.3 Appendix C.2 Appendix D Appendix E Residential Wood Stoves '.\u2022\u2022\u2022\u2022\u2022 . Refuse Combustion . < . Sewage Sludge 'Incineration .\u2022. ': Magnetic Tape Manufacturing Industry Surface Coating Of Plastic Parts For Business Machines Synthetic Fiber Manufacturing '\u2022 ' Primary Lead Smelting \u2022 . Gray Iron Foundries v. .:. . ..\u2022 -.\u2022 \u2022\u2022\u2022:\u2022' : \u2022 Chemical Wood Pulping . , , Wildfires And Prescribed Burning \u2022 ' :': Industrial Paved Roads \u2022 .. ' . . : \u2022; \u2022 . Industrial Wind Erosion Explosives.Detonation ' . ' Generalized Particle Size Distributions '....\u2022 Procedures For Sampling Surface\/Bulk Dust Loading Procedures For Laboratory Analysis 'Of Surface\/Bulk Dust Loading Slamples' 9\/90 IV ------- CONTENTS. INTRODUCTION . 1. 2. 3. 4. EXTERNAL COMBUSTION SOURCES 1 . 1 Bituminous Coal Combustion \u2022 1 . 2 Anthracite Coal Combustion 1 . 3 Fuel Oil Combustion 1 . 4 Natural Gas Combustion . . . f 1.5 Liquified Petroleum Gas Combustion 1 . 6 Wood Waste Combustion In Boilers . . . . 1 . 7 Lignite Combustion 1 . 8 Bagasse Combustion In Sugar Mills . . .' 1 . 9 Residential Fireplaces 1 . 10 Residential Wood Stoves .....: 1 . 11 Waste Oil Combustion SOLID WASTE DISPOSAL 2 . 1 Refuse Combustion ...;... 2 . 2 Automobile Body Incineration 2 . 3 Conical Burners 2 . 4 Open Burning 2 . 5 Sewage Sludge Incineration STATIONARY INTERNAL COMBUSTION SOURCES .\" ;: Glossary Of Terms . . . Highway Vehicles ...... ....\u2022\u201e\u2022 Off Highway Mobile Sources 3.1 Stationary Gas Turbines For Electric Utility Power Plants 3.2 Heavy Duty Natural. Gas Fired Pipeline1 Compressor Engines 3.3 Gasoline And Diesel Industrial Engines 3.4 Stationary Large Bore And Dual Fuel Engines EVAPORATION LOSS SOURCES 4.1 \u2022 Dry Cleaning 4 . 2 Surface Coating 4.3 Storage Of Organic Liquids 4.4 Transportation And Marketing Of Petroleum Liquids 4.5 Cutback Asphalt, Emulsified Asphalt And Asphalt Cement 4 . 6 Solvent Degreasing 4 . 7 Waste Solvent Reclamation 4 . 8 Tank And Drum Cleaning 4 . 9 Graphic Arts 4.10 Commercial\/Consumer Solvent Use 4. 11 Textile Fabric Printing 4.12 Polyester Resin Plastics Product Fabrication Page 1 .. 1.1-1 .. 1.1-1 .. 1.2-1 .. 1.3-1 .. 1.4-1 .. 1.5-1 .. 1.6-1 .. 1.7-1 .. 1.8-1 .. 1.9-1 . . 1.10-1 1.11-1 .. 2.0-1 .. 2.1-1 .. 2.2-1 .. \u2022 2.3-1 . . 2.4-1 2.5-1 .. 3.0-1 . . Vol . II . . Vol. II . . Vol. II .. 3.1-1 .. 3.2-1 .. 3.3-1 3.4-1 .. 4.1-1 .. 4.1-1 .. 4.2-1 .. 4.3-1 .. 4.4-1 .. 4.5-1 .. 4.6-1 . . 4.7-1 .. 4.8-1 . . 4.9-1 . . 4.10-1 . . 4.11-1 .. 4.12-1 ------- ; Page CHEMICAL PROCESS INDUSTRY ., 5.1-1 5.1 Adipic Acid 5.1-1 5.2 Synthetic Ammonia 5.2-1 5 .3 Carbon Black - \u2022 \u2022 \u2022 \u2022 5.3-1 5.4 Charcoal 5.4-1 5.5 Chlor-Alkali . .'. 5.5-1 5.6 Explosives \u2022 5.6-1 5.7 Hydrochloric Acid 5.7-1 5.8 'Hydrofluoric Acid 5.8-1 5.9 Nitric Acid 5.9-1 5.10 Paint And Varnish . . . . 5.10-1 5.11 Phosphoric Acid < \u2022 5.11-1 5.12 Phthalic Anhydride 5.12-1 5.13 Plastics 5.13-1 5.14 Printing Ink 5.14-1 5 .15 Soap And Detergents 5,15-1 5.16 Sodium Carbonate . . . 5.16-1 5.17 Sulfuric Acid : 5.17-1 5 .18 Sulfur Recovery 5.18-1 5.19 Synthetic Fibers ' 5.19-1 5.20 Synthetic Rubber . ; 5.20-1 5.21 Terephthalic Acid 5.21-1 5.22 Lead Alkyl ...\u201e.., , 5 .22-1 5.23 Pharmaceuticals Production 5.23-1 5 .24 Maleic Anhydride \u2022' - 5 .24-1 FOOD AND AGRICULTURAL INDUSTRY 6.1-1 6.1~\" Alfalfa Dehydrating . . : . '. 6.1-1 6.2 Coffee Roasting 6.2-1 6.3 Cotton Ginning 6 .3-1 6.4 Grain Elevators And Processing Plants 6.4-1 6.5 Fermentation 6.5-1 6.6 Fish Processing \u2022 6.6-1 6.7 Meat Smokehouses 6.7-1 6.8 Ammonium Nitrate Fertilizers 6.8-1 6.9 Orchard Heaters 6.9-1 6.10 Phosphate Fertilizers 6 \u2022 10-1 6.11 Starch Manufacturing 6 \u2022 11-1 6.12 Sugar Cane Processing . .T . . . . '.,\".\":'.'~.'. : 6.12-1 6.13 Bread Baking . :. 6.13-1 6.14 Urea 6.14-1 6.15 Beef Cattle Feedlots : 6.15-1 6.16 Defoliation And Harvesting Of Cotton 6.16-1 6.17 Harvesting Of Grain 6.17-1 6 .18 Ammonium Sulf ate 6.18-1 METALLURGICAL INDUSTRY . ; 7'1\"1 7.1 Primary Aluminum Production 7.1-1 7.2 Coke Production . . ... 7 .2-1 7.3 Primary Copper Smelting 7.3-1 7.4 Ferroalloy Production 7.4-1 ------- Page 8. 9. 10. 7.5 7.6 7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14 7.15 7.16 7.17 7.18 Iron And Steel Production '. Primary Lead Smelting Zinc Smelting Secondary Aluminum Operations Secondary Copper Smelting And Alloying ; Gray Iron Foundries ; . Secondary Lead. Processing Secondary Magnesium Smelting Steel Foundries Secondary Zinc Processing . ; Storage Battery Production Lead Oxide And Pigment Production Miscellaneous Lead Products Leadbearing Ore Crushing And Grinding MINERAL PRODUCTS INDUSTRY .......... 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.12 8.13 8.14 8.15 8.16 8.17 8.18 8.19 8.20 8.21 8.22 8.23 8.24 Asphaltic Concrete Plants Asphalt Roofing Bricks And Related Clay Products ............ Calcium Carbide .Manuf acturing Castable Refractories Portland Cement Manufacturing Ceramic Clay Manufacturing Clay And Fly Ash Sintering Coal Cleaning Concrete Batching . . . . .: Glass Fiber Manufacturing . . . .-.. Frit Manufacturing , . Glass Manufacturing J . . Gypsum Manufacturing Lime Manufacturing ... .\u2022 Mineral Wool Manufacturing Perlite Manufacturing , . . . Phosphate Rock Processing Construction Aggregate Processing- ..;.... [Reserved] Coal Conversion Taconite Ore Processing ; Metallic Minerals Processing . \". . . . . i'.\". Western Surface Coal Mining i PETROLEUM INDUSTRY 9.1 9.2 WOOD 10.1 10.2 10.3 10.4 Petroleum Refining Natural Gas Processing , PRODUCTS INDUSTRY Chemical Wood Pulping Pulpboard Plywood Veneer \"And Layout Operations Woodworking Waste Collection Operations 7.5-1 7.6-1 7.7-1 7.8-1 7.9-1 7.10-1 7.11-1 7.12-1 7.13-1 7.14-1 . 7.15-1 7.16-1 7.17-1 7.18-1 8.1-1 8.1-1 8.2-1 8.3-1 . . 8.4-1 8.5-1 8.6-1 8.7-1 8.8-1 8.9-1 8.10-1 8.11-1 8.12-1 8.13-1 8.14-1 8.15-1 8.16-1 8.17-1 ;. 8.18-1 8.19-1 8.20-1 8.21-1 8.22-1 . .. 8.23-1 8.24-1 9.1-1 9.1-1 9.2-1 ;. 10.1-1 10.1-1 10.2-1 . . . ; . 10.3-1 10.4-1 vii ------- : Page 11. MISCELLANEOUS SOURCES H. i_]_ 11.1 Wildfires And Prescribed Burning 11.1-1 11.2 Fugitive Dust Sources 11.2-1 \u2022 11.3 Explosives Detonation 11.3-1 APPENDIX A Miscellaneous Data And Conversion Factors APPENDIX B (Reserved For Future Use) ', A-l APPENDIX C.I Particle Size Distribution Data And Sized Emission Factors For Selected Sources \u2022 C.l-1 APPENDIX C.2 Generalized Particle Size Distributions C.2-1 APPENDIX C.3 APPENDIX D APPENDIX E Silt Analysis- Procedures c. 3-1 Procedures For Sampling Surface!\/Bulk Dust Loading .... D-l Procedures For Laboratory Analysis Of Surface\/Bulk Dust Loading Samples E-l viii ------- , KEY WORD INDEX Acid Adipic : . . g ., Hydrochloric ,_ _ ' ' ' g ' 7 Hydrofluoric L . . . 5 ' 8 .Phosphoric s'n Sulf uric 5*17 Terephthalic 5' 91 Adipic Acid ^ ' 5 ', Aggregate, Construction ,. .r \\\\ 8*19 Aggregate Storage Piles ; Fugitive Dust Sources : -j^ 2 Agricultural Tilling \\ Fugitive Dust Sources i -Q 2 Alfalfa Dehydrating \\ _ g' ^ Alkali, Chlor- 5*5 Alloys Ferroalloy Production -74 Secondary Copper Smelting And Alloying '.'.'.'.'.'.'.'.'.'. l'.9 Aluminum Primary Aluminum Production 7 ]_ Secondary Aluminum Operations 7*8 Ammonia, Synthetic ; _ _ _' 5*2 Ammonium Nitrate Fertilizers . . . J 6*8 Anhydride, Phthalic \u201e 5 ' 12 Anthracite Coal Combustion. ' ' ' ' j_' 2 Ash Fly Ash Sintering ; ; g g Asphalt Cutback Asphalt, Emulsified Asphalt And Asphalt Cement 4.5 Roofing g 2 Asphaltic Concrete Plants g ]_ Automobile Body Incineration 2 2 Bagasse Combustion In Sugar Mills 1, g Baking, Bread ' 6*13 Bark Wood Waste Combustion In Boilers 1 6 Batching, Concrete g ]_Q Battery Storage Battery Production 1.15 Beer Production Fermentation g 5 Bituminous Coal Combustion \"LI Bread Baking \u201e , 6.' 13 Bricks And Related Clay Prodxxcts : \\\\ 3*3 Burners , Conical (Teepee) 2 3 Burning, Open . ,; !...!! 2\". 4 ------- Calcium Carbide Manufacturing ; 8.4 Cane Sugar CAne Processing . . . . ] 6 12 Carbon Black , 5*3 Carbonate : ' Sodium Carbonate Manufacturing 5.16 Castable Refractories . ; . . . ; g 5 Cattle '. \"' Beef Cattle Feedlots .....' j g\". 15 Cement . , ' Asphalt ; 4.5 Portland Cement Manufacturing ,....'. 8.6 Ceramic Clay Manufacturing . . . J . 8*7 Charcoal 5 4 Chemical Wood Pulping 10' 1 Chlor-Alkali ' 5*5 Clay \"\" 1 \u2022\u2022\u2022\u2022\u2022\u2022\u2022 \u2022\u2022 \u2022\u2022 Bricks And Related Clay Products . . . .:. 8.3 Ceramic Clay Manufacturing . ... . 8.7 Clay And Fly Ash Sintering 8.' 8 Cleaning } Coal ...'..' ... 8 9 Dry .....-..'.'.'.'.'.'.'.'.'.'.I}'.'.'.'.'.'.'.'.'. 4'.! Tank And Drum ; 4 % Coal ' Anthracite Coal Combustion .\".....:... 1.2 Bituminous Coal Combustion. ; \\ i Cleaning 8.9 Conversion .\u2022 8 21 Coating, Surface ( 42 Coffee Roasting '....\u2022 6 2 Coke Manufacturing \u2022 . 7 2 Combustion ; Anthracite Coal , ' ^ ' 2' Bagasse, In Sugar Mills I'.g Bituminous Coal ' ; 11 Fuel Oil . ..............:....................... 1.3 Internal Vol _ ' IT Lignite , . . . , 17 Liquified Petroleum Gas :. .' X. 5 Natural Gas : 14 Orchard Heaters g 9 Residential Fireplaces ; ......' 1.9 Waste Oil l'II Wood Stoves ^ j_0 Concrete ! Asphaltic Concrete Plants 8.1 Concrete Batching 8 .10 Conical (Teepee) Burners 2.3 Construction Aggregate '. 8.19 Construction Operations Fugitive Dust Sources . .' ' 11.2 Conversion, Coal 8 21 Wood Waste In Boilers x ------- Copper Primary Copper Smelting 73 Secondary copper Smelting And Alloying ; ............ 79 Cotton Defoliation And Harvesting 6 16 Ginning 63 Dacron Synthetic Fibers 5 19 Defoliation, Cotton ' 6 16 Degreasing, Solvent . . . .'.'\"'.\"\"'' 4*6 Dehydrating, Alfalfa '.'...'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.\"' 6' 1 Detergents Soap And Detergents. ; 5 -^ Detonation, Explosives \u201e....\u2022 ',[ 11' 3 Drum Tank And Drum Cleaning ; 4 _ 4 g Dry Cleaning j ','.'.'.'. 41 Dual Fuel Engines, Stationary ' 3*4 Dust \", Fugitive Dust Sources ' 11 2 Dust Loading Sampling Procedures 'App' D Dust Loading Analysis ', App\" E Electric Utility Power Plants, Gas. 3 -\u00b1 Elevators, Feed And Grain Mills ' ' ' g '4 Explosives _ ' ' c'g Explosives Detonation. , ' 11*3 Feed Beef Cattle Feedlots. . . . . g ^5 Feed And Grain Mills And Elevators .\". 6'. 4 Fermentation g'c Fertilizers Ammonium Nitrate. g g Phosphate 6 10 Ferroalloy Production., 7 'A Fiber Glass Fiber Manufacturing. . : g il Fiber, Synthetic ...... ................ 519 Fires .. ..... . , , Forest Wildfires And Prescribed Burning 11.1 Fireplaces, Residential i' 9 Fish Processing g g Fly Ash . ' Clay And Fly Ash Sintering. \u201e g _ g Foundries ' Gray Iron Foundries ,; 7.10 Steel Foundries , 7 ^3 Frit Manufacturing 8 ' 12 Fuel Oil Combustion ._. .\u201e. 1*3 Fugitive Dust Sources ,; 11' 2 X3. ------- Gas Combustion, Liquified Petroleum 1.5 Gas, Natural Natural Gas Combustion : . . 1.4 Natural Gas Processing..,'.' 9.2 Gasoline\/Diesel Engines. , 3.3 Ginning, Cotton , . .\u2022 6.3 Glass Manufacturing , 8 .13 .Glass Fiber Manufacturing 8.11 Grain : Feed And Grain Mills And Elevators ; 6.4 Harvesting Of Grain ; 6 .17 Gravel Sand And Gravel Processing : * 8.19 Gray Iron. Foundries . . 7.10 Gypsum Manufacturing .\u00ab 4 8 .14 Harvesting Cotton 6.16 Grain %. . . . \u2022. 6.17 Heaters, Orchard 6.9 Hydrochloric Acid \u201e .......... 5.7 rHydrofluoric Acid , 5.8 Incineration Automobile Body 1 2.2 Conical (Teepee) .' , : , 2.3 Refuse 2.1 Sewage Sludge 2.5 Industrial Engines, Gasoline And Diesel '. 3.3 1 Ink, Printing. . . . . . . ; 5 .14 Internal Combustion Engines Highway Vehicles Vol. II \u2022 Off Highway Mobile Sources .......; Vol. II ' Off Highway Stationary Sources 3.0 Iron Ferroalloy Production \u2022 7.4 Gray Iron Foundries 7 .10 Iron And Steel Mills 7.5 Taconite Ore Processing ; 8.22 Large Bore Engines 3 ; 4 Lead Leadbearing Ore Crushing And Grinding ;....... 7.18 Miscellaneous Lead Products .' 7 .17 Primary Lead Smelting '. 7.6 Secondary Lead Smelting ' 7 .11 Lead Alkyl 5.22 Lead Oxide And Pigment Production 7.16 Leadbearing Ore Crushing And Grinding 7.18 Lignite Combustion 1.7 Lime ManufacturihgTr. . . . . .~. . . . . . .T.~.\".\".\".\". . . ..... . . . . . . . .~\". 8.15 Liquified Petroleum Gas Combustion 1.5 xii ------- Magnesium . . . '. . \u2022\u2022'\u2022'\u2022..... \u2022\u2022-..- .-\u2022 . .. Secondary Magnesium Smelting \u2022. 7.12 Magnetic Tape Manufacturing; , ;.......;....... ; > 1 . . 4^2 Maleic Anhydride '\/.'..; . 5 24 Marketing . , : \u2022 Transportation And Marketing Of Petroleum Liquids 4.4 Meat Smokehouses 67 . Mineral Wool Manufacturing ..;.... ..\u201e.'. s!l6 Mobile Sources \u2022.Highway \u201e .....;...;...... ,. . . Vol. II 'Off Highway ...;.\u201e ,. .. Vol. II Natural Gas Combustion ; ........ 1 4 Natural Gas Fired Pipeline Compressors 3.2 Natural >Gas Processing ,. ..............: 92 Nitric Acid Manufacturing -; 5 9 Off Highway Mobile Sources , .. .. Vol. II Off Highway Stationary Sources , 30 Oil . : ' ,.' '. . .' \". Fuel Oil. Combustion \\ .;.... 1 .,3 Waste. Oil. Combustion , .:.;.. 1 11 Open Burning 2 4 Orchard Heaters 6 9 Ore Processing , ... .Leadbearing Ore Crushing And Grinding \u2022'........... 7.18 Taconite . '8 22 Organic Liquids, Storage. . . 4.3 Paint And Varnish Manufacturing ; -5.10 Paved Roads . . . . . .. Fugitive Dust Sources. . . ; . 11.2 Perlite Manufacturing ......;..;.... 8 17 Petroleum : Liquified Petroleum Gas Combustion 1.5 Refining ; \u2022. . . . 9.1 Storage Of Organic Liquids ; . . 4.3 Transportation And Marketing Of. Petroleum Liquids 4.4 Pharmaceuticals Production ,....: . . .-. . ..... .'....... ... . 5.23 Phosphate Fertilizers ; 6.10 Phosphate Rock Processing , 8.18 Phosphoric Acid ' 5.11 Phthalic Anhydride ....,...;... ..-...;.; ;. . . 5.12 Pigment : Lead Oxide And Pigment Production \u2022 7.16 Pipeline Compressors 3.2 Plastics 5.13 Plywood Veneer And Layout Operations , . . . J 10. 3 Polyester Resin Plastics Product Fabrication. . .' 4.12 Portland Cement Manufacturing _._. 8.6 Prescribed Burning ~ 11.1 Printing Ink 5.14 Pulpboard 10.2 Pulping, Chemical Wood 10.1 xiii ------- Reclamation, Waste Solvent. ' 4.7 Recovery, Sulfur , 5 .18 Refractories, Castable ' 8.5 Residential Fireplaces 1.9 ' Roads, Paved \u2022 Fugitive Dust Sources . 11.2 Roads, Unpaved Fugitive Dust Sources ' 11.2 Roasting Coffee 62 Rock . . \u2022 Phosphate 'Rock Processing 8 .18 Roofing, Asphalt g. 2 Rubber, Synthetic i 5.20 Sand And Gravel Processing 8 .19 Sewage Sludge Incineration 2.5 Sintering, Clay And Fly Ash. . ; 8.8 Sinelting i Primary Copper Smelting -7.3 Primary Lead Smelting 7.6 Secondary Copper Smelting Arid Alloying , . 7.9 Secondary Lead Smelting : 7 .11 Secondary Magnesium Smelting 7.12 Zinc Smelting ; 7.7 Smokehouses, Meat 6.7 Soap And Detergent Manufacturing ' 5 .15 Sodium Carbonate Manufacturing. ;; 5 .16 Solvent Commercial\/Consumer Use 4.10 Solvent Degreasing \u2022 4.6 Waste Solvent Reclamation 4.7 Starch Manufacturing 6.11 Stationary Gas Turbines 3.1 Stationary Sources, Off Highway 3.0 Steel , Iron And Steel Mills 7.5 Steel Foundries 7.13 Storage Battery Production. . . , ' 7.15 Storage Of Organic Liquids 4.3 Sugar Cane Processing 6 .12 Sugar Mills, Bagasse Combustion In ..1.8 Sulfur Recovery 5.18 Sulfuric Acid i 5 .17 Surface Coating 4.2 Synthetic Ammonia ; 5.2 Synthetic Fiber ~, : 5.19 Synthetic Rubber 5 . 20 Taconite Ore Processing 8.22 Tank And Drum Cleaning . \u201e . t : 4.8 Tape, Magnetic .....' 4.2 Terephthalic Acid \u201e 5 .21 xiv ------- Tilling, Agricultural ; Fugitive Dust Sources H 2 Transportation And Marketing Of Petroleum Liquids 4! 4 Turbine Engines, Natural Gas 3.' 1 Unpaved Roads Fugitive Dust Sources , 11 2 Urea \u2022 '.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.]'. 6'! 14 Varnish ; Paint And Varnish Manufacturing 5 < IQ Vehicles, Highway And Off Highway '.' Vol. ' II Waste Solvent Reclamation 4 7 Waste Oil Combustion 1' 11 Whiskey Production Fermentation , \/\u2022 5 Wildfires, Forest '.'.'.\"'\" 11' 1 Wine Making Fermentation. \\ . c c Wood Pulping, Chemical , 10' 1 Wood Stoves ; ' i' IQ Wood Waste Combustion In Boilers ; ; t . 16 Woodworking Waste Collection Operations ...'.'.'.'.' 10 .*4 Zinc \\ Secbndary\"'Zinc Processing. , . . . 7 14 Smelting 77 xv ------- ------- 1.10 RESIDENTIAL WOOD STOVES : 1.10.1 General1\"3 ; Wood stoves are commonly used as space heaters in residences to supplement conventional heating systems. They are increasingly found as the primary source of residential heat. ; Because of differences in both the magnitude and the composition of emissions from wood stoves, four different categories of stoves should be considered when estimating emissions: : i the conventional noncatalytic wood stove, - the noncatalytic low emitting wood stove, the pellet fired noncatalytic wood'stove, and the catalytic wood stove. Among these categories, there are many variations in wood stove design and operation characteristics. ; The conventional stove category comprises all stoves without catalytic combustors not included in the other noncatalytic categories. Stoves of many different airflow designs, such as updraft, downdraft, crossdraft, and S-flow, may be in this category. \"Noncatalytic low emitting\" wood stoves are those units properly installed, haying no catalyst and meeting EPA certification standards as of July 1, 1990.\u2022\"- Pellet fired stoves are those fueled with pellets of sawdust, wood products, and other biomass materials pressed into manageable shape and size. These stoves have a specially designed or modified grate to accommodate this type of fuel. ' Catalytic stoves are equipped with a ceramic or metal honeycomb device, called a combustor or converter, that is coated1with a noble metal such as platinum or palladium. The catalyst material reduces the ignition temperature of the unburned hydrocarbons and carbon monoxide in the exhaust gases, thus augmenting their ignition and combustion at normal stove operating temperatures. As these components of the gases1burn, the temperature inside the catalyst increases to a point where the ignition of the gases is essentially selfsustaining. The particulate emissions data in Table 1.10 represent the field operation emissions expected from properly installed catalytic wood heaters meeting the EPA July 1, 1990 certification standards. External Combustion Sources 1.10-1 ------- 1.10.2 Emissions4\"15 The combustion and pyrolysis of wood in wood stoves produce atmospheric emissions of particulate, carbon monoxide, nitrogen oxides, organic compounds, mineral residues, and to a lesser extent, sulfur oxides. The quantities and types of emissions are highly variable and depend on a number of factors, including the stages of the combustion cycle. During initial stages of burning, after a new wood charge is introduced, emissions increase dramatically and are primarily volatile organic compounds (VOC). After the initial period of high burn rate, there is a charcoal stage of the burn cycle, characterized by a slower burn rate and decreased, emission rates. Emission rates during this stage are cyclical, characterized by relatively long periods of low emissions with shorter episodes of emission spikes. Particulate emissions ar\u20ac> defined in this document as the total catch measured by the EPA Method 5H (Oregon Method 7) sampling train. A small portion of wood stove particulate emissions includes \"solid\" particles of elemental carbon and wood. The vast majority of particulate emissions is condensed organic products of incomplete combustion equal to or less than 10 micrometers in aerodynamic diameter (PM,Q>. The particulate emission values shown in Table 1.10-1 represent estimates of emissions produced by wood heaters expected to be available over the next few years as cleaner, more reliable wood stoves are manufactured to meet the. New Source Performance Standards. These emission values are derived from limited field test data from studies of the best available wood stove control technology. Still, there is a .potential for higher emissions from some wood stove models. In addition, the values for particulate and carbon monoxide emissions on the table reflect tests of new units. Control devices on wood stoves may .exhibit reduced control efficiency over a period of operation, resulting in increased emissions 3.to 5 years after installation. For catalyst equipped wood heaters, the potential for control degradation is probably on the order of 10 to 30 percent after 3 years of operation. Control degradation for any stoves, including low emitting noncatalyst wood stoves may also occur, as a result of deteriorated seals and gaskets, misaligned baffles and bypass mechanisms, broken refractory , or other damaged functional components. The increase in emissions resulting from such control; degradation has not been quantified, but can be significant. Although^reported .particle size data are scarce, one reference states that 95 percent of the particles in the emissions from a wood stove were less than 0.4 micrometers in size. *\" Sulfur oxides are formed by oxidation of sulfur in the wood. Nitrogen oxides are formed by oxidation of fuel and atmospheric nitrogen. Mineral constituents, such-as potassium and sodium compounds, are also released from the wood matrix during combustion.\" The high levels of organic compound and carbon monoxide emissions result from incomplete combustion of the wood. 1.10-2 EMISSION FACTORS 9\/90 ------- I Q IALW UJ g CO UJ cc. o I CO \u00a7 s CO cc o I o '8 in UJ .rf o CO {\u00a7. co. ea \u00a7 $2: \" c\\ ca CD cb o\u00bb T-:' o al No fi .* S w 'E M . ~ 5= \u00a3 o \u00a3\u2022 *i z o s co grada . late, CO a I s O Q. 2 Q) ?, \u00ab o ~ Js'io \u2022u w o 58 -c JS ^3 E if D5_C >; '\"8 O *\"\u00a3 S' JS'ouj B!S| <0 O M r^ *^ CO Q3 LJ i c ?CM *5*\u00a7 H_ (0 w 0 i\u00a3 ra>53 mo \u2022 C3) ed\" \u2022 ;Z:<5-\"~' \u00ab c :| m ' \u201e> X = o c c \u00a7 c ra S w J? \u00a3 CC \u00a3 \u00a3 -s \u00a3 \u00ab3 \u00a7 n*^-. flj ^\u00ab Q5 rtj f\" flj ^ JTJ ^3] s-\u00bb ^~ !*.!> \u00bb^_ g* *\u00a3\u00ab frt ^U .E m \"\"\u2022 m a* n> *t? a> CC CECE 0-0 CE ------- Organic constituents of wood smoke vary considerably in both .type and volatility. These constituents include simple hydrocarbons of carbon number 1 through 7 (Gl - C7), which exist as gases or which volatilize at ambient conditions, and complex low volatility substances that condense at ambient conditions. These low volatility condensible materials generally are considered to have boiling points below 300\u00b0C (572\u00b0F). Polycyclic organic matter (POM) is an important component of the condensible fraction of wood smoke. POM contains a wide range of compounds, including organic compounds formed by the combination of free radical species in the flame zone through incomplete combustion.. This group contains some potentially carcinogenic compounds, such as benzp(a)pyrene. Emission factors and their ratings for wood combustion in residential wood stoves are. presented in Table 1.10-1. As mentioned, particulate emissions are defined as the total emissions equivalent to that collected by EPA Method 5H (Oregon Method 7). This method employs a heated filter followed by three impingers, an unheated filter, and a final impinger. Particulate emissions data used to develop the factors in Table 1.10-1 are primarily from data collected during field testing programs, and they are presented as values equivalent to. that collected with Method 5H.8 Conversions are employed, as appropriate, for data collected with other methods. See Reference 2 for detailed discussions of EPA Methods 5H and 28. Other emission factors shown in Table 1.10-1 have been developed from data collected during :laboratory testing programs. \u2022 \" . J References for Section 1.10 \u2022 - \"-~ 1- Standards Of Performance For New Stationary Sources: New Residential ' .Wood Heaters. 53 FR 5860, February 26, 1988. 2. G. E. Weant, Emission Factor Documentation!For AP-42 Section 1.10. Residential Wood Stoves. EPA-450\/4-89-007, U. S. Environmental \u201e Protection Agency,.Research Triangle Park, NG, May 1989. . 3. R. Gay and J. Shah, Technical Support Document For Residential Wood Combustion. EPA-450\/4-85-012, U. S. Environmental Protection Agency, _-; -Research Triangle Park, NC, February 1986; \" \u2022 __ -\u2022\u2022-\u2022\u2022\u2022 4-. Residential Wood Heater Test Report. Phase 1. Tennessee Valley Authority, Chattanooga, TN, November 1982.! 5. J. A. Rau and J. J. Huntzicker,- \"Compositipn And Size Distribution Of \u2022Residential Wood'Smoke Aerosols\". Presented at the\"21st'Annual Meeting of the Air\"And Waste Management Association, Pacific Northwest International Section, Portland, OR, November 1984. 1.10-4 EMISSION FACTORS 9\/90 ------- 6. R. C. McCrillis and R. G. Merrill, \"Emission Control Effectiveness Of A Woodstove Catalyst And Emission Measurement Methods Comparison\" Presented at the 78th Annual Meeting of the Air And Waste Management Association, Detroit, MI, 1985. 7. L. E. Cottone and E. Messer, Test Method Evaluations And Emissions Testing For Rating Wood Stoves, EPA-600\/2-86-100, U. S. Environmental Protection Agency, Cincinnati, OH, October 1986. 8' In-situ Emission Factors For Residential Wood Combustion TTnit-g, EPA-450\/3-88-013, U. S. Environmental Protection Agency, Research Triangle Park, NC, December 1988. ; \u2022 9. K. E. Leese and S.'M. Harkins, Effects Of Burn Rate. Wood-Speeiea. ' \u2022 Moisture Content. And Weight' Of Wood Loaded. On Woodstove EmlaaiAna, . EPA- Son2\"89\"025' U> S\" Environmental Protection Agency, Cincinnati, OH, May 1989. . ! .'.\u2022-.'. 10' Residential Wood -Heater Test Report. Phase II. Vol. 1. Tennessee Valley Authority, Chattanooga, TN, August 1983. i ' '\u2022' 11. J. M. Allen, et al., Study Of The Effectiveness Of A Catalytic Combustion Device On A Wood Burning Appliance. EPA-600\/7-84-04, U. S. Environmental Protection Agency, Cincinnati, OH, March 1984. 12. J. M. Allen and W. M. Cooke, Control Of Emissions From Residential Wood Burning By Combustion Modification. EPA-600\/7-81-091, U. S. Environmental, Protection Agency, Cincinnati, OH, May'1981. 13. R. S. Truesdale and J. G. Cleland, \"Residential Stove Emissions From Coal And Other Fuels Combustion\". Presented at the Specialty Conference on Residential Wood and Coal Combustion, \u2022 Louisville KY March 1982. - ' 14. R. E. Imhoff, et al., \"Final Report On A; Study Of The Ambient Impact Of Residential Wood Combustion in Petersville, Alabama\". Presented at the Specialty Conference on Residential Wood' and Coal Combustion Louisville, KY, March 1982. : 15. .. D. G. Deangelis, e't ajL., Preliminary Cha-i-acterization Of Emissions From Wood-fired Residential Combustion Equipment. EPA-600\/7-80-040, U. S. Environmental Protection Agency, Cincinnati, OH, March 1980. :. External Combustion Sources 1.10-5 ------- ------- 2.1 REFUSE COMBUSTION : Refuse combustion is generally the burning of predominantly nonhazardous garbage or other solid wastes. Types of combustion devices used to burn refuse include single chamber units, multiple chamber units, trench incinerators, controlled air incinerators, and p&thological incinerators. These devices are used to burn municipal, commercial, industrial, pathological, and domestic refuse. 2.1.1 Municipal Waste Combustion ', There are currently over 150 municipal waste combustion (MWC) plants in operation in the United States.1 Three main types of combustors are used: mass burn, modular, and refuse derived fuel (RDFJ) fired. In mass burn units, the municipal solid waste (MSW) is combusted without any preprocessing other' than removal of items too large to go through th<= feed system. In a typical mass burn combustor, refuse is placed on a grate;that moves through the combustor. Combustion air in excess of stoichiometric amounts is supplied both, below (underfire air) and above (overfire air) the grate. Mass burn combustors are usually erected at the site (as opposed to being prefabricated at .another location) and range in size from 46 to 900 megagrams (50 to 1000 tons), per day of refuse throughput per unit. Many mass burn facilities have two or more combustors arid have combined site capacities of greater than 900 megagrams (1000 tons) per day. The mass burn category can be further divided into waterwall and refractory wall designs. Most refractory wall combustors were built prior to the. early 1970s. Newer units are mainly waterwall designs, which have water-filled tubes in the walls of the combustor used,to recover heat for production of steam and\/or electricity. Process diagrams for one type of refractory wall combustor and a typical waterwall combustor are presented in Figures 2.1.1-1 and 2.1.1-2, respectively. Modular combustors :also burn waste without preprocessing, but they are typically shop fabricated and generally range in size from 5 to 110 megagrams (5 to 120 tons) per day of refuse throughput. One of the most common types of modular combustors is the starved air or controlled air type, incorporating two combustion chambers. A process diagram of a;typical modular starved-air combustor is presented in Figure 2.1.1-3. Air is supplied to the primary chamber at substoichio-metric levels. The incomplete combustion products (carbon monoxide and organic compounds) pass into the secondary combustion chamber where excessi air is add.ed and combustion is completed. Another type of modular combustor, functionally similar to mass burn units, uses excess-air in the primary chamber. ' : Refuse derived fuel fired combustors burn processed waste which may vary from shredded waste to finely divided fuel suitable for co-firing with pulverized coal. A process diagram for a typical RDF combustor is shown in Figure 2.1.1-4. Preprocessing usually consists of removing noncombustibles and shredding the waste, which raises the heating value and provides a more 9\/90 Solid Waste Disposal 2.1-1 ------- uniform fuel. Combustor sizes range from 290 to;l,300 megagrams (320 to 1400 tons) per day. Most RDF facilities have two or more combustors, and site capacities range up to 2700 megagrams (3000 tons) per day. RDF facilities . typically recover heat for production of steam and\/or electricity. There are also small, numbers of other types|of MWCs. One type used less extensively is the rotary waterwall combustor. As with mass burn units, rotary waterwall combustors burn waste without preprocessing but differ in design from most mass burn units in the use of a:rotary combustion chamber equipped with water-filled tubes for heat recovery. Other types of MWCs include batch incinerators and fluidized bed combustors. Over 30 percent of the units currently operating are mass burn units (including refractory and waterwall). and another, 40 to 50 percent are modular units. Over 10 percent of the, units are RDF units and the remainder of the units are of other designs. In terms of waste combusted, mass burn units account for about 60 percent of the MSW combusted, modular units account for 8 percent, and RDF units for 30 percent. ^- . , 2.1.1.1 Process Description . . . Types of combustors described in this section include: - Mass burn refractory wall \u2014 * .Mass burn waterwall '...' ;-. \u2022r. Refuse, derived fuel fired . .. \u2022 --Modular starved air ..\u201e_. ,,;,.. -. ' .. ,.; - , \u2022 . . - Modular excess air - Rotary waterwall - Fluidized bed . ; Mass Burn Refractory Wall - At least three distinct,combustor designs make up the existing population of refractory wall combustors. The first design is a batch fed upright combustor, where the combustor may be cylindrical or rectangular in shape. This type of combustor was prevalent in the 1950s, but no additional units of this design are expected to be built. A more common design consists of rectangular combustion chambers with traveling, rocking, or reciprocating grates, This type of combustor is continuously fed and operates in an excess air mode with both underfire and overfire airprovided. The primary distinction between plants,with this design is the manner .in which the waste is moved through the combustor. The traveling grate moves on a set of sprockets and does not agitate the waste .bed as it advances through the combustor. . Rocking and reciprocating grate systems agitate and aerate the waste bed as it advances.through the combustion chamber. The system generally discharges the ash at the end of the grates to a water quench pit for collection and disposal in a landfill. A third major design type in the mass burn refractory wall population is a system which combines grate burning technology with a rotary kiln. Two grate sections (drying and ignition) precede a refractory lined rotary kiln. Combustion is completed in the kiln, and ash leaving the kiln falls into a water quench. This system is depicted in Figure 2.1.1-1. 2.1-4 EMISSION FACTORS 9\/90 ------- Most mass burn refractory wall combustors have electrostatic precipitators (ESPs) for particulate control.. Others have a wet particulate control device, such as a wet scrubber. ' \u2022 '. Mass Burn Waterwall - With this type of system, unprocessed waste with large, bulky, noncombustibles removed is delivered by an overhead crane to a feed hopper from which it is fed into the combustion chamber. Earlier mass burn designs utilized gravity feeders, but it is more typical today to feed by means of single or dual hydraulic rams that operate on a set frequency. Nearly all modern conventional mass burn facilities utilize reciprocating grates to move the waste through the combustion chamber The grates typically include two or three separate sections where designated stages in the combustion process occur. The initial grate section is referred to as the drying grate, where heat reduces the moisture content of the waste prior to ignition. The second grate section is the burning grate, where the majority of active burning takes place. The third grate section is referred to as the burnout or finishing grate, where remaining combustibles are burned- Smaller units may have two rather than three individual grate sections Bottom ash is discharged from the finishing grate into a water filled ash : quench pit. Dry ash systems have been used in some designs, but are not widespread. ' ... Combustion air is added to the waste from beneath the grate by way of underfire air plenums.-,. The majority of mass burn waterwall systems supply underfire air to,the individual grate sections through multiple plenums. As the waste bed burns.',, additional air is required to; oxidize fuel rich gases and complete the combustion process. Overfire air is injected through rows of high pressure nozzles (usually two to three inches in diameter) Typically mass burn waterwall MWCs are operated with 80 to' 100 percent excess air. The majority of mass bum waterwall combustors have ESPs for particulate control. Several plants have acid gas controls in combination with'a fabric filter or ESP. \u2022 t \u2022 Refuse Derived Fuel - As a means of raising: the heating value, raw MSW can be processed to refuse derived fuel (RDF) before combustion. A set of standards for classifying RDF types has been established by the American Society For Testing And Materials.2 The type of RDF used is dependent on the boiler design. Boilers that are designed to burn RDF as a primary fuel usually ..utilize spreader stokers and fire-RDF-3 (fluff, or f-RDF) in a semi- suspension mode. This mode of feeding is accomplished by using an air swept distributor, which allows a portion of the feed to burn in suspension and the remainder to be burned out after'falling'on a horizontal traveling grate. Suspension fired RDF boilers, such as pulverized coal (PC) fired'boilers can co-fire RDF-3 or RDF-4 (powdered or p-RDF). 'If RDF-3 is used, the fuel processing must be more extensive so that a very; fine fluff results. Currently, PC boilers co-fire fluff with pulverized coal. Suspension firing is usually associated with larger boilers due to\u2022the increased boiler height and retention time required for combustion to be ^completed in total suspension. Smaller systems firing RDF in suspension require moving or dump grates in the lower furnace to handle the falling material that is not completely combusted in suspension. Boilers co-firing RDF in suspension are generally limited to 50 percent RDF, based on heating value.3 I 9\/90 Solid Waste Disposal 2.1-5 ------- o ffl 12 10 8 6 4 2 Contrail Uncontrolled 0.1 J\u2014LJLJJJJJ - 1 \u2014 I I I I M.U. - 1 \u2014 I i n I ill o J,Q 10 lw 0.12 0.10 0.08 0.06 0.04 0.02 i-i O \u00a7 \u2022rl (0 TJ ca 60 to S \u2022rl ---. S 60 ------- 1 g \u00a7 M \u2022H O ti 3 o n 01 \u2022HOC M il -H M O 4J \u2022H rfl ra 6 t. \u00ab \u00a7 jj O M 0> \u2022HOC M JJ -H \u00ab O 4J \u2022H \u00ab ra .B &a as S \u00a7 J o K o jj \u2014. till tg -H Q ! Q O CO CO CM \u00abr CO 0? O ^L. M in r^ r- r* o \u2022 \u00a3H\" o o o o o o 2. ? . . . \". \". \". \u00b0. \u00b0 \u00ab o o o o o o o o\" o CO *-* vo P) t \u00b0. ^t S S S S 2. \u00a3 S S \u00b0 \u00b0 \u2022 \"^ o o o o o o _ o ~ . \u201e ^ JJ \u201e co o CM m \u2022v in en rt r- ^ ? \u00a3 .d. i d. d. d \u2022 d. S ri ^ - <*> O o o in -o -in if) \u00ab m ' J .1 \u00bbrifi\u00ab>vDr--t- o, 5 SN H o o o o o' o o' o' o' CM d \u00b0 \u00ab U O . O, . Q \"1 \"\"! '1 \"\"1 'I S 5 \u00b0 \u2014 o 111 a \u00b0 s s a 2 2 s 2 ? \u00ab' inmmoo '^ ,_i *\"* 22. N invo[^oo------- The emission controls for RDF systems are typically ESPs alone, although acid gas controls are used with particulate control devices in some systems. Modular Starved Air - The basic design of a' modular starved air combustor consists of two separate combustion chambers, \"primary\" and \"secondary\". Waste is batch fed to the primary chamber by a hydraulically activated ram.. The charging bin is filled by a front end loader;. Waste is fed automatically on a set frequency, generally 6 to 10 minutes between charges. Waste is moved through the primary combustion chamber by either hydraulic transfer rams or reciprocating grates. Combustors using transfer rams have individual hearths upon which combustion takes pjlace. Grate systems generally include two separate grate sections. In either case, waste retention times in the primary chamber are long, up to 12 hours. Bottom ash is usually discharged to a wet quench pit. The quantity of air introduced in the primary chamber defines the rate at which waste burns. The primary chamber essentially functions as a gasifier, producing a hot fuel gas which is burned out in jthe secondary chamber. The combustion air flow rate to the primary chamber 'is controlled to maintain an exhaust gas temperature set point (generally 650 to 760\u00b0C [1200 to 1400\u00b0F]), which normally corresponds to about 40 percent theoretical air. Other system designs operate with-a primary chamber temperature between 870 to 980\u00b0C (1600 and 1800\u00b0F), which requires 50 to 60 percent theoretical air. \"As the hot, fuel rich flue \"gases flow to the\" secondary chamber, they are mixedLwith excess air to complete the burning process. The temperature of the exhaust gases from the primary chamber is above\"'the autoignition point. Thus, completing combustion is simply a matter of introducing air to the fuel rich gases. The amount of air added to the secondary chamber is controlled to maintain a\" desired flue gas exit temperature, typically 980 to 1200\u00b0C (1800 to 2200\u00b0F)\/ Approximately 80 percent of the total'combustion air is introduced \u2022as secondary air, so that excess air levels for'the system are about 100 percent. Typical operating ranges vary from 80 ,to 150 percent excess air. The walls of both combustion chambers are refractory lined. Early starved air modular combustors did not include heat recovery, but a waste heat boiler is common in newer installations, with two or more combustion modules manifolded to a boiler. Combustors with heat recovery capabilities also have dump stacks. A dump stack is an alternate emission point, located upstream of _the Jsqdler and\/or air pollution control equipment. It is for use in an - \u2022 emergency, or when the boiler and\/or air pollution control equipment are not in operation. Because emissions are relatively low, many.modular starved air MWCs do not have emissions control. Those that do usually have ESPs for particulate control, although fabric filters have been usedi A few newer starved air MWCs have acid gas controls. Modular Excess Air - This design is similar to that of modular starved air units. The basic design includes two-separate combustion chambers _ (referred to as the \"primary\" and \"secondary\" chambers). Waste is batch fed to the primary chamber, which is refractory lined. The waste is moved through 2.1-8 EMISSION FACTORS;. 9\/90 ------- CO 1 pa 53 ton ca ci ,. ' ^C 03 03 35 N bC \u2022H a r^. f-* i \u2014 in co \u2022\u2014 i *H O O O O O CD -4 f> o co CM -H o in o o o o ; o o o ^0 -JT CN O CTi 3\" S* Cs) CM CN CM -M ^H H oo o, o o o lo o o _. o o \u00abn ;\u00abn m o o\\ oo r>. \\o in ON \u20141 O O O 'O O rt O O O O ;O O O '. 00 00 <\u2022> ^N CM O \u2022* \/-N \u00b0O -Jf CM . ' . .OO 'T* \"\u2122* \u00bb\u2122* c^ ^ in co o o o MS in r^ v r*% \\o *3* r**\u00ab CM *^* co ** o ------- .8 \u2022a- \u00a7 E-) I 1 CO co CN S \u20220 m tJ 0 *J 0) W tt \u2022rl U I-l tn CM ^ -\u00ab^ ^ tn o *\"* \u00abn m \u20224 \u00abn \u2022H 1-1 CM 55 s \u2022-< in en m -4 \u00ab*! . B5 !K S3 !\u2022\u00bb \u2022-! o o \u2022<\u2022\u00ab;-\u00ab! o o in o co in en tt tt C9 - tt J\u00a3 tt to IH tt ft U 09 tt .0. g tt w M a \u00ab ,0 U c3 *O \u00a7 4J \"3 O % js \u2014 _...._. e, an \u00ab \u2022 i*. en ^ VI 0 tt (!\u00ab (L \u00abQ |4 |4 \u00a7 js \u00ab . r* B| *J *s 3 w JQ tt <8 c'TJ a) \"o ' ^ ...-. W U o :s o. \u2022H b 4J ^3 43 O \u2022<\u2022\u00bb 4J ISS 5 cn in ^_f ; bo 19! 2: to SS ! too S bO 60 . O ' \u00abo , o 1 ico \u2022 *^ j .1 '-i:. L ' O* O \"& 0 rH 0 U \u2022\u2022& ) ) . ) \u00ab i fi 1 1 1 1 | ) a i ! . i \u2022H JJ 9 ) t$ t 0 Vl ) a 4 -k. , jj -y - \u2022H J 5 3 ^ to tt t-l 3 1 O K Q. < PU _ \" \" C O 1 5 03 \u00ab bO \u00ab8 0} \u2022 43 \u2022 Vl CM4J C- tt O 0 O s\u00ab a\u00bb oo a o tt a) A ------- the primary chamber by hydraulic transfer rams, 'oscillating grates or a revolving hearth. Bottom ash is discharged to a wet quench pit. The majority of combustion air is provided :in the primary chamber. Up to 200 percent excess air can be supplied. Flue gas burnout occurs in the secondary chamber, which is also refractory lined. Heat is recovered in waste heat boilers. Particulate emissions are typically controlled by ESPs, although other controls including a cyclone and an electrified gravel bed, are used. A few newer facilities have acid gas controls. Some modular excess air combustors operate without emission controls. Rotary Waterwall - This type of system uses' a rotary combustion chamber with pre-sorting of objects too large to fit in .the combustor. The waste is ram fed to the rotary combustion chamber, which jsits at an angle and rotates slowly, causing the waste to advance and tumble ^as it burns. Bottom ash is discharged from the rotary combustor to a stationary after burning grate and then into a wet quench pit. Underfire air is injected through the waste bed and overfire air is provided directly above the waste bed. Approximately 80 percent of the combustion air is provided along the combustion chamber length with most of this provided in the first half of the length. 'The rest of the combustion air is supplied to, the afterburner grate and above the rotary combustor outlet in the boiler chamber. Water flowing through the tubes in the rotary chamber recovers heat from combustion. Additional heat recovery occurs in the boiler waterwall, superheater and economizer. Flue gas emissions are controlled by ESPs or fabric filters. ; Fluidized Bed - This technology is an alternative method of combusting RDF. Fluffed or palletized RDF is combusted on ,a turbulent bed of heated noncombustible material such as limestone, sand, silica, or alumina. The bed is suspended or \"fluidized\" through introduction of underfire air at a high flow rate. Overfire air is \\ised to complete combustion. There are two basic types of fluidized bed 'combustion systems; bubbling bed combustors and circulating fluidized bed combustors. With bubbling bed combustors, most of the fluidized solids are maintained near the bottom of the combustor by using relatively low air fluidization velocities. This helps prevent the entrainment of solids from the bed into the flue gas, minimizing recirculation or reinjection of bed particles. Circulating fluidized bed combustors operate at relatively high fluidization velocities to promote carry over of solids into the upper section of the combustor. Combustion occurs in both the bed and upper section of the combustor.' By design, a fraction of the bed material is entrained in the combustion gas and enters a cyclone separator which recycles unburned waste and inert particles to the lower bed. 2.1.1.2 Emissions And Controls - Refuse combustors have the -potential to emit significant quantities of pollutants to the atmosphere,, \"the major pollutants emitted are: (1) particulate matter, (2) metals (in solid form on particulate, except for mercury), (3) acid gases (primarily hydrogen chloride [HC1] and sulfur dioxide [S02D, (4) carbon monoxide (CO), (5) nitrogen oxides (NOX), and (6) toxic 9\/90 Solid Waste Disposal 2.1-11 ------- 2 o u t> \"3 \u00a7 a o. I 30 25 20 15 10 5 0 0.1 Uncontrolled V-Controlled i 'i 11 1.0 Fartlcld , 10 (us) 0.60 0.50 M 0.40 0.30 0.10 100 H o 4J u OJ e o \u2022H bo 0.20 3 r-( O g O Figure 2.1-7. \u2022 Cumulative particle size distribution and size specific emission factors for refuse-derived fuel combustors. ,organic compounds (most notably chlorinated dibenzo-p-dioxins and chlorinated .dibenzo furans: [CDD\/CDF]). . . .\u2022. ; ' - \u2022 ' ' Particulate matter is emitted because of the turbulent movement of the combustion gases with respect to the burning refuse and resultant ash. Particulate matter is also produced when metals.that are volatilized in the combustion zone condense in the exhaust gas stream. The particle size distribution and concentration of the particulate emissions leaving the combustor vary widely, depending on the composition of the refuse being burned and the type and operation of the combustor. Particulate matter from MWCs contributes to hazardous air emissions in two ways. First, trace metals are emitted because they are typically concentrated in the smaller size fraction of the total particulate emissions where capture is more, difficult. Secondly,_ the; amount of^ particulate surface area^ may contribute to the availability of sites for catalytic reactions involving toxic organic compounds, thus playing a role in potential downstream formation mechanisms (see below). Metals emissions are affected by two primary factors, (1) level of particulate matter control, and (2) flue gas\" temperature,. Most metals (with the exception of mercury)'are associated with fine particulate, and would therefore be removed as the fine particulate are removed. Mercury is generally not contained on particulate matter and removal is not a function of particulate removal. | Concentrations of HCl and SC>2 in MWC flue gases are directly related to the quantities of chlorine and sulfur in the waste. Refuse components that are major contributors of sulfur include rubber, plastics, foodwastes,\u2022 -\u2022\u2022\u2014- 2.1-12 EMISSION FACTORS 9\/90 ------- yard-wastes, and paper. Similarly, plastics and miscellaneous organic compounds are the major sources of chlorine in refuse. .Therefore, chlorine and sulfur contents can vary considerably based on seasonal and local waste \u2022variations. \u2022 i Carbon monoxide can be formed when insufficient oxygen is available for complete combustion, or when excess air levels are too high, thus lowering combustion temperature. \u2022 Nitrogen oxides are formed during combustion through (1) oxidation of nitrogen in the waste and (2) fixation of atmospheric nitrogen. Conversion of nitrogen in the waste occurs at relatively low temperatures (less than 1090\u00b0C [2000\u00b0F]), while fixation of atmospheric of atmospheric nitrogen occurs at higher temperatures. 75 to 80 percent of NOX formed is associated with nitrogen in the waste. CDD\/CDF; may be formed through two mechanisms. In the first, CDD\/CDF are formed as products of reactions in the furnace.when the combustion process fails to completely convert hydrocarbons to carbon dioxide and water. Alternatively, organic compounds which escape the high temperature regions of the furnace may react at lower temperatures downstream to form CDD\/CDF. Formation of CDD\/GDF across the ESP is a recently identified concern with the operation of MWC ESPs'at temperatures above roughly 230\u00b0C (450\u00b0F). The mechanism and extent of formation are poorly understood.^ A wide variety of control technologies are used to control emissions from MWGs-.--- For-particulate control, electrostatic precipitators are most frequently used, although other particulate control devices (including electrified gravel beds, fabric filters, cyclones and venturi scrubbers) are used. Processes used for acid gas control include wet scrubbing, dry sorbent injection, and spray drying. - ;\" \u2022-\".-:.: -\"-- - - , Electrostatic Precipitator - Particulate emissions from MWCs are most often controlled using ESPs. In this process, flue gas flows between a series of high voltage (20 to 100 kilovolts) discharge electrodes and grounded metal plates. Negatively charged ions formed by this^high voltage field (known as a \"corona\") attach to PM in the flue gas, causing, the charged particles to migrate toward the grounded plates. Once the charged particles are collected on the grounded plates, the resulting dust layer is removed from the plates by rapping, washing, or some other method and collected in a hopper. When the dust layer-is removed,- some of the collected PM.becomes reentrained in the flue gas. , To assure good PM'collection.efficiency during plate cleaning and electrical upsets, ESPs have several fields located in series along the direction of flue gas flow that can be energized and cleaned independently. Particles reentrained when the dust layer is removed from one field can be recollected in a downstream field. : - - Small particles generally have lower migration velocities than large particles, and are therefore more difficult to collect. This factor is especially important to MWCs because of the large amount of total fly ash smaller than_one micron... As cojnpared_jto pulverized^coal fired combustors, in which only 1 to 3 percent of the fly ash is generally smaller than 1'micron, 20 to 70 percent of the fly ash at the ESP inlet for MWCs is reported to be smaller than 1 micron. As a result, effective collection of PM from MWCs 9\/90 Solid Waste Disposal 2.1-13 ------- -^requires greater collection areas and lower flue !gas velocities than many other combustion types. . . . . The most common types of ESPs used by MWCs are (1) plate wire units in which the discharge electrode is a bottom weighted or rigid wire and (2) flat plate units which use flat plates rather than wires as the discharge electrode. Plate wire ESPs generally are better suited for use with fly ashes with large amounts of small particulate and with large flue gas flow,rates (greater than 5700 actual cubic meters per minute [200,000 actual cubic feet per minute]). Flat plate units are less sensitive to back corona problems and are thus well suited for use with high resistivity PM. Both of these ESP types have been widely used on MWCs in the U.. S.,| Europe, and Japan. As an approximate indicator of collection efficiency, the specific collection area (SCA) of an EI3P is frequently used. The SGA is calculated by dividing the collecting electrode plate area by the actual flue gas flow rate and is expressed as square feet of collecting area per 1000 actual cubic feet per minute of flue gas. In general, the higher the SCA, the higher the collection efficiency. \\ _ ...Fabric: Filters. = Fabric .filters .(haghousas) iare_. frequently: uae.d. in. . ... combination with acid gas controls and are of two basic designs, reverse air and pulse cleaned. Both methods provide additional potential for acid gas removal as the filter cake builds up on the bags; In a reverse air fabric filter, flue gas flows through unsupported filter bags, leaving the particulate on the inside of the ...bags'. The particulate builds up to form a particulate^ filter cake. Once excessive pressure.drop across the filter cake is,reached,, _air is blown through the filter in the'opposite direction, the filter bag collapses,'and the filter cake falls off and is collected. In a pulse cleaned fabric filter, flue gas flows through supported filter bags leaving particulate_ron tHe\"outsideof\"the bags.; ;jb remove built up particulate filter cake, compressed air is introduced through the inside of the filter bag, the filter bag expands and the filter cake falls off and is collected. Particulate removal by a fabric filter following acid gas controls is typically greater than 99 percent. Wet Scrubbers - Many types of wet scrubbers are used for controlling acid emissions from MWCs. These include spray towers, centrifugal scrubbers, and venturi scrubbers. In these devices, the flue gas enters the absorber where it is contacted with enough alkaline solution to isaturate the gas stream. The alkaline solution, typically containing calcium hydroxide [Ca(OH)2] reacts with the .acid gas to form.salts, which are generally insoluble and may be removed by sequential clarifying,'thickening, and^vacuum .filtering. The dewatered salts or sludges are then landfilled. . Dry Sorbent Injection - This type of technology has been developed primarily to control acid gas emissions. However^ when combined with flue gas cooling and either a fabric filter or ESP, sorbent injection processes may also control CDD\/CDF and particulate emissions from MWCs. Two primary subsets of dry sorbent injection technologies exist. The more widely used of these approaches, referred to as duct sorbent injection (DSI), involves injecting dry alkali sbrbents\" into flue gas downstream of-the combustor \"outlet and upstream of the particulate control device. The,second approach, referred to as furnace sorbent injection (FSI), injects sorbent directly into the combustor. \u2022\u2022 ' ... .\u2014 .. ...... 2.1-14 EMISSION FACTORS 9\/90 ------- In DSI, powdered sorbent is pneumatically injected intt> either a separate reaction vessel or a section of flue gas duct located downstream of the combustor economizer or quench tower. 'Alkali in the sorbent (generally calcium or sodium) reacts with HCl, hydrogen fluoride 3 ] ) . By lowering the acid c1 ontent of the flue gas , downstream equipment can be operated at reduced temperatures while minimizing the potential for acid corrosion of equipment. Reaction products, fly ash, and unreacted sorbent are collected with either a fabric filter or ESP. Acid gas removal efficiency with DSI depends on flue gas temperature, sorbent type and feed rate, and the extent of sorbent mixing with the flue gas. Flue gas temperature at the point of sorbent injection can range from1 180 to 320\u00b0C (350 to 600\u00b0F) depending on the sorbent being used and the design of the process. Sorbents that have been successfully tested include hydrated lime (Ca(OH)2), soda ash (Na2C03) , and sodium bicarbonate (NaHG03) . Based on published data for hydrated lime, DSI can achieve relatively high removals of HCl (60 to 90 percent) and S02 (40 to 70 percent) under proper operating conditions. Limestone (CaG03) has also been tested but is relatively unreactive at the above temperatures. By combining flue gas cooling with DSI, it may be possible to increase the potential for CDD\/CDF removal which is believed to occur through a combination of vapor condensation and adsorption onto the sorbent surface . Cooling may also benefit PM control by decreasing the effective flue gas flow rate- (i. e. , actual cubic meters \u2022 per minute) and 'reducing the resistivity of individual.-. particles. \u2022\u2022 - - . _..,.. Furnace sorbent injection involves the injection of powdered alkali sorbent into the furnace section of a combustor.. This can be accomplished by addition, of sorbent -to the overf ire air; injection -through separate ports, or mixing with the waste prior to feeding to the combustor. As with DSI, reaction products, flyash, and unreacted sorbent are collected using a fabric filter or ESP. ! The basic chemistry of FSI is similar to DSI. Both use a reaction of sorbent with acid gases to form alkali salts. However, several key differences exist in these two approaches. First, by injecting sorbent directly into the furnace (at temperatures of 870 to 1200\u00b0C [1600 to 2200\u00b0F]) limestone can be calcined in the combustor to more reactive lime, thereby ...allowing, use of, less expensive limestone as a sorbent. :. Second, at these temperatures, S02 and -lime- react in the combustor, thus providing a mechanism for effective removal of S02 at relatively low sorbent feed rates. Third, by injecting sorbent into the furnace rather than irjto a downstream duct, additional time is available for mixing and reaction between the sorbent and acid\" gases. As a result, it may be possible to remove HCl and S02 from the flue gas at 1-ower sorbent -to -acid gas stoichiometric ^ratios than with DSI. Fourth, if a significant portion of the HCl is removed before the flue gas exits the combustor, it may be possible to reduce the formation of CDD\/CDF in latter sections of the flue gas ducting. However, HCl and lime do not react with each other at_temperatures above 760\u00b0 C (1,400\u00b0F). Spray Drying - Spray drying is designed to Control S02 and HCl emissions, When used in combination with particulate control, the system can control 'CDD\/CDF, PM, S02, and HCl emissions from MWCs. In\" the spray \"drying process, 9\/90 Solid Waste Disposal 2.1-15 ------- lime slurry is injected into a spray dryer (SD):. The water in the slurry evaporates to cool the flue gas and the lime reacts with acid gases to form salts that can be removed by a PM control device.. The simultaneous evaporation and reaction increases the moisture: and particulate content in the flue gas. The particulate leaving the SD contains fly ash plus calcium salts, water, and unreacted lime. i The key design and operating parameters that significantly affect SD performance are SD outlet temperature and lime-to-acid gas stoichiometric ratio. The SD outlet temperature is controlled by the amount of water in the slurry. More effective acid gas removal occurs; at lower temperatures, but the temperature must be high enough to ensure the slurry and reaction products are adequately dried prior to collection in the PM control device. For MWC flue gas. containing significant chlorine, a minimum SD outlet temperature of around 120\u00b0C (240\u00b0F) is required to control agglomeration of PM and sorbent by calcium chloride. The stoichiometric ratio is the molar ratio of. calcium fed to the theoretical amount of calcium required to react with the inlet HC1 and SC>2. Lime is fed in .quantities sufficient to react with the peak acid gas concentrations expected without severely decreasing performance. The lime content in the slurry must be maintained at or below approximately 30 percent by weight to prevent clogging of the lime slurry feed system and spray nozzles. , Spray drying 'can be used in combination with either a fabric filter or an ESP for PM control. Both combinations have been used for MWCs in the United States,- although SD\/fabric filter systems are more common. Typical\" removal efficiencies range from 50 to 90 percent for S02 and for 70\" to 95 percent for HC1. -\u2022 ' '--\u2022-..-- ; - i . - -\u2022\u2022-.-.:-\u2022. \u2022 \u2022 .. Emission factors for municipal waste cumbustors are shown in Table 2.1-1. -Table 2\". 1-2 shows the cumulative particle size'distribution and size specific emission factors for municipal waste combustors. Figures 2.1-5, 2.1-6 and 2.1-7 show the cumulative particle size distribution and size specific emission factors for mass biirn, starved air and RDF combustors, respectively. 2.1.2 Other Types Of Combustors8\"11 The most common types of combustors consist of a refractory-lined chamber with a grate upon which refuse is burned. In some newer incinerators water-walled furnaces are used. Combustion products are formed by heating and burning 'of refuse-on the grate. In most -cases, since insufficient underfire - (undergrade) air'is provided to renabre complete \" ' combustion, additional over-fire air is admitted above the burning waste to promote complete gas-phase combustion. ' In multiple-chamber incinerators, gases from the primary chamber flow to a small secondary-mixing chamber where more air is admitted, and more complete' oxidation occurs. As much as 300\" percent excess\" ai'r may be supplied in order to-promote oxidation of combustibles. ' Auxilliary burners are sometimes installed in th'e~mixing chamber to increase the combustion temperature. Many small-size incin- erators are single-chamber units in which gases are vented from the primary combustion chamber directly into the exhaust stack.. Single-chamber incinerators of this type do not meet modern air pollution codes. 2.1-16 EMISSION FACTORS' 9\/90 ------- 2.1.2.1 Process Description8\"11 Industrial\/commercial Combustors - The capacities of these units cover a wide range, generally between 22.7 and 1800 kilograms (50 and 4000 pounds) per hour. Of either single- or multiple-chamber design, these units are often manually charged and intermittently operated. Some industrial combustors are similar to municipal combustors in size and design. Better designed emission control systems include gas-fired afterburners, scrubbers, or both. ' Trench Combustors - A trench combustor is designed for the combustion of wastes having relatively high heat content and low ash content. The design of the unit is simple. A U-shaped combustion chamber is formed by the sides and bottom of the pit, and air is supplied frominozzles (or fans) along the top of the pit. The nozzles are directed at an iangle below the horizontal to provide a curtain of air across the top of the pit and to provide air for combustion in the pit. Low construction and operating costs have resulted in the use of this combustor to dispose of materials other than those for which it was originally designed. Emission factors for trench combustors used to burn three such materials are included in Table 2.1-4.^ Domestic Combustors - This category includes combustors marketed for residential use. Fairly simple in design, they may have single or multiple chambers and usually are equipped with an auxiliary burner to aid combustion. ; ....... \"\u2022 Flue'-fed Combustors - These units, commonly found in large\" apartment houses, are characterized by the charging method of dropping refuse down the combustor flue and into the combustion chamber. : Modified flue-fed incinerators utilize afterburners and draft- controls to improve combustion efficiency and' reduce emissions . ~ ' \u2022\u2022\u2022-;'-~-^~--^--\u2022\u2022-\u2022\u2022\u2022\u2022-: -- - Pathological Combustors - These are corabustors used to dispose of animal remains and other organic material of high moisture content. Generally, these units are in a size range of 22.7 to 45.4'kilograms (50 to 100 pounds). per hour. Wastes are burned on a hearth in the combustion chamber. The units are equipped with combustion controls and afterburners to ensure good combustion and minimal emissions. 2.1.2.2 Emissions And Controls** '.' Operating conditions, refuse composition, arid basic combustor design have a pronounced effect on emissions. The manner in which air is supplied to the combustion chamber or chambers has a significant effect on the quantity of particulate emissions. Air may be introduced from beneath the chamber, from the side, or from the top of the combustion chamber. As underfire air is increased, an increase in fly-ash? emissions occurs.' Erratic refuse charging causes a disruption of the combustion bed and a subsequent release of large quantities of particulates. Large quantities of uncombusted particulate matter and carbon monoxide are also emitted for an extended period after charging of batch-fed .units because of interruptions in the combustion process. In continuously fed.units, furnace particulate emissions are strongly dependent upon grate type. The use of a rotary kiln and reciprocating grates results in higher particulate emissions than the use of a rocking or traveling grate. Emissions:of oxides of sulfur are 9\/90 Solid Waste Disposal 2.1-17 ------- si p IS ;\u00ab: -s a 3 II d _\u2022 SB \u00bb *\u00ab\u2022> O U> \u2022 f J1 sa - *-\u2022 \"%- u l- 5 15 .u '^ % ' IB I '\" m. ? -g C. 1 * i \"5 \"g \u00ab I 1 *~ O u. a 3 \u00bb g^ g- II 1 -O 'En G II 8 <2 ,1 cS g o \u2014 i S \u2022\u2022H I \u2022\u2022S 'J .s \u2022K3 = \u2022i 5\u00a7 13 CD \u00a7 I ^ .1 V2 C!O d> -i 1 OJ (C 'ipapQ <\u00a3>------- dependent on the sulfur content of the refuse. Carbon monoxide and unburned hydrocarbon emissions may be significant and are caused by poor combustion resulting from improper combustor design or operating conditions. Nitrogen oxide emissions increase with an increase- in the temperature of the combustion zone, an increase in the residence time in the combustion zone before quenching, and an increase in the excess air rates to the point where dilution cooling overcomes the effect of increased oxygen concentration. ^ References for Section 2.1 : 1. Municipal Waste Combustion Industry Profile - Facilities Subject To Section lllfd\") Guidelines. Radian Corporation, Research Triangle Park, NC, prepared for U. S. Environmental Protection Agency, September 16, 1988. 2. Municipal Waste Combustion Study - Combustion Control Of Organic Emissions. EPA\/530-SW-87-021-C, U. S. Environmental Protection Agency, Research Triangle Park, NC, June 1987, p. 6-2. 3. Municipal Waste Combustion Retrofit Study '(Draft), Radian Corporation, Research Triangle Park, NG, prepared for U;. S. Environmental Protection Agency, August 5, 1988, p. 6-4. 4. Air Pollution Control At Resource Recovery Facilities. California Air \u2022- Resources Board, Sacramento, CA, May 24, 1984. 5; Control Of NO^. Emissions from Municipal Waste Gombustors. Radian Corporation, Research Triangle Park, NC, prepared for TL S. Environmental Protection Agency, February,3, 19.8.9., .. . . ., 6. H. Vogg and L. Stieglitz, Chemosphere. Volume 15, 1986. 7. Emission Factor Documentation For AP-42 Section 2.1.1: Municipal Waste Combustion. EPA-450\/4-90-016, U. S. Environmental Protection Agency, Research Triangle Park, NC, August 1990. 8. Air Pollutant Emission Factors. APTD-0923, U. S. Environmental Protection Agency, Research Triangle Park, NC, April 1970. 9.. Control Techniques For Carbon Monoxide Emissions From Stationary Sources. AP-65, U. S. Environmental Protection Agency, Research Triangle Park, NG, March 1970. 10. Air Pollution Engineering Manual. AP-40, U. S. Environmental Protection Agency, Research Triangle Park, NC, 1967.' 11. J. DeMarco. et al. . Incinerator Guidelines 1969. SW. 13TS, U. S. Environmental Protection Agency, Research Triangle Park, NC, 1969. 12. _ J._0. Brukle^ J. A^ Dprsey, an4 B- T- Riley, \"The Effects Of Operating Variables And Refuse Types On Emissions From A Pilot-scale Trench Incinerator\", Proceedings Of The 1968 Incinerator Conference. American Society Of Mechanical Engineers, New York, NY, May 1968. 9\/90 Solid Waste Disposal 2.1-19 ------- 13. Walter R. Nessen, Systems Study Of Air Pollution From Municipal Incineration, Contract Number CPA-22-69-23, Arthur D. Little, Inc Cambridge, MA, March 1970.. 14. C. V. Kanter, R. G. Lunche, and A. P. Fururich, \"Techniques For Testing Air Contaminants From Combustion Sources\", Journal Of The Air Pollution Control Association, 6(4): 191-199, February 1957. 15. J. L. Stear, Municipal incineration: A Review Of Literature. AP-79, U. S. Environmental Protection Agency, Research Triangle Park, NC, June 16. E. R. Kaiser, Refuse Reduction Processes In Proceedings Of Surgeon General's Conference On Solid Waste Management. PHS 1729, Public Health Service, Washington, DC, 1967. 17. Unpublished source test data on incinerators, Resources Research, Incorporated, Reston, VA, 1966-1969. 18. E. R. Kaiser, e-t al. . Modifications To Reduce Emissions From A Flue-fed Incinerator,, Report Number 552.2, College 'Of Engineering, New York University, June 1959, pp. 40 and 49. 19. Communication between Resources Research, Incorporated, Reston, VA, and .Division Of Air Quality Control, Maryland State Department Of Health, Baltimore, MD, 1969. 20. Unpublished data on incinerator testing, U. S. Environmental Protection Agency, Research Triangle Park, NC, 1970. 2.1-20 ' EMISSION FACTORS ; 9\/90 ------- 2.5 SEWAGE SLUDGE INCINERATION . There are currently almost 200 sewage sludge incineration (SSI) plants in operation, in the United States. Three main types of incinerators are used: multiple hearth, fluidized bed, and electric infrared. Some sludge is co- fired with municipal solid waste in combustors based on refuse combustion technology. Refuse co-fired with sludge in combustors based on sludge incinerating technology is limited to multiple hearth incinerators only. \u2022 Over 80 percent of the identified operating sludge incinerators are of the multiple hearth design. About 15 percent are fluidized bed combustors and 3 percent are electric. The remaining combustors co-fire refuse with sludge. Most sludge incinerators are located in the Eastern United States, though there are a significant number on the West Coast. New York .has the largest number of facilities with 28. Pennsylvania and Michigan have the next-largest numbers of facilities with 20 and 19 sites, respectively. 2.5.1 Process Description^'^ ; Types of incineration described in this section include: Multiple hearth Fluidized bed Electric i \u201e-.., . Single .hearth cyclone . .. . , \u2022\u2022\u2022\u2022\u2022\u2022 '\u2022\u2022 Rotary kiln \u2022 \u2022 - ...... -..; .-_ .-,, \u2022'-\u2022 .\u2022-\".-. High pressure, wet air oxidation ' -.---;' v Co -incineration with refuse . : ,\u2022 2.5.1.1 Multiple Hearth Furnaces \u2022-'\u2022 _....v..,.,..-, ...--- The multiple hearth furnace was originally; developed for mineral ore roasting nearly a century ago. The air-cooled variation has been used to incinerate sewage sludge since the 1930s. A cross section diagram of a typical multiple hearth furnace is shown in Figure 2.5-1. The basic multiple hearth furnace (MHF) is cylinder shaped and oriented vertically. The outer shell is constructed of steel, lined with refractory, and surrounds a series of horizontal refractory hearths. A hollow cast iron rotating shaft runs through the center of the hearths. Cooling air is introduced into the shaft by a fan located at its base. Attached to the central shaft are rabble arms, which.extend above,-the hearths. Each rabble arm is equipped with a number of teeth, approximately 6 inches in length, and spaced about-10 inches apart. The teeth are shaped'to rake the sludge in a spiral motion, alternating in direction from the outside in, to the inside out,'between hearths. Typically, the upper and lower hearths are fitted with 4 rabble arms, and the middle hearths are fitted with two. Burners, providing auxiliary heat, are located in the sidewalls'of the hearths. _~ . ;r -.:-_.,, 9\/90 Solid Waste Disposal '\u2022 ' 2.5-1 ------- SCUM AUXILIARY AIR PORTS BURNERS SUPPLEMENTAL FUEL -COMBUSTION AIR SHAFT COOLING AIR RETURN SOLIDS FLOW DROP HOLES Figure 2.5-1. ' Cross section of a multiple hearth furnace. ** EXHAUST AND ASH ==S PRESSURE TAP SAND\/M. FEED'S THERMOCOUPLE SLUDGE- INLET FLUIDIZING \u2022 AIR INLET BURNER STARTUP PREHEAT BURNER FOR HOT WINDBOX 2.5-2 Figure 2.5-2. Cross section of a. fluidized bed furnace. EMISSION FACTORS 9\/90 ------- Partially dewatered Kludge is fed onto the perimeter of 'the top. hearth. The motion of the rabble arms rakes the sludge toward the center shaft where it drops through holes located at the center of the hearth. In the next hearth the sludge is raked in the opposite direction. This process is repeated in all of the subsequent hearths. The effect of the ra\"bble motion is to break up solid material to allow better surface contact with heat and oxygen, and is arranged so that sludge .depth of about one inch is maintained in each hearth at the design sludge flow rate, . Scum may also be fed to one or more hearths of the incinerator. Scum is the material that floats on wastewater. -It is generally composed of vegetable and mineral oils, grease.,, hair, waxes', fats, and other materials that will float. Scum may be removed from many treatment units including preaeration tanks, skimming tanks, and sedimentation tanks. Quantities of scum are generally small compared to those of other wastewater solids. Ambient air is first ducted through the .central shaft and its associated rabble arms. A portion, or all, of this air is then taken from the top of the shaft and recirculated into the lowermost hearth as preheated combustion air. Shaft cooling air which is not circulated back into the furnace is ducted into the iitack downstream of the air pollution control devices. The combustion air flows upward through the drop holes in the hearths, countercurrent to the flow of the sludge, before being exhausted from the top hearth. Provisions are usually made to. inject ambient air directly into, on the middle hearths, as well. .._ . _._,_. From the standpoint of the overall incineration process, multiple 'hearth furnaces can be divided into three zones,. The upper hearths comprise the drying zone where most of the moisture in the. sludge is evaporated. The temperature in the drying zone is typically between 425 and 760\u00b0C (800 and 1400\u00b0F). Sludge combustion occurs in the middle hearths (second zone) as the temperature is increased to about 925\u00b0C (1700\u00b0F). The combustion zone can be further subdivided into the upper middle hearths where the volatile gases and solids are burned, and the lower middle hearths where most of the fixed carbon is combusted. The third zone, made up of the lowermost hearth(s), is the cooling zone. In this zone .the ash is cooled as its heat is transferred to the incoming combustion air. Multiple hearth furnaces are sometimes operated with afterburners to further reduce odors and concentrations of unburned hydrocarbons. In \"afterburning,.furnace exhaust .gases^are..ducted:'to'.a chamber where they are mixed with supplemental fuel and air and completely combusted. Some incinerators have the flexibility to allow sludge to be fed to a lower hearth, thus allowing the upper hearth(s) to function essentially as an afterburner. Under normal operating conditions, 50 to 100 percent excess air must be added to a MHF in order to ensure complete combustion of the sludge. Besides enhancing contact between fuel and oxygen in the furnace, these relatively high rates of excess air are necessary to compensate for normal variations in both the organic characteristics of the sludge feed and the rate at which it enters the incinerator. When an-inadequate amount of excess air is available, only partial oxidation of the carbon will occur with a resultant increase in emissions of carbon monoxide, soot, and hydrocarbons. Too much excess air, on the other hand, can cause increased entrainment of particulate and unnecessarily high auxiliary fuel consumption. 9\/90 Solid Waste Disposal 2.5-3 ------- Some MHFs have been designed to operate in;a starved air mode. Starved air combustion (SAG) is, in effect, incomplete combustion. The key to. SAC is the use of less than theoretical quantities of air in the furnace, 30 to 90 percent of stoichiometric quantities. . This makes SAC more fuel efficient than an excess air mode MHF. . The SAC reaction products are combustible gases, tars and oils, and a solid char that can have appreciable heating value. The most effective utilization of ;these products is by burning of the total gas stream with subsequent heat recovery. When an SAC MHF is combined with an afterburner, an overall excess air rate of 25 to 50 percent can be maintained (as compared to 75 to 200 percent overall for an excess air MHF with an afterburner). Multiple hearth furnace emissions are usually controlled by a. venturi scrubber, an impingement tray scrubber, or a combination of both. Wet cyclones are also used. : 2.5.1.2 Fluidized Bed Incinerators Fluidized bed technology was first developed by the petroleum industry to be used for catalyst regeneration. Figure 2.5-2 shows the cross section diagram of a fluidized bed furnace. Fluidized'bed furnaces (FBF) are cylindrically shaped and oriented vertically. The outer shell is constructed of steel, and is lined.with refractory. Tuyeres (nozzles, designed to deliver blasts of air) are located at the base of the furnace within a refractory- lined^grid. A bed of sand,, approximately 0.75 meters (2.5 feet) thick, rests upon the grid. Two general configurations can be distinguished\"\"bn the basis of how the fluidizing air is injected into the furnace,. In the \"hot windbox\" design the combustion air is first preheated by passing through a heat exchanger where heat is recovered from the hot flue gases. Alternatively, ambient air can be injected directly into the furnace from aJcold windbox. Partially dewatered sludge is fed .into the lower portion of the furnace. Air injected through the tuyeres, at pressure of from 20 to 35 kilopascals (3 to 5 pounds per square inch grade), simultaneously fluidizes the bed of hot sand and the incoming sludge. Temperatures of 750 to 925\u00b0C (1400 to 1700\u00b0F) are maintained in the bed. Residence times are on the order of 2 to 5 seconds. As the sludge burns, fine ash particles are carried out the top of the furnace. Some sand is also removed in the air stream; sand make-up requirements are on the order of 5 percent for every 300 hours of operation. The overall process of combustion of the sludge occurs in two zones. Within the bed itself (zone 1) evaporation of the water and pyrolysis of the organic materials occur nearly simultaneously as the .temperature of the sludge is rapidly raised.\" In the second zone, (freeboard area) the remaining free carbon and combustible gases are burned. The second zone functions essentially as an after burner. _. :,. . \u2022- ' ' \u2022\u2022 Fluidization achieves nearly ideal mixing between the sludge and the combustion air and the turbulence facilitates the transfer of heat from the hot sand to the sludge. The most noticeable impact of the better burning atmosphere provided by a fluidized bed Incinerator!\"is~seen in~the limited\"\" amount of excess air required for complete combustion of the sludge. These incinerators can achieve complete combustion with 20 to 50 percent excess air, about half the amount of excess air typically required for incinerating sewage 2.5-4 EMISSION FACTORS \u2022 ; 9\/90 ------- sludge in multiple hearth furnaces. As a consequence, FBF incinerators have generally lower fuel requirements compared to MHF incinerators. Fluidized bed incinerators most often have venturi scrubbers or venturi\/impingement tray scrubber combinations for emissions control. 2.5.1.3 Electric Incinerators : Electric furnace technology is new compared to other sludge combustor designs; the first electric furnace was installed in 1975. Electric incinerators consist of a horizontally oriented,: insulated furnace. A woven wire belt conveyor extends the length of the furnace and infrared heating elements are located in the roof above the conveyor belt. Combustion air is preheated by the flue gases and is injected into the discharge end of the furnace. Electric incinerators consist of a number of prefabricated modules, which can be linked together to provide the necessary furnace length. A cross section of an electric furnace is shown in Figure 2.5-3. The dewatered sludge cake is conveyed into one end of the incinerator. An internal roller mechanism levels the sludge into a continuous layer approximately one inch thick across the width of the belt. The sludge is sequentially dried and then burned as it moves beneath the infrared heating elements. Ash is discharged into a hopper at the opposite end of the furnace. The preheated combustion air enters the furnace above the ash hopper and is further heated by the outgoing ash. The direction of air flow is countercurrent to the 'movement of the sludge along the conveyor! Exhaust gases leave the furnace at the feed end. Excess, air rates vary from 20 to 70 percent. \u2022 ' \u2022\u2022 -\" '- \"'- When compared to MHF and FBF technologies, 'the electric furnace offers the advantage of lower capital cost, especially for smaller systems. However, electricity costs in some areas may make an electric furnace infeasible. One other concern is replacement of various components such as the woven wire belt and infrared heaters, which have 3 to 5 year lifetimes. Electric incinerators are usually controlled with a venturi scrubber or some other wet scrubber. 2.5.1.4 Other Technologies A number of other technologies have been used for incineration of sewage sludge including cyclonic reactors, rotary;kilns :and wet oxidation reactors. These processes are not in widespread.use in the United States and will be discussed only briefly. . \u2022-\u2022\u2022..- The cyclonic-reactor is designed for small capacity applications. It is constructed of a vertical cylindrical chamber.that is lined with refractory. Preheated combustion air is introduced into the chamber tangentially at high velocities. The sludge is sprayed radially toward the hot refractory walls. Combustion is rapid: the residence time of the sludge in the chamber is on the order of 10 seconds., The_ash_is removed with the flue gases. ,. ^ Rotary kilns are also generally used for. small capacity applications. The kiln is inclined slightly from the horizontal plane, with the upper end 9\/90 Solid Waste Disposal 2.5-5 ------- receiving both the sludge feed and the combustiop air. A burner is located at the lower end of the kiln. The circumference of the kiln rotates at a speed of about 6 inches per second. Ash is deposited into a hopper located below the burner. The wet oxidation process is not strictly one of incineration; it instead utilizes oxidation at elevated temperature and pressure in the presence of water (flameless combustion). Thickened sludge, at about six percent solids, .is first ground and mixed with a stoichiometric amount of compressed air. The slurry is then pressurized. The mixture is then circulated through a series of heat exchangers before entering a pressurized, reactor. The temperature of the reactor is held between 175 and 315\u00b0C (350 and 600\u00b0F). The pressure is normally 7000 to 12,500 kilopascals (1000 to 1800 pounds per square grade). Steam is usually used for auxiliary.heat. The water and remaining ash are circulated out the reactor and-.are finally separated in a tank or lagoon. The liquid phase; is recycled to the treatment plant. Off-gases must be treated to eliminate odors: wet scrubbing, afterburning or carbon absorption may be used. 2.5.1.5 Co-incineration With Refuse Wastewater treatment plant sludge generally has a high water content and in some cases, fairly hig;h levels of inert.materials. As a result, its net fuel value is often low. If sludge is combined with other combustible materials in a co-combustion scheme, a furnace feed can be created that has both a low water concentration and\"a heat value high, enough to sustain combustion with little or no supplemental fuel. , Virtually any material that can be burned can be combined with sludge in a co-combustion process. Common materials for .co-combustion are coal, municipal solid waste (MSW), wood waste :and agricultural waste. Thus; a' municipal or industrial waste can be disposed of while providing an autogenous (self-sustaining) sludge feed, thereby solving two disposal problems. There are two basic approaches to combusting sludge with municipal solid waste, 1) use of MSW combustion technology by adding dewatered or dried sludge to the MSW combustion unit, and 2) use of\\sludge combustion technology by adding processed MSW as a supplemental fuel to the sludge furnace. With the latter, MSW is processed by removing noncombustibles, shredding, air classifying, and screening. Waste that is more finely processed is less likely to cause jproblems such as severe erosion.of the hearths, poor temperature control, and refractory failures. ___- ___- - - - 2.5.2 Emissions And Controls1\"3 Sewage sludge incinerators potentially emit significant quantities of pollutants. The major pollutants emitted are: 1) particulate .matter, 2) metals, 3)~carbon monoxide (CO), 4) nitrogen oxides (NOX), 5) sulfur dioxide^(S02) and 6) unburned hydrocarbons. Partial combustion of sludge can result in emissions of intermediate products of incomplete combustion (PIC) including toxic organic compotinds. Uncontrolled particulate' emission rates vary widely depending on the type of incinerator, the volatiles and moisture content of the sludge, _and the operating practices employed. Generally, uncontrolled pafticuiate\" emissions 2-5-6 EMISSION FACTORS 9\/90 ------- RADIANT INFRARED HEATING ELEMENTS (TYP) WOVEN WIRE CONTINUOUS BELT Figure 2.5-3. Cross section of an electric infrared furnace, \u2022\u2022--\u2022-; ; ....... GaExSlehduotdijie* \u2022 ' \" ' \u2022- - \u2022 tt- to o Vjnfcrt\u2014\u2014^^ Tfnct TnenMntOwcfcw IfnpJflQnwrtTr&y ScnJbbw Figure 2.5-4. Venturi\/impingement tray scrubber. 9\/90 Solid Waste Disposal 2.5-7 ------- are highest from fluidized bed incinerators because suspension burning results 'in much of the ash being carried out of the incinerator with the flue gas. Uncontrolled emissions from multiple hearth and fluidized bed incinerators are extremely variable, however. Electric incinerators appear to have the lowest rates of uncontrolled particulate release of the three major furnace types, possibly because the sludge is not disturbed during firing. In general, higher airflow rates increase the opportunity for particulate matter to be entrained in the exhaust gases. Sludge with low volatile content or high moisture content may compound this situation by requiring more supplemental fuel to burn. As more fuel is consumed, the amount of air flowing through the incinerator is also increased. However, no direct correlation has been established between air flow and particulate emissions. Metals emissions are affected by flue gas temperature and the level of particulate matter control, since metals which are volatilized in the combustion zone condense in the exhaust gas stream. Most metals (except mercury) are associated with fine particulate and are removed as the fine particulates are removed. Carbon monoxide is formed when available oxygen is insufficient for complete combustion or when excess air levels are too high, resulting in lower combustion temperatures. Nitrogen and sulfur oxide emissions are primarily the result of .oxidation of nitrogen and sulfur in the sludge. Therefore, these emissions can vary greatly based on local and seasonal sewage characteristics. Emissions of volatile organic compounds also vary greatly with incinerator type and operation. Incinerators with countercurrent air flow such as multiple hearth designs provide the greatest 'opportunity for unburned hydrocarbons to be emitted. In the MHF, hot air 'and wet sludge feed are contacted at the top of the furnace. Any compounds distilled from the solids 'are immediately vented from the furnace\" at temperatures too low to completely' destruct them. Particulate emissions from sewage sludge incinerators have historically been controlled by wet scrubbers, since the associated sewage treatment plant provides both a convenient source and a good disposal option for the scrubber water. The types of existing sewage sludge incinerator controls range from low pressure drop spray towers and wet cyclones to higher pressure drop venturi scrubbers and venturi\/impingement tray scrubber combinations. A few electrostatic precipitators-are employed, primarily where sludge is co-fired with municipal solid waste. The most widely used control device applied to a multiple hearth incinerator is the impingement tray scrubber. Older units use the tray scrubber alone while combination venturi\/impingement tray scrubbers are widely applied to newer multiple hearth incinerators and to fluidized bed incinerators. Most electric incinerators and many fluidized bed incinerators use venturi scrubbers only. In a typical combination venturi\/impingement tray scrubber (shown in Figure 2.5-4), hot gas exits the incinerator and enters the precooling or quench section of the scrubber. Spray nozzles in the quench section cool the incoming gas and the quenched gas then enters the venturi section of the control device. .'.... 2.5-8 EMISSION FACTORS 9\/90 ------- Venturi water is usually pumped into an inlet weir above the quencher. The venturi water1 enters the scrubber above the throat and floods the throat completely. This eliminates build-up of solids and reduces abrasion. Turbulence created by high gas velocity in the converging throat section deflects some of the water traveling down the throat into the gas stream, Particulate matter carried along with the gas stream impacts on'these water particles and on the water wall. As the scrubber water and flue gas leave the venturi section, they pass into a flooded elbow where the stream velocity decreases, allowing the water and gas to separate. Most venturi sections come equipped with variable throats. By restricting the throat area within the venturi, the linear gas velocity is increased, and the pressure drop is subsequently increased. Up to a certain point, increasing the venturi pressure drop increases the removal efficiency. Venturi scrubbers typically maintain 60 to 99 percent removal efficiency for particulate matter, depending on pressure drop and particle size distribution. At the base of the flooded elbow, the gas stream passes through a connecting duct to the base of the impingement tr'ay tower. Gas velocity is further reduced upon entry to the tower as the gas stream passes upward through the perforated impingement trays. Water usually enters the trays from inlet ports on opposite sides and flows across the tray. As gas passes through each perforation in the tray, it creates :a jet which bubbles.up the water and further entrains solid particles. At the top of the tower is a mist eliminator to reduce the carryover of water droplets in the stack effluent gas.-The impingement section can contain from one to four trays, but most systems for which data are available have two or three trays. Emission factors and emission factor ratings for sludge incinerators are shown in Table 2.5-1. Table 2.5-2 shows the cumulative particle size distribution and size specific\" emission factors for sewage sludge - - \" incinerators. Figures 2.5-5, 2.5-6, and 2.5-7'show cumulative particle size distribution and size-specific emission factors for multiple-hearth, fluidized-bed,- and electric infrared incinerators, respectively. 9\/90 Solid Waste Disposal 2.5-9 ------- o t\u2014i y w g co Cd g 55- CO 1 I &4 ^ I\u2014 1 CO S 0 *\u2014 1 IT) eg S 1 \u2022g \u00a7 c= \u2022rH _. 1 \u00bb ^U ^) 1 \u2022 1\u2014 1 1 S ,gj S \u2022** is 1 \u20221-1 .1 *. S-l . ^ o *\u00a7 pjj O . ^H \"2 \u2022i \u00a7 0 ? M if -S s CO 'S' ^ 1 \u2014+ 0 \u20221-1 \u2022*\u2014 1 M >-> & -S s al . Q?- i \u2014 1 Uncontro 1=5 J-i tr\u00bb \"o \u00a3> *O (O fV( pi^ *O x\u2014 -> ^5\" *\u2022\u2022\u00ab ^i, -P \u2022^a ^a .S' \u00a7 \u2022 \u2014 .+\u2022> >-l Cn 11 S1'? l;iL S-g g^\" % S-4 en .8.S C \"o> S \u2022rp Pollutant. fa 05 S CD CD CD CD rH in CD H \u20220 <\u2014 1 CD CO CD CD ti W o t-H CD CD CD CD V\u00a3> CD CO ^ in wo CD Particulate CD \u2022 |CDj m CD CM rH CD UD CD CD CO CD S CD VO rH CD CO CD CD ^j< 5- CD CD rH CD *3* CD ^J* rH rH CNa CM >\u2014 ^ \u2022*\u2014 ^ ^\u2014 -* -*~- s CD CD CD CM in t\u2014 \u2022 CD \u00ab* CD \\O CM CO UD CO CD C** CD CO rH rH CO nl* \\& CD ^J* .1^ CD CD CD CD CO CD CM CO rH CM CM CM CD CD CD CD CO CD CM \u2022* rH CM CM CM CD CD CD C3 CT1 CD rH CM CD rH rH rH CD CD CD CD CM CM CM CM rH CM \u00ab* in CD CD CD CM in CD in X \u2022\u2014 0 fa ca . ta CU CU (I> CM S CD VD S S S ^4* rH \u2022*_' CO CD CM CO @ CD GO\" \u20ac ^ ^ ' ' \u00a3i ' ' \"* CD * , rH o O ca ca tq w , O CD CU <13 CD CD <=> < \u2014 1 \u2022 . \u2022 \".:\u2022- \u2022\u2022\" \" - - . -- \u2022 ....-_--__ ,; ~ -'; _-.. - - - ..-.\u2014:- ... \"- '\"\"\" \" \"\" C_> CJ C^t CJ C_J f~} (T~\\ C3 Q5 O <1) CD CP O3 O3 _, pj fO \u2022\u00ab\u2014! >r\u2014 | X {\u00a3 2\"\u00a7 ^ cf g 3 US & id, -a 5-1 Ct vQ roG1^ H \u2022 TO I 1 HJ I_) r-H O CU \u00a33 *fH ro O i-a co a c_> t=. . - , g \u2022^H \"S \u2022^ CU s CO \u2022 tH 1 SO i G 'o S3 \u2022\u00abH O CO gu ^_J s >d CO rH cu to ja C_3 CO CU cu S1 O CU \u2022\u2014 1 E> O n3 J\u00a7 *^3J CU 03 *e i'-1 \u2022B S OJ Qi - ------- TABLE 2.5-2. CUMULATIVE PARTICLE SIZE DISTRIBUTION AND SIZE SPECIFIC EMISSION FACTORS FOR SEWAGE SLUDGE INCINERATORS3- Particle Cumulative mass % < stated size size. microns 15 10 5.0 2.5 1.0 0.625 TOTAL Uncontrol led Control led MH\u00b0 [PS0 Ela MHD FBC Ela 15 NA 43 30 7.7 60 10 NA 30 27 7.3 50 5.3 NA 17 25 6.7 35 2.8 NA 10 22 6.0 25 1.2 NA 6.0 20 5.0 18 0.75 NA 5.0 17 2.7 15 100 100 100 100 100 100 Cumulative Uncontrol MHD FBC 6.0 NA (12) 4.1 NA (8.2) 2.1 NA (4.2) 1.1 NA (2.2) 0.47 NA (0.94) 0.30 NA (0.60) 40 NA (80) emission led Eld 4.3 (8.6) 3.0 (6.0) 1.7 (3.4) 1.0 (2.0) 0.60 (1.2) 0.50 (1.0) 10 (20) factor. MHD 0.12 (0.24) 0.11 (0.22) 0.10 (0.20) 0.09 (0.18) 0.08 (0.16) 0.07 (0.14) 0.40 (0.80) kg\/Mg (Ib\/ton) Controlled FBC 0.23 (0.46) 0.22 (0.44) 0.20 (0.40) 0.18 (0.36) 0.15 (0.30) 0.08 (0.16) 3.0 (6.0) Eld 1.2 (2.4) 1.0 (2.0) 0.70 (1.4) 0.50 (1.0) 0.35 (0.70) 0.30 (0.60) 2.0 (4.0) ^Reference 5. NA == riot available. ' \" \u2022 bMH = 'CFB r dEI - multiple hearth. fluidized bed. electric infrared. hn o n \u2022*-4 X * W 60 A! M 7.5 o \u2022u o n) \u2022w 6.0 c o \u2022H \" CO , c w 4.5 \u2022H 6 ------- 0.24 0.20 Q..16 60 S 0.12 | en CO \u2022H 0.08 \" cu O.I 1.0 10 Piirtlclt d1\u00abMttr (ui\u00bb) i i i i i 11 100 - 0.04 g a o 0 \" Figure 2.5-6. Cumulative particle size distribution and size-specific emission factors for fluidized-bed incinerators. 60 6 35 \"eo j< . 5 n O *> u .\"* \u00ab\u2022 O T< . 10 -i \u00ab 3 \u20225 I1 i. 0.1 Controlled Uncontrolled i i iiiiii l.o 10 PartlcU di**ct------- References for Section 2.5 1. Second Review Of Standards Of Performance For Sewage Sludge Incinerators. EPA-450\/3-84-010, U. S. Environmental Protection Agency, Research Triangle Park, NC, March 1984. : 2. Process Design Manual For Sludge Treatment And Disposal. EPA-625\/1-79-011, U. S. Environmental Protection Agency, Cincinnati, OH, September 1979. 3. Control Techniques For Particulate Emissions :From Stationary Sources - Volume 1. EPA-450\/3-81-005a, U. S. Environmental Protection Agency, Research Triangle Park, NC, September 1982. 4. Emission Factor Documentation For AP-42 Section 2.5: Sewage Sludge Incineration. EPA-450\/4-90-017, U. S. Environmental Protection Agency, Research Triangle Park, NC, August 1990. 9\/90 Solid Waste Disposal 2.5-13 ------- ------- 4.2.2.13 Magnetic Tape Manufacturing Industry1\"9 Magnetic tape manufacturing is a subcategory of industrial paper coating, which includes coating of foil and plastic film. In the manufacturing process, a mixture of magnetic particles, resins and solvents is coated on a thin plastic film or \"web\". Magnetic tape is used largely for audio and video recording and computer information storage. Other uses include magnetic cards, credit cards, bank transfer ribbons, instrumentation tape, and dictation tape. The magnetic tape coating industry is included in two Standard Industrial Classification codes, 3573 (Electronic Computing Equipment) and 3679 (Electronic Components Wot Elsewhere Classified). Process Description1'2 - The process of manufacturing magnetic tape consists of: 1) mixing the coating ingredients (including solvents) 2) conditioning the web 3) applying the coating to the web 4) orienting the magnetic particles : 5) drying the coating in a drying oven, 6) finishing the tape by calendering,.rewinding, slitting, testing, and packaging. : Figure 4.2.2.13-1 shows a typical magnetic:tape coating operation, indicating volatile organic compound (VOC) emission points. Typical plants have.from 5 to 12 horizontal or vertical solvent storage tanks, ranging in capacity from 3,800 to 75,700 liters (1,000 to 20,000 gallons), that are operated at or slightly above atmospheric pressure. Coating preparation equipment includes the mills, mixers, polishing tanks, and holding tanks used to prepare the magnetic coatings before application. Four types of coaters are used in producing magnetic tapes: extrusion (slot die), gravure, knife, and reverse roll (3- and 4-roll). The web may carry coating on one or both sides. Some products receive a nonmagnetic coating on the back. After coating, the web is guided through an orientation field, in which an electromagnet or permanent magnet aligns the individual magnetic particles in the intended direction. Webs from which flexible disks are to be produced do not^go through the orientation process. The coated web then passes through a drying oven, where the solvents in the coating evaporate. Typically, air flotation ovens are used, in which the web is supported by jets of drying air. For safe operation, the concentration of solvent vapors is held between 10 and 40 percent of the lower explosive limit. The dry coated web may be passed through several calendering tolls to compact the coating and to smooth the surface finish. Nondestructive testing is performed on up to 100 percent of the final product, depending on the level of precision required of the final product. The web may then be slit into the desired tape widths. Flexible disks are punched from the finished web with a die. The final product is then packaged. Some plants ship the coated webs in bulk to other facilities for slitting and packaging. High performance tapes require very clean production conditions, \u2022especially in the coating application and drying oven areas. Air supplied to 9\/90 Evaporation Loss Sources 4.2.2.13-1 ------- s O \u00a7 2L O \"8 O 4.2.2.13-2 EMISSION FACTORS 9\/90 ------- these areas is conditioned to remove dust particles and to adjust the temperature and humidity. In some cases, \"clean room\" conditions are rigorously maintained. : Emissions And Controls1'8 - The significant VOC emission sources in a magnetic_tape manufacturing plant include the coating preparation equipment the coating application and flashoff area, and the drying ovens. Emissions' from the solvent storage tanks and the cleanup area are generally only a negligible percentage of total emissions. ; In the mixing or coating preparation area, VOGs are emitted from the individual pieces of equipment during the following operations- filling of mixers and tanks; transfer of the coating; intermittent activities, such as changing the filters in the holding tanks; and mixing (if equipment is not equipped with tightly fitting covers). Factors: affecting emissions in the mixing areas include the capacity of the equipment, the number of pieces of equipment, solvent vapor pressure, throughput, and the design and performance of equipment covers. Emissions will be intermittent or continuous, depending on whether the preparation method is batch or continuous. Emissions from the coating application area result from the evaporation of solvent during use of the coating application equipment and from the exposed web as it travels from the coater to the drying oven (flashoff) Factors affecting emissions are the solvent content of the coating, line width and speed, coating thickness, volatility of the.solvent(s), temperature distance between coater and oven, and air turbulence in the coating area. Emissions from the drying oven are of the remaining solvent that is driven off in the oven. Uncontrolled emissions at this point are determined by the solvent content of the. coating when it reaches the oven. Because the oven evaporates all the remaining solvent from the coating, there are no process VOG emissions after oven drying. Solvent type and quantity are the common factors affecting emissions from all operations in a magnetic tape coating facility. The rate of evaporation or drying depends on solvent vapor pressure at a given temperature and concentration. The most commonly used organic solvents are toluene methyl ethyl ketone, cyclohexanone, tetrahydrofuran, and methyl isobutyl ketone. Solvents are selected for their cost, solvency, availability, desired evaporation rate, ease of use after recovery, compatibility with solvent recovery equipment, and toxicity.' Of the total uncontrolled VOC emissions from the mixing area and coating operation (application\/flashoff area and drying oven), approximately 10 percent is emitted from the mixing area, and 90 percent from the coating operation. Within the coating operation, approximately 10 percent occurs in the application\/flashoff area, and 90 percent in the drying oven. a A control system for evaporative emissions consists of two components a capture device and a control device. The efficiency of the control system is determined by the efficiencies of the two components. 9\/90 Evaporation Loss Sources 4.2.2.13-3 ------- A capture device is used to contain emissions from a process operation and direct them to a stack or to a control device. Room ventilation systems, covers, and hoods are possible capture devices from coating preparation equipment. Room ventilation systems, hoods, and partial and total enclosures are typical capture devices used in the coating application area. A drying oven can be considered a capture device, because it both contains and directs VOG process emissions. The efficiency of a capture device or a combination of capture devices is variable and depends on the quality of design and the levels of operation and maintenance. A control device is any equipment that has as its primary function the reduction of emissions to the atmosphere. Control devices typically used in this industry are carbon adsorbers, condensers and incinerators. Tightly fitting covers on coating preparation equipment may be considered both capture and control devices, because they can be used either to direct emissions to a desired point outside the equipment or to prevent potential emissions from escaping. Carbon adsorption units use activated carbon to adsorb VOCs from a gas stream, after which the VOCs are desorbed and recovered from the carbon. Two types of carbon adsorbers are available, fixed bed and fluidized bed. Fixed bed carbon adsorbers are designed with a steam-stripping technique to' recover the VOCs and to regenerate the activated carbon. ' The fluidized bed units used in this industry are designed to use nitrogen for VOC vapor recovery and carbon regeneration. Both types achieve typical iVOC control efficiencies of 95 percent when properly designed, operated arid maintained, ~ Condensers control VOC emissions by cooling the solvent-laden gas to the dew point of the solvent(s) and then collecting the droplets. There are two condenser designs commercially available, nitrogen_(inert gas) atmosphere and air atmosphere. These systems differ in the design and operation of the drying oven (i. e., use of nitrogen or air in the oven) and in the method of cooling the. solvent-laden air (i. e., liquified nitrogen or refrigeration). Both design types can achieve VOC control efficiencies of 95 percent. Incinerators control VOC emissions by oxidation of the organic compounds into carbon dioxide and water. Incinerators used to control VOC emissions may be of thermal or catalytic design and may use primary or secondary heat recovery to reduce fuel costs. Thermal incinerators operate at approximately 890\u00b0C (1600\u00b0F) to assure oxidation of the organic compounds. Catalytic incinerators operate in the range of 400\u00b0 to 540 \u00b0:C (750\u00b0 to 1000\u00b0F) while using a catalyst to achieve comparable oxidation 'of VOCs. Both design types achieve a typical VOC control efficiency of 98 percent. Tightly fitting covers control VOC emissions from coating preparation equipment by reducing evaporative losses. The parameters affecting the efficiency .of. these controls are solvent vapor pressure, cyclic temperature change, tank size, and product throughput. A good system of tightly fitting covers on coating preparation equipment reduces emissions by as much as 40 percent. Control efficiencies of 95 or 98 percent can be obtained by venting the covered equipment to an adsorber, condenser .or incinerator. 4.2.2.13-4 EMISSION FACTORS ; 9\/90 ------- _ J5?n'.the efficiencies of a Capture device and control device are known the, efficiency of the control system can be computed by the following equation: ; \u00b0 capture control device '. control system efficiency x efficiency \" efficiency The terms of this equation are fractional efficiencies rather than percentages. For instance, a system of hoods delivering 60 percent of VOC emissions to a 90 percent efficient carbon adsorber would have control system efficiency of 54 percent (0.60 X 0.90 - 0.54). Table 4.2.2.13-1 summarizes control system efficiencies, which may be used to estimate emissions in the absence of measured data on equipment and coating operations. TABLE 4.2.2.13-1. TYPICAL OF CONTROL EFFICIENCIES3 Control technology : Control Efficiencyb Coating Preparation Equipment Uncontrolled ] n Tightly fitting covers - - - ^ Sealed covers with : . . carbon adsorber\/condenser 95 Coating Operation01 - - \u2022- \u2022 \u2022 - -- '..'-\".\"- - :,\u2014, . -, Local ventilation with carbon adsorber\/condenser 83 Partial enclosure with carbon adsorber\/condenser \u2022 oy Total enclosure with carbon adsorber\/condenser 93 Total enclosure with incinerator 95 aReference b 'To be applied to uncontrolled emissions from indicated process area, not from entire plant. ; Includes coating application\/flashoff area and drying oven. _ Emission Estimation Techniques1'3\"9 - In this industry, realistic emission estimates require solvent consumption data. The variations found in coating formulations, line speeds* and products mean that no reliable inferences can be made otherwise. Evaporation Loss Sources 4.2.2.13-5 ------- In uncontrolled plants and in those where VOGs are recovered for reuse or sale, plantwide emissions can be estimated by performing a liquid material balance based on the assumption that all solvent purchased replaces that which has been emitted. Any identifiable and quantifiable side streams should be subtracted from this total. The liquid material balance may be performed Using the following general formula: solvent quantifiable VOG purchased \" solvent output = emitted The first term encompasses all solvent purchased, including thinners, cleaning agents, and any solvent directly used in coating formulation. From this . total, any quantifiable solvent outputs are subtracted. Outputs may include reclaimed solvent sold for use outside the planp or solvent contained in waste streams. Reclaimed solvent that is reused at the plant is not subtracted. The advantages, of this method are that it is based on data that are usually readily available, it reflects actual operations rather than theoretical steady state production and control conditions, and it includes emissions from all sources at the plant. Care should be taken not to apply this method over too short a time span. Solvent purchase, production and waste removal occur in cycles which may not coincide exactly. Occasionally, a liquid material balance may be possible on a scale smaller than the entire plant. Such an approach may be feasible for a single coating line or group of lines, if served by a dedicated mixing area and a dedicated control and recovery system. In this case, the computation begins with total solvent metered to the mixing area, instead of with solvent purchased. Reclaimed solvent is subtracted from this volume, whether or not it is reused on the site. Of course, other solvent input and output streams must be accounted, as previously indicated. The difference between total solvent input and total solvent output is then taken to be the quantity of VOCs emitted from the equipment in question. ; Frequently, the configuration of meters, mixing areas, production equipment, and controls will make\"the liquid material balance approach impossible. In cases where control devices des.troy potential emissions, or where a liquid material balance is inappropriate for other reasons, plantwide emissions can be estimated by summing the emissions calculated for specific areas of the plant. Techniques for these calculations are presented below. Estimating VOC emissions from a coating operation (application\/flashoff area and drying oven) starts with the assumption that the uncontrolled emission level is equal to the quantity of solvent contained in the coating applied. In other words, all the VOC in the coating evaporates by the end of the drying process. Two factors are necessary to calculate the quantity of solvent applied, solvent content of the coating and the quantity of coating applied. Coating solvent content can be either directly measured using EPA Reference Method 24 or estimated using coating formulation data usually available from the plant owner\/operator. The amount of coating applied may be directly metered. If it is. not, it must be determined from production data. These data should be 4.2.2.13-6 EMISSION FACTORS 9\/90 ------- available from the plant owner\/operator. Care should be taken in developing these two factors to assure that they are in compatible units. In cases where plant-specific data cannot be obtained, the information in Table 4 2.2 13-2 may be useful in approximating the quantity of solvent applied. When an estimate of uncontrolled emissions is obtained, the controlled emissions level is computed by applying a control system efficiency factor: (uncontrolled VOC) x (1-control system efficiency) = (VOC emitted). TABLE 4.2.2.13-2. SELECTED COATING MIX PROPERTIES*1 Parameter Unit Range Solids VOC Density of coating Density of coating solids Resins\/binder Magnetic particles weight % volume % weight % volume % kg\/1 lb\/gal kg\/1 . . lb\/gal weight % of' s olids weight % of solids 15-50 10-26 50-85 74-90 1.0-1.2 8-10 Density of magnetic material Viscosity Coating thickness Wet Dry kg\/1 lb\/gal Pa-s lb \/urn mil mil 2.8-4.0 23-33 15-21 66-78 1.2-4.8 10-40 2.7-5.0 0.06-0.10 3.8-54 0,15-2.1 1.0-11 0.04-0.4 Reference 9. To be used when plant-specific data are unavailable. As previously explained, the control system efficiency is the product of the efficiencies of the capture device and.of the control device. If these values are not known, typical efficiencies for some combinations of capture and 9\/90 Evaporation Loss Sources 4.2.2.13-7 ------- control devices are presented in Table 4.2.2.13:-!. It is important to note that these control system efficiencies apply only to emissions that occur within the areas serviced by the systems. Emissions from sources such as process wastewater or discarded waste coatings may not be controlled at all. In cases where emission estimates from the mixing area alone are desired, a slightly different approach is necessary. Here, uncontrolled emissions will consist of only that portion of total solvent that evaporates during the mixing process. A liquid material balance across the mixing area (i.e., solvent entering minxis solvent content of coating applied) would provide a good estimate. In the absence of any measured value, it may be assumed, very approximately, that 10 percent of the total solvent entering the mixing area is emitted during the mixing process. When an estimate of uncontrolled mixing area emissions has been made, the controlled emission rate can be calculated as discussed previously. Table 4.2.2.13-1 lists typical overall control efficiencies for coating mix preparation equipment. Solvent storage tanks of the size typically found in this industry are regulated by only a few states and localities. Tank emissions are generally small (130 kilograms per year or less). If an emissions estimate is desired, it can be computed using the equations, tables and figures provided in Section 4.3.2. References For Section 4.2.2.13 . .- 1. Magnetic Tape Manufacturing Industry - Background Information For Proposed Standards. EPA-450\/3-85-029a., U. \u2022 S. Environmental Protection Agency, Research Triangle Park, NC, December 1985. 2. Control of Volatile Organic Emissions From Existing Stationary Sources - Volume II: Surface Coating Of Cans. Coils. Paper. Fabrics. Automobiles. And Light Duty Trucks. EPA 450\/2-77-008, tl. S. Environmental Protection Agency, Research Triangle Park, NG, May 1977. 3. C. Beall, \"Distribution Of Emissions Between Coating Mix Preparation Area And The Coating Line\", Memorandum file, Midwest Research Institute, Raleigh, NC, June 22, 1984. . ' 4. C. Beall, \"Distribution Of Emissions Between Coating Application\/ Flashoff Area And Drying Oven\", Memorandum to file, Midwest-Research Institute, Raleigh, NC, June 22, 1984 ! 5. Control Of Volatile Organic Emission From;Existing Stationary Sources - Volume I: Control Methods For Surface-coating Operations. EPA-450\/2-76- 028, U. S. Environmental Protection Agency, Research Triangle Park, NC, November 1976\". \" ,_-,_- 6. G. Crane, Carbon Adsorption For VOG Control. U. S. Environmental Protection Agency, Research Triangle Park, NC, January 1982. 4.2.2.13-8 EMISSION FACTORS 9\/90 ------- D Mascone, \"Thermal Incinerator Performance For NSPS\", Memorandum, Office Of Air Quality Planning And Standards, U. S. Environmental Protection Agency, Research Triangle Park, NG, June 11, 1980. 8. D. Mascone, \"Thermal Incinerator Performance For NSPS, Addendum\" Memorandum, Office Of Air Quality Planning And Standards U S ' Environmental Protection Agency, Research Triangle Park, NC, June 22, 9. C. Beall, \"Summary Of Wonconfidential Information On U. S Magnetic Tape Coating Facilities\", Memorandum, with attachment, to file, Midwest Research Institute, Raleigh, NC, June 22, 1984. 9\/90 Evaporation Loss Sources 4.2.2.13-9 ------- ------- 4.2.2.14 Surface Coating Of Plastic Par1;s For Business Machines 4.2.2.14.1 General1-2 Surface coating of plastic parts for business machines is defined as the process of applying coatings to plastic business machines parts to improve the appearance of the parts, to protect the parts from physical or chemical stress, and\/or to attenuate electromagnetic interference\/radio frequency interference (EMI\/RFI) that would otherwise pass through plastic housings. Plastic parts for business machines are synthetic polymers formed into panels, housings, bases, covers, or other business machine components. The business machines category includes items such as typewriters, electronic computing devices, calculating and accounting machines, telephone and telegraph equipment, photocopiers and miscellaneous office machines. The process of applying an exterior coating to a plastic part can include surface preparation, spray coating, and curing, with each step possibly being repeated several times. Surface preparation may involve merely wiping off the surface, or it could involve sanding and puttying to smooth the surface. The plastic parts are placed on racks or trays, or are hung on racks or hooks from an overhead conveyor track for transport among spray booths, flashoff areas and ovens. Coatings are sprayed onto parts in partially enclosed booths. An induced air flow is maintained through the booths to remove overspray and to keep solvent concentrations in the room air at safe levels. Although low temperature bake ovens (140\u00b0 F or less) are often used to speed up the curing process, coatings also may be partially or completely cured at room temperature. Dry filters or water curtains (in water wash spray booths) are used to remove overspray particles from the booth exhaust. In waterwash spray booths, most of the insoluble material, is collected as sludge, but some of this material is dispersed in the water along with the soluble overspray components. Figure 4.2.2.14-1 depicts a typical dry filter spray booth, and Figure 4.2.2,14-2 depicts a typical water wash spray booth. Many surface coating plants have only one manually operated spray gun per spray booth, and they interchange spray guns according to what type of coating is to be applied to the plastic parts. However, some larger surface coating plants operate several spray guns (manual or robotic) per spray booth, because coating a large volume of similar parts on conveyor coating lines makes production more efficient. Spray coating systems commonly used in this industry fall into three categories, three coat, two coat, and single coat. The three coat system is the most common, applying a prime coat, a color or base coat, and a texture coat. Typical dry film thickness for the three coat system ranges from 1 to 3 mils for the prime coat, 1 to 2 mils for the color coat, and 1 to 5 mils for the texture coat. Figure 4.2.2.14-3 depicts a typical conveyorized coating line using the three-coat system. The conveyor line consists of three separate spray booths, each followed by a flashoff (or drying) area, all of 9\/90 Evaporation Loss Sources 4.2.2.14-1 ------- \u00a7\u2022 S !\u00a7 4.2.2.14-2 EMISSION FACTORS' 9\/90 ------- 9\/90 Evaporation Loss Sources 4.2.2.14-3 ------- which is followed by a curing oven. A two coat system applies a color or base coat, then a texture coat. Typical dry film thickness for the two coat system is 2 mils for the color (or base) coat and 2 to 5 mils for the texture coat. The rarely used single coat system applies only a thin color coat, either to protect the plastic substrate or to improve color matching between parts whose color and texture are molded in. Less coating solids are applied with the single coat system than with the other systems. The dry film thickness applied for the single coat system depends on the function of the coating. If protective properties are desired, the dry film thickness must be at least 1 mil (.001 inches). For purposes of color matching among parts having molded-in color and texture, a dry film thickness of 0.5 mils or less is needed to avoid masking the molded-in texture. The process of applying 0.5 mils of coating or less for color matching is commonly known as \"fog coating\", \"mist coating\", or \"uniforming\". The three basic spray methods used in this industry to apply decorative\/exterior coatings are air atomized spray, air-assisted airless spray, and electrostatic air spray. Air atomized spray is the most widely used coating technique for plastic business machine parts. Air-assisted airless spray is growing in popularity but is still not frequently found. Electrostatic air spray is rarely used, because plastic parts are not conductive. It has been used to coat parts that have been either treated with a conductive sensitizer or plated with a thin film of metal. Air atomized spray coating uses compressed air, which may be heated and filtered, to atomize the coating and to direct the spray. Air atomized spray equipment is compatible with all coatings commonly found on plastic parts for , business machines. Air-assisted airless spray is a variation o.f'airless spray, a spray technique used in other industries. In airless spray coating, the coating is atomized without air by forcing the liquid coating through specially designed nozzles, usually at pressures of 7 to 21 megapascals (MPa) (1,000 to 3,000 pounds per square inch). Air-assisted airless spray atomizes the coating by the same mechanism as airless spray, but at lower fluid pressures (under 7 MPa). After atomizing, air is then used to atomize the coating further and to help shape the spray pattern, reducing overspray to levels lower than those achieved with airless atomization alone. Figure 4.2.2.14-4 depicts a typical air-assisted airless spray gun. Air-assisted airless spray has been used to apply prime and color coats but not texture coats, because the larger size of the sprayed coating droplet (relative to that achieved by conventional, air atomized spray) makes it difficult to achieve the desired surface finish quality for a texture coat. A, touch-up coating step with air atomized equipment is sometimes necessary to apply color to recessed and louvered areas missed by air-assisted airless spray. In electrostatic air spray, the coating is, usually charged electrically, and the parts being coated are grounded to create an electric, potential between the coating and the parts. The atomized coating is attracted to the part by electrostatic force. Because plastic is an insulator, it is necessary to provide a conductive surface that can bleed off the electrical charge to maintain the ground potential of the part as the charged coating particles accumulate on the surfaces. Electrostatic air spray, has been demonstrated for application of prime and color coats and has been1used to apply texture coats, 4.2.2.14-4 EMISSION FACTORS 9\/90 ------- fa OS S3 I a SI CO CO l-l s o S s 8 o z a M \u00ab5 iSiS -39-Si ft en 3 .1 i 3 * 2 \u00ab-4 CNJ H \u00ab* 9\/90 Evaporation Loss Sources 4.2.2.14-5 ------- Figure 4.2.2.14-4. Typical air assisted airless spray gun.5 but this technique does not function well with the large size particles generated for the texture coat, and it offers no.substantial improvement over air atomized spray for texture coating. A touch-up coating step with air atomized spray is sometimes necessary to apply color and texture to recessed and louvered areas missed by electrostatic spray. The coatings used for decorative\/exterior coats are generally solvent- based and waterborne coatings. Solvents-used include toluene, methyl ethyl ketone, methylene chloride, xylene, acetone and isopropanol. Typically, organic solvent-based coatings used for decorative\/exterior coats are two types of two-component catalyzed urethanes. The isolids contents of these coatings are from 30 to 35 volume percent (low solids) and 40 to 54 volume percent (medium.solids).-at.the spray gun (i.e., at the,_point of application, or as applied). Waterborne decorative\/exterior coatings typically contain no more than 37 volume percent solids at the gun. Other decorative\/exterior coatings being used by the industry include solvent-based high solids coatings (i.e., equal to or greater than 60 volume percent solids) and one-component low solids and medium solids coatings. The application of an EMI\/RFI shielding coat is done in a variety of ways. About 45 percent of EMI\/RFI shielding applied to plastic parts is done by zinc-arc spraying, a process that does not emit volatile organic compounds (VOG). About 45 percent is done using organic solvent-based and waterborne metal-filled coatings,, and the remaining EMI\/RFI shielding is achieved by a variety of techniques involving electroless plating, and vacuum metallizing or sputtering (defined, below), and'use of conductive plastics, and metal inserts. Zinc-arc spraying is a two-step process in which the plastic surface (usually the interior.of a housing) is first roughened by sanding or grit blasting and then sprayed with molten zinc. Grit, blasting and zinc-arc spraying are performed in separate booths specifically equipped for those activities. Both the surface preparation and the zinc-arc spraying steps currently are performed manually, but robot systems have recently become available. Zinc-arc spraying requires a spray booth, a special spray gun, pressurized air and zinc wire. The zinc-arc spray gun mechanically feeds two zinc wires into the tip of the spray gun, where they are melted by an electric 4.2.2.14-6 EMISSION FACTORS 9\/90 ------- arc. A high pressure air nozzle blows the molten zinc particles onto the surface of the plastic part. The coating thickness usually ranges from 1 to 4 mils, depending on product requirements. Conductive coatings can be applied with most conventional spray equipment used to apply exterior coatings. Conductive coatings are usually applied manually with air spray guns, although air-assisted airless spray guns are sometimes used. Electrostatic spray methods can not be used because of the high conductivity of EMI\/RFI shielding coatings. Organic solvent-based conductive coatings contain particles of nickel, silver, copper or graphite, in either an acrylic or an urethane resin. Nickel-filled acrylic coatings are the most frequently used, because of their shielding ability and their lower cost. Nickel-filled acrylics and urethanes contain from 15 to 25 volume percent solids at the gun. Waterborne nickel- filled acrylics with between 25 and 34 volume percent solids at the gun (approximately 50 to 60 volume percent solids, minus water) are less frequently used than,ares organic-solvent-based conductive coatings. The application of a conductive coating usually involves three steps: surface preparation, coating application, and curing. Although the first step can be eliminated if parts are kept free of mold-release agents and dirt, part surfaces are usually cleaned by wiping with organic solvents or detergent solutions and then roughened by light sanding. Coatings are usually applied to the interior surface of plastic housings, at a dry film thickness of 1 to 3 mils. Most conductive! coatirigs can be cured at room temperature, but some must be baked in an oven. . . . \u2014 \u2022 \u201e.., Electroless plating is a dip process iti which a film of metal is deposited in aqueous solution onto all exposed surfaces of the part. In the case of plastic business! machine housings, both sides of a housing are coated. No VOC emissions are associated with the plating process itself. However, coatings applied before the plating step, so that only selected areas of the parts are plated, may emit VOCs. Wastewater treatment may be necessary to treat the spent plating chemicals. Vacuum metallizing and sputtering are iSimilar techniques in which a thin film of metal (usually aluminum) is deposited from the vapor phase onto the plastic part. Although no VOC emissions occur during the actual metallizing process, prime coats often applied to ensure good adhesion and top coats to protect the metal film may both emit VOCs Conductive plastics are thermoplastic resins that contain conductive flakes or fibers of materials such as aluminum, steel, metallized glass or carbon. Resin types currently available with conductive fillers include acrylonitrile butadiene styrene, acrylonitrile butadiene styrene\/polycarbonate blends, polyphenylene oxide, nylon 6\/6, polyvinyl chloride, and polybutyl terephthalate. The conductivity, and therefore the EMI\/RFI shielding effectiveness, of these materials relies on contact or near contact between the conductive particles within the resin matrix. Conductive plastic parts usually are formed by straight injection molding. Structural foam injection molding can Iceduce the EMI\/RFI \"shie'ld effectiveness' of these materials because air pockets in the foam separate the conductive particles. 9\/90 Evaporation Loss Sources 4.2.2.14-7 ------- 4.2.2.14.2 Emissions And Controls The major pollutants from surface coating of plastic parts for business machines are VOC emissions from evaporation of organic solvents in the coatings used, and from reaction byproducts when the coatings cure. VOG sources include spray booth(s), flashoff area(s),:and oven(s) or drying areas(s). The relative contribution of each to total VOC emissions from a from plant to plant, but for an average coating operation, about 80 percent is emitted from the spray booth(s), 10 percent from the flashoff area(s), and 10 percent from the oven(s) or drying area(s). ; Factors,affecting the quantity of VOC emitted are the VOC content of the coatings applied, the solids content of coatings as applied, film build (thickness of the applied coating), and the transfer efficiency (TE) of the application equipment. To determine of VOC emissions when waterborne coatings are used, it is necessary to know the amounts of VOC, water and solids in the coatings. \u00ab The TE is the fraction of the solids sprayed;that remains on a part. TE varies with application technique and with type of coating applied. Table 4.2.2.14-1 presents typical TE values for various application methods. TABLE 4.2.2.14-1. TRANSFER EFFICIENCIES1 Application methods Transfer efficiency Type of coating Air atomized spray Air-assisted airless spray Electrostatic air spray 25 40 40 Prime, color, texture, touchup and fog coats Prime, color coats Prime, color coats \"As noted in the promulgated standards, values are presented solely to aid in determining compliance with the standards and may not reflect actual TE at a given plant. For this reason, table should be used with caution for estimating VOC emissions from any hew facility. For a more exact estimate of emissions, the actual TE from specific coating operations at a given plant should be used.1 Volatile organic compound emissions can be reduced by using low VOC-content coatings (i.e., high solids or waterborne coatings), using- surface finishing techniques that do not emit VOC, improved TE, and\/or added controls. Lower VOC content decorative\/exterior coatings include high solids-content (i.e., at least 60 volume percent solids at the spray gun) two-component catalyzed urethahe coatings arid,waterborne \"coatings (iVe.\", \"37 volume percent solids and 12.6 volume percent VOC at the spray gun). Both of these types of exterior\/decorative coatings contain less VOC than conventional urethane 4.2.2.14-8 EMISSION FACTORS 9\/90 ------- \"5 &\u2022- g,5 \u2022S \u00a7 \u2022s to ~-r w o o o o o o t\u2014 <\u2014 i es CD ^** VQ ^ C3 tr> oo oo vo <=> o o o c Sf- CO UD <=> ID ^D CO \u00ab. oo vii P~ \u00ab-~ \u2014 \u2014 \u2014 Ir*- O3 CP> ^ CO O^ vo co i\u2014 i cr> CO *& en CO r-l O l\u00a3> \u00a3-. CM CM t^\u00bb CO CTt t-l CO CO CM i\u2014) C4-I \u2022-; en '\u2022\u00a3 ca w co \u00ab co -o O \"-I K> JS o to \u2022\u2014 i 13 e \u20223 O \u00ab-! C O3 .-1 CO .\u2014 1 e \u2022\u2014 t o \u2022^ o \u2022 OT en o CQ 8 w x fi s -^-i \u2022\u2022i .1-1 c3 \u2022*-> S - - - CO W ' \u2022S-'SS \"1 W --I - \" .*3 13 ty> ^- T3 O SSI W \u2014- 1 O a3 w w g co en ^ CO s en en -t-\u00bb -t-> <5 <3 \u2022=- \u2014 .3 .E5 -a co e co co E= S S II II H 9\/90 Evaporation Loss Sources 4.2.2.14-9 ------- 8 .8 5 S \u2022 \u2014I .-H a 'S'S 8 4.2.2.14-10 EMISSION FACTORS 9\/90 ------- X g< 8 IS g EH \u00a3 o I-H EH L l| Is w 25. S\u00bb h- 1 iH \u00a7 i CO r-l C>3 CS1 1 \u2022d CD s co2a 3 S g \u00bb\u2014 > C_J if g-s \u2022Is \u00a7 \"\u00ab C-J O \"cT M >1 CO ft) CO CD C N 3 ^}* VD OO C^- \"S1 CO r\"~i io ^\" CT\u00bb O .t-i >s ^ 8-&=) S \u2022\u00bb-J QTl N. CX4 \u20223 -S g^en w co -a s c p <-; t-i ^^ o O \u2022gn -fe \u2022\" S c a g sr i \u201e :\u201e o ^j* *a* c=> ^\u00ab C\"^ tO ^^3 CD C^ ^^ *!J* C^] t^- CO *3* t\u2014 1 I\u2014 1 So\" ITH\"\u00ae* o1* p3 CTI 5S cn pi CQ O W 8 IcS (O \u2022fH >t3 S *n3 S C3 O ^\u2014 I \u2022\u2014 i ^-* ---^..^-t S-i \u2022-- -' \u2014 O O W Q> HH '\u2022(-> -=l 9\/90 Evaporation Loss Sources 4.2.2.14-11 ------- CM CM \u00a7 \u2022s- 33 \u20228 -g W ! \u2022g \u2014\u2022 ^ \u00abf\u2014i *a S ^-t 9 B 5 -H OB g.&.a s S3 a^ ff*fftf>&J?-Sfi 4.2.2.14-12 EMISSION FACTORS 9\/90 ------- i I 1 and CM CM \"-H t-. C3 oo CM ^ T-i t\u20141 OO CM CTl CM \u2022\u2022 t\u2014 i\u2014i as CM_ CM t\u2014 oo \u00ab\u2014i m \u00ab-i \u2022-< S. oo C=> r-< CD \\^ CD CD -S \u00ab Vt \u2022O r-* 13 en Q \"-t C 11 ^ SI \u00ab llill \\o OO SCO 00 <*\u2022*\u00ab=!\u2022 \u2022 OO oo <\u2122i tn cs t-< U3 CO \u2022\u2022-! C \u2022a 33 PQ co E \u00bb\u2014 .H o e K \u00ab-H C3 \u00ab-J C3 >S CS CO *a \u2022\u2022\"* o^ o en-t-1 t3 x S \u00abS \u2022-< O) .H \u2022S \"o 0? \u00ae w 31 s a \"H ^ \u2014 1 \"- to 9\/90 Evaporation Loss Sources 4.2.2.14-13 ------- CM CM I CO S3' g1 <=\u2022 a S O en :> i \u00a7 .8* I <*H S s 3 CM CM S \u2022\u00a7, 1 I \u2022 s .1 3 \u2022a en U s as <\u00ab-< g O II II Ed-i-3 R3 Q O \u2022\u00a3> o g to ig CM \u2022\"^ II II 1 \u2022J-j \"-J \"j W 'S'g -35 co w E5 ^^ c^ <^ <^> W S o *J 42 C S. O J=3 43 O co . en \u2022\u2022-! ja fS \u2022 CM O JO> \u2022 CM O CD > e \u00aba* co in to C f\u2014 fg .8 \u2014i c S1 c i 3 \u00ab\u2022\u00a7 -a -3 5 II S O O - H X O O U en 5 sf ^ u \u00a33 o ' OJ p 5-5 O 8 8 S o o o s g g 4.2.2.14-14 EMISSION FACTORS 9\/90 ------- &\u00a3!**\u2022 ' QJ rt3 g s| 5 i\u2014 i CO \u00a3-< JV t ^\u00bbj O *\u2014) \u00a73 S CO ss O P5 S \u00a7 \u00a7\u00a7 CO g co S 5= 0 E3 EH \u2022 CO in ss \u2022sf 1\u2014 1 \u00ab-H E-< CM 3 H\u00a7 cb C*3 53 pQ E*< S 55 E-i O \u00ab-? \u00a3 \"tr> W O 'e 1 o 3 t\u00ab-> ^5 o >\u2022 $-1 S-i Cr> M \u2022s V *& \" *\u2022 ' \"\u2022\" \u2022\u2022 s \u2022 ^H \u2022H 2 ^71 O \"H H 8 8 -+j *o \u00a7 \u00a7 CLi CO Scoca*3 cn'\u00ab4<\u00ab!j'cD CD CD CD CO P^ t-H CD CO r-t t*~ in CTl CD <=> CM in CD CO CO CD in co CM r\u2014 in VD CM i\u2014 1 IT! CT\u00bb IT) un CM i\u2014 ic\u2014 in CD \u00ab~ir-incD in CM CD in CM CD CD CD CD \u00ab CD CD \u2022O 1=> o .S ' \"^ \u2022 5 ' \u2022 11 ' 1 i, O \u00a33 \u2022 \u2022 OB O\"i *O '. cn *o B \u00ab\u2014 1 C3 \u2022\u2014 ( *O *S ^Oi ''O \"S ^O^ *3 \"w \u00ab5 o w .S '^ g g '4 g g g g- g. g j5f g! S- \u00ae '^ \u00a3r ^ '-3 1 2 i~2 11 'ffe *T\"1 Q r\u2014t \u00ab*r\"t O CttJ \u2022^i w 3 o .I-H to S tj O M t\u2014 t co OS-^H- IfO t\u2014 i !S CD C3 S SI C7> \u00a3~ & CD CO ?\u00a3\u00ab ^1\" <\u2014 1 <-H CD CD VJD CO CO r=! CO i-H \u00bb-l ^a1 co CM \u00abH \u00ab* CM CM ID t-l t\u2014 1 i\u2014 l r\u2014 in CD in CM o CD CD CD t^ o> o .S %-> c> O cri O p* 0*3 *o .S^o^ QJ to \"H !c >\u2014 i hH* -3 CO -J3 OT S-i ilg? O S-i t-* S ------- 03 1 \u2022\u00a7 O i OJ 01 \u2022*, a II w i g fc I5 I 3 B ^3$\u00a3 ^ T3 . H ^ -M ^\u2022g. \u00a7r=> O Cn&& 0)3 \"J 5.^=0 CO Cn CT\u00bbCO II- 1=1 - 11 e e ^ -S c\" H1 \u00b0 (3 <8 *^H *^H tm .S s s 43 <-; rrt H-l M ^ CM ** I W s- 4.2.2.14-16 EMISSION FACTORS 9\/90 ------- coatings, which are typically 32 volume percent solids at the gun. Lower VOG content EMI\/RFI shielding coatings include organic solvent-based acrylic or urethane conductive coatings containing at least 25 volume percent solids at the spray gun and waterborne conductive coatings containing 30 to 34 volume percent solids at the gun. Use of lower VOG content coatings reduces emissions of VOCs both by reducing the volume of coating needed to cover the part(s) and by reducing the amount of VOC in the coatings that are sprayed. The major technique which provides an attractive exterior\/decorative finish on plastic parts for business machines yithout emitting VOCs is the use of molded-in color and texture. VOG-free techniques for EMI\/RFI shielding include zinc-arc spraying, electroless plating, the use of conductive plastics or metal inserts, and in some cases, vacuum metallizing and sputtering. Transfer efficiency can be improved by using air-assisted airless or electrostatic spray equipment, which are more efficient than the common application technique (air atomized). More efficient equipment can reduce VOC emissions by as much as 37 percent over conventional air atomized spray equipment, through reducing the amount of coating that must be sprayed to achieve a given film thickness. Addon controls applied to VOC emissions in other surface coating industries include thermal and catalytic incinerators, carbon adsorbers and condensers. However, these control technologies have not been used in the surface coating of plastic parts because the large volume of exhaust air and the low concentrations of VOC in the exhaust reduce their efficiency. The operating parameters in Tables 4.2.2.14-2 and 4.2.2.14-3 and the emissions factors in Tables 4.2.2.14-4 and 4.2.2.14-5 are representative of conditions at-existing plants with similar operating characteristics. The three general sizes of surface coating plants presented in these tables (small, medium and large) are given to assist in making a general estimate of VOC emissions. However, each plant has its own combination of coating formulations, application equipment and operating parameters. Thus, it is recommended that, whenever possible, plant-specific values be obtained for all variables when calculating emission estimates. A material balance may be used to provide a more accurate estimate of VOC emissions from the surface coating of plastic parts for business machines. An emissions estimate can be calculated using coating composition data (as determined by EPA Reference Method 24) and data on coating and solvent quantities used in a given time period by a surface coating operation. Using this approach, emissions are calculated as follows: n X L=i D<4 W\u00b0i - 1 - : where: MT = total mass of VOC emitted (kg) Lc = volume of each coating consumed, as sprayed (\u00a3) De = density of each coating as sprayed (k\/\u00a3) 9\/90 Evaporation Loss Sources 4.2.2.14-17 ------- W0 = the proportion of VOC in each coating, as sprayed (including dilution solvent added at plant) (weight fraction) n = number of coatings applied , References for Section 4.2.2.14 !\u2022 Surface Coating Of Plastic Parts For Business Machines - Background Information for Proposed Standards. EPA-450\/3-85-019a, U. S. Environmental Protection Agency, Research Triangle Park, NC, December 1985. 2. Written communication from Midwest Research Institute, Raleigh, NC, to David Salman, U. S. Environmental Protection Agency, Research Triangle Park, NC, June 19, 1985. ' ' 3. ProtectaireR Spray Booths, Protectaire Systems Company, Elgin, IL, 1982, 4. Sinks* Spray Booths and Related Equipment, Catalog SB-7, Binks Manufacturing Company, Franklin Park, IL, 1982. 5. Product Literature on Wagner* Air Coat* Spray Gun, Wagner Spray .Technology, Minneapolis, MN, 1982. 4.2.2.14-18 EMISSION FACTORS . 9\/90 ------- 5.19 SYNTHETIC FIBER MANUFACTURING 5.19.1 General1\"3 There are two types of synthetic fiber products, the semisynthetics, or cellulosics, (viscose rayon and cellulose acetate) and the true synthetics, or noncellulosics, (polyester, nylon, acrylic and modacrylic, and polyolefin). These six fiber types compose over 99 percent of the total production of manmade fibers in the U. S. 5.19.2 Process Description'-\"6 Semisynthetics are formed from natural polymeric materials such as cellulose. True synthetics are products of the polymerization of smaller chemical units into long chain molecular polymers. Fibers are formed by forcing a viscous fluid or solution of the polymer through the small orifices of a spinneret (see Figure 5.19-1.) and immediately solidifying or precipitating the resulting filaments. This prepared polymer may also be used in the manufacture of other than fiber products, such as the enormous number of extruded plastic and synthetic rubber products.. SPINNING SOLUTION OR DOPE FIBERS Figure 5.19-1. Spinneret. Synthetic fibers (both semisynthetic and true synthetic) are produced typically by two easily distinguishable methods, melt spinning and solvent spinning. Melt spinning processes use heat to melt the fiber polymer to a viscosity suitable for extrusion through the spinneret. Solvent spinning processes use large amounts of organic solvents, which usually are recovered for economic reasons, to dissolve the fiber polymer into a fluid polymer solution suitable for extrusion through a spinneret. The major solvent spinning operations are dry spinning and wet spinning. A third method, 9\/90 Chemical Process Industry 5.19-1 ------- -reaction spinning, is also used, but to a much lesser extent. Reaction spinning processes involve the formation of filaments from prepolymers and monomers that are further polymerized and cross linked after the filament is formed. Figure 5.19-2 is a general process diagram for synthetic fiber production using the major types of fiber spinning procedures. The spinning process used for a particular polymer is determined by the polymer's melting point, melt stability and solubility in organic and\/or inorganic (salt) solvents. (The polymerization of the fiber polymer is typically carried out at the same facility that produces the fiber.) Table 5.19-1 lists the different types of spinning methods with the fiber types produced by each method. After the fiber is spun, it may undergo one or more different processing treatments to meet the required physical, or handling properties. Such processing treatments include drawing, lubrication', crimping, heat ' setting, cutting, and twisting. The finished fiber product may be classified as tow, staple, or continuous filament yarn. TABLE 5.19-1. TYPES OF SPINNING, METHODS AND FIBER TYPES PRODUCED Spinning method Fiber type Melt spinning Polyester Nylon 6 Nylon 66' Polyolefin Solvent spinning_ ...... ....'.... Dry solvent - spinning Cellulose acetate Cellulose triacetate Acrylic '. Modacrylic Vinyon Spandex Wet solvent spinning Acrylic Modacrylic Reaction spinning Sparidex ' Rayon (viscose process) Melt Spinning - Melt spinning uses heat to melt the polymer to a viscosity suitable for extrusion. This type of spinning is used for polymers that are not decomposed or degraded by the temperatures necessary for extrusion. Polymer chips may be melted by a number of methods. The trend is toward melting and immediate extrusion of the polymer chips in an electrically heated screw extruder. Alternatively, the molten polymer is processed in an inert gas atmosphere, usually nitrogen, and is metered through a precisely machined gear pump to a filter assembly consisting of a series of metal gauges interspersed in layers of graded sand. The molten polymer is extruded at high 5.19-2 EMISSION FACTORS . 9\/90 ------- Figure 5.19-2. General process diagram for, melt, wet and dry spun systhetic fibers. 9\/90 Chemical Process Industry 5.19-3 ------- pressure and constant rate through a spinneret into a relatively cooler air stream which solidifies the filaments. Lubricants and finishing oils are applied to the fibers in the spin cell. At the base of the spin cell, a thread guide converges the individual filaments to produce a continuous filament yarn, or a spun yarn, that typically is'composed of between 15 and 100 filaments. Once formed, the filament yarn either is immediately wound onto bobbins or is further treated for certain desired characteristics or end use^ Treatments include drawing, lubrication, crimping, heat setting, cutting, and twisting. Since melt spinning does not require the use of solvents, VOG emissions are significantly lower than those from dry and wet solvent spinning processes. Lubricants and oils are sometimes added during the spinning of the fibers to provide certain properties necessary for subsequent operations, such as lubrication and static suppression. These lubricants and oils vaporize, condense, and then coalesce as aerosols primarily from the spinning operation, although certain post-spinning operations may aljso give rise to these aerosol emissions. Dry Solvent Spinning - The dry spinning process begins by dissolving the polymer in an organic solvent. This solution is blended with additives and is filtered to produce a viscous polymer solution, referred to as \"dope\", for spinning. The polymer solution is then extruded through a spinneret as filaments into a zone of heated gas or vapor. The solvent evaporates into the gas stream and leaves solidified filaments, which are further treated using one or more of the processes described in the general process description section. (See Figure 5.19-3.) This; type of spinning is used for easily dissolved polymers such as cellulose acetate, acrylics and modacrylics. POLYMER SPTOCSLL VOC A EMISSIONS I SOLVENT-LADEN STREAM TO RECOVERY \u2022PRODUCT Figure 5.19-3. Dry spinning. 5'.19-4 EMISSION FACTORS. 9\/90 ------- Dry spinning is the fiber formation process potentially emitting the'\" largest amounts of VOC per pound of fiber produced. Air pollutant emissions include volatilized residual monomer, organic solvents, additives, and other organic compounds used in fiber processing. Unrecovered solvent constitutes the major substance. The largest amounts of unrecovered solvent are emitted from the fiber spinning step and drying the fiber. Other emission sources include dope preparation (dissolving the polymer, blending the spinning solution, and filtering the dope), fiber processing (drawing, washing, crimping) and solvent recovery. Wet Solvent Spinning - Wet spinning also uses solvent to dissolve the polymer to prepare the spinning dope. The process begins by dissolving polymer chips in a suitable organic solvent, such as dimethylformamide (DMF), dimethylacetamide (DMAc), or acetone, as in dry spinning; or in a weak inorganic acid, such as zinc chloride or aqueous sodium thiocyanate. In wet spinning, the spinning solution is extruded through spinnerets into a precipitation bath that contains a coagulant (or precipant) such as aqueous DMAc or water. Precipitation or coagulation occurs by diffusion of the solvent out of the thread and by diffusion of the coagulant into the thread. Wet spun filaments also undergo one or more of the additional treatment processes described earlier, as depicted in Figure 5.19-4. POLYMER PRECffrTATION BATH SOLUTION SOLVENT\/WATER MIXTURE) \u2022PRODUCT SPINNERET Figure 5,19-4. Wet spinning. Air pollution emission points in 'the wet spinning \"organic solvent process are similar to those of dry spinning. Wet spinning processes that use solutions of acids or salts to dissolve the polymer chips emit no solvent VOC, only unreacted monomer, and are, therefore, relatively clean,from an air pollution standpoint. For those that require solvent, emissions occur as solvent evaporates from the spinning bath and from the fiber in post-spinning operations. 9\/90 Chemical Process Industry 5.19-5 ------- Reaction Spinning - As in the wet and dry spinning processes, the. reaction spinning process begins with the preparation of a viscous spinning solution,which is prepared by dissolving a low molecular weight polymer, such as polyester for the production of spandex fibers, in a suitable solvent and a reactant, such as di-isocyanate. The spinning solution is then forced through spinnerets into a solution..containing a diamine, similarly to wet spinning, or is combined with the third reactant and then dry:spun. The primary distinguishable characteristic of reaction spinning processes is that the final cross-linking between the polymer molecule!chains in the filament occurs after the fibers have been spun. Post-spinning steps typically include drying and lubrication. Emissions from the wet and dry reaction spinning processes are similar to those of solvemt wet and dry spinning, respectively. 5.19.3 Emissions And Controls'. For each pound of fiber produced with the organic solvent spinning processes, a pound of polymer is dissolved in about 3 pounds of solvent. Because of the economic value of the large amounts of solvent used, capture, and recovery of these solvents are an integral portion of the solvent spinning processes. At present, 94 to 98 percent of the solvents used in these fiber formation processes is recovered. In both dry and wet spinning processes, capture systems with subsequent solvent recovery are applied most frequently to the fiber spinning operation alone, because the emission stream from the spinning operation contains the highest concentration of solvent and, there- fore, possesses the greatest potential for efficient and economic solvent recovery. Recovery systems used include gas ads.orption, gas absorption, condensation, and distillation and are specific, ,to a particular fiber type or spinning method. For example, distillation is typical in wet spinning processes to recover solvent from the spinning bath, drawing, and washing (see Figure 5.19-8),_while condensers or scrubbers are typical in dry spinning processes for recovering solvent-from the spin cell (see Figures 5.19-6 and 5.19-9). The recovery systems themselves are also a source of emissions from the spinning processes. \u2022 The majority of VOC emissions from pre-spinning (dope preparation, for example) and post-spinning (washing, drawing, crimping, etc.) operations typically are not recovered for reuse. In many instances, emissions from these operations are captured by hoods or complete enclosures to prevent worker exposure to solvent vapors and unreacted monomer. Although already captured, the quantities of solvent released from these operations are typically much smaller ...than...those released during the spinning operation. The relatively high air flow rates required in order to reduce solvent and monomer concentrations around the process line to acceptable health and safety limits make recovery economically unattractive. Solvent recovery, therefore, is usually not attempted. Table 5.19-2 presents emission factors from production of the most widely known semisynthetic and true synthetic fibers. These emission factors address emissions only from the spinning and post-spinning operations and.the associated recovery or control systems. Emissions from the polymerization of the fiber polymer and from the preparation of the fiber^ polymer; f orspinning are not included in these emission factors. While significant emissions occur in the polymerization and related processes, these emissions are discussed in Sections 5.13, \"Plastics\", and 5.20., \"Synthetic Rubber\". 5.19-6 EMISSION FACTORS 9\/90 ------- TABLE 5.19-2. EMISSION FACTORS FOR SYNTHETIC FIBER MANUFACTURING EMISSION FACTOR RATING: C Type of Fiber Rayon, viscose process Cellulose acetate, filter tow Cellulose acetate and triacetate, filament yarn Polyester, melt spun Staple Yarnk Acrylic, dry spun Uncontrolled Controlled Modacrylic, dry spun Acrylic and modacrylic, wet spun Acrylic, inorganic wet spun Homopolymer Copolymer Nylon 6 , melt spun Staple Yarn Nylon 66 , melt spun Uncontrolled Controlled Polyolefin, melt spun Spandex, dry spun Spandex, reaction spun Vinyon, dry spun Nonme thane Volatile Organic s 0 112d 199d,e 0.6f'S 0.05f'\u00a7 40 32m I25g,h \/\u2022 6.75? 2.75\u00a7'r 3.93\u00a7 0.45s 2.13f>t 0.31f'v ..5g..:.\u2014 ., 4.23m 138X 150m Particulate c c : c 25 . 2h> J ! O.OSS'J c : .,..\u00ab?... .... \u2022 - c c c : 0.018 c 0.5U O.lu o.pis c c i c References 7-8,10,35-36 11,37 11,38 41-42 21,43-44 45 19,46 47-48 25,49 26 5,25,28,49 32. 50-51 52 aFactors are pounds of emissions per 1000 pounds of fiber spun, including waste fiber. : \u2014 -.\u00bb.. Uncontrolled carbon disculfide (CS2) emissions are 251 Ib CS2\/1000 Ib fiber spun; uncontrolled hydrogen sulfide emissions are 50.4 Ib H2S\/1000 Ib fiber 9\/90 Chemical Process Industry 5.19-7 ------- TABLE 5.19-2 (CONT.). spun. If recovery of CS2 from the \"hot dip\" stage takes place, CS2 emissions are reduced by about 16%. \u00b0Particulate emissions from the spinning solution preparation area and later stages through the finished product are essentially nil. dAfter recovery from the spin cells and dryers. 'Use of more extensive recovery systems can reduce emissions by 40% or more. eUse of methyl chloride and methanol as the solvent, rather than acetone, in production of triacetate can double emissions. - fEmitted in aerosol form. ^Uncontrolled. .After control on extrusion parts cleaning operations. ^Mostly particulate,, with some aerosols. ^Factors for high intrinsic viscosity industrial and tire yarn production are 0.18 Ib VOC and 3.85 Ib particulate. ! mAfter recovery from spin cells. nAbout 18 Ib is from dope preparation, and about 107 Ib'is from spinning\/post- spinning operations. : PAfter solvent recovery from the spinning, washing, and drawing stages. This factor includes acrylonitrile emissions. An emission factor of 87 lb\/1000 Ib fiber has been reported. ^Average emission factor; range is from 13.9 to 27.7 Ib. rAverage emision factor; range is from 2.04 to 16.4 Ib. sAfter recovery of emissions from the spin cells. Without recovery, emission factor would be 1.39 Ib. Average of plants producing yarn from batch and\u2022continuous polymerization processes. Range is from abut 0.5 to 4.9 Ib. Add 0.1 Ib to the average factor for plants producing tow or staple. Continous polymerization processes average emission rates.approximately 170%. Batch polymerization processes average emission rates approximately 80%. uFor plants with spinning equipment cleaning operations. vAfter control of spin cells in plants with batch and continuous polymerization processes producing yarn. Range:is from 0.1 to 0.6 Ib. Add 0.02 Ib to the average controlled factor for producing tow or staple. Double the average controlled .emission factor for plants using continuous polymerization only; subract 0.01 Ib for plants using batch plymerization only. wAfter control of spinning equipment cleaning operation. xAfter recovery by carbon adsorption from spin cells and post-spinning operations. Average collection efficiency 83%. Collection efficiency of carbon adsorber decreases over 18 month's^\"from'95% to 63%. _ 5.19-8 EMISSION FACTORS \u2022\" \" 9\/90 ------- Examination of VOC pollutant emissions from the synthetic fibers industry has recently concentrated on those fiber production processes that use an organic solvent to dissolve the polymer for extrusion or that use an organic solvent in some other way during the filament forming step. Such processes, while representing only about 20 percent of total industry production, do generate about. 94 percent of totkl industry VOC emissions Participate 'emissions from fiber plants are relatively low, at least an order of magnitude lower than the solvent VOG emissions. 5.19.4 Semisynthetics Rayon Fiber Process Description5-7-10 - In: the United States, most rayon is made by the viscose process. Rayon fibers are made using cellulose (dissolved wood pulp), sodium hydroxide, carbon'disulfide, and sulfuric acid As shown in Figure 5.19-5, the series of chemical reactions in the viscose process used to make rayon consists of the following stages: 1. Wood cellulose and a concentrated solution of sodium hydroxide react to form soda cellulose. 2. The soda cellulose reacts with carbon:disulfide to form sodium cellulose xanthate. : 3. The sodium cellulose xanthate is dissolved in a dilute solution of sodium hydroxide to give a viscose solution. 4. The solution is ripened or aged to complete the reaction. 5. The viscose solution is extruded through spinnerets into dilute sulfuric acid, which regenerates the cellulose in the form of continuous filaments. Emissions And Controls - Air pollutant emissions from viscose rayon fiber production are mainly carbon disulfide (CS2), hydrogen sulfide (H9S) and small amounts of particulate matter. Most CS2 and HoS emissions occur during the spinning and post-spinning processing operations. Emission controls are not used extensively in the rayon fiber industry. A counter- current scrubber (condenser) is used in at least: one instance to recover CS9 vapors from the sulfuric acid bath alone. The emissions from this operation are high enough in concentration and low enough In volume to make such recovery both technically and economically feasible. The scrubber recovers nearly all of the CS2 and H2S that enters it, reducing overall CS7 and HoS emissions from the process line by about 14 percent. While carbon adsorption systems are capable of CS2 emission reductions of up to 95 percent, attempts to use carbon adsorbers have had serious problem's. Cellulose Acetate And Triacetate Fiber Process Description5'11'14 - All cellulose acetate and triacetate fibers are produced by dry spinning. These fibers are used for either cigarette filter tow or filament yarn. Figure 5.19-6 shows the typical process for the production of cigarette filter tow Dried cellulose acetate polymer flakes are dissolved in a solvent, acetone and\/or a chlorinated hydrocarbon in a closed mixer. The spinning solution (dope) is filtered, as it is with other fibers. The dope is forced through spinnerets to form cellulose acetate filaments, from which the solvent rapidly 9\/90 Chemical Process Industry 5.19-9 ------- _ -.Figure-. 5... 1.9.=.5.. ,Rayo.n.-.v.is.c.o.s.e.J.prb,c.ess,,. evaporates as the filaments pass down a spin cell or column. After the filaments emerge from the spin cell, there is a residual solvent content which continues to evaporate more slowly until equilibrium is attained. The filaments then undergo several post-spinning operations before they are cut and baled. In the production of filament yarn, the same basic process steps are carried out as for filter tow, up through and including the actual spinning of the fiber. Unlike filter tow filaments, however, filaments used for filament yarn do not undergo the series of post-spinning operations shown in Figure 5.19-6, but rather are wound immediately onto bobbins as they emerge from the spin cells. In some instances, a slight twist is given to the filaments to meet product specifications. In another area, the wound filament yarn is subsequently removed from the bobbins and wrapped on beams or cones (referred to as \"beaming\") for shipment. .... , ... f ..,,,...,,....,.. Emissions And Controls - Air pollutant emissions from cellulose acetate fiber production include solvents, additives andBother organic compounds used in fiber processing. Acetone, methyl ethyl ketone and methanol are the only solvents currently used in commercial production,of cellulose acetate and triacetate fibers. - In the production of all cellulose acetate fibers, i.e., tow, staple, or filament yarn, solvent emissions occur during dissolving of the acetate .flakes,. .blending and filtering of the dope, spinning of the fiber, processing of the fiber after spinning, and the solvent recovery process. The largest emissions of solvent occur during spinning and processing of the fiber. Filament yarns are typically not dried as thoroughly in the spinning cell as are tow or staple yarns. Consequently, they contain larger amounts of residual solvent, which evaporates into the spinning room: air where the filaments are 5.19-10 EMISSION FACTORS 9\/90 ------- FILTRATION t { VOC EMISSIONS 7 7 y nuuTMe \u00bb DRYING CUTTING BALING Figure 5.19-6. Cellulose acetate and triacetate filter tow. wound and into the room air where the wound yarn is subsequently transferred to beams. This residual solvent continues to eyaporate for several days until an equilibrium is attained. The largest emissions occur during the ,.spLnning_.pf. the, fiber and the._.empora.tio.n..o.f...the..res.idual .solvent...from ..the- wound and beamed filaments. Both processes also emit lubricants (various vegetable and mineral oils) applied to .the fiber after spinning and before \u2022 winding, particularly from the dryers in the cigarette filter tow process. VOC control techniques,are primarily...carbon adsorbers and scrubbers. '\" They are used to control and recover solvent emissions from process gas streams from the spin cells in both the production of cigarette filter tow and filament yarn. Carbon adsorbers also are used to control and recover solvent emissions from the dryers used in the production of cigarette filter tow. The solvent recovery efficiencies of these recovery;systems range-from 92 to 95 percent. Fugitive emissions from other post-spinning operations, even though they are a major source, are generally not controlled. In at least one instance however, an air management system is being used in which the air from the dope preparation and beaming areas is combined at carefully controlled rates with the spinning room air which is used to provide the quench air for the spin cell. A fixed amount of spinning room air is then combined with the' process gas stream from the spin cell and this mix is vented to the recovery system. , 5.19.5 True Synthetic Fibers : Polyester Fiber Process Description5,11,15-17 . Polyethylene terepthalate (PET) polymer is produced from ethylene glycol and either dimethyl terepthalate (DMT) or terepthalic acid i(TPA). Polyester filament yarn and staple are manufactured either by direct melt spinning of molten PET from the polymerization equipment or by spinning reheated polymer chips. Polyester fiber spinning is done almost exclusively with extruders.which feed 9\/90 Chemical Process Industry 5.19-11 ------- the molten polymer under pressure through the spinnerets. Filament solidification is induced by blowing the filaments with cold air at the top of the spin cell. The filaments are then led down the spin cell through a fiber finishing application, from which they are gathered into tow, hauled off and coiled into spinning cans. The post-spinning processes, steps 14 through 24 in Figure 5.19-7, usually take up more time and space and may be located far from the spinning machines. Depending on the desired product, post-spinning \u2022 operations vary but may include lubrication, drawing, crimping, heat setting, and stapling. 1 Chips 2 Dryer 3 Extruder * 4 Or direct spinning, spinning manlloM 5 Filtration 6 Spinneret 7 Conventional haul-off 8 Blowing air 9 Spinning shall, solidification 10 Finish application 11 Tow 12 Haul-off unit 13 Fibre can 14 Can creel 15 Finish IB Drawing 17 Heating zone 18 (setting) 19 Crimping 20 Tow 21 Stapling (letting) 24 22 Flocks 23 Bale press 24 Carton lining Figure 5.19-7. Polyester production. \";\/\"' \" Emissions And Controls - Air pollutant emissions from polyester fiber production include polymer dust from drying\" operations, \"volatilized'residual monomer, fiber lubricants (in the form of fume or oil smoke), and the burned polymer and combustion products from cleaning the spinning equipment. Relative to the solvent spinning processes, the melt spinning of polyester fibers does not generate significant amounts of volatilized monomer or polymer, so emission control measures typically are not used in the spinning area. Finish oils that are applied in polyester! fiber spinning operations are usually recovered and recirculated. When applied, finish oils are vaporized in the spin cell to some.extent and, in some instances, are vented to either demisters, which remove some of the oils, or catalytic incinerators, which oxidize significant quantities of volatile hydrocarbons. Small amounts of finish oils are vaporized in the post-spinning process.' Vapors from hot draw operations are typically controlled by such devices as electrostatic precipitators. Emissions from most other steps are not controlled. Acrylic And Modacrylic Fiber Process Description5.18-24,53 _ Acrylic and modacrylic fibers are based on acrylonitrile monbmer, which is derived from propylene and ammonia. Acrylics are defined as those fibers that are composed of at least 85 percent acrylonitrile. Modacrylics are defined as those fibers that are composed of between 35 and 85 percent acrylonitrile. The remaining composition of the fiber typically includes at least one of the following - methyl methacrylate, .methyl acrylate, vinyl acetate, vinyl chloride, or vinylidene chloride. Polyacrylonitrile fiber polymers are produced by the 5.19-12 EMISSION FACTORS 9\/90 ------- industry using two methods, suspension polymerization and solution polymerization. Either batch or continuous reaction modes may be employed. As shown in Figures 5.19-8 and 5.19-9, the polymer is dissolved in a suitable solvent., such as diimethylformamide or dimethylacetamide. Additives and delusterants are added, and the solution is ; usually filtered in plate and frame presses. The solution is then pumped through a manifold to the spinnerets (usually a. bank of 30 to 50 per machine). At this point in the process, either wet or dry spinning may be used\\to form the acrylic fibers. The spinnerets are in a spinning bath for wet spun fiber, or at the top of an enclosed column for dry spinning. The wet spun ifilaments are pulled from the bath on takeup wheels, then washed to remove more solvent. After washing, the filaments are gathered into a tow band, stretched to improve strength, dried, crimped, heat set, and then cut into staple. The dry spun filaments are gathered into a tow band, stretched, dried, crimped, and cut into staple. Emissions And Controls - Air pollutant emissions from the production of acrylic and modacrylic fibers include emissions :or acrylonitrile (volatilized residual monomer), solvents, additives, and other organics used in fiber processing. As shown in Figures 5.19-8 and 5.19-9, both the wet and the dry spinning processes have many emission points. The major emission areas for the wet spin fiber process are the spinning and 'washing steps. The major emission areas from dry spinning of acrylic and modacrylic fibers are the spinning and post-spinning areas, up through and including drying. Solvent recovery in dry-spinning of modacrylic fibers is also a major emission point. The most cost-effective method for reducing solvent VOC emissions from both wet and dry spinning processes is a solvent recovery system. In wet \u2022 spinning processes, distillation is used to recover and recycle solvent from the solvent\/water stream that circulates through the spinning, washing, and drawing operations.~ In dry spinning processes, control\"techniques include scrubbers, condensers, and carbon adsorption. Scrubbers and condensers are used to recover solvent emisssions from the spinning cells and the dryers. Carbon adsorption is used to recover solvent emissions from storage tank vents and from mixing and filtering operations. Distillation columns are also used in dry spinning processes to recover solvent from the condenser, scrubber, and wash water (from the washing operation). Nylon Fiber 6 and 66 Process Description5,17,24-27 _ jjyion 6 polymer is produced from caprolactam. Gaprolactam is derived most commonly from cyclohexanone, which in turn comes from either phenol or cyclohexane. About .70. percent of all nylon 6 polymer is produced by! continuous polymerization.\" Nylon 66 polymer is made from adipic acid and hexamethylene diamine, which react to form hexamethylene diamonium adipate (AH salt). The salt is then - washed in a methyl alcohol bath. Polymerization then takes place under heat and pressure in a batch process. The fiber spinning and processing procedures are the same as described earlier in the description of melt spinning. Emissions And Controls - The major air pollutant emissions from production of nylon 6 fibers are volatilized monomer (caprolactam) and oil vapors or mists. Caprolactam emissions may occur at the spinning step, because the polymerization reaction is reversible and exothermic, and the heat of extrusion causes the polymer to revert partially to the monomer form. A monomer recovery system is used on caprolactam volatilized at the spinneret 9\/9\u00b0 Chemical Process Industry 5.19-13 ------- VOC EMISSIOHS Figure 5.19-8. Acrylic fiber wet spinning, \u2014 HAKE UP SOLVENT RECOVERED SOLVENT VOC EMISSIOHS TJO PIDDLING BOX DRAWING HASHING FINISH CRIMPING STEADING DRYING APPLICATION FIBER OUT (RESIDUAL SOLVENT) Figure 5.19-9. Acrylic fiber dry spinning. 5.19-14 EMISSION FACTORS 9\/90 ------- KTOIIS FILTMTICN SPIBBKT Figure 5.19-10. Nylon production. during nylon 6 fiber formation. Monomer recovery, systems are not used in nylon 66 (polyhexamethylene adipamide) spinning operations, since nylon 66 does not contain a significant amount of residual monomer. Emissions, though small, are in some instances controlled by catalytic incinerators. The finish oils, plasticizers and lubricants a.pplied to both nylon 6 and 66 fibers during the spinning process are vaporised during post-spinning processes and, in some instances, such as the hot drawing of nylon 6, are vented to fabric filters, scrubbers and\/or electrostatic precipitators. Polyolefin Fiber Process Description2'5'28\"30 - Polyolefin fibers are molecularly oriented extrusions of highly crystalline olefinic polymers, predominantly polypropylene. Melt spinning of polypropylene is the method of choice because the high degree of polymerization, makes wet spinning or dissolving of the polymer difficult. The fiber spinning and processing procedures are generally the same as described earlier for melt spinning. Polypropylene is also manufactured by the split film process, in which it is extruded as a film and then stretched and split into flat filaments, or narrow tapes, that are twisted or wound into a fiber. Some fibers are manufactured as a combination of nylon and polyolefin polymers, being melted together in a ratio of about 20 percent nylon 6 and 80 percent' polyolefin such as polypropylene, and being spun from this melt. Polypropylene is processed more like nylon 6 than nylon 66, because of the lower,melting point 203\u00b0C (397\u00b0F) for nylon 6 versus 263\u00b0C (505\u00b0F) for nylon 66. ' Emissions And Controls - Limited information is available on emissions from the actual spinning or processing of polyolefin fibers. The available data quantify and describe the emissions from the ejxtruder\/pelletizer stage, the last stage of polymer manufacture, and from jjust before the \"melting of the polymer for spinning. VOC content of the dried polymer after extruding and 9\/90 Chemical Process Industry 5.19-15 ------- pelletizing was found to be as much as 0.5 weight percent. Assuming the content is as high as 0.5 percent and that all this VOG is lost in the extrusion and processing of the fiber (melting, spinning, drawing, winding-, etc.), there would be 5 pounds of VOC emissions per 1,000 pounds of polyolefin fiber-. The VOCs in the dried polymer are hexane,, propane and methanol, and the approximate proportions are 1.6 pounds of hexane, 1.6 pounds of propane and 1.8 pounds of methanol. Q QUENCH TANK PULL .ROLLS AMREU.IIIG OVEN VOC EMISSIONS OR** BOLLS Figure 5.19-11. Polyolefin fiber production During processing, lubricant and finish oils are added to the fiber, and some, of these additives are driven off in the form of aerosols during processing. No specific information has been obtained to describe the oil aerosol emissions for polyolefin processing, but 'certain^assumptions may be .made to provide reasonably accurate values. Because polyolefins-are melt spun similarly to other melt spun fibers (nylon 6, nylon 66, polyester, etc.), a fiber similar to the polyolefins would exhibit similar emissions. Processing temperatures are similar for polyolefins and nylon 6. Thus, aerosol emission values for nylon 6 can be assumed valid for. polyolefins. Spandex Fiber Manufacturing Process Description^>31-33 - Spandex is a generic name for a polyurethane fiber in which the fiber-forming substance is a long chain of synthetic polymer comprising of at least 85 percent of a segmented polyurethane,. In between the urethane 'groups, there are long chains which may be polyglycols, polyesters or, polyamides. ... Being spun from a -polyurethane (a rubber-like material), spandex fibers are elastomeric, that is, they stretch. Spandex fibers are used in such stretch fabrics as belts, foundation garments, surgical stockings, and stocking tops. Spandex is produced by two different processes in the United States. One process is similar in some respects to that used for acetate textile yarn, in that the fiber is dry spun, immediately wound \\onto takeup bobbins, and then twisted or processed in other ways. This process is referred to as dry spinning. The other process, which uses reaction spinning, is substantially different from any other fiber forming process used by domestic synthetic fiber producers.:: : ; . _ . .. 5.19-16 EMISSION FACTORS 9\/90 ------- Spandex Dry Spun Process Description - This:manufacturing process, which is illustrated in Figure 5.19-12, is characterized by use of solution polymerization and dry spinning with an organic solvent. Tetrahydrofuran is the principal raw material. The compound's molecular ring structure is opened, and' the resulting straight chain compound is polymerized to give a low molecular weight polymer. This polymer is then treated with an excess of a di-isocyanate. The reactant, with any unreacted di-isocyanate, is next reacted with some diamine, with monoamine added as a stabilizer. This final polymerization stage is carried out in dimethylformamide solution, and then the spandex is dry spun from this solution. Immediately after spinning, spandex yarn is wound onto a bobbin as continuous filament yarn. This yarn is later transferred to large spools for shipment or for further processing in another part of the plant. DISTILLATION I TOG EMISSIONS POLYMER FIBER OUT PROCESSING SEAMING I PACKAGING Figure 5.19-12. Spandex dry spinning. Emissions And Controls - The-major emissions from the spandex dry spinning, process are volatilized solvent losses,. which occur at a number of points of production. Solvent emissions occur during filtering of the spin dope, spinning of the fiber, treatment of the fiber after spinning, and .the solvent recovery process. The emission points from this process are also shown in Figure 5,19-12. - Total emissions from spandex fiber dry spinning are considerably lower than from other dry spinning processes. It appears that the single most influencing factor that accounts for the lower emissions is that, because of nature of the polymeric material and\/or spinning conditions, the amount of residual solvent\"in the fiber as it leaves the spin cell is considerably lower than other dry spun fibers. This situation may be because of the lower 9\/90 Chemical Process Industry 5.19-17 ------- solvent\/polymer ratio that is-used in spandex dry spinning. Less solvent is \u2022used for each unit of fiber produced, relative to other fibers. A condensation system is used to recover solvent emissions from the .spin cell exhaust gas. Recovery of solvent emissions from this process is as high as 99 percent. Since the residual solvent in the fiber leaving the spin cell is. much lower than for other fiber types, the potential for economic capture and recovery is also much lower. Therefore, these post-spinning emissions, which are small, are nqt controlled. Spandex Reaction Spun Process Description -:In the reaction spun process, a polyol (typically, polyester) is reacted with an excess of di-isocynate to form the urethane prepolymer, which is pumped through spinnerets at a constant rate into a bath of dilute solution of ethylenediamine in toluene. The ethylenediamine Ireacts with isocyanate end groups on the resin to form long chain cross-linked polyurethane elastomeric fiber. The final cross linking reaction takes place after the fiber has been spun. .The fiber is transported from the bath to x^ * i * i of Conveyor Drying .i FUtraffan )^^^~j ,. \u2022 t Figure- 5 '. 19-13. -Spandex reaction -spinning. --- Emissions And Controls - Essentially all air that enters the spinning room is drawn into the hooding that surrounds the process equipment and then leads to a carbon adsorption system. The oven is also vented to the carbon adsorber. The gas streams from the spinning room and oven are combined and cooled in a heat exchanger before they enter the activated carbon bed. Vinyon Fiber Process Description5'34 - Vinypn is a copolymer of vinyl chloride (88 percent) and vinyl acetate (12 percent). The polymer is dissolved in a ketone (acetone' or methyl ethyl ketone) to make a 23 weight percent spinning solution. After filtering, the:solution is extruded as filaments into warm air to evaporate the solvent and to allow its recovery and reuse. The spinning process is similar to that of cellulose acetate. After 5.19-18 EMISSION FACTORS 9\/90 ------- spinning, the filaments are stretched to achieve molecular orientation to impart strength. Emissions And Controls - Emissions'occur at steps similar to those of cellulose acetate, at dope preparation and spinning, and as fugitive emissions, from the spun fiber during processes such as winding and stretching. The major source of VOC is the spinning step, where the warm air stream evaporates the solvent. This air\/solvent stream is sent to either a scrubber or carbon adsorber for solvent recovery. Emissions may also occur at the exhausts from these control device. Other Fibers - There are synthetic fibers manufactured on a small volume scale relative to the commodity fibers, Because of the wide variety of these fiber manufacturing processes, specific products and processes are not discussed. Table 5.19-3 lists some of these fibers and the respective producers. TABLE 5.19-3. OTHER SYNTHETIC FIBERS AND THEIR MAKERS Nomex (aramid) DuPont DuPont FBI (polybenzimidazole) Kynol (novoloid) ^Teflon Gelanese Carborundum DuPont--- -\u2014- Crimping: Coagulant: Continuous filament . yarn: Cutting: Delusterant:\u2014 \u2022 GLOSSARY A process in which waves and angles are set into fibers, such as acrylic fiber filaments, to help simulate properties of natural fibers.. A substance, either a salt or an acid,\"used to precipitate polymer solids out of emulsions or latexes. Very long fibers that have been 'converged to form a multifiber yarn, typically consisting of 15 to 100 filaments. Refers to the conversion of tow .to staple fiber. Tiber finishing additives (typically clays or barium sulfate) used to dull the surfaces of the fibers. 9\/90 Chemical Process Industry 5.19-19 ------- Dope: Drawing: Filament: The polymer, either in molten form or dissolved, in solvent, that is spun into fiber. The stretching of the filaments in order to increase the fiber's strength; also makes the fiber more supple and unshrinkable (that is, the stretch is irreversible). The degree of stretching varies with the yarn being spun. The solidified polymer that has emerged from a single hole or orifice in a spinneret. Filament yarn: (See continuous filament yarn) Heat setting: Lubrication: Spinneret: Spun yarn: Staple: Tow: Twisting: The dimensional stabilization of;the fibers with heat so that the fibers are completely undisturbed by subsequent treatments such as washing or dry cleaning at a lower temperature. .To illustrate, heat setting allows a pleat to be retained in the fabric, while helping prevent undesirable creases later in the life of the fabric. The application of oils or similar substances to the fibers in order, for example, to ifacilitate subsequent handling of the fibers and to provide static suppression. A spinneret is used, in the production of.all man-made fiber whereby liquid is forced through holes. Filaments emerging from .the.,holes are,.hardened and,,solidified. The process of, extrusion and hardening is.called spinning. Yarn made from staple fibers that have been twisted or spun together into a^continuous strand. Lengths of fiber made by cutting man-made fiber tow into short (1- to 6-inch) and usually^uniform lengths, which are subsequently twisted into spun yarn. A collection of many (often thousands) parallel, continuous filaments, without twist, which are grouped together in a rope-like form having a diameter of about one-quarter inch. . Giving the filaments in a yarn a-'very slight twist that- prevents the fibers from sliding over each other when pulled, thus increasing the strength of the yarn. . \u2022 References for Section 5.19 . - 1- Man-made Fiber Producer's Base Book. Textile Economics Bureau Incorporated, New York, NY, 1977. 2. \"Fibers - 540.000\", Chemical-Economics Handbook. Menlo Park, CA, March' 1978. 5.19-20 EMISSION FACTORS 9\/90 ------- 3. Industrial Process Profiles For Environmental Use - Chapter 11 - The Synthetic Fiber Industry, EPA Contract No. 68-02-1310, Aeronautical Research Associates of Princeton, Princeton; NJ, November 1976. 4. R. N. Shreve, Chemical Process Industries. McGraw-Hill Book Company, New York, NY, 1967. 5. R. W. Moncrief, Man-made Fibers, Newes-Butterworth, London, 1975. 6. Guide To Man-made Fibers. Man-made Fiber Producers Association, Inc. Washington, DC, 1977. 7. \"Trip Report\/Plant Visit To American Enlca Company, Lowland, Tennessee\", Pacific Environmental Services, Inc., Durham, NC,, January 22, 1980. 8. \"Report Of The Initial Plant Visit To Avtex'\u2022 Fibers, Inc., Rayon Fiber Division, Front Royal, VA\", Pacific Environmental Services, Inc., Durham, NC, January 15, 1980. ' 9. \"Fluidized Recovery System Nabs Carbon Disulfide\", Chemical Engineering, 70181:92-94, April 15, 1963. 10. Standards Of Performance For Synthetic Fibers NSPS, Docket No. A-80-7, II-B-3, \"Viscose Rayon Fiber Production - Phase I Investigation\", U. S. Environmental Protection Agency, Washington, DC, February 25, 1980. 11. \"Report Of The Initial-Plant Visit To Tennessee'Eastman Company Synthetic Fibers Manufacturing\", Kingsport,\\TN, Pacific Environmental Services, Inc., Durham, NC, December 13, 1979. 12. \"Report Of The Phase if'P~lant Visit To Celanese's Celriver Acetate Plant In Rock Hill, SC\", Pacific Environmental Services, Inc., Durham, NC, May 28, 1980. I 13. \"Report Of The Phase II Plant Visit To Celanese's Celco Acetate Fiber Plant In Narrows, VA\", Pacific Environmental Services, Inc., Durham, NC, August 11, 1980. ; 14. Standards Of Performance For Synthetic Fibers NSPS, Docket No. A-80-7, II-I-43, U. S. Environmental Protection Agency, Washington, DC, December 1979. \\ .- 15. E. Welfers, \"Process And Machine Technology;Of Man-made Fibre Production\", International Textile Bulletin. World Spinning Edition, Schlieren\/Zurich, Switzerland, February 1978. 16. Written communication from R. B. Hayden, E. I. duPont de Nemours-and Co., Wilmington, DE, to E. L. Bechstein, Pullman, Inc., Houston, TX, November 8, 1978. 17. Written communication from E. L. Bechstein,; Pullman, Inc., Houston, TX, to R. M. Glowers, U. S. Environmental Protection Agency, Research Triangle Park, NC, November 17, 1978 . 9\/90 Chemical Process Industry 5.19-21 ------- 18.V\"Report Of The Plant Visit To Badische Corporation's Synthetic Fibers Plant In Williamsburg, VA\", Pacific Environmental Services, Inc., Durham, NC, November 28, 1979. 1.9. \"Report Of The Initial Plant Visit To Monsanto Company's Plant In . Decatur, AL\", Pacific Environmental Services, Inc., Durham NC April 1, 1980. 20. \"Report Of The Initial Plant Visit To American Cyanamid Company\", Pacific Environmental Services, Inc., Durham\\ NC, April 11, 1980. 21. Written communication from G. T. Esry, E, I.:duPont de Nemours and Co., Wilmington, DE, to D. R. Goodwin, U. S. Environmental Protection Agency, Research Triangle Park, NC, July 7, 1978. \"\u2022 22. \"Report Of The Initial Visit To duPont's Acrylic Fiber Plant In Waynesboro, VA\", Pacific Environmental Services, Inc., Durham, NC May 1, 1980. 23. \"Report Of The Phase II Plant Visit To duPont's Acrylic Fiber May Plant In Gamden, SC% Pacific Environmental Services, Inc., Durham. NC August 8, 1980. 24. C. N. Click and D. K. Webber, Polymer Industry Ranking By VOG Emission Reduction That Would Occur From New Source PerformanceStandards. EPA Contract No. 68-02-2619, Pullman, Inc., Houston, TX, August 30, 1979. 25. Written communication from E. L\". Bechsteinj Pullman, Inc7, Houston, TX, to R. M. Glowers, U. S. Environmental Protection Agency, Research Triangle Park, NC,^November 28, 1978. '\u2022. - 26. Written communication from R. B. Hayden, E. I. duPont de Nemours and Co., Wilmington, DE, to W. Talbert, Pullman, ;Inc., Houston, TX, October 17, 1978. 27. \"Report Of The Initial Plant Visit To Allied Chemical's Synthetic Fibers Division, Chesterfield, VA, Pacific Environmental Services, Inc., Durham, NC, November 27, 1979. 28. Background Information Document -- Polymers And Resins Industry. EPA-450\/3-83-019a, U. S. Environmental Protection Agency, Research Triangle Park, NC, January 1984. 29. H. P. Frank, Polypropylene. Gordon and Breach Science Publishers, New York, NY, 1968. \\ 30. A.'VT Galanti and C~ 'L.' Mantell, Polypropylene\"- Fibers and Films, Plenum Press, New York, NY,\" 1965. 31. D. W. Grumpier, \"Trip Report,- Plant Visit To Globe Manufacturing Company\", D. Grumpier, U. S. Environmental Protection Agency, Research Triangle Park, NC, September 16 and 17, 1981.; 5-19-22 EMISSION FACTORS 9\/90 ------- 32. \"Standards Of Performance For Synthetic Fibers NSPS, Docket No. A-80-7, I1-I-115, Lycra Reamout Plan,\" U. S. Environmental Protection Agency, Washington, DC, May 10, 1979. : 33. \"Standards Of Performance For Synthetic Fibers NSPS, Docket No. A-80-7, II-I-95,\" U. S. Environmental Protection Agency, Washington, DC, March 2, 1982. : 34. Written communication from W. K. Mohney, Avtex Fibers, Inc., Meadville, PA, to R. Manley, Pacific Environmental Services, Durham, NC, April 14, 1981. ! 35. Personal communication from J. H. Cbsgrove, Avtex Fibers, Inc., Front Royal, VA, to R. Manley, Pacific Environmental Services, Inc., Durham, NC, November 29, 1982. \\ 36. Written communication from T. C. Benning, Jr., American Enka Co., Lowland, TN, -to R. A. Zerbonia, Pacific Environmental Services, Inc., Durham, NC, February 12, 1980. '. 37. Written communication from R. 0. Goetz, Virginia State Air Pollution Control Board, Richmond, VA, to Director, Region II, Virginia State Air Pollution Control Board, Richmond, VA, November 22, 1974. 38. Written communication from H. S. Hall, Avtex Fibers, Inc., Valley Forge, PA, to J. R. Farmer, U. S. Environmental Protection Agency, Research Triangle Park, NC-,' December 12, 1980.\u2014 - .- 39. Written communication from J. C. Pullen, Celahese Fibers Co., Charlotte, NC, to R. A. Zerbonia, Pacific Environmental Services, Inc., Durham, NC, ' July 3, 1980. -,-\u2022- \u2022\u2022-.-\u2022-- : 40. Written communication from J. C. Pullen, Celanese Fibers Co., Charlotte, NC, to National Air Pollution Control Techniques Advisory Committee, U. S. Environmental Protection Agency, Resfearch Triangle Park, NC, September 8, 1981. 41. \"Report Of The Initial Plant Visit To Tennbssee Eastman Company Synthetic Fibers Manufacturing, Kingsport,; TN\", Pacific Environmental Services, Inc., Durham, NC, December 13, 1979. 42. Written communication from J. C. Edwards, JTehnessee Eastman Co., Kingsport, TN, to R. Zerbonia, Pacific Environmental Services, Inc., Durham, NC, April 28, 1980. 43. Written communication from C. R. Earnhart, E.I. duPont de Nemours and . Co., Camden, SC, to D. W. Grumpier, II. S. Environmental Protection . Agency, Research Triangle Park, NC, November 5, 1981. 44. C. N. Click and D. K. Weber, Emission Process And Control Technology Study Of The ABS\/SAN. Acrylic Fiber. And NBR Industries. EPA Contract \" No. 68-02-2619, Pullman, Inc., Houston, TX, April 20, 1979. -- 9\/90 Chemical Process Industry 5.19-23 ------- 45. Written communication from D. 0. Moore, Jr., Pullman, Inc., Houston TX to D. C. -Mascone, U. S. Environmental Protection Agency, Research Triangle Park, NC, April 18, 1979. ; 46. Written communication from W. M. Talbert, Pullman, Inc., Houston, TX, to R. J. Kucera, Monsanto Textiles Co., Decatur, AL, July 17, 1978. 47 ' S^?611 Communication from M. 0. Johnson, Badische Corporation Williamsburg, VA, to D. R. Patrick, U. S. Environmental Protection Agency, Research Triangle Park, NC, June 1, 1979. 48. Written communication from J. S. Lick, Badische Corporation Williamsburg, VA, to D. R. Goodwin, U. S. Environmental Protection Agency, .Research Triangle Park, NC, May 14, 1980. 49. P. T. Wallace, \"Nylon Fibers\" , Chemical Economies Harvlhn^ Stanford Research Institute, Menlo Park, CA, December 1977. 50. Written communication from R. Legendre, Globe Manufacturing Co Fall River, MA, to Central Docket Section, U. S. Environmental Protection - Ageaey-r-Washtngton, Dg-\" -- [ \u2014 \" \u2014 \u2014 \u2014 - 51. Written communication from R. Legendre, Globe Manufacturing Co Fall S^'^P fc\u00b0 J;TrFarmer' U\" S\" Environmental Protection Agency, Research Triangle Park, NC, June 26, 1980. 52, Written communication from R. H: Hughes, Aytex Fibers Co., Valley Forge PA to R. Manley, Pacific Environmental Services, Inc., Durham NC ' February 28, 1983. ; ' 535 .\"Report Of The Phase II Plant Visit, duPont's Acrylic Fiber May Plant In - Camden, SC\", Pacific Environmental Services, Inc., Durham NC April 29, 1980. . ' ' 5-19-24 EMISSION FACTORS . 9\/90 ------- Particulate emissions from sinter machines\u2022range from 5 to 20 percent of the concentrated ore feed. In product weight, typical emissions, are estimated at 106.5 kilograms per megagram (213 pounds per ton) of lead produced. This value and other particulate and S02 factors appear in Table 7.6-1. Typical material balances from domestic lead smelters indicate that about 15 percent of the sulfur in ore concentrate fed to the sinter machine is eliminated in the blast furnace. . However, only;half of this amount, about 7 percent of the total sulfur in the ore is emitted as S02. The remainder is captured by the slag. The concentration of this S02 stream can vary from 1.4 to. 7.2 grams per cubic' meter (500 to 2500 parts per million) by volume, depending on the amount of dilution air injected-to oxidize the carbon monoxide and to cool the stream before baghouse particulate removal. \u2022 Particulate emissions from blast furnaces contain many kinds of material, including a range of lead oxides, quartz, limestone, iron pyrites, iron-lime- silicate slag, arsenic and other metallic compounds associated with lead ores. These particles readily agglomerate and are primarily submicron in size, \"Slrfflreuil: Lo weL, and cahe~sive. They wiHr~bridge and arch in hoppers-;\u20146n average, this dust loading is quite substantial:, as is shown in Table 7.6-1. Minor quantities of particulate are .generated by ore crushing and materials handling operations, and these emission factors are. also presented in Table-7.6-1. \" \/ TABLE 7.6-1. UNCONTROLLED EMISSION FACTORS'FOR PRIMARY LEAD SMELTING* -'-- . EMISSION FACTOR RATINQ: B Process Total Particulate kg\/Mg Ib\/ton Sulfur dioxide kg\/Mg Ib\/ton Lead kg\/Mg Ib\/ton Ore crushing13 1.0 2.0 - - .0.15 0.3 Sintering (updraft)0 106.5 213.0 275.0 550.0 87 174 (4.2-170) (8.4-340) Blast furnaced 180.5 361.0 22.5 45.0 29 59 . : (8.7-50) (17.5-100) Dross reverberatory furnace Materials handl ing 10 2 .0 .5 20 5 .0 .0 Neg ; Neg 2 (1. .4 3-3.5) 4 (2. .8 6-7.0 ,aOre crushing factors expressed as kg\/Mg (Ib\/ton) of crushed ore. All other factors are kg\/Mg (Ib\/ton) of lead product. Dash = no data. Neg = negligible. .References 2,13... References 1, 4-6, 11, 14-17, 21-22. References 1-2, 7, 12, 14, 16-17, 19. References 2, 11-12, 14, 18, 20. \u2022 ^Reference 2. 9\/90 Metallurgical Industry 7.6-5 ------- -.Table 7.6-2 and Figure 7.6-2 present size specific emission factors for the controlled emissions from a primary lead blast, furnace. No other size distribution data can be located for point sources;within a primary lead pro- cessing plant. Lacking definitive data, size distributions for uncontrolled assuming that the uncontrolled size distributions for the sinter machine and blast furnace are the same as for fugitive emissions from these sources. Tables 7.6-3 through 7.6-7 and Figures 7,6-3^through 7.6-7 present size specific emission factors for the fugitive emissions generated at a primary lead processing plant. The.size distribution of fugitive emissions at a primary lead processing plan\u00a3 is fairly uniform, with approximately 79 percent of these emissions at less than 2.5 micrometers. Fugitive emissions less than 0.625 micrometers in size make up approximately half of all fugitive emissions, except from the sinter machine, where they constitute about 73 percent. i Emission factors for total fugitive particulate from primary lead smelting processes are presented in Table 7.6-8. The factors are based on a combination of engineering estimates, test data from plants currently operating, and test data from plants no longer operating. The values should be used with caution, because of the reported difficulty in accurately measuring the source emission rates. I Emission controls on lead smelter operations,are for particulate and sulfur dioxide. The most commonly employed high efficiency particulate control devices are fabric filters and electrostatic precipitators (ESP), which often follow centrifugal collectors and tubular coolers (pseudogravity collectors). Three of the six lead smelters presently operating in the United States use single absorption sulfuric acid plants to control S02 emissions from sinter machines and, occasionally, from blast furnaces. Single stage plants can attain sulfur oxide levels of 5.7 grams per cubic meter (2000 parts per mill- ion) , and dual stage plants can attain levels of 1.6 grams per cubic meter (550 parts per million). Typical efficiencies of dual stage sulfuric acid plants in removing sulfur oxides can exceed 99 percent. Other technically feasible S02 control methods are elemental sulfur recovery plants and dimethylaniline (DMA.) and ammonia absorption processes. These methods and their representative control efficiencies are given in Table 7.6-9. 7.6-6 EMISSION FACTORS 10\/86 ------- References For Section 7.10 !\u2022 Summary Of Factors Affecting Compliance By Ferrous Foundries. Volume I: .Text, EPA-340\/1-80-020, U. S. Environmental Protection Agency, Washington, DC, January 1981. 2. Air Pollution Aspects Of The Iron Foundry Industry. APTD-0806, U. S. Environmental Protection Agency, Research Triangle Park. NG, February 1971. 3- Systems Analysis Of Emissions And Emission Control In The Iron Foundry Industry. Volume II; ' RvhiTrif.s, APTD-0645, .U. S. Environmental Protection Agency, Research Triangle Park, NC, February 1971. 4. J. A. Davis, et al. . Screening Study On Cupolas And Electric Furnaces In Gray Iron Foundries. EPA Contract No. 68-01-0611, Battelle Laboratories, Columbus, OH, August 1975. 5. R. W. Hein, et al.. Principles Of Metal Casting. McGraw-Hill, New York 1967. 6. P. Fennelly and P. Spawn, Air Pollution Control Techniques For Electric Arc Furnaces In.The Iron And Steel Foundry Industry. EPA-450\/2-78-024, U. S. Environmental Protection Agency, Research Triangle Park, NC, June 1978. ; 7. R. D. Chmielewski and S,, Calvert, Flux Force\/Condensation Scrubbing For Collecting Fine Particulate From Iron Melting Cupola. .EPA-600\/7-81-148, U. S. Environmental Protection Agency, Research Triangle Park, NC, September 1981. \u2022 - \u2022 - 8. W. F. Hammond and S. M. Weiss, \"Air Contaminant Emissions From Metallurgical Operations; In Los Angeles County\", Presented at the Air Pollution Control Institute, Los Angeles, CA, July 1964. 9. Particulate Emission Test Report On A Gray Iron Cupola At Gherryville Foundry Works. Cherryville. NGT State Department Of Environmental Health And Natural Resources, Raleigh, NC, December 18, 1975. 10. J. W. Davis and A. B. Draper, Statistical Analysis Of The Operating Parameters Which Affect Cupola Emissions. DOE Contract No. EY-76-5-02- 2840.*000, Center For Air Environment Studies, Pennsylvania State University, University Park, PA, December 1977. 11- Air Pollution Engineering Manual, Second Edition, AP-40, U. S. Environmental Protection Agency, Research Triangle Park, NC, May 1973. Out of Print. 12. Written communication from Dean Packard, Department Of Natural Resources, Madison, WI, to Douglas Seeley, Alliance Technology, Bedford, MA, April 15, 1982. 9\/90 Metallurgical Industry 7.10-19 ------- 13. Particulate Emissions Testing At Opellka Foundry. Birmingham. AL. Air Pollution. Control Commission, Montgomery, AL> November 1977 - January 1978. J 14. Written communication from Minnesota Pollution Control Agency, St.. Paul, MN, to Mike Jasinski, Alliance Technology, Bedford, MA, July 12, 1982. 15 \u2022 Stack Test Report. Dunkirk Radiator Corporation Cupola Scrubber. State Department Of Environmental Conservation, Region IX, Albany, NY November 1975. ; . ' . 16 \u2022 Particulate Emission Test Report For A Scrubber Stack For A Gray Iron Cupola At Dewey Brothers. Goldsboro. NC. State Department Of Environmental Health And Natural Resources, Raleigh, NC, April 7, 1978. 17- Stack Test Report. Wm-Hrrngf.on Corp. Cupol a. ! s-hai-a n^t-t-n.^-h n-F Environmental Conservation, Region IX, Albany, NY, November .4-5, 1976. 18 \u2022 Stack Test Report. Dregsp.r Clark Cupola Wet Scrubber. Qrlean. NY. State Department Of -Environmental Conservation, Altany, NY, July 14 & 18, 19 \u2022 Stack Test Report. Chevrolet Tonawanda Metal 'Casting. Plant Cupola #3 And Cupola #4. Tonawanda. NY. State Department Of Environmental Conservation., Albany, NY, August 1977. 20 \u2022 Stack Analysis For Particulate Emission. Atlantic -States Cast Iron Foundry\/Scrubber , State Department Of Environmental Protection, Trenton, NJ, September 1980. ' 21. S. Calvert, et al_._. Fine Particle Scrubber Performance; 'EPA'-TfiSQ\/? -76.- 093, U. S. Environmental Protection Agency, Cincinnati, OH, October 1974. ' ' 22. S. Calvert, et ai^, National Dust Collector rtndel 850 Variable Rod Module Venturi Scrubber Evaluation. EPA-600\/2-76-282, U. S. Environmental Protection Agency, Cincinnati, ;OH, December 1976.. 23 \u2022 Source Test. Electric Arc Furnace At Paxton-Mitchell Foundry. Omaha. NBT Midwest Research Institute, Kansas City, MO, 'October 1974. 24 \u2022 Source Test. John -Deere Tractor Works. East Moline.- IL. Gray Iron Electric Arc Furnace. Walden Research, Wilmington, MA, July 1974. 25. S. Gronberg, Characterization Of Inhalable Particulate Matter Emissions From An Iron Foundry. Lynchburg Foundry. Archer Creek Plant, EPA-600\/X- 85-328, U. S. Environmental Protection Agency, Cincinnati, OH, August 1984. . . ; 26 . Particulate Emissions Measurements From The Ro'toclone And General Casting Shakeout Operations Of United States Pipe & Foundry. Inc. Anniston, AL, Black, Crow and Eidsness, Montgomery, AL, November 1973, 7.10-20 \u2022\u2022 EMISSION FACTORS . 9\/90 ------- 27. Report Of Source Emissions Testing At Newbury Manufacturing. Talladega1 AL. State Air Pollution Control Commission,:Montgomery, AL, May 15-16, 1979. 28. Particulate Emission Test Report For A Gray Iron Cupola At Hardy And Newson. La Grange. NC. State Department Of Environmental Health And Natural Resources, Raleigh, NC, August 2-3,'1977. i . \u2022 29. H. R. Crabaugh, et al.. \"Dust And Fumes From Gray Iron Cupolas: How Are They Controlled In Los Angeles County?\", Air Repair. 4_(3):125-130, November 1954. 30. J. M. Kane, \"Equipment For Cupola Control\".; American,Foundryman's Society Transactions. 64:525-531, 1956. 31. Control Techniques For Lead Air Emissions. 2 Volumes, EPA-450\/2-77-012, U. S. Environmental Protection Agency, Research Triangle Park, NC, .December 1977. | 32. W. E. Davis, Emissions Study Of Industrial Sources Of Lead Air Pollutants. 1970. APTD-1543, U. S. Environmental Protection Agency, Research Triangle Park, NG, April 1973. 33. Emission Test No. EMB-71-CI-27,'Office Of Air Quality Planning And Standards, U. S. Environmental Protection Agency, Research Triangle Park, NC, February 1972. 34. Emission Test No. EMB-71-CI-30, Office Of Air'Quality Planning And Standards, U. S. Environmental Protection Agency, Research Triangle '- Park, NC, March 1972. .. . ..'... ... :..._ \"....'.. ..._,_,.._:,,,.. 35. John Zoller, et al.. Assessment Of Fugitive Particulate Emission Factors For Industrial Processes. EPA-450\/3-78-107, U. S. Environmental Protection Agency, Research Triangle Park, NC, September 1978. 36. John Jeffery, et al.. Gray Iron Foundry Industry Particulate Emissions: Source Category Report. EPA-600\/7-86-054, U. S. Environmental Protection Agency, Cincinnati, OH, December 1986. 9\/90 Metallurgical Industry 7.10-21 ------- ------- i B O 4J w to i-i 31 ro co o *n ft) o 'U o O O O *H \u2022* -\u00bb -\u2022< ^ S ft) &> a a> ,0 P .a *J AJ *J W -H ^5 qJ,Q 0) ft) ftl ft) 3 K S M 4J4J4J 4J C W 0- X \u00ab c c c c ft) w 3 Cj t> CD o > w \u2022< n a 4J U 4J o u O B fci i-4 M \u00abrt JO O \u2022\u00ab Q< \u2022o \u00ab -a C M > C a u , (4 a) m *-( w o \u2022u o. \u00ab> o. _ oa B \u00abH > a SI * 4J O > bO O i-4 O 0> \u2022H K 3 OJ Q 05 I 03 t | J= JS \u2022H -*4 O O in m o o 0 0 as m in m m I i 1 i > in \u20144 4J V B 03 U 01 -H U o a u Honcontact recov without direct evaporator Pn ro fn O O O in in in o o o T-l 1-J T-l O O O ^^\u2022a 0 O 0 1 1 1 1 1 1 esi ji 4J \u00ab W B 01 o \u00ab Snelt dissolving '&!\u2022 1 o c5 e s \u2022 0 0 s.s> , 0 0 CM CM O O 1-4 \u20144 i \u2022 \u2022 0 O 1 o o O 0 i <\"> i o in -H in in in ; CO O Cu CO p O \"S M U ft) . S 2 1 B 0 C3 CO B \u2022H : \u00abi > 3 m tn o o tn m o Sr-i n V) JT \u2022 9 iH >, 4J ~^ o m K 9> 9 \u00a7 g -S || ?SS\"2 \u00b0'o.l 82 * -8\u00b0 \u00ab oj ft> tc ji \u00abe o iJ fcj \u00ab JS B B S B JS ^-4 \" 13 U 1 II 4J*3U bpBUO \"5, \u00ab \u2022** 0) -rt 13 \"3 .Cu 0 -( \u2022 > C S S 4-1 . C inCO. tOiH .O U -rt xu^i \u00b0 si o . \"c s n o) s aa out) a, 3 o a -o \u00ab -a > -H *cno-H kiB - 1 i 1-1 u S o) a u a, -a 03 -a KO9 M-rHi-t e CUO V S2cr \u00ab4> o o o 4J o a, -o W BB U^UiH S 3 y-s m -H \u00ab to y o ai j\u00bbi w \u00abH t | &i w M *o iw H C cd ^ . E 1>^ s^S's 1 -\" e tO in - ftl 3 01 rt 3 O. W \u00ab4 U \u00bb44Jj:l4-IJS3 O4J 4J a>\u00ab ojcvtK ^coco c a i t 4-iuua o \u00bbCcn \u2022 t-* M o -n y so \u2022< m \u2022H-HQ9 ^ > O *HO d.'-s. C B 0) ct4-(ft) tnft). *d*-HOC o u ^ ^ 3rHy \u00ab0 t-i vH O 4J 4J ft) a) 3 U S QJ O I-i O -J) 4J '*^. C i\u2014 ( S S -O ff) 03 U -H MtOrH O CO * ^ S.r*S \u00ab0>u \u00a7\"\u00a70*^ ci'S o ft) *j xJ to ti rd w o '\u00bb-\u2022' *J Cb S ft* .Q >\"i *H W \u2022)\u2022{ tjQ ^ C ojKBjtJto m cos o\u00abo c a n TH >, o *H t-t o 4> o P \u00ab > f- \u2022a)\u00abH\"dftlo ni s cj > .0 4-1 o u c c 1 \"-M to > t^' y cu ft} ft) y y O' ^N 4J \u00a7 5 *3a)\u00ab -a tn-fl^-acoc IJ 5 OljSffS iHO \"2 .-c-HrHH^-O C rH M 4J O O >> ^\u00bb T-1 03 &\\ r^ ^t r^ y t\u2014 ! y 00 S O) fll ftl Q) C Oi i~( t\u2014 ( Q) C i-H i\u20144 fl) O QJ tO O *H a, y **-< B 6G-&,3,ua,a)&sa53 \u00bb u 5 S * -0 y-o------- TABLE 10.1-2. CUMULATIVE PARTICLE SIZE DISTRIBUTION AND SIZE SPECIFIC EMISSION FACTORS FOR A RECOVERY BOILER WITH A DIRECT CONTACT EVAPORATOR AND AN ESPa EMISSION FACTOR RATING: C \\ Particle size (urn) 15 10 6 2.5 1.25 1.00 0.625 Total Cumulative mass % < stated size Uncontrolled 95.0 93.5 92.2 83.5 ' 56.5 45.3 26.5 100 Controlled f*m \u2014 68.2 53.8 40.5 34.2 22.2 100 Cumulative emission factor (kg\/Mg of air dried pulp) Uncontrolled 86 84 83 75 51 41 24 90 Reference 7. Dash = no data. Controlled ' 0.7 0.5 0.4 0.3 0.2 1.0 100 90 80 S- 70 \u2022sf i-o 60 wi *\u00a3 f: so ^\u00b0 40 30 3 20 10 0.1 Uncontrolled Controlled 1.0 10 Particle diameter (ym) 1.0 6.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 \u00a7! !\u20ac 100 Figure 10.1-2. Cumulative particle size distribution and - specific emission factors for recovery boiler with direct contact evaporator and ESP. size 10.1-6 EMISSION FACTORS 10\/86 ------- In discussing prescribed burning, the combustion process is divided into preheating, flaming, glowing and smoldering phases. The different phases of combustion greatly affect the amount of emissions produced.5~7 The preheating phase seldom releases significant quantities of material to .the atmosphere. Glowing combustion is usually associated with burning of large concentrations of woody fuels such as logging residue piles. The smoldering combustion phase is a very inefficient and incomplete combustion process that emits pollutants at a much higher ratio to the quantity of fuel consumed than does the flaming combustion of similar materials. The amount of fuel consumed depends on the moisture content of the fuel.^\"^ For most fuel types, consumption during the smoldering phase is much greatest when the fuel is driest. When,lower layers of the fuel are moist, the fire usually is extinguished rapidly.^ : \u2022 The major pollutants from wildland burning are particulate, carbon monoxide and volatile organics. Nitrogen oxides are emitted at rates of from 1 to 4 grams per kilogram burned, depending on combustion temperatures. Emissions of sulfur oxides are negligible. H~12 Particulate emissions depend on the mix of combustion phase, the rate of energy release, and the type of fuel consumed. All of these elements must be considered in selecting the appropriate emission factor for a given fire and fuel situation. In some cases, models developed by the U. S. Forest Service have been used to predict particulate emission factors and sp_u.rce strength. ^ these models address fire behavior, fuel chemistry, and ignition technique, and they predict the mix of combustion products. There is insufficient knowledge at this time to describe the effect of fuel chemistry on emissions. Table 11.1-3 presents emission factors from various pollutants, by fire .and fuel configuration. Table 11.1-4. gives emission factors for prescribed burning, by geographical area within the United States. Estimates of the percent of total fuel consumed by region were compiled by polling experts from the Forest Service. The emission factors jare averages and can vary by as much as 50 percent with fuel and fire conditions. To use these factors, multiply the mass of fuel consumed per hectare by the emission factor for the appropriate fuel type. The mass of fuel consumed by a fire is defined as the available fuel. Local forestry officials often compile information on fuel consumption for prescribed fires and have techniques for estimating fuel consumption under local conditions. ' The Southern Forestry Smoke Management Guidebook5 and the Prescribed Fire Smoke Management Guide*5 should be consulted when using these emission factor's. The regional emission factors in Table ll.:l-4 should be used only for general planning purposes. Regional averages are based on estimates of the acreage and vegetation type burned and may not reflect prescribed burning activities in a given state,, Also\",\" the regions identified are broadly defined, and the mix of vegetation and acres burned witnin a given state may vary considerably from the regional averages provided. Table 11.1-4 should not be used to develop emission inventories and control strategies. To develop state emission inventories, the user is strongly urged to con- tact that state's federal land management agencies and state forestry agencies that conduct prescribed burning to obtain, the b'est information on such activities. 9\/88 Miscellaneous Sources 11.1-7 ------- .3 S S* oca m m ca CQ M CD -~H P e fcj COvdco CRIBED BURNING3 11.1-3. . EMISSION FACTORS FOR PRES Pollutant fa\/kal a n\u2014 1 c= i O) \u2022 i-H 4-1 CJ \"ro \u00a3 s js \u00b0\u00b0e-:'=l: '-1^inr-:'*^ , ^cocM^cocn g ^ c*j c-^ in co c*^ \\iD & ' . J0 ^^^1 \". C^V\u00b0l\u00b0. ^^ i <= C-, CO |( C=COC=t-~CMCM CM t^* in *\u2014 1 r , in t\u2014 1 CO r- 1 CMC3VCCOIO\\O \u00ab . . ; O \" \"\" \" . . - - ^. - - . -;.... ... s \u2022\"\u2022-as. ^ s s \"*\u2022 s s ^ s \" i cl .-T.a,3 \" s \u00a7 1 ass \u2022assess \"'\"\u2022\"'' \u2022n's*\"^s\"\"\" ass'aa'jg .^y-t t^.^^ c\u00b0IfHay:>f-Ha i \u2022=t*t^-*^' 11 cococDvoinin in ^ ^\u00b0aS ^SS^Sa \"*\u00ab>\"* i. r-CMcr,incoco p_( -. ^~\" *T* *~^ *~~i JS CuCOEu 2 CO c\/3 Cm co ft, fc, co to 1.1 \u00ab)-I ------- g 1 s a 5 s-t &\u00bb \u20223 \u20ac3 \u2022*-< CCS fO S &..PS \u00ab g ea ea \u00ab ea o o iiii i i i i o in CD co CD CO in CD I Sin c-\u00bb in i in CD in in -*-s CM CM \"\u2014I <\u2014I CO IIII CO I ^oftn ^ i i i * .\u00a7 CD GT\u00bb t I ^ 1 -< H-> CD S-) 43 43 .3 J3 \u2022\u00bb-> P3 03 ^_ -H izf cr> (o . f^* sO 'I^ISI.!1 S CD C7> D3 *S *S W CJJ .d j=: *-H i\u00a33 G3 \u00a33 (CM CD \u2022 \u2022 CD 5 W CD O O 0 O 4-> 11 g S S S .^3 K. s. *. CD CD O) O) CD g CD CD C3O CJ O O O 3 CD CD CD CD CD q- 9\/90 Miscellaneous Sources 11.1-9 ------- TABLE 11.1-4. EMISSION FACTORS FOR PRESCRIBED BURNING BY U. S. REGION '. Regional configuration and fuel type8 Pacific Northwest Logging slash Filed slash Douglas fir\/ Western hemlock Mixed conifer Ponderosa pine Hardwood Underburning pine Average for region Pacific Southwest Sagebrush Chaparral Pinyon\/ Juniper Underburing pine Grassland Average for region Southeast Palmetto\/ gallberry Underburning pine Logging slash Grassland Other Average for region Rocky Mountain Logging slash Underburning pine Grassland Other Average for region North Central and Eastern Logging slash Grassland Underburning pine Other Average for region Percent of fuelb 42 24 19 6 4 5 100 35 20 20 15 10 100 35 30 20 10 5 100 50 20 20 10 100 50 30 \u2022 10 10 100 Pollutant0 Particulate PM2.5 4 12 12 13 11 .30 9.4 8 PM10 5 13 13 13 12 30 10.3 9 9 13 30 10 13.0 15 30 13 10 17 18.8 4 30 10 17 11.9 13 10 30 17 14 PM . 6 17 17 20 18 35 13.3 15 15 17 35 10 17.8 16 35 20 10 17 21.9 6 35 10 17 13.7 17 . 10 35 17 16.5 CO 37 \"\" 175 175 126 112 163 111.1 62 62 175 163 75 101.0 125 163 126 75 175 134 37 163 75 175 83.4 175 75 163 175 143.8 aRegional areas are generalized, e. g., the Pacific Northwest includes Oregon, Washington and parts of Idaho and California. Fuel types generally reflect the ecosystems of a region, but users should seek advice on fuel type mix for a given season of.the year. An average factor for Northern California could be more accurately described as chaparral, 25%; underburning pine, 15%; sagebrush, 15%; grassland, 5%; mixed conifer, 25%; and Douglas fir\/Western hemlock, 15%.~ - Dash * no data. bBased on the judgment of forestry experts. cAdapted from Table 11.1-3 for the dominant fuel types burned. 11.1-10 EMISSION FACTORS 9\/90 ------- References for Section 11.1 . !\u2022 Development Of Emission. Factors For Estimating Atmospheric Emissions From Forest Fires. EPA-450\/3-73-009, U. S. Environmental Protection Agency Research Triangle Park, NC, October 1973. 2. D. E. Ward and C. C. Hardy, Advances In The Characterization And Control Of Emissions From Prescribed Broadcast Fires Of Coniferous Species Logging Slash On Clearcut Units. EPA DW12930110-01-3\/DOE DE-A179-83BP12869, U. S. Forest Service, Seattle'9 WA, January 1986. 3. L. F..Radke, e't al.t Airborne Monitoring And Smoke Characterization Of Prescribed Fires On Forest Lands In Western Washington and Oregon, EPA-600\/X-83-047, U. S. Environmental Protection Agency, Cincinnati, OH. July 1983. 4. H. E. Mobley, et alo. A Guide For Prescribed Fire In Southern Forests. U. S. Forest Service, Atlanta, GA, 1973^~ 5* Southern Forestry Smoke Management Guidebook. SE-10, U. S. Forest Service Asheville, NC, 1976. ' 6. D. E. Ward and C. C. Hardy, \"Advances In The Characterization And Control Of Emissions From Prescribed Fires\", Presented at the 77th Annual Meeting of the Air Pollution Control Association, San Francisco, CA, June 1984. 7. C. C. Hardy and D. E. Ward, \"Emission Factors For Particulate Matter By Phase Of Combustion From Prescribed Burning\", Presented at the Annual Meeting of the Air Pollution Control Association Pacific Northwest International Section, Eugene, OR, November 19-21, 1986. 8. D. V, Sandberg and R. D. Ottmar, \"Slash Burning And Fuel Consumption In The Douglas Fir Subregion\", Presented at the 7th Conference On Fire And Forest Meteorology, Fort Collins,'CO, April 1983. 9. D. V. Sandberg, \"Progress In Reducing Emissions From Prescribed Forest Burning In Western Washington And Western Oregon\", Presented at the Annual Meeting of the Air Pollution Control Association Pacific Northwest International Section, Eugene, OR, November 19-21, 1986. 10. R. D. Ottmar and D. V. Sandberg, \"Estimating 1000-hour Fuel Moistures In The Douglas Fir Subregion\", Presented at the 7th Conference On Fire And Forest Meteorology, Fort Collins, CO, April 25-28, 1983. 11. D. V. Sandberg, et al.. Effects Of Fire On Air - A State Of Knowledge Review. WO-9, U. S. Forest Service, Washington, DC, 1978. 12. C. K. McMahon, \"Characteristics Of Forest Fuels, Fires, And Emissions\", Presented at the 76th Annual Meeting of the Air Pollution Control Association, Atlanta, GA, June 1983, 13. D. E. Ward, \"Source Strength Modeling Of Particulate Matter Emissions From Forest Fires\", Presented at the 76th Annual Meeting of the Mr Pollution Control Association, Atlanta, GA, June 1983. 9\/90 Miscellaneous Sources 11.1-11 ------- 14. D. E. Ward, et al. , \"Particulate Source Strength Determination For Low- intensity Prescribed Fires\", Presented at the Agricultural Air Pollutants Specialty Conference, Air Pollution Control Association, Memphis, TN, March 18-19, 1974. 15. Prescribed Fire Smoke Management Guide. 420-1, BIFC-BLM Warehouse, Boise, ID, February 1983. 16. Colin C. Hardy, Emission Factors For Air Pollutants From Range Improvement Prescribed Burning Of Western Juniper And Basin Big Sagebrush. PNW 88-575, Office Of Air Quality Planning And Standards, TJ. S. Environmental Protection Agency, Research Triangle Park, NC, March 1990. : 11.1-12 EMISSION FACTORS1 9\/90 ------- 11.2.6 INDUSTRIAL PAVED ROADS 11.2.6.1 General Various field studies have indicated that dust emissions from industrial paved roads are a major component of atmospheric participate matter in the vicinity of industrial operations. Industrial traffic dust has been found to consist primarily of mineral matter, mostly tracked or deposited onto the road- way by vehicle traffic itself, when vehicles enter from an unpaved area or travel on the shoulder of the road, or when material is spilled onto the paved surface from open truck bodies. 11.2.6.2 Emissions And Correction Parameters'\"^ i The quantity of dust emissions from a given segment of paved road varies linearly with the volume of traffic. In addition, field investigations have shown that emissions depend on correction parameters (road surface silt content, surface dust loading and average vehicle weight) of a particular road and asso- ciated vehicle traffic. Dust emissions from industrial paved roads have been found to vary in direct proportion to the fraction of silt (particles equal to or less than 75 microns in diameter) in the road surface material. The silt fraction is deter- mined by measuring the proportion of loose dry surface dust that passes a 200 mesh screen, using the ASTM-C-136 method. In addition, it has also been found that emissions vary in direct proportion to the surface dust loading. The road surface dust loading is that loose material which can be collected by broom sweeping and vacuuming of the traveled portion of the paved road. Table 11.2.6-1 summarizes measured silt and loading values for industrial paved roads. 11.2.6.3 Predictive Emission Factor Equations ; The quantity of total suspended particulate emissions generated by vehicle traffic on dry industrial paved roads, per vehicle kilometer traveled (VKT) or vehicle mile traveled (VMT), may be estimated with a rating of B or D (see below), using the following empirical expression^: E = 0.022 I [\u2014 J \\~~l\\- II --- (kg\/VKT) (1) L \\\/W\\0-7 E- 0.077 I \u2014 \u2014 \u2014 : (ib\/VMT) n \/ \\ 10 \/ \\1000 H 3 where: E = emission factor I = industrial augmentation factor (dimensionless) (see below) n = number of traffic lanes ' s = surface material silt content (%) L = surface dust loading, kg\/km (Ib\/mile) (see below) W = average vehicle weight, Mg (ton) 11\/88 Miscellaneous Sources . 11.2.6-1 ------- I 1 prf o co Si > ; O cd M W 9 tl O M *\"\"* j-j Q O S5 <1 W I-l \u202253 ft O CO O 9 \u2022H'\u00a7 \u00bbJ M .M CO E-< ^ CO M ^-' bO . T\u2014 i d \u2022r4 Cd CO M \/a CO 4-1 CO -H I d O P \u2022-4 * ftC d C \u00ab) *rl CU O \u00ab-! 1 (0 CD SI? w O 0) \u2022 cd d S3 4J 43 y-N \u00ab g^n (11 Jg ^J \u00a3 \u00ab^^ *J \u2022\u2014 1 CM CM \u2014 < O CO O CT\\ CT> \u00ab^* r^^ \u2022\u2014 * 1 1 1 00 CTi vO . ' CO O I-- *\u2122H \u2022 o a -H a -d s -d bo .^ bO \u00bb^ bo *Q in o> *a* H bO d 4-1 d 4J d t-i r) 4J j; a) !\u00ab O Cd > O (t-i 4-1 rt o cj co T3 H t-i d ,a d bo o. o cd p co 09 \u2022 4J \u2022H d \u2022d CO CU cu o >-> d rH CU d. i4 \u2022\u00bb-! CU 4-> m i-i ------- 11.2.7 INDUSTRIAL WIND EROSION | ' 11.2.7.1 General1\"3 , . . Dust emissions may be generated by wind, erosion of open aggregate storaee piles and exposed areas within an industrial facility. These sources typically are characterized by nonhomogeneous surfaces impregnated with nonerodible elements (particles larger than approximately 1 centimeter (cm) in diameter). Field testing of coal piles and other exposed materials using a portable wind tunnel has shown that (a) threshold wind speeds exceed 5 meters per second (11 miles per hour) at 15 centimeters above the surface or 10 meters per second (22 miles per hour) at 7 meters above the surface and (b) particulate emission rates tend to decay rapidly (half life of a few minutes) .during an erosion event. In other words, these aggregate material surfaces are characterized by finite availability of erodible material (mass\/area) referred to as the erosion potential. Any natural crusting of the surface binds the erodible material, thereby reducing the erosion potential. 11.2.7.2 Emissions And Correction Parameters If typical '.values for threshold wind speed at 15 centimeters are corrected to typical wind sensor height (7-10 meters), the resulting values exceed the upper extremes of hourly mean wind speeds observed in most areas of the country. In other words, mean atmospheric wind speeds are not sufficient to sustain wind erosion from flat surfaces of the type tested. However wind gusts may quickly deplete a substantial portion\"of \"the \"eroiion'potentiai Because erosion potential has been found to increase rapidly with increasing wind speed, estimated emissions should be related to the gusts of hiehest magnitude. The routinely measured meteorological variable which best reflects the magnitude of wind gusts is the fastest mile. This quantity represents the wind speed corresponding to the whole mile of wind movement which has passed by the 1 mile contact anemometer in the least amount of time. Daily measurements of the fastest mile are presented in the monthly Local Glimatological Data (LCD) summaries. The duration of the fastest mile typically about 2 minutes (for a fastest mile of 30 miles per hour), matches well with the half life of the erosion process, which ranges 'between 1 and 4 minutes. It should'be noted, however, that peak winds can significantly exceed the daily fastest mile. The wind speed profile in the surface boundary layer is found to follow a logarithmic distribution: u(z) -= u*_ In z_ (z > z0) (1) 0,4 z0 where u = wind speed, centimeters per second u* = friction velocity, centimeters per second z = height above test surface, cm : z0 = roughness height, cm - 0.4 = von Karman's constant, dimensionless 9\/90 Miscellaneous Sources 11.2.7-1 ------- The friction velocity (u*) is a measure of wind shear stress on the erodible surface, as determined from the slope of the logarithmic velocity profile. The roughness height (ZQ) is a. measure of the roughness of the exposed surface as determined from the y intercept of the velocity profile, i. e., the height at which the wind speed is zero . These parameters are illustrated in Figure 11.2.7-1 for a roughness height of 0.1 centimeters. Emissions generated by wind erosion are also dependent on the frequency of disturbance of the erodible surface because each time that a surface is disturbed, its erosion potential is restored. A disturbance is defined as an action which results in the exposure of fresh surface material . On a storage pile, this would occur whenever aggregate material is either added to or removed from the old surface. A disturbance of an exposed area may also result from the turning of surface material to a depth exceeding the size of the largest pieces of material present. 11.2.7.3 Predictive Emission Factor Equation The emission factor for wind generated particulate . emissions from mixtures of erodible and nonerodible surface material subject to disturbance ~ may \"be expressed Ttf units\" of\" grams per \" square \"nreteT ~per year \"as -^nll-ows-; N Emission factor = k S P (2) where k = particle size multiplier ,-,-...-''. N = number of disturbances per year ; PJ = erosion potential corresponding to the observed (or probable) fastest mile of wind for the ith period between disturbances , g\/m^ The particle size multiplier (k) for Equation 2 varies with aerodynamic particle size, as follows: AERODYNAMIC PARTICLE SIZE MULTIPLIERS FOR EQUATION 2 30 \/zm <15 urn. <10 pm <2.5 jam 1.0 0.6 0.5 0.2 This distribution of particle size within the under 30 micron fraction is comparable to the distributions reported for other fugitive dust sources where wind speed is a factor. This is illustrated, for example, in the distributions for batch and continuous drop operations encompassing a number of test aggregate materials (see Section 11.2.3). In calculating emission factors, each area of an erodible surface that is subject to a different frequency of disturbance should be treated separately. For a surface disturbed daily, N - 365 per year, and for a surface disturbance once every 6 months, N = 2 per year. 11.2.7-2 EMISSION FACTORS 9\/90 ------- Figure 11.2.7-1. Illustration of logarithmic velocity profile. \"\/90 Miscellaneous Sources 11.2.7-3 ------- The erosion potential function for a dry, exposed surface is: -*\\ P = 58 25 - u (3) where..u* * u - 0 for u* < u* friction velocity (m\/s) threshold friction velocity (m\/s) Because of the nonlinear form of the erosion potential function, each erosion event must be treated separately. ' Equations 2 and 3 apply only to dry, exposed materials with limited erosion potential. The resulting calculation is valid only for a time period as long or longer than the period between disturbances. Calculated emissions represent intermittent events', and should not be input directly into dispersion models that assume steady sta.te emission rates. For uncrusted surfaces, the threshold friction velocity is best estimated from the dry aggregate structure of the soil. A simple hand sieving test of surface soil can be used to determine the mode of the surface aggregate size distribution by inspection of relative sieve catch amounts, following the procedure described below in Table 11.2.7.-1. Alternatively, the threshold friction velocity for erosion can be determined from the mode of the aggregate size distribution, as described by Gillette.5\"6 Threshold friction velocities for several surface types have been determined by field measurements with a portable wind-tunnel. These values are presented in Table 11.2.7-2. TABLE 11.2.7-1. FIELD PROCEDURE FOR DETERMINATION OF THRESHOLD FRICTION VELOCITY Tyler sieve no. 5 9 16 32 60 Opening (mm) 4 2 1 0.5 0.25 Midpoint (mm) 3 '\u2022-1-5- : 0.75 0.375 u^ (cm\/sec) 100 72 58 43 11.2.7-4 EMISSION FACTORS 9\/90 ------- FIELD PROCEDURE FOR DETERMINATION OF THRESHOLD FRICTION VELOCITY (from a 1952 laboratory procedure published by W. S. Chepil): 1. Prepare a nest of sieves with the following openings: 4 mm, 2 mm, 1 mm, 0.5 mm, 0.25 mm. Place a collector pan below the bottom (0.25 mm) sieve. : 2. Collect a sample representing the surface layer of loose particles (approximately 1 cm in depth, for an encrusted surface), removing any rocks larger than about. 1 cm in average physical diameter. The area to be sampled should be not less than 30 cm. 3. Pour the sample into the top sieve (4 mm opening), and place a lid on the top. 4. Move the covered sieve\/pan unit by hand, using a broad circular arm motion in the horizontal plane. .Complete 20 circular movements at a speed just necessary to achieve some relative horizontal motion between the sieve and the particles. 5. Inspect the relative quantities of catch within each sieve, and determine where the mode in the aggregate size distribution lies, i. e., between the opening size of the sieve with the largest catch and the opening size of the next largest sieve. 6. Determine the threshold friction velocity from Figure 1. The fastest mile of wind for the periods between disturbances may be obtained from the monthly LCD summaries for the nearest reporting weather station that is representative of the site in question.' These summaries report actual fastest mile values for each day of a given month. Because the erosion potential is a highly nonlinear function of the fastest mile, mean values of the fastest mile are inappropriate. The'anemometer heights of reporting weather stations are found in Reference 8, and should be corrected to a 10 meter reference height using Equation 1. To convert the fastest mile of wind (u+) from a reference anemometer height of 10 meters to the equivalent friction velocity (u*), the logarithmic wind speed profile may be used to yield the following equation: ' u* = 0.053 u+ (4) 10 V ' where u* =\u00b0 friction velocity ((meters per second) U* =' fastest mile of reference anemometer for period between disturbances (meters per second) This assumes a typical roughness height of 0.5 cm for open terrain. Equation 4 is restricted to large relatively flat piles or exposed areas with little penetration into the surface wind layer. 9\/90 Miscellaneous Sources 11.2.7-5 ------- TABLE 11.2.7-2. THRESHOLD FRICTION VELOCITIES Threshold friction velocity Material Overburden3- Scoria (roadbed material )a Ground coala ( surrounding coal pile) Uncrusted coal pilea Scraper tracks on coal pile3-'*5 Fine coal dust on concrete padc (m\/s) 1.02 1.33 0.55 1.12 0.62 0.54 Roughness height (cm) 0.3 0.3 0.01 0.3 0.06 0.2 Threshold wind velocity at 10 m (m\/s) z0 = Act ; 21 27 16 23 15 11 z0 = 0.5 cm 19 25 10 21 12 10 \u2022f^fcs t-v-o.i.ji OVAJ-JUd^c l\u00bbUdJ. iUJ.J.113 . JXCI.eL CilUc \u00a3. \"Lightly crusted. cEastern power plant. Reference 3. If the pile significantly penetrates .the surface wind layer (i. e., with a height-to-base ratio exceeding 0.2), it is necessary to divide the pile area into subareas representing different degrees of exposure to wind. The results of physical modeling show that the frontal face of an elevated pile is exposed to wind speeds of the same order as the approach wind speed at the top of the pile. , , , . For two representative pile shapes (conical and oval with flattop, 37 degree side slope), the ratios of surface wind speed ,(ug) to approach wind speed (Uj.) have been derived from wind tunnel studies.9 The results are shown in Figure 11.2.7-2 corresponding to an actual pile height of 11 meters, a reference (upwind) anemetersometer height of 10 meters, and a pile surface roughness height (ZQ) of 0.5 centimeters. The measured surface winds correspond to a height of 25 centimeters above the surface. The area fraction within each contour pair is specified in Table Hi. 2.7-3. The profiles of us\/ur in Figure 11.2.7-2 .can be used to estimate the surface friction velocity distribution around similarly shaped piles, using the following procedure: 1. Correct the fastest mile value (u+) for the period of interest from the anemometer height (z) to a reference height of 10 m (uj\"rt) using a variation of Equation 1: 10 u 10 u1 In (10\/0.005) In (z\/0.005) (5) where a typical roughness height of 0.5 cm (0.005 meters) has been assumed. If a site specific roughness height is available, it should be used. 11.2.7-6 EMISSION FACTORS 9\/90 ------- 2. Use the appropriate part of Figure 11.2.7-2 based on the pile shape and orientation to the fastest mile of wind, to obtain the corresponding surface wind speed distribution (u+): 3. For any subarea of the pile surface having a narrow range of surface wind speed, use a variation of Equation 1 to calculate the equivalent friction velocity (u*): 0.4 u+ s u* = = 0-10 u+ 25 s lnO.5 From this point on, the procedure is identical to that used for a flat pile, as described above. Implementation of the above procedure is carried out in the following steps: 1. Determine threshold friction velocity for erodible material of interest (see Table 11.2.7-2 or determine from mode of aggregate size distribution), 2. Divide the exposed surface area into subareas of constant frequency of disturbance (N). ... . - 3. Tabulate fastest mile values (u+) for each frequency of disturbance and correct them to 10 m (u+ ) using Equation 5. 4. Convert fastest mile values (u10) to equivalent friction velocities (u*), taking into account (a) the uniform wind exposure of nonelevated surfaces, using Equation 4, or (b) the nonuniform wind exposure of elevated surfaces (piles),, using Equations 6 and 7. 5. For elevated surfaces (piles), subdivide areas of constant N into subareas of constant u* (i. e., within the isople'th values of u in Figure 11.2.7-2 and Table 11.2.7-3) and determine the size of each subarea. 6. Treating each.subarea (of constant N and u*) as a separate source, calculate the erosion potential (P^ for each period between disturbances using Equation 3 and the emission factor using Equation 2. 7. Multiply the resulting emission factor for each subarea by the size of the-subarea, and add the emission contributions of all subareas. Note that the highest' 24-hr emissions would be expected to occur on the windiest day of the year. Maximum emissions are calculated assuming a single event with the highest fastest mile value for the annual period. Miscellaneous Sources 11.2.7-7 ------- Flow Direction Pile A Pile B1 Pile B2 Pile B3 Figure 11.2.7-2. Contours: of normalized surface wind speeds, ug\/ur. 11.2.7-8 EMISSION FACTORS 9\/90 ------- TABLE 11.2.7-3. SUBAREA DISTRIBUTION FOR REGIMES OF ug\/ur Pile Subarea 0.2a 0.2b 0.2c 0.6a 0.6b 0.9 1.1 Percent of pile surface area Pile A 5 35 - 48 - 12 \u2014 Pile Bl 5 2 29 26 24 14 - Pile B2 3 28 \u2022 29 22 15 3 Pile B3 3 25 _ 28 26 14 4 The recommended emission .factor equation presented above assumes that all of the erosion potential corresponding to the fastest mile of wind is lost during the period between disturbances. Because the fastest mile event typically lasts only about 2 minutes, which corresponds roughly to the halflife for the decay of actual erosion potential, it could be argued that the emission factor overestimates particulate emissions. However, there are other aspects of the wind erosion process which offset this apparent conservatism: 1. The fastest mile event contains peak winds which substantially exceed the mean value for the event. 2. Whenever the fastest mile event occurs, there are usually, a number of periods of slightly lower mean wind speed which contain peak gusts of the same order as the fastest mile wind speed. Of greater concern is the likelihood of overprediction of wind erosion emissions in the case of surfaces disturbed infrequently in comparison to the rate of crust formation. 11.2.7.4 Example 1: Calculation for wind erosion emissions from conically shaped coal pile A coal burning facility maintains a conically shaped surge pile 11 meters in height and 29.2 meters in base diameter, containing about 2000 megagrams of coal, with a bulk density of 800 kg\/m3 (50 Ib\/ft3)\".\" \"The total exposed surface area of the pile is calculated as follows: S = \u00a3 r (r2 + h2) . = 3.14(14.6) (14.6)2 +(11.O)2 = 838 m2 Goal is added to the pile by means of a fixed stacker and reclaimed by front-end loaders operating at the base \"of the pile on\"the downwind side. In addition, every 3 days 250 megagrams (12.5 percent of the stored capacity of coal) is added back to the pile by a topping off operation, thereby restoring ' * 9\/90 Miscellaneous Sources 11.2.7-9 ------- the full capacity of the pile. It is assumed that (a) the reclaiming operation disturbs only a limited portion of the surface area where the daily activity is occurring, such that the remainder of the pile surface remains intact, and (b) the topping off operation creates a fresh surface on the entire pile while restoring Its original shape in the area depleted by daily reclaiming activity. ; Because of the high frequency of disturbance of the pile, a large number of calculations must be made to determine each contribution to the total annual wind erosion emissions;. This illustration will use a single month as an example. SteP 1: In the absence of field data for estimating the threshold friction velocity, a value of 1.12 meters per second is obtained from Table 11.2.7-2. steP 2: Except for a small area near the base of the pile (see Figure 11.2.7-3), the entire pile surface is disturbed every 3 days, corresponding to a value of N - 120 per year. It will be shown that the contribution of the area where daily activity occurs is negligible so that it does not need to be treated separately in the calculations. : SteP 3: The calculation procedure involves determination of the fastest mile for each period of disturbance. Figure 11.2.7-4 shows a representative set of values (for a 1-month period) that are assumed to be applicable to the geographic area of the pile location. The values have been separated into 3- day periods, and the highest value in each period is indicated. In this example, the anemometer height is 7 meters, so that a height correction to 10 meters is needed for the fastest mile values. From Equation 5, u+ In (10\/0.005) 10 7 1 In (7\/0.005) u+ = 1.05 u+ 10 7 _4j The next step is to convert the fastest mile value for each 3 day period into the equivalent friction velocities for each surface wind regime (i. e., ug\/ur ratio) of the pile, using Equations 6 and. 7. Figure 11.2.7-3 shows the surface wind speed pattern (expressed as a fraction of the approach wind speed at a height of 10 meters). The surface areas lying within each wind speed regime are tabulated below the figure. The calculated friction velocities are presented in Table 11.2.7-4. As indicated, only three of the periods contain a friction velocity which exceeds the threshold value of 1.12 meters per second for an uncrusted coal pile. These three values all occur within the Ug\/Uj. =0.9 regime of the pile surface. SteP 5.: \"This step is not necessary because there\" is only one frequency of disturbance used in the calculations. It is clear that the small area of daily disturbance (which lies entirely within the us\/ur =0.2 regime) is never subject to wind speeds exceeding the threshold value. 11.2.7-10 EMISSION FACTORS : 9\/90 ------- Prevailing Wind Direction *&\u00bb- Circled values refer to * A portion of G\u00a3 is disturbed daily by reclaiming activities, Pile Surface Area ID A .B C-i + Co us 0.9 0.6 0,2 % 12 48 40 AT*O53 ( TTJ 1 .tt..LtJa. ^lu j 101 402 335 Total 838 Figure 11.2.7-3. Example 1: Pile surface areas within each wind speed regime. 9\/90 Miscellaneous Sources 11.2.7-11 ------- TABLE 11.2.7-4. EXAMPLE 1: CALCULATION OF FRICTION VELOCITIES 3 -day period 1 2 3 4 5 6 7 8 9 10 U7 Ho (mph) 14 29 30 31 22 21 16 25 17 13 (m\/s) 6.3 13.0 13.4 13.9 9.8 9.4 7.2 11.2 7.6 5.8 (mph) '15 31 32 33 23 22 17 26 18 14 (m\/s) 6.6 13.7 14.1 14.6 10.3 9.9 7.6 11.8 8.0 6.1 u* = us\/ur: 0.2 0.13 0.27 0.28 0.29 . 0 . 21 0.20 0.15 0.24 0.16 0.12 0.1 us 0.6 0.40 0.82 0.84 0.88 0.62 0.59 0.46 0.71 0.48 0.37 (m\/s) 0.9 0.59 1.23 1.27 1.31 0.93 0.89 0.68 1.06 0.72 0.55 gteps 6 and 7: The final set of calculations (shown in Table 11 2 7-5) involves the tabulation and summation of emissions for each disturbance period and for the affected subarea. The erosion potential (P) is calculated from Equation 3. TABLE 11.2.7-5. EXAMPLE 1: CALCULATION OF PM1Q EMISSIONS61 3 -day period 2 3 4 u* (m\/s) 1.23 1.27 1.31 u* ;-.u* (m\/s) 0.11 0.15 0.19 P (g\/m2) 3.45 5.06 6.84 Pile Surface Area ID (m2) \u2022- A A A 101 101 101 kPA (s) 170 260 350 Total: 780 awhere u^ = 1.12 meters per second for uncrusted coal and k = 0.5 for PM10. For example, the calculation for the second 3 day period is: P = 58(u* - u*)2 + 25(u* - u*) . P2 = 58(1.23 - 1.12)2 + 25(1.23 - 1.12) - 0.70 + 2.75 = 3.45 g\/m2 ' The PM1Q emissions generated by each event are found as the product of the PM1Q multiplier (k - 0.5), the erosion potential (P), and the affected area of the pile (A). 11.2.7-12 EMISSION FACTORS 9\/90 ------- Local Climatological Data MONTHLY SUMMARY WIND ce 0 \u2022\u2014 se \u2022\u00ab _J I\/I LJ QC 13 30 01 10 13 12 20 29 29 22 14 29 17 21 10 10 01 33 27 32 24 22 32 29 07 34 31 30 30 33 34 29 \u2022H'd'H Q33dS ^ tuviinciu \"\"\" \" 5.3 10.5 2.4 1 1 .0 11 .3 11.1 19. & 10.9 3.0 1.4.6 22.3 7.9 7.7 <\u00bb.s & .7 13.7 11.2 4 . 3 9.3 7.5 10.3 17.1 2.4 \u00ab.9 1 It . 3 12.1 \u00ab.3 El. 2 !i.O 3. 1 -<*.9 o UJ UJ CL (A Ul 0 SC a c. 5 * 15 6.9 10.6 6.0 11.4 1 1 .9 '19.0 1.9.8 1 1 .2 B. 1 15.1 23.3 13.5 15.5 9.6 e.e 13.8 1 1 .5 5.8 10.2 7.8 10.6 17.3 e.s 8.8 11.7 12.2 8.5 8.3 6.6 5.2 5.5 FASTEST MILE o ~ ujo. i\u00bbj 0. C bn 16 10 16 1 7 15 2? 18 12 \u00a9 15 16 16 w 9 8 a: o *\u00bb\u2022 o UJ o: o 17 3& 01 02 13 1 1 30 30 30 13 12 29 17 16 13 1 I 36 34 31 35 24 20 32 13 02 32 32 26 32 32 31 25 FOB THE MONTH: 30 \u2014 3.3 li.l 31 29 DATE: H - UJ h\u2014 \u2022< O 22 i 2 3 4 5 : 6 , 7 e 9 0 t 2 3 4 5 & 7 18 19 20 21 22 23 24 25 26 27 23 29 30 31 Figure 11.2.7-4. Example daily fastest miles of wind for periods of interest. 9\/90 Miscellaneous Sources 11.2.7-13 ------- As shown in Table 11.2.7-5, the results of these calculations indicate a monthly PM10 emission total of 780 grams. 11.2.7.5 Example 2: Calculation for wind erosion from flat area covered with coal dust A flat circular area of 29.2 meters in'diameter is covered with coal dust left over from the total reclaiming of a conical coal pile described in the example above. The total exposed surface area is calculated as follows: 7T S = d2 = 0.785 (29.2)2 - 670m2 This area will remain exposed for a period of 1 month when a new pile will be formed. ^ SteP L: In tlie absence of field data for estimating the threshold friction velocity, a value of 0.54 m\/s is obtained from Table 11.2.7-2. SteP 2: The entire surface area is exposed for a period of 1 month after removal of a pile and N = 1\/yr. S_tejD_3: From Figure 11.2.7-4, the highest value of fastest mile for the 30-day period (31 mph) occurs on the llth day of the period. In this example the reference anemometer height is 7 mv so that a height correction is needed for the fastest mile value. From Step 3 of the previous example 10 \" 1<05 7 \"' S\u00b0 that =33 mph. steP 4: Equation 4 is tised to convert the fastest mile value of 33 mph (14.6 mps) to an equivalent friction velocity of 0.77 fflps. This value exceeds the threshold friction velocity from Step 1 so that erosion does occur. \u2022steP 5- This step is not necessary, because there is only one frequency of disturbance for the entire source area. Steps 6 and 7: The PM1() emissions generated by the erosion event are calculated as the product of the PM10 multiplier (k = 0.5), the erosion potential (P) and the source area (A). The erosion potential is calculated from Equation 3 as follows: P = 58(u* -.u*)2 + 25(u* - u*) t t P = 58(0.77 - 0.54)2 + 25(0.77 - 0.54) =3.07+5.75 =8.82 g\/m2 Thus the PM1Q emissions for the 1 month period are found to be: E = (0.5)(8.82 g\/m2)(670 m2) = 3.0 kg 11.2.7-14 EMISSION FACTORS 9\/90 ------- References for Section 11.2.7 1. C. Cowherd Jr., \"A New Approach To Estimating Wind Generated Emissions From Coal Storage Piles\", Presented at the APCA Specialty Conference on Fugitive Dust Issues in the Coal Use Cycle, Pittsburgh, PA, April 1983. 2. K. Axtell and C, Cowherd, Jr., Improved Emission Factors For Fugitive Dust From Surface Coal Mining Sources. EPA-600\/7-84-048, U. S. Environmental Protection Agency, Cincinnati, OH, March 1984. 3. G. E, Muleski, \"Coal Yard Wind Erosion Measurement\", Midwest Research Institute, Kansas City, MO, March 1985. \\ 4. Update Of Fugitive Dust Emissions Factors In AP-42 Section 11.2 - Wind Erosion. MRI No. 8985-K, Midwest Research Institute, Kansas City, MO, 1988. I 5. W. S. Chepil, \"Improved Rotary Sieve For Measuring State And Stability Of Dry Soil Structure\", Soil Science Society Of America Proceedings. 16:113-117, 1952. : 6. D. A. Gillette, et al.. \"Threshold Velocities For Input Of Soil Particles Into The Air By'Desert Soils\", Journal Of Geophysical Research. 85(\u00a310):5621-5630. 7. Local Climatological Data, National Climatic Center, Asheville, NC. 8. M. J. Changery, National Wind Data Index Final Report. HCO\/T1041-01 UC-60, National Climatic Center, Asheville, ;NC, December 1978. 9. B. J, B, Stunder and S. P. S.\"Arya,\" \"WiridbreaTc'Effectiveness'For Storage Pile Fugitive Dust Control: A Wind Tunnel Study\", Journal Of The Air Pollution Control Association. 38:135-143, 1988. 9\/90 Miscellaneous Sources 11.2.7-15 ------- ------- 11.3 EXPLOSIVES DETONATION 11.3.1 General 1~5 This section deals mainl]r with pollutants resulting from the detonation of industrial explosives and firing of small arms. Military applications are excluded from this discussion. Emissions associated with the manufacture of explosives are treated in Section 5.6, Explosives. An explosive is a chemical material that is capable of extremely rapid combustion resulting in an explosion or detonation. Since an adequate supply of oxygen cannot be drawn from the air, a source of oxygen must be. incorporated into the explosive mixture. Some explo- sives, such as trinitrotoluene (TNT), are single chemical species, but most explosives are mixtures of several ingredients. \"Low explosive\" and \"high explosive\" classifications are based on the velocity of explosion, which is directly related to the type of work the explosive can perform. There appears to be no direct relationship between the velocity of explosions and the end products of explosive reactions. These 'end products are determined primarily by the oxygen balance of the explosive. As in other combustion reactions, a deficiency of oxygen favors the formation of carbon monoxide and unburned organic compounds and produces little, if any, nitrogen oxides. An excess of oxygen causes more nitrogen oxides and less carbon monoxide and other unburned organics. For ammonium nitrate and fuel oil mixtures (ANFO), a fuel oil content of more than 5.5 percent creates a deficiency of oxygen. There are hundreds of different explosives, with no universally accepted system for classifying them. The classification used in Table 11.3-1 is based on the chemical composition of the explosives, without regard to other to other properties, such as rate of detonation, which relate to the applications of explosives but not to their specific end products. Most explosives are used in two-, three-, or four-step trains that are shown schematically in Figure 11.3-1. The simple removal of a tree stump might be done with a two-step train made up of an electric blasting cap and a stick of dynamite. The detonation wave from the blasting cap would cause detonation of the dynamite. To make a large hole in the earth, an inexpensive explosive such as ammonium nitrate and fuel oil (ANFO) might be used. In this case} the detonation wave from the blasting cap is not powerful enough to cause detonation, so a booster must be used in a three- or four-step train. Emissions from the blasting caps and safety fuses used in these trains are usually small compared to those from the main charge, because the emissions are roughly proportional to the weight of explosive used, and the main charge makes up most of the total weight. No factors are given for computing emissions from blasting caps or fuses, because these have not been measured, and because the uncertainties are so great.in estimating emissions from the main and booster charges that a precise estimate of all emissions is not practical. 2\/80 Miscellaneous Sources 11.3-1 ------- 2. DYNAMITE 1. ELECTRIC BLASTING CAP PRIMARY HIGH EXPLOSIVE SECONDARY HIGH EXPLOSIVE a. Two-step explosive train 3. DYNAMITE 1. SAFETY FUSE LOW EXPLOSIVE PRIMARY (BLACK POWDER) HIGH \u2022 -\"EXPLOSIVE SECONDARY HIGH EXPLOSIVE b. Three-step explosive train 4. ANFO 1 KAFCTV *\u2022 NONELECTRIC FUSE BLASTING CAP ^MEBMnn \u2014 \u2014 1 1 ~l 3. DYNAMITE BOOSTER 1 LOW PRIMARY ^ EXPLOSIVE \u2022 HIGH EXPLOSIVE SSCONDAHY HIGH EXPLOSIVE c. Four-step explosive train Figure 11.3-1. Two-, three-, and four-step explosive trains. 11.3-2 EMISSION FACTORS 2\/80 ------- s k. M \u2022s i I Z I \u2022o u s **<. f- \u00a3 j? 1 =1 s be 1 i o 1 S \u00a3 | +J i\/l O 7n 0. m lfc-' r-. *~ O * CM en \u00abr to o sr p- *T CM o ~ f*\u00bb r\u2014 0^ O Z Z eo\" S T to m CM li 20-60X nitroglycerine\/ ammonium nitrate\/sodium nitrate\/wood pulp \u00abC\\I II 0 ^- \"\u00a3 tn co o o to CM CM O a: tn i-T d*n C CO eno s. *f> I CO en to tn CM 1 \"o CM V CM cv,? tn \u2022\u2014 CO at .85 SSJS *j aS S \u00a3 *J \u2022\u2022\u00a3 \u20225gts \u2022issf 20-1001 nitroglycerine e \u00ab o\" *~ CM O \u00b0 ; z \u00a3* Z - : CO 5 -'-S en Is i *J tn S-28 \u00a3-\u00b0.s s*6 O J- C US~ anonlum nitrate with 5.8-8T fuel oil O \u00abc C3 CM CM CM \u00bb S\" *f i CO < r~ ID * i1 5 SS S *a- CM en fs. ^ \u00a7 \u2022S 4J tJ t^ U \u00ab t. 01 O 4J E \u00ab-^\u00bb E 0< trinitrotoluene CM h- CM \"S ~ CM t CM CM f Z ^ z z z en to ^ CM booster c I {CH2}3H3(N02)3 yclotrimethylenetrlnitr X oc (MO r\u2014 O m Z ^ z z z n f*. i CM -1 booster a* \u00a3 4-> \"c 41 H \u00a71 (-> Of \u00b0k a. \u00abi H S ra c II Z t ^ a \u2022D e 1- Z o\" U. z o n (l S *\u2022 ^ & 1 o * o o a s carried out S on experlme 1 S re re carried out more than 40 \u00ab VI 1 in c | E V* \u00ab \u2022o S -1 X u O ^ 1 S \u00a3 a \u00a3 \u20224-f e o ^ o H c re i ^ 41 \"5 1 the chemica available. 0 0 ictors apply 1 ago. NA = i 5\u00ab H > 19 ^ I \u00a3 N ^i ,_\u2022 I (O S jj u a n. r 1SS grain | u a :r than 6 mg 1 O u re re \u2022o re u 1 S | o c w JO 1 s \u2014 \u00a3 8 ved from th \u00ab factors are d | h \u2022o 2\/80 Miscellaneous Sources 11.3-3 ------- 11.3.2 Emissions And Controls 2'4 6 ; Carbon monoxide is the pollutant produced in greatest quantity from explosives detonation. TNT, an oxygen deficient explosive, produces more CO than most dynamites, which are oxygen balanced. But all explo- sives produce measurable amounts of CO. Particulates are produced as well, but such large quantities of particulate are generated in the shattering of the rock and earth by the explosive that the quantity of particulates from the explosive charge cannot' be distinguished. Nitrogen oxides (both NO and N02) are formed, but only limited data are available on these emissions. Oxygen deficient explosives are said to produce little or no nitrogen oxides, but there is only a small body of data to confirm this. Unburned hydrocarbons also result from explosions, but in most instances, methane is the only species that has been reported. Hydrogen sulfide, hydrogen cyanide and ammonia all have been reported as products of explosives use. Lead is emitted from the firing of small arms ammunition with lead projectiles and\/or lead primers, but the explosive charge does not contribute to the lead emissions. The emissions from ejiplosives detonation are influenced by many factors such as explosive composition, product expansion, method of priming, length of charge, and confinement. These factors are difficult to measure and .control in the field and are almost impossible to duplicate in a laboratory test facility. With the exception of a few studies in underground mines, most studies have been performed in laboratory test chambers that differ substantially from the actual environment. Any estimates of emissions from explosives use must be regarded as approxi- mations that cannot be made more precise, because explosives are not used in a precise, reproducible manner. To a certain extent, emissions can be altered by changing the composition of the explosive mixture. This has been practiced for many years to safeguard miners who must use explosives. The U. S. Bureau of Mines has a continuing program to study the products from explosives and to identify explosives that can be used safely underground. Lead emissions from small arms use can be controlled by using jacketed soft point projectiles and special leadfree primers. Emission factors are given in Table 11.3-1. References for Section 11.3 1. C. R. Newhouser, Introduction to Explosives. National Bomb Data Center, International Association of Chiefs of Police, Gaithersburg, MD (undated). 2, Roy V. Carter, \"Emissions from the Open Burning or Detonation of Explosives\", Presented at the 71st Annual Meeting of the Air Pollution Control Association, Houston, TX, June 1978. 11-3-4 EMISSION FACTORS ' 2\/80 ------- 3. Melvin A. Cook, The Science of High Explosives, Reinhold Publishing Corporation, New York, 1958. 4. R. F. Chaiken, et al., Toxic Fumes from Explosives; Ammonium Nitrate Fuel Oil Mixtures, Bureau of Mines Report of Investigations 7867, U. S. Department of Interior, Washington, DC, 1974. 5. Sheridan J. Rogers, Analysis of Noncoal Mine Atmospheres; Toxic Fumes from Explosives, Bureau of Mines, U. S. Department of Interior, Washington, DC, May 1976. 6. A. A. Juhasz, \"A Reduction of Airborne Lead in Indoor Firing Ranges by Using Modified Ammunition\", Special Publication 480-26, Bureau of Standards, U. S. Department of Commerce, Washington, DC, November 1977. 2\/80 Miscellaneous Sources 11.3-5 ------- ------- TABLE C.2-1. PARTICLE SIZE CATEGORY BY AP-42 SECTION AP-42 Section , 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 2.1 23 2.5 3.2 5.4 5.8 5.10 5.11 5.12 5.15 5.16 5.17 6.1 6.2 6.3 6.4 6.5 6.7 Source Category External combustion Bituminous and subbituminous, coal combustion Anthracite coal combustion Fuel oil combustion Residual oil TTtilitu uuuiy industrial Commercial Distillate oil TTtllltar Utility Commercial Residential Natural gas combustion Liquefied petroleum gas Wood waste combustion in boilers , Lignite combustion Bagasse combustion Residential fireplaces Residential wood stoves Waste oil combustion Solid waste disposal Refuse combustion \" \" Conical burners (wood waste) Sewage sludge incineration Internal combustion engines Highway vehicles Off highway vehicles Chemical processes Charcoal Hydrofluoric acid Spar drying Spar handling Transfer Faint and varnish Phosphoric acid (thermal process) Pthalic anhydride Soap and detergents Sodium carbonate Sulfuric acid Food and agricultural Alfalfa dehydrating Primary cyclone Meal collector cyclone Pellet cooler cyclone Pellet regrind cyclone Coffee roasting Cotton ginning Grain elevators and processing plants Fermentatipn Meat smokehouses Category Number* a a & a a 4 a a a a a a a b a a a a 2 a ' c 1 9 3 3 3 4 a 9 a a b b 7 7 7 6 b a 6,7 9 AP-42 Section 6.8 6.10 6.10.3 6.11 \u00a3 \\A O*i*r 6.16 6.17 6.18 7.1 7.2 7.3 7.4 7.5 7.6 7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14 7.15 7.18 Source Category Category Number* Ammonium nitrate fertilizers Phosphate fertilizers Ammonium phosphates Reactor\/ammoniator-granulator Dryer\/cooler Starch manufacturing TTr*Mi Ulva Defoliation and harvesting of cotton Trailer loading Transport Harvesting of grain Harvesting machine Truck loading Field transport Ammonium sulfate Rotary dryer Fluidized bed dryer Metallurgical Primary aluminum production Bauxite grinding Aluminum hydroxide calcining Anode baking furnace Prebakecell Vertical Soderberg Horizontal Soderberg Coke manufacturing Primary copper smelting Ferroalloy production Iron and steel production Blastfurnace Slips Cast house Sintering Windbox Sinter discharge Basic oxygen furnace Electric arc furnace Primary lead smelting Zinc smelting Secondary aluminum operations Sweating furnace Smelting Crucible furnace Reverbcratory furnace Secondary copper smelting and alloying Gray iron foundries Secondary lead Processing Secondary magnesium smelting Steel foundries - melting Secondary zinc processing Storage battery production Leadbearing ore crushing and grinding a 3 4 4 7 & 6 6 6 6 6 b b '4 5 9 a 8 a a a a a a a a a a a 8 8 8 a 8 a a 8 b 8 b 4 Data for numbered categories are given in Table C.2-2. Particle size data on \"a\" categories are found in the AP-42 text; for \"b\" categories, in Appendix C.1; and for \"c\" categories, in AP-42 Volume II: Mobile Sources. 9\/90 Appendix C.2 C.2-5 ------- TABLE G.2-1. PARTICLE SIZE CATEGORY BY AP-42 SECTION (cont.) AP-42 Section Source Category Category Number* AP-42 Section 8.1 8.3 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.13 8.14 8.15 8.16 8.18 Mineral products Asphaltic concrete plants Bricks and related clay products Raw materials handling Dryers, grinders, etc. Tunnel\/periodic kilns Gas fired Oil fired Coal fired Castable refractories Raw material dryer Raw material crushing and screening Electric arc melting Curing oven Portland cement manufacturing Dry process Kilns Dryers, grinders, etc. Wet process Kilns Dryers, grinders, etc. Ceramic clay manufacturing Drying Grinding Storage Clay and fly ash sintering Fly ash sintering, crushing, screening, yard storage . Clay mixed with coke Crushing, screening, yard storage Coal cleaning Concrete batching Glass fiber manufacturing Unloading and conveying Storage bins Mixing and weighing Glass furnace - wool Glass furnace - textile Glass manufacturing Gypsum manufacturing Rotary ore dryer Roller mill Impact mill Flash calciner Continuous kettle calciner Lime manufacturing Mineral wool manufacturing Cupola Reverberatory furnace Blow chamber Curing oven Cooler Phosphate rock processing Drying Calcining Grinding Transfer and storage 8.19.1 8.19.2 8.22 8.23 8.24 10.1 11.1 11.2 Source Category Category Number* Sand and gravel processing Continuous drop Transfer station Pile formation - stacker Batch drop Active storage piles Vehicle traffic on unpaved road Crushed stone processing Dry crushing Primary crushing Secondary crushing and screening Tertiary crushing and screening Recrushing and screening Fines mill Screening, conveying, handling Taconite ore processing Fine crushing Waste gas Pellet handling Grate discharge Grate feed Bentonite blending Coarse crushing Ore transfer. Bentonite transfer Unpaved roads Metallic minerals processing Western surface coal mining Wood pmdiicftj Chemical wood pulping Miscellaneniig .-jourm Wildfires and prescribed burning Fugitive dust a a 3 4 4 a 4 a 4 S 4 4 3 3 4 a a a Data for numbered categories are given in Table C.2-2. Particle size data on \"a\" categories are found in the AP-42 text; for \"b\" categories, in Appendix Cl; and for \"c\" categories, in AP-42 Volume IT; Mobile Sources. C.2-6 EMISSION FACTORS 9\/90 ------- CL2.3 How To Use The Generalized Particle Size Distributions For Controlled Processes To calculate the size distribution and. the size specific emissions for a source with a particulate control device, the user first calculates the uncontrolled size specific emissions. Next, the fractional control efficiency for the control device is estimated, using Table G.2-3. The Calculation Sheet provided (Figure C.2-2) allows the user to record the type of control device and the collection efficiencies from Table C.2-3, the mass in the size range before and after control, and the cumulative mass. the user will note that the uncontrolled size data are expressed in cumulative fraction less than the stated size. The control efficiency data apply only to the size range indicated and are not cumulative. These data do not include results for the greater than 10 ^m particle size range. In order to account for the total controlled emissions, particles greater than 10 \/jm in size must be included. C.2.4 Example Calculation An example calculation of uncontrolled total particulate emissions, uncontrolled size specific emissions, and controlled size specific .emission is shown on Figure C.2-1. A blank Calculation Sheet is provided in Figure C.2-2. TABLE C.2-3 TYPICAL COLLECTION EFFICIENCIES OF VARIOUS PARTICULATE CONTROL DEVICES3- Particle size . AIRS Type of collector Codeb 0 - 2.5 2.5 - 6 6 - 10 001 Wet scrubber - hi-efficiency 90 95 002 Wet scrubber - med-efficiency 25 85 003 Wet scrubber - low-efficiency 20 80 004 Gravity collector - hi-efficiency .3.6 5 005 Gravity collector - med-efficiency 2.9 4 006 Gravity collector - low-efficiency 1.5 3. 007 Centrifugal collector - hi-efficiency 80 95 008 Centrifugal collector - med-efficiency ,50 75 009 Centrifugal collector - low-efficiency 10 35 010 Electrostatic precipitator - hi-efficiency 95 99 Oil Electrostatic precipitator - med-efficiency boilers 50 80 other 80 90 012 Electrostatic precipitator - low-efficiency boilers 40 70 other 70 80 014 Mist eliminator - high velocity >250 FPM 10 75 015 Mist eliminator - low velocity <250 FPM 5 40 016 Fabric filter - high temperature 99 99, 017 Fabric filter - med temperature 99 99. 018 Fabric filter - low temperature 99 99 99 95 90 6 4. 3. 95 85 50 99.5 94 97 90 90 90 75 99.5 99.5 99.5 9\/90 Appendix C.2 C.2-17 ------- 046 049 050 051 052 053 054 055 056 057 058 059 061 062 063 064 071 075 076 077 085 086 Process change Liquid filtration system Packed-gas absorption column Tray- type gas absorption column Spray tower Venturi scrubber Process enclosed Impingement plate scrubber Dynamic separator (dry) Dynamic separator (wet) Mat or panel filter - mist collector Metal fabric filter screen Dust suppression by water sprays Dust suppression by chemical stabilizer or wetting agents Gravel bed filter Annular ring filter Fluid bed dry scrubber Single cyclone Multiple cyclone w\/o fly ash reinjection Multiple cyclone w\/fly ash reinjection Wet cyclonic separator Water curtain 50 90 25 on \/u 1C . D 25 \u00a3f^ 90 50 92 10 -L. \\J 40 40 . 80 W 10 JL W 10 JLVJ 80 50 50 10 75 RS o j O f\\ 80 f\\ r; 95 3.2 Q^ 7S \/ -J 94 1 Q J.J 65 . . fis O J on yu on zu 95 75 7S \/ tj 45 85 f\\f\\ 99 95 90 99 3.7 99 f\\ f\\ 99 o c: OD 97 A f. 20 90 QA yo 80 r\u00bb-7 97 f\\ f\\ 90 50 95 85 0 C OD 90 represent an average of actual efficiencies. are lencx.a. c.nol.3 shorn are intended to provide guidance fo - \u2014 - G<2\"18 EMISSION FACTORS 9\/90 ------- References for Appendix C. 2 1. Fine Particle Emission Inventory System, Office Of Research And Development, U. S. Environmental Protection Agency, Research Triangle Park, NC, 1985. 2. Confidential test data from various sources, PEI Associates, Inc., \u2022Cincinnati, OH, 1985. , 3. Final Guideline Document: Control Of Sulfuric Acid Production Units. EPA-450\/2-77-019, U. S. Environmental Protection Agency, Research Triangle Park, NC, 1977. * 4. Air Pollution Emission Test. Bunge Corp.. Destrehan. LA. EMB-74-GRN-7, U. S. Environmental Protection Agency, Research Triangle Park, NC, 1974. 5. I. W. Kirk, \"Air Quality In Saw And Roller Gin Plants\", Transactions Of The ASAE. \u00a30:5, 1977. 6. Emission Test Report. Lightweight Aggregate Industry. Galite Corp.. EMB- 80-LWA-6, U. S. Environmental Protection Agency, Research Triangle Park, NC, 1982. 7. \u2022 Air Pollution Emission _Test. Lightweight Aggregate Industry. Texas Industries. Inc.. EMB-80-LWA-3, U. S. Environmental Protection Agency, Research Triangle Park, NC, 1975. - \u2022 8. Air Pollution Emission Test. Empire Mining Company. Palmer. Michigan. EMB-76-IOB-2, U. S. Environmental Protection Agency, Research Triangle Park, NG, 1975. 9. H. Taback, et al.. Fine Particulat'e Emissions From Stationary Sources In The South Coast Air Basin. KVB, Inc., Tustin, CA, 1979. 10. K. Rosbury, Generalized__Particle Size Distributions For Use In Preparing Particle Size Specific Emission Inventories. EPA Contract No. 68-02- 3890, PEI Associates, Inc., Golden, CO, 1985. 9\/90 Appendix C.2 C.2-19 ------- ------- APPENDIX D PROCEDURES FOR SAMPLING SURFACE\/BULK DUST LOADING Procedures are herein recommended for collection of road dust and aggregate material samples from unpaved and paved industrial roads, and from storage piles. These recommended procedures are based on a review of American Society Of Testing And Materials (ASTM) standards. The recommended procedures follow ASTM standards where practical, and where not, an effort has been made to develop procedures consistent with the intent of the majority of pertinent ASTM Standards. 1. Unpaved Industrial Roads The main objective in sampling the surface material from unpaved roads is to collect composite samples from major road segments within an industrial facility. A composite, or gross, sample comprises of several incremental samples collected from representative subareas of the source. A road segment can be defined as the distance between major intersections. Major road segments can be identifed by an analysis of plant delivery, shipment and employee travel routes and should be mapped before sampling begins. The goal of this sampling procedure is to develop data on the mean silt and moisture contents of surface material from a given road segment. \"Representative\" samples will be collected and analyzed through the use of compositing and splitting techniques. A composite sample is formed by the collection and subsequent mixing of the combined mass obtained from multiple increments or grabs of the material in question. The analyzed, or test, sample refers to the reduced quantity of material extracted, or split, from the larger field sample. A minimum of 0.4 kg (~1 Ib) of sample is required for analysis of the silt fraction and moisture content. A gross sample of 5 kg (10 Ib) to 23 kg (50 Ib) from every unpaved road segment should be collected in a clean, labeled, 19 liter (5 gal) plastic pail with a sealable poly liner. This sample should be composited from a minimum of three incremental samples, but it may consist of only one, depending on the length of the road segment and hazards to the sampling team. The first sample increment is collected at a random location within the first 0.8 km (0.5 mi) of the road segment, with additional samples collected from each remaining 0.8 km (0.5 mi) of the road segment up to a maximum road segment length of 4.8 km (3 mi). An acceptable method of selecting three sample locations on road segments of less than 1.5 mi length is to sample at locations represented by three random numbers (x^, X\u00a3, xg), between 0.0 mi and y mi, the road segment length. A scientific handheld calculator can produce pseudorandom numbers, or they may be obtained from statistical tables. 9\/90 Appendix D D-l ------- LO CO if cc is 4^ o >* f O t X CM X CO X o a: ------- Date Sample Collected. Sampling Data for Unpaved Roads , Recorded by. Type of Material Sampled: Site of Sampling*: SAMPLING METHOD 1. Sampling device: whisk broom and dust pan 2. Sampling depth: loose surface material (do not abrade road base) 3. Sample container: metal or plastic bucket with sealed poly liner 4. Gross sample specifications: (a) 1 sample of 23kg (50 ib) minimum for every 4.8 km (3 mi) sampled (b) composite of at least 3 increments: lateral strips of 30 cm (1 ft) width extending over traveled portion of roadway Indicate deviations from above methods and general meteorology: SAMPLING DATA Sample No. Time Location* \u2022 Surface Area Depth Quantity of Sample Use code given on plant or road map for segment identification and indicate sample on map. Figure 2. Data Form For Unpaved Road Sampling. 9\/90 Appendix D D-3 ------- Figure 1 illustrates sampling locations along industrial unpaved roads. The width of each sampled area across the road should be 0.3 m (1 ft). Only the travelled section of the roadway should be sampled. The loose surface material is removed from the hard road base with a whisk broom and dustpan. The material should be swept carefully to prevent injection of fine dust into the atmosphere. The hard road base below the loose surface material should not be abraded so as to generate more fine mate- rial than exists on the road in its natural state. Figure 2 is a data form to be used for the sampling of unpaved roads. 2. Payed Industrial Roads ^For paved roads, it is necessary to obtain a representative sample of loading (mass\/area) from the travelled surface to characterize particulate emissions caused by vehicle traffic. A composite sample should be collected from each major road 'segment in the plant. A minimum sample mass of 0.4 kg (~1 Ib) should be composited from a minimum of three separate increments. Figure 3 is a diagram showing the locations of incremental samples for a two-lane paved industrial road. The first sample increment should be collected at a random location between 0.0 and 0.8 km (0.5 mi). Additional samples should be collected from each remaining 0.8 km (0.5 mi).of the road segment, up to a maximum road segment length of 8 km (5 mi). For road segments of less than 2.4 km (1.5 mi) in length, an acceptable method would be to collect sample increments at three randomly chosen locations (x-,, x?, Xo), between 0.0 km and y km, the road length. Care must be taken that isampled dust loadings are typical of only the travelled portion of the road segment of interest. On paved roads painted with standard markings, the area from '\"solid white line to solid white line\" should be sampled. Curbs should not be sampled, since vehicles are not likely to disturb dust from this area. Each incremental sample location consists of a lateral strip from 0.3 to 3 m (1 to 10 ft) wide across the travelled portion of the roadway. The exact area to be sampled depends on the amount of loose surface material on the paved roadway. For a visibly dirty road, a width of 0.3 m (1 ft) is sufficient, but for a visibly clean road, a width of 3 m (10 ft) could be required to obtain an adequate sample. This sampling procedure is the preferred method of collecting surface dust from a paved industrial road segment. However, if for lack of resources or traffic hazards collection of a minimum of three sample increments across all travel lanes is not feasible on a short road segment (<2.4 km or 1.5 mi), sampling from a single representative paved'strip 3 to'9'm (10 to 30 ft) wide across each lane will likely produce sufficient sample for analysis. Samples are removed from the road surface by vacuuming, preceded by broom sweeping if large aggregate is present. The sample number is identified and the sampled area measured and is recorded on the appropriate data form. With a whisk broom and a dust pan,' the larger particles are collected from the sampling area and placed in a clean, labeled plastic jar. The remaining t D-4 EMISSION FACTORS 9\/90 ------- }? in T\u2014 Al S I '\u00a3 iq o , \\ o n i Co m \u00a3g E in }? V^ ,1 o x in I \u00a3 c ,g CO en O \u00ab ^^* %\u2022\u2022 S C \u2022a \u2022a 0) \u00ab3 \u00ab^- +\u2022> VI ------- Paved Road Loading Date Sample Collected Recorded by. Type of Material Sampled: Sampling Location*: ' . No. of Traffic Lanes: . Surface Condition: *Use code given on plant or road map for segment identification and indicate sample on map. 1. Sampling device: portable vacuum cleaner (broom sweep first if loading is heavy) 2. Sampling depth: loose surface material 3. Sample container: tared and numbered vacuum cleaner bags 4. Gross sample specifications: (a) Cample weiy 8 km (5 mi) of road length \" ~ > cm (1 ft) minimum width extending from curb to curb M do _not.sa.rnple curb.areas Indicate deviations from above method: SAMPLING DATA Sample No. \u2022 - - Vac Bag Time Surface Area Broom Swept? Sample No. Vac Bag Time Surface Area Broom Swept? DIAGRAM (mark each segment with vacuum bag number) -\u00bb...-. .-.. - . t ,,..._.,,...,, . , Figure 4. Data Form For Paved Road Sampling. D-6 EMISSION FACTORS 9\/90 ------- Date Sample Collected. Sampling Data for Storage Piles . Recorded by. Type of Material Sampled: Site of Sampling : SAMPLING METHOD 1. Sampling device: pointed shovel 2. Sampling depth: 10-15 cm (4-6 in) 3. Sample container: metal or plastic bucket with sealed poly liner 4. Gross sample specifications: (a) 1 sample of 23kg (50 lib) minimum for every pile sampled (b) composite of 10 increments 5. Minimum portion of stored material (at one site) to be sampled: 25% Indicate deviations from above method (e.g., use of sampling tube for inactive piles): SAMPLING DATA Sample No. Time Location (Refer to map) Surface Area Depth Quantity of Sample Figure 5. Data Form For Storage Pile Sampling. 9\/90 Appendix D D-7 ------- smaller particles are then swept from the road with an electric broom-type vacuum sweeper. The sweeper must be equipped with an empty weighed, labeled disposable vacuum bag. Care must be taken to avoid tearing the bag and losing the sample. After the sample has been collected, the bag should be removed from the sweeper, checked for leaks and stored in a previously labeled sealed plastic bag or paper envelope for transport. Figure 4 presents a data form to be used for the sampling of paved roads. 3. Storage Piles Ideally, a gross sample made up of top, middle, and bottom incremental samples from a pile should be obtained to determine representative silt and moisture content for use in predicting participate emissions from wind erosion and materials handling operations. However, it is impractical to climb to the top_or even the middle of most industrial storage piles, because of their large size. The most practical approach to minimize sampling location bias for laree piles is to sample as near to the middle of the pile as practical and to select sampling locations in a random fashion. A minimum of ten incremental samples should be obtained at locations along the entire perimeter of a large pile If a small pile is sampled, two sets of three incremental samples should be collected from the pile top- middle, and bottom. A gross sample of 1 KS\/i 1?,*\u00b0 23,kS (5\u00b0 lb) fr\u00b0m a St\u00b0raSe Pile should be Placed in a clean, labeled, 19 liter (5 gal) plastic pail with a sealable-poly liner. ' .' \"\" For determination of wind erosion estimation parameters, incremental samples are collected by skimming the surface of the pile in an upwards direction, using a straight-point shovel or small garden spade. Every effort must.be made n^t to avoid sampling larger pieces of aggregate'materiair ~ : To characterize a pile for particulate emissions from materials handling processes, incremental samples should be taken from the portion of the storage pile surface (1) which has been been recently formed by the addition of aggre- gate material , or (2) from which aggregate material is being reclaimed Samples should be collected with a shovel to a depth of 10 to 15 cm (4 to 6 in), taking care not to avoid sampling larger pieces of material. If an inactive pile is to be sampled before loadout operations, sample increments should be obtained using a sampling tube approximately 2 m (6 ft) long pushed to a depth of 1 m (3 -ft). The diameter of the sampling tube should be a minimum of 10 times the diameter of the largest particle sampled Samples should be representative of the interior portions of the pile that constitute the bulk of the material to be transferred. Figure 5 presents a data form to be used fo'r the sampling of storage piles. D'8 EMISSION FACTORS 9\/90 ------- APPENDIX E PROCEDURES FOR LABORATORY ANALYSIS OF SURFACE\/BULK DUST LOADING SAMPLES 1.0 Samples From Sources Other Than Paved Roads 1.1 Sample Preparation Once the gross sample is brought to the laboratory, it must be prepared for analyses of moisture and silt, the two physical parameters of principal interest. The latter is defined as the percent of test sample mass passing a 200 mesh screen (<75 micrometers physical diameter) based on mechanical sieving of oven-dried material. These analyses entail dividing the sample to a workable size. The gross sample can bo divided by using (1) mechanical devices, (2) alternative shovel method, (3) riffle, or (4) coning and quartering method. Mechanical division devices are not discussed in this section since they are not found in many laboratories. The alternative shovel method is actually only necessary for samples weighing hundreds of pounds. Therefore, only the use of the riffle and the coning and quartering method are discussed. American Society For Testing And Materials (ASTM) standards describe the selection of the correct riffle size and the correct use of the riffle. Riffle slot widths should be at least three times T:he size\"of the largest aggregate in the material being divided. Figure 1 shows two riffles for sample division. The following describes the use of the riffle. Divide the gross sample by using a riffle; Riffles properly used will reduce sample variability but cannot eliminate it. Riffles are shown in Figure 1, (a) and (b). Pass the material through the riffle from a feed scoop, feed bucket, or riffle pan having a lip or opening the full length of the riffle. When using any of the above containers to feed the riffle, spread the material evenly in the container, raise the container, and hold it with its front edge resting on top of the feed chute, then slowly tilt it so that the material flows in a uniform stream through the hopper straight down over the center of the riffle into all the slots, thence into the riffle pans, one-half of the sample being collected in a pan.. Under no circumstances shovel the sample into the riffle, or dribble into the riffle from a small-mouthed container. Do not allow the material to build up in or above the riffle slots. If it does not flow freely through the slots, shake or vibrate the riffle to facilitate even flow. The procedure for coning and quartering is best illustrated in Figure 2. Coning and quartering is a simple procedure which is applicable to all powdered materials and to sample sizes ranging from a few grams to several hundred pounds.2 Oversized, material, defined as >0.6 mm (3\/8 in) in diameter, should be removed prior to quartering and weighed in a tared container. The following steps describe the procedure. 9\/90 Appendix E E-l ------- 1. Mix the material and shovel it into a neat cone; 2. Flatten the cone by pressing the top without further mixing; 3. Divide the flat circular pile into equal quarters by cutting or scraping out two diameters at right angles; 4. Discard two opposite quarters; 5. Thoroughly mix the two remaining quarters, shovel them into a cone, and repeat.the quartering and discarding procedures until the sample has been reduced to 0.4 to 1.8 kg (1 to 4 Ib). Preferably, the coning and quartering operation should.be conducted on a floor covered with clean 10 mil plastic. Samples likely to be affected by moisture or drying must be handled rapidly, preferably in an area with a controlled atmosphere, and sealed in a container to prevent further changes during transportation and storage. Care must be taken that the material is not contaminated by anything on the floor or that a portion is not lost through cracks or holes. The size of the laboratory sample is important. Too little sample will not be representative and too much sample will be unwieldly. Ideally, one would like to analyze the entire gross sample in batches, but this is not practical. While all ASTM standards acknowledge,this impracticality, they disagree on the exact size, as indicated by the range of recommended'samples, extending from 0.05 to 27 kg (0.1 to 60 Ib). The main principle in sizing the laboratory sample is to have sufficient coarse and fine portions to be representative of the material and to allow sufficient mass on each sieve so that .the weighing is accurate... A laboratory sample of 400 to 1600 g is recommended since these masses can be handled by the scales normally available (1.6.to 2.6 kg capacities). Also, more sample than this can produce screen blinding for the 20 cm (8 in) diameter screens normally available. In addition, the sample mass should be such that it can be spread out in a reasonably sized drying pan to a depth of < 2.5 cm (1 in). 1.2 Laboratory Analysis Of Samples For Moisture And Silt Contents The basic recommended procedure for silt analysis is mechanical, dry sieving after moisture_analysis. Step-by-step procedures-are given in Tables 1 and 2. The moisture content is obtained from a differential weight analysis of the bulk material before and after drying. & Non-organic samples should be oven dried overnight at 110\u00b0 C (230\u00b0F) before sieving. The sieving timers variable; sieving should be conducted for several periods of equal interval (e., g,, 10 min), and continued until the net sample weight collected in the pan increases by less than 3.0 percent of the previous silt weight. A small variation of 3.0 percent is allowed since some sample grinding due to interparticle abrasion will, occur, and consequently the weight will continue to increase.. When the silt mass change reduces to not more than 3.0 percent, it is thought that the natural silt has been passed through the No. 200 sieve screen and that any additional increase is due to grinding. The sample preparation E-2 , EMISSION FACTORS 9\/90 ------- Feed Chute SAMPLE DIVIDERS (RIFFLES) Rolled Edges Riffle Sampier (b) Riffle Bucket and Separate Feed Chute Stand (b) Figure 1. Sample Dividers (Riffles) 9\/90 CONING AND QUARTERING Figure 2 . Procedure For Coning And Quartering. Appendix E E-3 ------- Date: MOISTURE ANALYSIS By: Sample No: _ Oven Temperature: Material: Date In Date Out .. ... _ , _. , Time In Time Out Split Sample Balance: Drying Time Make Capacity - , _ __ Material Weight (after drying) Smallest Division . _ \u2022 Pan + Material: _ _ Pan: __ \u2022 Total Sample Weight: __ _ Dry Sample: (Excl. Container) ~~~ Number of Splits: ' _ _ _ MOISTURE CONTENT: (A) Wet Sample Wt. Split Sample Weight (before drying) (B) Dry Sample Wt HZZ Pan + Sample: _ _ _ _ (Q) Difference Wt. ~~~ Pan: . _ 1n Wet Sample: - _ _ _ , itJUfla = _ % Moisture Figure 3. 'Example Moisture .Analysis Form._ operations and the moisture and sieving \"results can be recorded on the data forms shown in Figures 3 and 4, 2.0 Samples From Paved Roads 2.1 Sample Preparation And Analysis For Total Loading The gross sample\" of _ paved road dust' carTarrive\" at the laboratory in two types of containers, (a) for heavily loaded roads, the broom swept particles will be in plastic jars; and (b) the vacuum swept dust will be in vacuum bags sealed inside plastic bags or paper envelopes. The broom swept particles and the'vacuum swept dust are individually weighed on a beam balance. The broom swept particles are weighed in a tared container. The vacuum swept dust is weighed in the vacuum bag which was tared in the laboratory before going to the field. The total surface dust loading on the traveled lanes of the paved road is then calculated in units of kilograms of dust on the traveled lanes per kilometer of road. The total dust loading on the traveled lanes is calculated as follows: E-4 ' EMISSION FACTORS 9\/90 ------- L = (1) where: m^ = mass of the broom swept dust (kg) niy. = mass of the vacuum swept dust (kg)1 P = width of the sampling strip as measured along the centerline of the road segment (km) TABLE E-l. MOISTURE ANALYSIS PROCEDURE . 1. Preheat the oven to approximately 110\u00b0C (230\u00b0F). Record oven temperature. 2. Tare the laboratory sample containers which will be placed in the oven. Tare the containers with,the lids on if they have lids. Record the tare weight(s). Check zero before each weighing. 3. Record the make, capacity, and smallest division of the scale. 4. Weigh the laboratory sample(s) in the container(s).a Record the combined weight(s). Check zero before each weighing. 5. Place sample in oven and dry overnight.^ 6. Remove sample container from oven and (a) weigh immediately if uncovered, being careful' of the hot container; or (b) place-tight- fitting lid on the container and let cool before weighing. Record the combined sample and container weight(s). Check zero reading on the balance before weighing. 7. Calculate the moisture as the initial weight of the sample and container minus the oven-dried weight of the sample and container divided by the initial weight of the sample alone. Record the value. 8. Calculate the sample weight to be used in the silt analysis as the oven- dried weight of the sample and.container minus the weight of the container. Record the value. -- \u2022- aFor materials with high moisture content, agitate the sample container to ensure that any standing moisture is included in the laboratory sample container. \"Materials composed of hydrated minerals or organic material like coal and certain soils should be dried for only 1.5 h. 9\/90 Appendix E E-5 ------- Date Sample No: Material: SILT ANALYSIS By Split Sample Balance: Make Capacity . Smallest Division Material Weight (after drying) Pan + Material: , Pan: Dry Sample:. Final Weight: \/ qji* _ Net Weight <200 Mesh . nrt Total Net Weight x100 SIEVING Time: Start: Initial (Tare! 20 min: 30 min: 40 min: Weight (Pan Only) Screen 3\/8 in. 4 mesh 10 mesh 20 mesh 40 mesh 100 mesh 140 mesh 200 mesh Pan Tare Weight (Screen) Final Weig (Screen + inal Weight Screen + Sample) Net Weight (Sample) % Figure 4. Example Silt Analysis Form, E-6 EMISSION FACTORS 9\/90 ------- TABLE E-2. SILT ANALYSIS PROCEDURES 1. Select the appropriate 8-in diameter, 2-in deep sieve sizes. Recommended U.S. Standard Series sizes are: 3\/8 in, No. 4, No. 20, No, 40, No. 100, No. 140, No. 200, and a pan. Comparable Tyler Series sizes can also .be utilized. The No. 20 and the No. 200 are mandatory. The others can be varied if the recommended sieves are not available or if buildup on one participate sieve during sieving indicates that an intermediate sieve should be inserted. 2. Obtain a mechanical sieving device such as vibratory shaker or a Roto-Tap (without the tapping function). 3. Clean the sieves with compressed air and\/or a soft brush. Material lodged in the sieve openings or adhering to the sides of the sieve should be removed (if possible) without handling the screen roughly. 4. Obtain a scale (capacity of at least 1600 g) and record make, capacity, smallest division, date of last calibration, and accuracy. 5. Tare sieves and pan. Check the zero before every weighing. Record weights. , ' 6. After nesting the sieves in decreasing order with pan at the bottom, dump dried laboratory sample (probably immediately after moisture analysis) into the top sieve. The sample should weigh between 400 and 1600 g (- 0.9 to 3.5 lb)a. Brush fine material adhering toj the sides of the.con- - tainer into the top sieve and cover the top sieve with,a special lid normally purchased with the pan. 7. Place nested sieves into the mechanical device and sieve for 10 min. Remove pan containing minus No., 200 and weigh. Repeat the sieving in 10- min intervals until the difference between two successive pan sample weighings (where the tare of the pan has been subtracted) is less than 3.0. percent. Do not sieve longer than 40 min. 8. Weigh each sieve and its contents and record the weight. Check the zero reading on the balance before every_weighing. 9. Collect the laboratory sample and place the sample In a separate container if further analysis is expected. 10. Calculate the percent of mass less than the 200 mesh screen (75 urn). This is the silt content. aThis amount will vary for finely textured materials; 100 to 300 g may be sufficient when 90% of the sample passes a No. 8 (2.36 mm) sieve. 2.2 Sample Preparation And Analysis For Road Dust Silt Content After weighing the sample to calculate total surface dust loading on the traveled lanes, the broom swept, particles and vacuum swept dust are 9\/90 Appendix E E-7 ------- composited. The composited sample is usually small and may require no sample splitting in preparation for sieving. If splitting is necessary to prepare a laboratory sample of 400 to 1600 g, the techniques discussed in Section 1.1 can be used. The laboratory sample is then sieved using the techniques described in part 1.2 above. References For Appendix E 1. \"Standard Method Of Preparing Coal Samples For Analysis\", D2013-72, Annual Book Of ASTM Standards. 1977. 2. L. Silverman, et alv Particle Size Analysis In Industrial Hygiene, Academic Press, New York, 1971. u.s. GOVEreffliEHT ERINTIHG OFFICE 1990\/727-090\/27002 E-8 EMISSION FACTORS 9\/90 ------- TECHNICAL REPORT DATA (Please read Instructions on the reverse before completing} . REPORT NO. AP-42 Supplement C 3. RECIPIENT'S ACCESSION NO. TITLE AND SUBTITLE Supplement C to Compilation Of Air Pollutant Emission Factors. AP-42, Fourth Edition 5. REPORT DATE September 1990, 6. PERFORMING ORGANIZATION CODE AUTHOR(S) 8. PERFORMING ORGANIZATION REPORT NO. PERFORMING ORGANIZATION NAME AND ADDRESS U.-'S. Environmental Protection Agency Office Of Air And Radiation Office Of Air Quality Planning And Standards Research Triangle Park, NC 27711 10. PROGRAM ELEMENT NO. 11. CONTRACT\/GRANT NO. 2. SPONSORING AGENCY NAME AND ADDRESS 13. TYPE OF REPORT AND PERIOD COVERED 14..SPONSORING AGENCY CODE 5. SUPPLEMENTARY NOTES EPA Editor: Whitmel M. Joyner 6. ABSTRACT In'this Supplement to the Fourth Edition of AP-42, new or revised emissions data i are presented for Residential Wood Stoves; Refuse1Combustion; Sewage Sludge Incineration; Magnetic Tape Manufacturing Industry; Surface Coating Of Plastic Parts For Business Machines; Synthetic Fiber Manufacturing; Primary Lead Smelting; Gray Iron Foundries; Chemical Wood Pulping; Willdfires And Prescribed Burning; Industrial Paved Roads; Industrial Wind Erosion; Explosives Detonation; Appendix C.2, \"Generalized Particle'Size Distributions\"; Appendix D, \"Procedures For Sampling Surface\/Bulk Dust Loading\",; and Appendix E, \"Procedures For Laboratory Analysis Of Surface\/Bulk Dust Loading Samples\". KEY WORDS AND DOCUMENT ANALYSIS a. DESCRIPTORS b.lDENTIFIERS\/OPEN ENDED TERMS c. cos AT I Field\/Group Stationary Sources Point Sources Area Sources Emission Factors Emissions 18. DISTRIBUTION STATEMENT 19. SECURITY CLASS .(ThisReport) !1. NO. OF PAGES 170 20. SECURITY CLASS (Thispage) 22. 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\section*{Methods}%
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\title{Screening the Coulomb interaction leads to a prethermal regime in two-dimensional bad conductors}
\author
{L. J. Stanley,$^{1,2}$ Ping V. Lin,$^{1,3}$ J. Jaroszy\'{n}ski,$^{1}$ Dragana Popovi\'{c}$^{1,2\ast}$\\
\\
\normalsize{$^{1}$National High Magnetic Field Laboratory, Florida State University,}\\
\normalsize{Tallahassee, Florida 32310, USA}\\
\normalsize{$^{2}$Department of Physics, Florida State University,}\\
\normalsize{Tallahassee, Florida 32306, USA}\\
\normalsize{$^{3}$ Department of Physics, Zhejiang Sci-Tech University,}\\
\normalsize{Hangzhou 310018, China}\\
\normalsize{$^\ast$To whom correspondence should be addressed; E-mail: dragana@magnet.fsu.edu}
}
\date{}
\begin{document}
\baselineskip24pt
\maketitle
\begin{sciabstract}
The absence of thermalization in certain isolated many-body systems is of great fundamental interest. However, it is not well understood how the interplay of disorder and interactions affects thermalization, especially in two dimensions (2D), and experiments on solid-state materials remain scarce. We investigate nonequilibrium dynamics exhibited after a rapid change of electron density $\bm{n_\mathrm{s}}$, in two sets of disordered 2D electron systems in Si, poorly coupled to a thermal bath. In the low conductivity regime at low $\bm{n_\mathrm{s}}$, we find that, while the dynamics is glassy in devices with the long-range Coulomb interaction, in the case of screened Coulomb interaction the thermalization is anomalously slow, consistent with the proximity to a many-body-localized (MBL) phase, i.e. the MBL-like, prethermal regime. Our results demonstrate that the MBL phase in a 2D electron system can be approached by tuning the interaction range, thus paving the way to further studies of the breakdown of thermalization and MBL in real materials.
\end{sciabstract}
One of the most fundamental questions in statistical mechanics is the state that a disordered, isolated quantum system reaches a long time after a perturbation \cite{Polkovnikov2011,Nandkishore2015,Mori2018,Abanin2019,Gopalakrishnan2020}. Is the system able to achieve thermal equilibrium, or does it fail to thermalize and why? An important class of systems that fail to thermalize are MBL systems \cite{Gornyi2005,Basko2006}, which represent an extension of the well-known Anderson localization of single particles in the presence of disorder \cite{Anderson1958} to interacting systems. In particular, with increasing disorder strength, an isolated interacting quantum system may undergo a dynamical transition from the thermal to the MBL phase [$\!\!$\cite{Polkovnikov2011,Nandkishore2015,Mori2018,Abanin2019,Gopalakrishnan2020} and refs. therein]. When prepared out of equilibrium, a system in the MBL phase does not conduct particles or heat, and thus it is unable to thermalize, retaining a memory of the initial state but allowing for the growth of quantum entanglement - properties that are of interest also for quantum information science. Therefore, one of the central issues for understanding MBL systems is the nature of the associated nonequilibrium dynamics, i.e. the time evolution following a change in one of the system parameters (quantum quench). Recently, there has been remarkable theoretical progress in studies of thermalization and MBL systems \cite{Polkovnikov2011,Nandkishore2015,Mori2018,Abanin2019,Gopalakrishnan2020}, but a number of key questions remain open. For example, it is not known how the range of interactions affects the dynamical behavior and the existence of MBL \cite{Nandkishore2017,Tikhonov2018, Gopalakrishnan2019,Sajna2020}, and whether true MBL even exists in $\mathrm{D}>1$. But even if the system does eventually thermalize, on shorter time scales it can exhibit the phenomenology of the true MBL phase \cite{Gopalakrishnan2020}. The nature of the slow dynamics in such a prethermal regime is a subject of great interest and debate. So far, theoretical developments have been reinvigorated and guided largely by experimental advances in the realization of isolated synthetic many-body systems with tunable interactions and disorder, such as ultracold atoms in optical lattices \cite{Bloch 2008,Kondov2015,Choi2016,Bordia2016,Luschen2017}, trapped ions \cite{Zhang2017}, superconducting qubits \cite{Roushan2017}, and spins of nitrogen-vacancy centers in diamond \cite{Choi2017}. Observing signatures of MBL in real materials, on the other hand, has posed an even greater challenge because the coupling between electrons and phonons makes it difficult to isolate the system from its thermal environment. The most promising, albeit indirect, evidence suggestive of MBL was reported in crystalline In$_2$O$_{3-x}$ \cite{Ovadyahu2012} and amorphous In$_x$O films \cite{Ovadyahu2015,Ovadia2015,Tamir2019}. However, additional experiments, especially on materials beyond synthetic quantum matter, are needed to address the above open questions.
We report the effect of the range of interactions on thermalization in the conductivity ($\sigma$) in a disordered 2D electron system (2DES) in Si metal-oxide-semiconductor field-effect transistors (MOSFETs), the basic building blocks of modern electronics. This system is an excellent candidate for observing the MBL for the following reasons. First, electron density $n_\mathrm{s}$ can be varied easily by up to three orders of magnitude by changing the voltage $V_\mathrm{g}$ on the metallic gate (Fig.~\ref{fig:setup}A),
\begin{figure}
\centering
\includegraphics[width=0.7\textwidth]{MOSFETsFigure1_Science_2021-06-21.eps}
\caption{{\textbf{Experimental investigation of quench dynamics in a 2DES.}} (\textbf{A}) Schematic diagram of a Si MOSFET and the measurement set-up \cite{SM}. Samples are mounted in vacuum, and connected to a thermal bath only through the leads attached to source and drain contacts and the Si substrate. When the mean electron separation ($a$) is larger than the distance from the metallic gate ($d_{\mathrm{ox}}$), the Coulomb interaction is modified from the long-range $\sim1/r$ to a screened or short-range $\sim1/r^3$ form. Electron density $n_\mathrm{s}$ is controlled by the gate voltage $V_\mathrm{g}$. (\textbf{B}) $V_\mathrm{g}$ and $T$ vs time ($t$) in a typical experimental protocol. Nonequilibrium dynamics is launched at $t=0$ by a rapid change of $n_\mathrm{s}$ from its initial to a final state value. (\textbf{C}) Conductivity $ \sigma(t)$ corresponding to the protocol in (B) in the short-range case (sample $2\times20$): $ V_{\mathrm{g}}^{\mathrm{i}} = 2.5$~V [$n_{\mathrm{s}}^{\mathrm{i}}(10^{11}$cm$^{-2})=32.2$], $V_{\mathrm{g}}^{\mathrm{f}} =1.74$~V [$n_{\mathrm{s}}^{\mathrm{f}}(10^{11}$cm$^{-2})=8.44 >n_\mathrm{c}$]; $T = 0.92$~K. Inset: Expanded view of the relaxation after $n_\mathrm{s}$ change. Red dashed line indicates the (time-averaged) equilibrium conductivity in the final state, $\sigma_0(n_{\mathrm{s}}^{\mathrm{f}},T)$.
}
\label{fig:setup}
\end{figure}
thus allowing the study of thermalization dynamics across the quantum metal-insulator transition (MIT). Furthermore, it is well known that the electron-phonon coupling between the 2DES and bulk Si, as well as in bulk Si itself, is very weak at low enough temperatures $T$ \cite{Zieve1998,Altshuler2001}. In particular, for our devices in the relevant range of $n_\mathrm{s}$, heat transfer between the 2DES and the environment is dominated by electron diffusion through the contacts (drain and source in Fig.~\ref{fig:setup}A), as opposed to phonons, at $T\lesssim 1.6$~K \cite{Zieve1998,Altshuler2001}. In that case, any heat transfer comes mainly through the leads attached to the contacts. To reduce thermal coupling to the environment even further, we placed the samples and leads in vacuum, unless noted otherwise. Finally, the MOSFET structure provides the option of screening the Coulomb interaction within the 2DES by reducing the thickness of the oxide ($d_{\mathrm{ox}}$) that separates the 2DES from the gate (Fig.~\ref{fig:setup}A). Therefore, we focus on two sets of Si MOSFETs that were manufactured simultaneously, using identical procedure, the only difference being the value of $d_{\mathrm{ox}}$ \cite{SM}. In thick-oxide devices, $d_{\mathrm{ox}}=50$~nm and the Coulomb interaction is long-range, i.e. $\propto 1/r$, similar to most Si MOSFETs used in the studies of a 2D MIT \cite{Abrahams2001,Dragana2012}. In thin-oxide devices, $d_{\mathrm{ox}}=6.9$~nm and the Coulomb interaction is screened by the gate, such that it falls off in a dipolelike fashion, as $\propto 1/r^3$ \cite{Widom1988}. In particular, in the regime of interest, $0.7 \lesssim d_{\mathrm{ox}}/a<1.5$, where $a=(\pi n_\mathrm{s})^{-1/2}$ is the mean electron separation. This implies stronger screening by the gate compared to other ground-plane screening studies in which the corresponding ratio $d/a$ ($d$ is the distance to the ground plane) was larger [e.g. $d/a\sim 1.5 -2.5$ for In$_x$O films \cite{Ovadyahu2019}]. Nevertheless, it has been established that the equilibrium transport properties of the 2DESs in these two sets of high-disorder Si MOSFETs \cite{Snezana2002,Lin2015} are qualitatively the same, i.e. they are not affected by the range of the Coulomb interaction. Here we demonstrate that, in contrast, there is a striking difference in their nonequilibrium dynamics, thus revealing a transition from thermal to MBL-like dynamical behavior as the interaction range is reduced for a fixed disorder strength.
At low $n_\mathrm{s}$ of interest, the primary cause of the disorder in Si MOSFETs are charged impurities (Na$^+$) that are randomly distributed in the oxide and thus spatially separated from the 2DES \cite{AFS}. The 4.2~K peak mobility of the 2DES, a rough measure of the amount of disorder \cite{AFS}, indicates that our devices are relatively strongly disordered (Fig.~S1) \cite{SM,Snezana2002,Lin2015}. Previous measurements have found that $\sigma(n_\mathrm{s},T)$ is essentially the same in both sets of devices (Fig.~S2), with the MIT occurring at similar critical densities, $n_\mathrm{c}(10^{11}$cm$^{-2})=5.0\pm0.3$ and $n_\mathrm{c}(10^{11}$cm$^{-2})=4.2\pm0.2$ for thick- and thin-oxide samples, respectively \cite{Lin2015}. In fact, even the critical exponents associated with the MIT are the same, consistent with a disorder-dominated nature of the MIT \cite{Lin2015}. The onset of localization at $n_\mathrm{c}$ implies that here the characteristic energy scale for disorder ($W$) becomes comparable to and exceeds the Fermi energy $E_\mathrm{F}[\mathrm{K}]=7.31n_\mathrm{s}[10^{11}$cm$^{-2}]$ \cite{AFS}, i.e. $W\sim35$~K. At the same time, the ratio $r_\mathrm{s}$ of the average Coulomb energy per electron to the Fermi energy, $r_\mathrm{s}=E_\mathrm{C}/E_\mathrm{F}\propto n_{\mathrm{s}}^{-1/2}\sim 4$ \cite{AFS}. In thin-oxide devices, this ratio is reduced to $r_\mathrm{s}\lesssim 1$ because of the screening by the gate \cite{Widom1988}, so that all three energy scales ($W$, $E_\mathrm{F}$, and $E_\mathrm{C}$) are comparable. To explore the nonequilibrium dynamics of the 2DES, we focus on the quantum quench protocol, in which $n_\mathrm{s}$ is changed rapidly by a large amount (relative to $E_\mathrm{F}$).
Measurements are performed on a number of samples, which are labeled according to their dimensions $L~[\mu$m]$\times W~[\mu$m] ($L$ - length, $W$ - width) \cite{SM}. A typical experimental procedure (Fig.~\ref{fig:setup}B) involves cooling the sample down from a high temperature (usually $7-20$~K) to a measurement $T$ with $V_\mathrm{g}$ fixed at a value corresponding to a high initial carrier density, $n_{\mathrm{s}}^{\mathrm{i}}\gg n_\mathrm{c}$.
($\sigma(T)$ at such high $n_{\mathrm{s}}^{\mathrm{i}}$ is very weak, as seen in Figs.~S2 and \ref{fig:setup}C.) The quench dynamics is then induced at time $t=0$ by reducing $n_\mathrm{s}$ rapidly (within 2~s) by a large amount to its final value, $n_{\mathrm{s}}^{\mathrm{f}}$, while monitoring the time evolution of the conductivity $\sigma(n_\mathrm{s},T)$ (Fig.~\ref{fig:setup}C). Generally, a state prepared in this way ($\Delta E_\mathrm{F}\sim E_{\mathrm{F}}$, $k_{\mathrm{B}}T\ll E_{\mathrm{F}}$) is highly out-of-equilibrium, as confirmed by a very long time needed for $\sigma(n_{\mathrm{s}}^{\mathrm{f}},T,t)$ to relax to its (time-averaged) equilibrium value $\sigma_0(n_{\mathrm{s}}^{\mathrm{f}}, T)$ (Fig.~\ref{fig:setup}C inset). We verify that $\sigma_0(n_{\mathrm{s}}^{\mathrm{f}}, T)$ represents the equilibrium conductivity corresponding to the given $V_{\mathrm{g}}^{\mathrm{f}}$ and $T$ by performing a subsequent warm-up to $\sim 7-20$~K, where no relaxations are observed, and then a cooldown to the same measurement $T$; this indeed results in the same value of $\sigma_0(n_{\mathrm{s}}^{\mathrm{f}}, T)$ (Fig.~S3).
In the case of the long-range interaction, the relaxations initially overshoot equilibrium and $\sigma$ continues to move away from it with time; it is only at some later time that $\sigma$ starts to approach $\sigma_0$, thus giving rise to a minimum in $\sigma(t)$ (Fig.~\ref{fig:rawdata}A).
\begin{figure}[!tb]
\includegraphics[width=0.70\textwidth]{MOSFETsFigure2_Science_2021-02-04-Vert.eps}
\centering
\caption{\textbf{Relaxations of conductivity $\bm{\sigma (t)}$ normalized by the equilibrium value in the final state at a given temperature.} (\textbf{A}) Long-range case for $n_\mathrm{s}^\mathrm{i}$(10$^{11}$cm$^{-2}$)$= 20.26$ and $n_\mathrm{s}^\mathrm{f}$(10$^{11}$cm$^{-2}$)$= 7.33\lesssim n_\mathrm{g}$ at several $T$, as shown; sample $2\times50$. (\textbf{B}) Short-range case for $n_\mathrm{s}^\mathrm{i}$(10$^{11}$cm$^{-2}$)$= 32.20$ and $n_\mathrm{s}^\mathrm{f}$(10$^{11}$cm$^{-2}$)$= 7.50$; sample $2\times20$. Dashed black lines indicate the equilibrium value $\sigma=\sigma_0(n_{\mathrm{s}}^{\mathrm{f}},T)$. In both (A) and (B), $n_\mathrm{s}^\mathrm{f}>n_\mathrm{c}$.}
\label{fig:rawdata}
\end{figure}
As $T$ is reduced, the relaxations become slower: the minimum shifts to lower values of $\sigma/\sigma_0$ and to longer times, until it disappears from the experimental time window at low enough $T$. A detailed study of the relaxations \cite{Jan2006} has found that the approach to equilibrium [i.e. at times after the minimum in $\sigma(t)$] is exponential, such that the characteristic equilibration or thermalization time $\tau_{\mathrm{eq}}(T)$ diverges exponentially with decreasing $T$: $\tau_{\mathrm{eq}}\rightarrow\infty$ as $T\rightarrow 0$. This means that, strictly speaking, the 2DES cannot thermalize only at $T$=0. On shorter time scales, before the minimum in $\sigma(t)$, the relaxations are nonexponential \cite{Jan2006}, consistent with the existence of many metastable states and the so-called hierarchical pictures of glasses \cite{Binder1986}. Indeed, extensive studies of charge dynamics in these devices have established \cite{Jan2006,Jan2007-1,Jan2007-2,Snezana2002,Lin2012,Dragana2012} glassy freezing as $T\rightarrow 0$ and glassy behavior at low enough $T$ and $t$ for all $n_\mathrm{s}$ up to a glass transition density $n_\mathrm{g}= (7.5\pm 0.3)\times 10^{11}$ cm$^{-2}$, i.e. such that $n_\mathrm{c} < n_\mathrm{g}$. This gives rise to an intermediate phase ($n_\mathrm{c} < n_\mathrm{s} < n_\mathrm{g}$) in which the dynamics is glassy, but the 2DES is a bad conductor ($k_{\mathrm{F}}l < 1$, where $k_\mathrm{F}$ is the Fermi wave vector and $l$ is the mean free path). These observations are consistent with theoretical expectations \cite{Dobrosavljevic2003}, with the Coulomb glass behavior ultimately resulting from the frustration induced by the competition of the long-range Coulomb interaction and disorder.
In the case of screened or short-range Coulomb interaction, there are both some similarities and important differences compared to the long-range case. This is illustrated in Fig.~\ref{fig:rawdata}B, which shows the relaxations measured at $n_\mathrm{s}^\mathrm{f}>n_\mathrm{c}$ similar to the one in Fig.~\ref{fig:rawdata}A. Here the relaxations are also $T$-dependent and overshoot $\sigma_0$ before slowly returning to equilibrium. However, the relaxations do not go farther away from equilibrium with time for a given $T$ and, surprisingly, $\tau_{\mathrm{eq}}$ is similar for all $T$. Based on $\sigma(n_{\mathrm{s}}^{\mathrm{f}},T,t)$ measured for different $n_\mathrm{s}^\mathrm{f}$ and $T$, we point out the following key features of our data.
a) The relaxations are seen for $n_\mathrm{s}^\mathrm{f}(10^{11}$cm$^{-2}) \lesssim 17$ (Fig.~S4), which corresponds to $\sigma_0<e^2/h$. In other words, the slow dynamics becomes observable on the metallic side of the MIT, but in the regime of strong disorder when $k_\mathrm{F} l<1$, in analogy with the long-range case. To explore the density dependence further, we plot the initial amplitude of the relaxations, defined as $\sigma(10$~s)$/\sigma_0$, at a fixed low $T$ (see Fig.~S5 for $T$ dependence at fixed $n_\mathrm{s}^\mathrm{f}$ ). Figure~\ref{fig:initial} shows that,
\begin{figure}[!tb]
\includegraphics[width=0.55\textwidth]{MOSFETsFigure_sigma10_ns_2021-06-09.eps}
\centering
\caption{\textbf{Short-range case: the initial relaxation amplitude $\bm{\sigma(t=10}$~s)$\bm{/\sigma_0}$ vs final density $\bm{n_\mathrm{s}^\mathrm{f}}$ at a low $\bm{T\approx0.2}$~K.} The relaxations become observable on the metallic side of the 2D metal-insulator transition, at $n_\mathrm{s}^\mathrm{f}(10^{11}$cm$^{-2})\approx17$ for which $\sigma_0\sim e^2/h$, i.e. $k_\mathrm{F}l <1$. The relaxation amplitude increases as the density is reduced, and it peaks just before $n_\mathrm{c}$, the critical density for the MIT, is reached. Symbol shapes indicate the size of the sample, as shown; open symbols describe the data obtained on another sample with the same dimensions. For all data, $n_\mathrm{s}^\mathrm{i} (10^{11}$cm$^{-2})= (32.2\pm 0.3)$. Yellow hatched region shows $n_\mathrm{c}$.
Dashed black line corresponds to the equilibrium value $\sigma=\sigma_0(n_{\mathrm{s}}^{\mathrm{f}},T)$. The error bars reflect 1 S.D. of the fluctuations of $\sigma_0$ with time.}
\label{fig:initial}
\end{figure}
as $n_\mathrm{s}^\mathrm{f}$ is reduced, the deviations from equilibrium become more pronounced and peak just before $n_\mathrm{c}$ is reached, thus reflecting the presence of the underlying MIT. It is interesting that a nonmonotonic density dependence of the relaxation amplitude near the MIT was observed also in the glassy dynamics of thick-oxide devices \cite{Jan2007-2}.
As the density is reduced towards the MIT and in the insulating regime, the relaxations become dominated by noise (Fig.~S4). Studies of noise, i.e. fluctuations in $\sigma(t)$, provided important information about the nature of glassy dynamics and the free energy landscape in the 2DES with the long-range Coulomb interaction \cite{Snezana2002,Lin2012}. While studies of fluctuations with time have been suggested also as an alternative probe of the MBL dynamics \cite{Serbyn2014}, the noise analysis in the short-range case is beyond the scope of this work. We focus instead on the aspect of the relaxations that most starkly deviates from the long-range case.
b) In contrast to thick-oxide devices (Fig.~\ref{fig:rawdata}A and ref. \cite{Jan2006}), in the case of screened Coulomb interaction the relaxations have a very weak time dependence at intermediate times (Fig.~\ref{fig:rawdata}B and Fig.~S4). Moreover, the thermalization time $\tau_{\mathrm{eq}}$ appears to be independent of $T$ and $n_\mathrm{s}^\mathrm{f}$. Indeed, we find that the approach to equilibrium at long times may be fitted with an exponential function, $|\sigma-\sigma_0|\propto \mathrm{exp}[-(t/\tau_\mathrm{eq})]$ (Fig.~S6), which allows us to extract $\tau_{\mathrm{eq}}$ for all $n_\mathrm{s}^\mathrm{f}$, $T$, and for different samples. The results indicate that the thermalization is anomalously slow, with $\tau_\mathrm{eq}\sim 10^4$~s (Fig.~\ref{fig:tau}A, solid symbols) and no systematic dependence on
\begin{figure}[!tb]
\includegraphics[width=0.94\textwidth]{v2_Mosfet_Fig_4_science_2021-06-10.eps}
\centering
\caption{\textbf{Dependence of the thermalization time on the range of interactions and thermal coupling to the environment.}
(\textbf{A}) Thermalization (or equilibration) time $\tau_\mathrm{eq}$ as a function of $T$ for different $n_\mathrm{s}^\mathrm{f}$, as shown. For the short-range case (solid symbols), the symbol shape indicates the sample (squares: $2\times20$, circles: $2\times50$, triangles: $1\times90$); $n_\mathrm{s}^\mathrm{i} (10^{11}$cm$^{-2})= (32.2\pm 0.3)$. Results for the long-range case (open symbols) are adapted from ref.~\cite{Jan2006} in which a $2\times50$ sample was studied for different $n_\mathrm{s}^\mathrm{i}$. Dashed black lines guide the eye. (\textbf{B}) $\tau_\mathrm{eq}$ vs. $n_\mathrm{s}$ for the short-range case with two different types of thermal coupling to the environment. The data from (A), shown for $T=(0.9-1.7)$~K, obtained with samples placed in vacuum and thus very weakly coupled to a thermal bath, demonstrate that $\tau_\mathrm{eq}$ is anomalously long. When measured in $^4$He gas at $T=1.7$~K, the samples are directly in contact with the cooling power of the cryostat and, thus, more strongly coupled to the environment. In that case, $\tau_\mathrm{eq}$ is about an order of magnitude lower, i.e. the thermalization is much faster. Open symbols are data from another sample with the same dimensions; dashed lines guide the eye. (\textbf{C}) Schematic of the effect of the Coulomb interaction range on quench dynamics in a disordered 2DES at low enough $n_\mathrm{s}$. In the long-range, $\sim1/r$ case, the dynamics is glassy, but the system thermalizes, in principle at a finite $\tau_\mathrm{eq}(T)$ at all $T>0$ ($\tau_\mathrm{eq}\rightarrow\infty$ as $T\rightarrow0$). In the short-range, $\sim1/r^3$ case, $\tau_\mathrm{eq}$ is independent of $T$, but it is extremely long when coupling to the environment is very weak; when this coupling increases, $\tau_\mathrm{eq}$ decreases. Therefore, in this case, the thermalization results from the residual coupling of the 2DES to the outside world, but on time scales short enough compared to $\tau_{\mathrm{eq}}$
the system exhibits MBL-like properties.}
\label{fig:tau}
\end{figure}
either $T$ or $n_\mathrm{s}^\mathrm{f}$. This is in a striking contrast to $\tau_\mathrm{eq}\propto \exp(-E_\mathrm{A}/T)$ in the long-range case \cite{Jan2006} (Fig.~\ref{fig:tau}A, open symbols; $E_\mathrm{A}\approx 57$ K, independent of $n_\mathrm{s}^\mathrm{f}$), where the divergence of $\tau_\mathrm{eq}$ was one of the signatures of glassy freezing as $T\rightarrow 0$. Therefore, in the 2DES with a screened Coulomb interaction, we find no evidence of glassy dynamics, which provides key insight into this fundamental problem \cite{Andresen2013}. What is the nature of the observed anomalously slow transport then?
In contrast to glassy systems, the MBL phase is expected to be highly susceptible to the coupling to a thermal bath, which can thus be used as an experimental signature of MBL \cite{Luschen2017,Abanin2019}. We have, therefore, performed some relaxations measurements with samples placed in $^4$He vapor (Fig.~S7) to increase the thermal coupling to the environment. Figure~\ref{fig:tau}B shows that, in that case, $\tau_\mathrm{eq}$ is about an order of magnitude lower, i.e. the thermalization is much faster, precisely as expected for MBL. The values of $\tau_\mathrm{eq}$ are hence determined by the residual coupling of the 2DES to the outside world, and are expected to diverge for a completely isolated system. It is the presence of this residual coupling, along with the slow dynamics due to glassiness in the long-range case, that explains and resolves also the seemingly counterintuitive observation in Fig.~\ref{fig:tau}A that, at low $T<2$~K, the thermalization is faster in the short-range case. Our measurements at $T\gtrsim 2$~K, where electron-phonon coupling between the 2DES and bulk Si additionally increases the residual coupling, further confirm our conclusions. First we note that a reasonably good estimate of $\tau_\mathrm{eq}$ can be obtained also from $n_\mathrm{s}$ sweeps. For example, for samples in vacuum at $T=1.5$~K, even sweeps as long as $\sim 1.6\times 10^4$~s result in a hysteresis in $\sigma(n_\mathrm{s})$ observed when $\sigma< e^2/h$ (Fig.~S8A). This gives a lower bound for $\tau_\mathrm{eq}\sim 1.6\times 10^4$~s, consistent with values obtained from relaxations measurements (Fig.~\ref{fig:tau}A). At $T=4.2$~K, though, there is no hysteresis regardless of whether the samples are placed in vacuum or immersed in liquid helium, and the same $\sigma(n_\mathrm{s})$ is obtained even for sweeps as fast as $\sim 200$~s (Fig.~S8B). This implies that $\tau_\mathrm{eq}$ must be even lower, and that thermalization is dominated by electron-phonon coupling, as expected in this $T$ range \cite{Zieve1998,Altshuler2001}. In the long-range case, on the other hand, glassy dynamics persists at $T\gtrsim 4$~K (Fig.~\ref{fig:rawdata}A, Fig.~\ref{fig:tau}A) despite the increased electron-phonon coupling, consistent with general expectations \cite{Abanin2019}.
Our findings are summarized schematically in Fig.~\ref{fig:tau}C. The quench dynamics of a disordered, nearly thermally isolated 2DES with a screened Coulomb interaction has revealed non-glassy relaxations of conductivity back to equilibrium with extremely long thermalization times ($\tau_\mathrm{eq}\sim 10^4$~s) that are independent of $T$. The MBL-like nature of the observed slow dynamics has been confirmed by verifying that residual coupling to the environment sets the time scale for thermalization. In case of the long-range Coulomb interaction, however, the MBL does not survive: the system thermalizes, although $\tau_\mathrm{eq}(T)$ can be long because the dynamics is glassy. We note that, in both cases, slow dynamics is observed only when $k_\mathrm{F} l<1$, i.e. when the 2DES becomes a bad conductor. Therefore, we have determined that the interaction range has a striking effect on the dynamics, although the equilibrium behavior of the 2DES is not affected.
Our central results are thus the direct observation of the MBL-like, prethermal regime in an electronic system, and clarifying the effects of the interaction range on the fate of glassy dynamics and MBL in 2D. By establishing a new, versatile solid-state platform for the study of MBL, our work also opens new possibilities for further investigations, such as noise measurements as a probe of ergodicity breaking and many-body entanglement \cite{Serbyn2014,Abanin2019}.
|
{
"redpajama_set_name": "RedPajamaArXiv"
}
| 8,223
|
{"url":"https:\/\/tex.stackexchange.com\/questions\/131092\/makeindex-illegal-roman-number","text":"# makeindex: Illegal Roman number\n\nI'm currently writing some appendices and I'm wondering why some keywords don't show up in the index.\n\nThe page-number is redefined for every section of the Appendix (A..., B..., C..., etc.).\n\nI've discovered, that there is always this error:\n\nScanning input file testfile.idx...done (0 entries accepted, 4 rejected).\n\nContent of file testfile.idx:\n\n\\indexentry{A}{C1}\n\\indexentry{B}{C1}\n\\indexentry{C}{C2}\n\\indexentry{D}{C2}\n\n\nContent of makeindex-logfile:\n\nScanning input testfile.idx...\n!! Input index error (file = testfile.idx, line = 1):\n-- Illegal Roman number: position 2 in C1.\n!! Input index error (file = testfile.idx, line = 2):\n-- Illegal Roman number: position 2 in C1.\n!! Input index error (file = testfile.idx, line = 3):\n-- Illegal Roman number: position 2 in C2.\n!! Input index error (file = testfile.idx, line = 4):\n-- Illegal Roman number: position 2 in C2.\ndone (0 entries accepted, 4 rejected).\n\n\nThis works fine for pages starting with A, B and E (probably more), but fails with C and D. Therefore, I'm afraid that makeindex is interpreting C and D as Roman numerals for 100 and 500, respectively.\n\nMWE:\n\n\\documentclass{scrbook}\n\\usepackage{makeidx}\n\\makeindex\n\n\\begin{document}\n\\pagenumbering{arabic}\\renewcommand{\\thepage}{C\\arabic{page}}\nA\\index{A} B\\index{B}\n\\clearpage\nC\\index{C} D\\index{D}\n\\cleardoublepage\n\\printindex\n\\end{document}\n\n\nWhat do I have to do to get makeindex interpreting \"C1\", etc. as it is?\n\nUPDATE:\n\nProblem on the pagenumbering encountered with hyperref:\n\n\u2022 I'm afraid this is an inherent limitation of MakeIndex. \u2013\u00a0egreg Sep 1 '13 at 20:29\n\u2022 Hmm, still wondering why \"C4\" is not working, but \"C-4\" does. It seems that makeindex can indeed accept a non-roman character but refuses to work with arabic numbers. I'm confused... \u2013\u00a0MrD Sep 1 '13 at 20:41\n\nIf you are not totally committed to that page format makeindex is happier if you have a - separator:\n\n\\documentclass{scrbook}\n\\usepackage{makeidx}\n\\makeindex\n\n\\begin{document}\n\\pagenumbering{arabic}\\renewcommand{\\thepage}{A-\\arabic{page}}\nA\\index{A} B\\index{B}\n\\clearpage\nC\\index{C} D\\index{D}\n\\cleardoublepage\n\n\\pagenumbering{arabic}\\renewcommand{\\thepage}{C-\\arabic{page}}\nA\\index{A} B\\index{B}\n\\clearpage\nC\\index{C} D\\index{D}\n\\cleardoublepage\n\\printindex\n\\end{document}\n\n\nAs egreg noted in comments (and included here with permission:-) the trick to having an invisible page separator is the page_compositor_ setting in a makeindex style.\n\n\\protected\\def\\?{}\n\\renewcommand\\thepage{C\\?\\arabic{page}\n\n\nin the LaTeX file and\n\npage_compositor \"\\\\?\"\n\n\nin a foo.ist file to be called by\n\n makeindex -s foo filename\n\n\nor a filename.mst\n\n\u2022 Yes, I've had this before, but to be honest - I don't like it very much (see also on page A-15), as I think page A15 is smoother. Also I don't know why the minus solves this issue. I'll think about this and maybe I'll customize the source code of my very own version of makeindex if nothing else is possible... \u2013\u00a0MrD Sep 1 '13 at 20:38\n\u2022 @DL6ER I'm sure in a previous life I had a makeindex style that made a separator visible to makeindex but typestting as empty, failed to recreate it just now, but it may come back to me:-) \u2013\u00a0David Carlisle Sep 1 '13 at 20:40\n\u2022 @DL6ER oh I used same page format as you suggest in source2e :-) \u2013\u00a0David Carlisle Sep 1 '13 at 20:43\n\u2022 @DL6ER egreg told me to edit it in to here :-) \u2013\u00a0David Carlisle Sep 1 '13 at 21:17\n\u2022 @DL6ER The idea for a page_compositor expanding to nothing was David's. \u2013\u00a0egreg Sep 1 '13 at 21:46\n\nA cheap work-around if you really don't want C-1, C-2, \u2026 :\n\nGo ahead and do it with C- anyway. LaTeX will generate foo.idx from your foo.tex file and then MakeIndex will create foo.ind will no rejections. When you're happy with everything else and still have those hated C- page numbers in your index, open foo.ind and do a global search-and-replace to change every C- to just C. Fix your foo.tex file to use C not C- in the appendix and LaTeX it one last time and there you have it.\n\n\u2022 You'll want a script or batch file or makefile so you don't have to remember or type these steps. \u2013\u00a0Ethan Bolker Jun 11 '14 at 20:14\n\nAddition for hyperref to David Carlisle's answer:\n\n\\usepackage{hyperref}\n\n% disable \\? in page labels, destinations and links\n\\pdfstringdefDisableCommands{\\let\\?\\relax}\n\\makeatletter\n\\makeatother\n\n\nA full example using \\jobname.mst as style file for makeindex.\n\n\\RequirePackage{filecontents}\n\\begin{filecontents*}{\\jobname.mst}\npage_compositor \"\\\\?\"\n\\end{filecontents*}\n\n\\documentclass{scrbook}\n\\usepackage{makeidx}\n\\makeindex\n\n\\usepackage{hyperref}\n\n\\newcommand*{\\?}{}\n\\protected\\def\\?{}\n\n%%% hyperref support\n\\pdfstringdefDisableCommands{\\let\\?\\relax}\n\\makeatletter\n`","date":"2019-06-20 05:43:58","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 1, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.8050664663314819, \"perplexity\": 7252.334295975106}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2019-26\/segments\/1560627999141.54\/warc\/CC-MAIN-20190620044948-20190620070948-00100.warc.gz\"}"}
| null | null |
{"url":"https:\/\/leanprover-community.github.io\/archive\/stream\/113488-general\/topic\/long.20multiplication.20in.20Lean.html","text":"## Stream: general\n\n### Topic: long multiplication in Lean\n\n#### Kevin Buzzard (Jan 12 2019 at 12:59):\n\nnat is great for proving things, but is computationally inefficient because it uses O(n) memory to store the natural number n:\n\n#reduce 10000 * 10000 -- deep recursion error\n\npos_num is a computationally efficient implementation of the positive integers in Lean.\n\ninductive pos_num : Type\n| one : pos_num\n| bit1 : pos_num \u2192 pos_num\n| bit0 : pos_num \u2192 pos_num\n\n\nNow we only need O(log n) memory to store n. But I must be using it incorrectly because I see performance issues:\n\nimport data.num.basic\n\n-- takes a few seconds on my machine\n#reduce (10000 : pos_num) * 10000 -- binary repn of 10^8\n\n-- (deterministic) timeout\n#reduce (1000000 : pos_num) * 1000000\n\n\nWhy are these things not instantaneous, like they would be in a computer algebra system? Lean has clearly solved these problems somehow, because computationally efficient types are presumably at the root of why these proofs work:\n\nimport tactic.norm_num\n\n-- all this is immediate\nexample : (10000 : \u2115) * 10000 = 100000000 := by norm_num\nexample : (1000000 : \u2115) * 1000000 = 1000000000000 := by norm_num\n\n\nOh! tactic.norm_num does not even seem to import data.num.basic! So it must be using something else. The norm_num.lean file looks much less scary to me than it did a year ago, but I still can't see how it is doing multiplication (maybe because there is no 50 line module docstring ;-) )\n\n#### Mario Carneiro (Jan 12 2019 at 13:12):\n\nThe norm_num interactive tactic actually delegates addition, subtraction and multiplication to tactic.norm_num in core\n\n#### Kevin Buzzard (Jan 12 2019 at 13:18):\n\nOh! And am I right in thinking that this is written in C++?\n\n#### Kevin Buzzard (Jan 12 2019 at 13:18):\n\nmeta constant norm_num : expr \u2192 tactic (expr \u00d7 expr)\n\nmeta constants are in some sense invisible to me.\n\n#### Rob Lewis (Jan 12 2019 at 13:27):\n\nYes, the core norm_num is in C++. For addition and multiplication it works basically like a special purpose simplifier: bit0 a + bit0 b simplifies to bit0 (a + b), etc. But it does this in the context of proving an equality, so it really changes bit0 a + bit0 b = c to bit0 (a + b) = c where c is in normal form. This makes it easy to reduce - and \/ to + and *.\n\n#### Mario Carneiro (Jan 12 2019 at 14:45):\n\nThe reason why #reduce (10000 : pos_num) is slow is because the parser produces bit0 and bit1 applications, which could be defined in terms of the constructors of the pos_num type but instead uses the fixed definition _root_.bit0 which is defined using self-addition. As a result the bit0 operation is linear time instead of O(1), and a full numeral should be O(n^2) to evaluate (rather than O(n)). But it is still much better than the exponential time implementation for nat. This could be solved if there was a typeclass like has_bit providing the bit operations directly\n\n#### Mario Carneiro (Jan 12 2019 at 14:49):\n\nIt looks like the equation compiler definitions of pos_num.add and pos_num.succ are also significant factors. If I define the functions using pos_num.rec or the induction tactic then it goes much faster\n\nLast updated: May 08 2021 at 04:14 UTC","date":"2021-05-08 05:11:47","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 1, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.5451443791389465, \"perplexity\": 2255.261395123963}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2021-21\/segments\/1620243988837.67\/warc\/CC-MAIN-20210508031423-20210508061423-00023.warc.gz\"}"}
| null | null |
use strict;
use warnings;
use PostgresNode;
use TestLib;
use Test::More tests => 3;
# Bug #15114
# The bug was that determining which columns are part of the replica
# identity index using RelationGetIndexAttrBitmap() would run
# eval_const_expressions() on index expressions and predicates across
# all indexes of the table, which in turn might require a snapshot,
# but there wasn't one set, so it crashes. There were actually two
# separate bugs, one on the publisher and one on the subscriber. The
# fix was to avoid the constant expressions simplification in
# RelationGetIndexAttrBitmap(), so it's safe to call in more contexts.
my $node_publisher = get_new_node('publisher');
$node_publisher->init(allows_streaming => 'logical');
$node_publisher->start;
my $node_subscriber = get_new_node('subscriber');
$node_subscriber->init(allows_streaming => 'logical');
$node_subscriber->start;
my $publisher_connstr = $node_publisher->connstr . ' dbname=postgres';
$node_publisher->safe_psql('postgres',
"CREATE TABLE tab1 (a int PRIMARY KEY, b int)");
$node_publisher->safe_psql('postgres',
"CREATE FUNCTION double(x int) RETURNS int IMMUTABLE LANGUAGE SQL AS 'select x * 2'"
);
# an index with a predicate that lends itself to constant expressions
# evaluation
$node_publisher->safe_psql('postgres',
"CREATE INDEX ON tab1 (b) WHERE a > double(1)");
# and the same setup on the subscriber
$node_subscriber->safe_psql('postgres',
"CREATE TABLE tab1 (a int PRIMARY KEY, b int)");
$node_subscriber->safe_psql('postgres',
"CREATE FUNCTION double(x int) RETURNS int IMMUTABLE LANGUAGE SQL AS 'select x * 2'"
);
$node_subscriber->safe_psql('postgres',
"CREATE INDEX ON tab1 (b) WHERE a > double(1)");
$node_publisher->safe_psql('postgres',
"CREATE PUBLICATION pub1 FOR ALL TABLES");
$node_subscriber->safe_psql('postgres',
"CREATE SUBSCRIPTION sub1 CONNECTION '$publisher_connstr' PUBLICATION pub1"
);
$node_publisher->wait_for_catchup('sub1');
# This would crash, first on the publisher, and then (if the publisher
# is fixed) on the subscriber.
$node_publisher->safe_psql('postgres', "INSERT INTO tab1 VALUES (1, 2)");
$node_publisher->wait_for_catchup('sub1');
pass('index predicates do not cause crash');
$node_publisher->stop('fast');
$node_subscriber->stop('fast');
# Handling of temporary and unlogged tables with FOR ALL TABLES publications
# If a FOR ALL TABLES publication exists, temporary and unlogged
# tables are ignored for publishing changes. The bug was that we
# would still check in that case that such a table has a replica
# identity set before accepting updates. If it did not it would cause
# an error when an update was attempted.
$node_publisher = get_new_node('publisher2');
$node_publisher->init(allows_streaming => 'logical');
$node_publisher->start;
$node_publisher->safe_psql('postgres',
"CREATE PUBLICATION pub FOR ALL TABLES");
is( $node_publisher->psql(
'postgres',
"CREATE TEMPORARY TABLE tt1 AS SELECT 1 AS a; UPDATE tt1 SET a = 2;"),
0,
'update to temporary table without replica identity with FOR ALL TABLES publication'
);
is( $node_publisher->psql(
'postgres',
"CREATE UNLOGGED TABLE tu1 AS SELECT 1 AS a; UPDATE tu1 SET a = 2;"),
0,
'update to unlogged table without replica identity with FOR ALL TABLES publication'
);
$node_publisher->stop('fast');
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 1,981
|
Location ALL Yeoju Icheon Gwangju Osan Suwon Yongin Anseong Pyeongtaek Hwaseong Ansan Siheung Namyangju Yangpyeong Gapyeong Pocheon Gwangmyeong Bucheon Anyang Gunpo Uiwang Gwacheon Seongnam Hanam Guri Goyang Uijeongbu Yangju Gimpo Paju Yeoncheon Dongducheon
Type ALL Heritage Theme Park Filming Location GalleryΜseum Leisure Sports Spa&Health City Tour Shopping Performing Arts Natural Beauty Others
Tapjaesan Mountain Observatory on Jebudo Island
OVERVIEW Tapjaesan Mountain means a lot to the residents of Jebudo Island. Located on the northern part of the island, the mountain commands a view of the entire island from its peak at 66.7m above sea level. You can see not only Jebudo Island but also Daebudo Island across the sea, including the beautiful Jeongokhang Port and Tandohang Port on the West Sea and the Gungpyeonghang Port in the distance from the top of Tapjaesan Mountain. The windmills installed from Nueseom Island to Tandohang Port north of Jebudo Island will catch your eye, too. You will also be able to see the long road connecting Jebudo Island with the mainland at a glance. HIGHTLIGHT The road leading to the observatory is "Swallow Tail Road," one of the attractions on Jebudo Island. The road was selected as "Road of the Month" by the Ministry of Culture, Sports, and Tourism and Korea Tourism Organization for two consecutive years in 2017 and 2018 for it beautiful landscape. The road starts from the Lighthouse Parking Lot and returns to it via Seashore Deck Trail, Jebudo Beach, and Tapjaesan Mountain Forest Trail. The road is 2km long. You can finish walking the trails within an hour, but you will become unaware of the passage of time as you drop by the photo zones scattered here and there beside the trail, look at beautiful sculptures, and take a rest on the SEAt, which boasts of unique individuality. Don't be disappointed if the weather is not clear on the day. The scenery of Jebudo Island and the nearby sea surrounded by sea fog will look rather fantastic from the observatory. A photo with a blurred boundary between the sky and the sea and the mud flat on a cloudy day will leave you feeling very emotional.
LocationHwaseong
TypeHeritage
Jebudo SEAt
OVERVIEW Jebudo Island is called Miracle Island or Periodic Island. The nickname Miracle Island came from the miracle in the Red Sea wherein Moses escaped from Egypt by parting the Red Sea according to the Old Testament. The road from the mainland to Jebudo Island is revealed at low tide like the miracle of Moses. The island got its nickname Periodic Island for the same reason. It means that Jebudo Island becomes an island periodically only at high tide since it is connected with the mainland during low tide. since it is connected with the mainland during low tide. HIGHTLIGHT SEAt on Jebudo Island is a place where you can see the time and the sea. There are plenty of SEAts located at the entrance and here and there in the middle of the Coastal Trail, which was constructed between Tapjaesan Mountain and the shore line. SEAt is a bench made with unique designs such as Shade Bench, Separate Bench, Standing Bench, Clam Bench, and Nest Bench. Each of them is well-harmonized with the natural landscape to have a unique individual look. The time you spend with your beloved family or boyfriend or girlfriend lying on the SEAt under the sun with a view of the sea will certainly relax your weary mind with its meditation effect. The excellent design of the SEAt received an award in Communication Design in Germany's "2017 Red Dot Design Award," one of the best design awards in the world. Today, SEAt has become a specialty of Jebudo Island thanks to the people who take photos with SEAt in the background and post them on SNS.
Coastal Trail on Jebudo Island
OVERVIEW There is an interesting joke related to Jebudo Island -- young lovers can make love easily on Jebudo Island. They come to the island at low tide and play on the beach, unaware of the passage of time. Then a tide comes in, and the way out is closed. They have no choice but to spend the night on the island together, and their love grows naturally. The beach is long enough, and the sunset behind it is beautiful enough for the lovers to forget about the time. HIGHTLIGHT The people of Jebudo Island built an embankment behind the sandy beach and made a wood deck trail along the shore line for the people who visit Jebudo Island wearing clothes that are not appropriate for walking on the beach. Many people visit Jebudo Island not only in summer but also in spring, fall, and winter. Walking along the long Coastal Trail constructed along "Swallow Tail Road" with Tapjaesan Mountain on one side, you will feel refreshed by the view of the vast West Sea. A red lighthouse, the landmark of Jebudo Island, is standing at the end of the Coastal Trail to guide visitors. The Coastal Trail on Jebudo Island was not made simply for walking. It was designed to provide a place where people can enjoy the sea breeze, sunlight, and rest with an unobstructed view of the sea. A place adjacent to the sea can relax and refresh our body and mind since it contains lots of anion, like the forest used for forest bathing. While walking in nature, you can enjoy a nap or the freshness of the sea on one of the SEAts installed here and there beside the road. Be careful of ultraviolet rays, however.
Jebudo ARTPARK
OVERVIEW Jebudo Island is one of the few islands with growing households and population. Located near the capital area, the island is visited by many people, and accommodations and restaurants have sprouted here and there. Naturally, cultural desire has increased, and places of culture and art have been constructed here and there on Jebudo Island. In fact, even a chair on the street and a symbol hung on the guard rail are made most carefully based on artistic value and creativity. More people are coming to this island to take photos of the unique artistic sculptures of Jebudo Island and post them on SNS. You can see culture and art of high standard on Jebudo Island in ARTPARK. HIGHTLIGHT With the exhibition space and observation space built in 6 containers, ARTPARK received an award in Communication Design in Germany's "2017 Red Dot Design Award," a world-class design award, for its unique design and experimental spirit. The two containers on the first floor are used for exhibition, which gives cultural stimulation to travelers. The containers on the second floor are used for observation of the sea. The observation space is very popular as people can appreciate the sea in a comfortable place despite the unpredictable weather of the island. The space where you can enjoy coffee while savoring the famous sunset of Jebudo Island is art and culture in itself.
Jebudo Water walk
OVERVIEW The West Coast of Korea has a large tidal range wherein the sea water comes in and goes out by 100m~500m. For that reason, there are many islands that you can enter on foot from the mainland at low tide. In particular, Jebudo Island is one of the few islands that you can enter via car. It's amazing to see the view of an array of cars traveling between the sea water at low tide. The place that commands the best view of this wonderful scenery is the Water walk. HIGHTLIGHT The Water walk is located at the entrance of the sea route. From the end of the wooden stairs of the Water walk, you can see the two faces of Jebudo Island stretched before your eyes like a panorama. You can feel the thrill of walking on the sea at high tide and the wonder of the vast mud flat at low tide. In addition, you can appreciate the beautiful sunset of Jebudo Island from the Water walk. You will be reminded of the famous scene in the movie "Titanic" while facing the roll of the waves lit up with the glow of the setting sun. The Water walk received the main award in Communication Design in Germany's "2018 Red Dot Design Award," recognized as one of the three major global design awards.
Jebudo Island
OVERVIEW The sea around Jebudo Island takes on various forms from hour to hour, and the residents of Jebudo Island live their lives according to the ceaseless coming and going of the tide. When the tide goes out, they catch Manila clams, crabs, etc. in the vast mud flat. They return when the tide comes in. Since the island is under the influence of frequently alternating tides, you may not be able to enter the island -- which is right under your nose -- when the path is closed. Before you depart, visit the Website of Hwaseong Urban Corporation (www.hsuco.or.kr) and check the tide time. HIGHTLIGHT As a famous tourist attraction with various charms, Jebudo Island was named one of the "TOP 100 2019~2020 Best Tourist Attractions in Korea" by the Ministry of Culture, Sports, and Tourism in December 2018. There is a 2-kilometer long fine sandy beach on the small island. While most of the beaches on the western coast of Korea are shaped like a bow, the beach on Jebudo Island is straight. Since ancient times, many people have visited Jebudo Island to enjoy sea bathing and the view of the sea on the fine sandy beach with moderate width. The access road to the island is also a famous driving course. You may go either way along the wood deck beside the sandy beach. To the south is Maebawi (meaning Hawk Rock), which was named as such because of the many nests of hawks that used to be there. To the north is a red lighthouse. While walking along the wood deck, you can enjoy the scenery and dishes in nearby restaurants, cafes, and "ARTPARK," a popular spot on SNS. The best charm of Jebudo Island is the Coastal Trail(Haeansanchaek-ro). You can get natural therapy while walking along the trail located between Tapjaesan Mountain and the West Sea. You can take a rest on one of the SEAts positioned here and there in the trail while enjoying the beautiful scenery.
Imjingak Pyeonghwa Nuri Park
OVERVIEW Imjingak has been the symbol of the cold war and national division for a long time. The people who came from North Korea have had a memorial service together every New Year's Day and Chuseok at Imjingak Mangbaedan and shed tears of longing for their families and relatives in North Korea. Imjingak has also been a place where many people witnessed the reality of the division of North and South Korea and wished for national reunification. As the place that had been a site of bitter grief, Imjingak was changed into a place of hope by the exchange between North and South Korea. In 2005 when the World Peace Festival was held, Pyeonghwa Nuri Park was constructed beside Imjingak with the hope, will, and dream for national reunification. HIGHTLIGHT Pyeonghwa Nuri Park is a place for relaxation filled with wide lawn hill and pond and sculptures produced with the motive of national reunification. It is also a composite culture and arts space where various performances and exhibitions are held and movies are shown in the exhibition hall and theater. Many photographers come to the place to take pictures of the wide grass and unique sculptures. In Korean, Pyeonghwa means peace, and Nuri means the world. Thus, the name Pyeonghwa Nuri represents the wish of the Korean people for a peaceful world. Like its name, the park reminds of one of the preciousness of peace from the image of the leisurely walking families and lovers even in the border area confronted by North and South Korea. With the long-time division of the nation, more and more people accept the situation of the confrontation of North and South Korea naturally and think that national reunification is a thing in the distant future. Pyeonghwa Nuri Park plays the role of telling such people the mandate and expectation for national reunification. The park will remain an important and famous place for inter-Korean exchanges and national reunification.
LocationPaju
Imjingak Steam Locomotive at Jangdan Station
OVERVIEW The expression of "The train wants to run" represents Koreans' burning desire for national reunification. Many Koreans dream of traveling to Europe by train starting from Busan, at the southern tip of the Korean peninsula, and passing Seoul, Pyeongyang, and Sinuiju and crossing the continent. The train mentioned here is symbolized by the steam locomotive that had been left at Jangdan Station. Jangdan Station is located in the southern region of the DMZ. During the Korean War, Gyeongui Line was an important supply route for the transportation of military supplies. Around the final stage of the war, North and South Korea had fierce battles confronting each other on the opposite sides of Jangdan Station. The station became the region of South Korea in the DMZ pursuant to the ceasefire agreement that drew the military demarcation line, but it has been abandoned so far with civilians prohibited from approaching the region. HIGHTLIGHT In 2000, an atmosphere of reconciliation was formed by the dialogue and cooperation for exchange between North and South Korea, realized after the historic inter-Korean summit of President Kim Dae-jung and Kim Jong-il, Chairman of the National Defense Commission of North Korea. While the discussion over the restoration of Gyeongui Line was underway in 2007, the Korean government moved the funnel of the steam locomotive -- which had been abandoned for decades 50m south of Jangdan Station -- to Imjingak. Though the red rust on the funnel of the steam locomotive was removed, more than one thousand bullet holes remain. The people who visit Imjingak are reminded of the horrible scene of the war by the bullet marks remaining on the steam locomotive. At the same time, they wish for the peaceful reunification of the nation and dream of the day when they can travel to Europe across the continent onboard a train on the Gyeongui Line.
Imjingak Freedom Bridge
OVERVIEW As a railroad connecting Seoul with Sinuiju, Gyeongui Line crossed Dokgae Bridge over Imjingang River in Munsan, Paju and passed Gaeseong in North Korea. During the Korean War, the Dokgae railroad bridge was destroyed by bombing. As a result, Gyeongui Line was completely cut off physically. At that time, Gyeongui Line was a double track line, and so was Deokgae Bridge. While the northbound bridge is left broken, the southbound bridge was repaired after the war for use as a footbridge. Since then, the footbridge has been used by the delegation of South Korea who participated in inter-Korean exchange after the 7.4 North-South Joint Statement in 1972. HIGHTLIGHT "Freedom Bridge" was named as such because the POWs of Korean and UN soldiers crossed the bridge after the Korean War by the repatriation of prisoners of war. The destroyed northbound bridge has been called Dokgae Bridge and used as a place of a lesson reminding one of the scars of war. Expectations for the restoration of the Gyeongui Line grew as the atmosphere of reconciliation between North and South Korea was formed by the inter-Korean summit in 2000. The Korean government built the new Dorasan Station in the restricted area for civilians and extended the operation of Gyeongui Line to Dorasan Station from the previous final destination of Munsan. The Freedom Bridge disappeared with the construction of Tongil Bridge. The Freedom Bridge you can now see from Imjingak is the bridge restored by the City of Paju. Reunification is like destiny to Koreans who had lived in the same country for thousands of years. The reason for the restoration of Freedom Bridge is that we should not forget about reunification. The people who have visited Imjingak looked back on the reality of national division and resolved to realize peaceful reunification crossing Freedom Bridge.
Imjingak Art Space BEAT 131
OVERVIEW A military underground bunker constructed during the Korean War has been changed into a unique exhibition space. You can feel the atmosphere of a military facility from the entrance. The shape of an anti-tank mine put on the stairs on the way down to the basement will make you feel frightened and nervous instantly. Walking down the stairway, you will see the situation room of the command during wartime. Military supplies used during the Korean War including firearm, canteen, helmet, and radio are on display. A helmet with many bullet holes will show you the bitterness of war. HIGHTLIGHT At another space in Art Space BEAT 131, you can hear stories of Imjingak Pavilion, Freedom Bridge, and Gyeongui Line Railroad as well as the funnel of the last steam locomotive, etc. through interactive media art. An interview with the locomotive engineer who operated the steam locomotive at Jangdan Station for the last time tells you about the urgent situation in a fresh voice. The device, which can transform a written message into Morse codes, is popular with not only children but also adults. It is possible to see the DMZ and a village in North Korea on the screen in real time. Since the space is not very wide, the underground bunker can accommodate only 20 visitors at a time.
Imjingak Dokgae Bridge
OVERVIEW The northbound line of the railroad bridge of Gyeongui Line over Imjingang River has been left broken for nearly 70 years. The bridge used to connect Uncheon-ri, Munsan-eup and Nosong-ri, Jangdan-myeon of Paju but was destroyed by bombing during the Korean War. The bridge had been named after a village in Nosang-ri. Gyeongui Line Railroad started from Seoul and arrived at the final destination of Sinuiju adjacent to China. The railroad line was disconnected after the Korean War; as a result, South Korea lost the way to the continent, and North Korea lost the way to the Pacific. HIGHTLIGHT Left abandoned for decades over the lazy Imjingang River, Dokgae Bridge clearly shows the tragic division of the country. In this regard, Dokgae Bridge has been used as a place for national security education to remember the scars of war and resolve not to repeat the painful history. With the atmosphere of reconciliation and exchange created by the inter-Korean summit in 2000, however, a change occurred at Dokgae Bridge. A new railroad bridge of Gyeongui Line was constructed over Imjingang River. The reason why the restoration of Gyeongui Line is mentioned first whenever a mood of reconciliation between North and South Korea is fostered is that it has symbolic meaning for the facilitation of peaceful reunification of the nation through the restoration of roads in addition to its economic effect. It is the course of nature that a disconnected road is connected again. Even if trains begin to run again on the new bridge, Dokgae Bridge will last long as a symbol reminding us of the painful memory of war.
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{
"redpajama_set_name": "RedPajamaCommonCrawl"
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Q: phonegap barcode scanner not scanning pdf417 bar code I am trying to scan pdf417 barcode, using this https://github.com/phonegap-build/BarcodeScanner repository.My main aim is to scan US driver's license and get whole detail of it,but it always show wrong result and different format UPC_E, EAN_8 even when i scan pdf417 format barcode.I have added format filter as well but it is not working.Anyone who have tried things related to this?
cordova.plugins.barcodeScanner.scan(
function (result) {
alert("We got a barcode\n" +
"Result: " + result.text + "\n" +
"Format: " + result.format + "\n" +
"Cancelled: " + result.cancelled);
},
function (error) {
alert("Scanning failed: " + error);
}
);
A: By default, the barcode scanner plugin does not scan PDF417 unless you add it to the plugin settings.
You have linked to https://github.com/phonegap-build/BarcodeScanner, which is a 4-year old fork from a no-longer mantained plugin, and it lacks the full documentation. In my personal opinion, it's as obsolete as Windows 98.
As you can see at the newer phonegap-plugin-barcodescanner, you have to add PDF417 to the formats list if you want to read those codes.
{
preferFrontCamera : true, // iOS and Android
showFlipCameraButton : true, // iOS and Android
showTorchButton : true, // iOS and Android
torchOn: true, // Android, launch with the torch switched on (if available)
saveHistory: true, // Android, save scan history (default false)
prompt : "Place a barcode inside the scan area", // Android
resultDisplayDuration: 500, // Android, display scanned text for X ms. 0 suppresses it entirely, default 1500
/* Add here PDF_417 to support it */
formats : "QR_CODE,PDF_417", // default: all but PDF_417 and RSS_EXPANDED
orientation : "landscape", // Android only (portrait|landscape), default unset so it rotates with the device
disableAnimations : true, // iOS
disableSuccessBeep: false // iOS and Android
disableSuccessBeep: false // iOS and Android
}
I strongly suggest to use only official, up-to-date plugins whenever possible, and if something does not work as expected, report it in the Issues section instead of moving to an older fork.
Android 6.0 changed the permission system, and most plugins before that have now become obsolete.
|
{
"redpajama_set_name": "RedPajamaStackExchange"
}
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You can write your own review of the XIEGU X5105.
Very nice rig for QRP portable.
I've been using mine for a while now, and haven't had any issues with it at all. The build-quality is very good. It feels robust and solid. The kickstand (legs) are just right for portable operations. The display is good even in sunlight. The DSP and filters work very well. The battery and built-in ATU are what sealed the deal for me. It's a very complete radio.
In my humble opinion the FT-817-818 line of QRP radios are the most "Adorable" and Pleasurable radios to see and use. Like a full size Yaesu but shrunken down and only 5 watts.
I'm fortunate to have some disposable funds available and bought one of the X5105 radios from MFJ several months ago.
Very impressed with it and no problems at all with anything. It has a couple of features the Yaesus do not have like auto tuner and SWR analyser. Shame it does not have the VHF/UHF that Yaesus do. For me the VHF is used often.
I picked up an X5105 second-hand in mint condition. I found it to have a very good receiver, and the tuner is definitely a capable piece of hardware. I don't do too much mobile work, but I wanted to tune down to 40m and forgot I still had a 20m stick on my mag mount. The SWR was off the charts when I tuned down, but I ran the ATU, it tuned up, and I logged a contact before I decided to get up and change the stick!
For the money, it has some cool high-end features, like an SWR spectrum function where you can view the SWR between certain bandwidths, both with the antenna hooked up to the tuner and direct.
To be honest, I'd probably give the rig a 4/5 (still a very good rating), but I decided to go with the 5/5 because of the service!
The rig was purchased by the original owner direct from China, so MFJ would not service it. A few weeks ago, it went deaf - couldn't hear any sort of signal except for really strong AM signals. So I emailed Xiegu with a description and video of the problem, and they had me send it back to them. I just had to pay for return shipping to China, but they repaired for free it in 2 days, sent it UPS Expedited back to me for no additional charge, and I had it back in my hands 2 days after that. That is better service than some commercial radio manufacturers I deal with in the USA!! When I have done the "overseas rig" thing in the past, I just figured the cheaper price was a bet I'd never need service, but in this case, color me impressed.
I purchased the Xiegu X5105 to complete my HAM travel kit. It is small, light, and durable. I have used it with and without the hand mic. I've made contacts using random wires, telescoping antennae, and a homemade dipole. The built-in antenna tuner works great. When using a manual external tuner, I'm able to switch to the X5105's SWR monitor and quickly see how the adjustments affect SWR.
I was a bit disappointed at first after opening the box and not finding a power supply. Using the supplied power adapters, I was able to converted an old laptop 15v power supply to meet the X5105's needs. In addition, I was able to use a 2nd power adapter to convert my solar panels plug to be able to power/charge the X5105. The solar panels produce more than enough power for the X5105. The internal battery is more than sufficient for my needs. But I am confident if I need to hook up an external battery it will work fine also.
As portable as you can get in a HF set. Small, battery powered, fantastic ATU, big screen, speech processor, DSP, the list goes on! I use mine for both SSB and Digital FT8 and it works extremely well. The battery lasts a very long time and the tuner will tune almost any antenna you throw at it!
I pondered and pondered whether to buy this radio, my main concern was the fact it was not made by one of the top brands. But after reading only great reviews I decided to buy one. I'm glad I did! If you like SOTA or backpacking this radio will be perfect for you! I use mine with a bandspringer antenna from Sotabeams and that set up works really well. 5w from the top of a hill with a length of wire and a built in speech processor to boot feels more like 300w from my usual qth.
If your wanting a portable qrp transceiver and come across this then buy one, you seriously won't regret it!
The X5105 is very easy to control with all knobs easy to access and a very nice display. It all feels right. The ATU is terrific. Just press the button and it tunes the X5105 to most antennas, as simple as that. It can also do a SWR scan displaying the swr as a graph. Only con is the mini din and some sockets are recessed and some plugs dont make good contact.
In my previous review I was complaining about one of the radio's keyer input dying.
the radio and the mike.
buy one. It is an excellent radio. And a keeper.
Good QRP rig .Everything included in one box.
The issue that is a little irritating is that it used non-standard 3.5 mm plugs for key and acc.
A normal 3.5 mm plug will not make complete contact. It comes supplied with the right plug.
The correct plug has an extension before the rings that makes it a little longer than the usual 3.5 mm plug. The correct plug can be obtained from Ebay.
Otherwise everything works well, tuner ,battery, menu , audio , ect. I am pleased and intend to keep the rig.
|
{
"redpajama_set_name": "RedPajamaC4"
}
| 5,669
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Phrynobatrachus liberiensis est une espèce d'amphibiens de la famille des Phrynobatrachidae.
Répartition
Cette espèce se rencontre en Côte d'Ivoire, dans le sud-ouest du Ghana, dans le sud de la Guinée, au Liberia, en Sierra Leone et dans le Sud-Ouest du Nigeria. Elle est présente jusqu'à d'altitude.
Étymologie
Son nom d'espèce, composé de liberi[a] et du suffixe latin , « qui vit dans, qui habite », lui a été donné en référence au lieu de sa découverte, Gbanga au Liberia.
Publication originale
Barbour & Loveridge, 1927 : Some undescribed frogs and a new gecko from Liberia. Proceedings of the New England Zoölogical Club, , .
Liens externes
Notes et références
Anoure (nom scientifique)
Phrynobatrachidae
|
{
"redpajama_set_name": "RedPajamaWikipedia"
}
| 6,876
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# ALSO BY GARY TAUBES
_Why We Get Fat: And What to Do About It_
_Good Calories, Bad Calories: Challenging the Conventional Wisdom on Diet, Weight Control, and Disease_
_Bad Science: The Short Life and Weird Times of Cold Fusion_
_Nobel Dreams: Power, Deceit, and the Ultimate Experiment_
THIS IS A BORZOI BOOK
PUBLISHED BY ALFRED A. KNOPF AND ALFRED A. KNOPF CANADA
Copyright © 2016 by Gary Taubes
All rights reserved. Published in the United States by Alfred A. Knopf, a division of Penguin Random House LLC, New York, and in Canada by Random House of Canada, a division of Penguin Random House Canada Limited, Toronto.
www.aaknopf.com
Knopf, Borzoi Books, and the colophon are registered trademarks of Penguin Random House LLC.
Portions of Chapter 8 originally appeared in _Mother Jones,_ (November/December 2012), as "Sweet Little Lies," coauthored by Gary Taubes and Cristin Kearns Couzens.
Library of Congress Cataloging-in-Publication Data
Names: Taubes, Gary, author.
Title: The case against sugar / by Gary Taubes.
Description: First edition. | New York : Alfred A. Knopf, 2016. | Includes bibliographical references and index.
Identifiers: LCCN 2016018147 | ISBN 9780307701640 (hardback) | ISBN 9780451493996 (ebook)
Subjects: LCSH: Sugar-free diet—Case studies. | Sugar—Physiological effect—Popular works. | Nutritionally induced diseases—Popular works. | BISAC: HEALTH & FITNESS / Nutrition. | SCIENCE / Chemistry / General.
Classification: LCC RM237.85 .T38 2016 | DDC 613.2/8332—dc23
LC record available at https://lccn.loc.gov/2016018147
Cover photograph and design by David Drummond
Ebook ISBN 9780451493996
v4.1_r1
a
_To Gaby, for keeping the family together_
We are, beyond question, the greatest sugar-consumers in the world, and many of our diseases may be attributed to too free a use of sweet food.
_The New York Times,_ May 22, 1857
I am not prepared to look back at my time here in this Parliament, doing this job, and say to my children's generation: I'm sorry, we knew there was a problem with sugary drinks, we knew it caused disease, but we ducked the difficult decisions and we did nothing.
GEORGE OSBORNE, U.K. chancellor of the exchequer, announcing a tax on sugary beverages, March 16, 2016
# CONTENTS
_Cover_
_Also by Gary Taubes_
_Title Page_
_Copyright_
_Dedication_
_Epigraph_
_Author's Note_
INTRODUCTION Why Diabetes?
CHAPTER 1 Drug or Food?
CHAPTER 2 The First Ten Thousand Years
CHAPTER 3 The Marriage of Tobacco and Sugar
CHAPTER 4 A Peculiar Evil
CHAPTER 5 The Early (Bad) Science
CHAPTER 6 The Gift That Keeps On Giving
CHAPTER 7 Big Sugar
CHAPTER 8 Defending Sugar
CHAPTER 9 What They Didn't Know
CHAPTER 10 The If/Then Problem: I
CHAPTER 11 The If/Then Problem: II
EPILOGUE How Little Is Still Too Much?
_Acknowledgments_
_Notes_
_Bibliography_
A Note About the Author
# AUTHOR'S NOTE
The purpose of this book is to present the case against sugar—both sucrose and high-fructose corn syrup—as the principal cause of the chronic diseases that are most likely to kill us, or at least accelerate our demise, in the twenty-first century. Its goal is to explain why these sugars are the most likely suspects, and how we arrived at the current situation: a third of all adults are obese, two-thirds overweight, almost one in seven is diabetic, and one in four to five will die of cancer; yet the prime suspects for the dietary trigger of these conditions have been, until the last decade, treated as little worse than a source of harmless pleasure.
If this were a criminal case, _The Case Against Sugar_ would be the argument for the prosecution.
# INTRODUCTION
# WHY DIABETES?
> _Mary H—an unmarried woman, twenty-six years of age, came to the Out Patient Department of the Massachusetts General Hospital on August 2, 1893. She said her mouth was dry, that she was "drinking water all the time" and was compelled to rise three to four times each night to pass her urine. She felt "weak and tired." Her appetite was variable; the bowels constipated and she had a dizzy headache. Belching of gas, a tight feeling in the abdomen, and a "burning" in the stomach followed her meals. She was short of breath._
>
> ELLIOTT JOSLIN'S diabetes "case no. 1,"
> as recorded in the case notes of his clinic
Elliott Joslin was a medical student at Harvard in the summer of 1893, working as a clinical clerk at Massachusetts General Hospital, when he documented his first consultation with a diabetic patient. He was still a good three decades removed from becoming the most influential diabetes specialist of the twentieth century. The patient was Mary Higgins, a young immigrant who had arrived from Ireland five years previously and had been working as a domestic in a Boston suburb. She had "a severe form of diabetes mellitus," Joslin noted, and her kidneys were already "succumbing to the strain put upon them" by the disease.
Joslin's interest in diabetes dated to his undergraduate days at Yale, but it may have been Higgins who catalyzed his obsession. Over the next five years, Joslin and Reginald Fitz, a renowned Harvard pathologist, would comb through the "hundreds of volumes" of handwritten case notes of the Massachusetts General Hospital, looking for information that might shed light on the cause of the disease and perhaps suggest how to treat it. Joslin would travel twice to Europe, visiting medical centers in Germany and Austria, to learn from the most influential diabetes experts of the era.
In 1898, the same year Joslin established his private practice to specialize in the treatment of diabetics, he and Fitz presented their analysis of the Mass General case notes at the annual meeting of the American Medical Association in Denver. They had examined the record of every patient treated at the hospital since 1824. What they saw, although they didn't recognize it at the time, was the beginning of an epidemic.
Among the forty-eight thousand patients treated in that time period, a year shy of three-quarters of a century, a total of 172 had been diagnosed with diabetes. These patients represented only 0.3 percent of all cases at Mass General, but Joslin and Fitz detected a clear trend in the admissions: the number of patients with diabetes and the percentage of patients with diabetes had both been increasing steadily. As many diabetics were admitted to Mass General in the thirteen years after 1885 as in the sixty-one years prior. Joslin and Fitz considered several explanations, but they rejected the possibility that the disease itself was becoming more common. Instead, they attributed the increase in diabetic patients to a "wholesome tendency of diabetics to place themselves under careful medical supervision." It wasn't that more Bostonians were succumbing to diabetes year to year, they said, but that a greater proportion of those who did were taking themselves off to the hospital for treatment.
By January 1921, when Joslin published an article about his clinical experience with diabetes for _The Journal of the American Medical Association,_ his opinion had changed considerably. He was no longer talking about the wholesome tendencies of diabetics to seek medical help, but was using the word "epidemic" to describe what he was witnessing. "On the broad street of a certain peaceful New England village there once stood three houses side by side," he wrote, apparently talking about his hometown of Oxford, Massachusetts. "Into these three houses moved in succession four women and three men—heads of families—and of this number all but one subsequently succumbed to diabetes."
Joslin suggested that had these deaths been caused by an infectious disease—scarlet fever, perhaps, or typhoid, or tuberculosis—the local and state health departments would have mobilized investigative teams to establish the vectors of the disease and prevent further spread. "Consider the measures," he wrote, "that would have been adopted to discover the source of the outbreak and to prevent a recurrence." Because diabetes was a chronic disease, not an infectious one, and because the deaths occurred over years and not in the span of a few weeks or months, they passed unnoticed. "Even the insurance companies," Joslin wrote, "failed to grasp their significance."
—
We've grown accustomed, if not inured, to reading about the ongoing epidemic of obesity. Fifty years ago, one in eight American adults was obese; today the number is greater than one in three. The World Health Organization reports that obesity rates have doubled worldwide since 1980; in 2014, more than half a billion adults on the planet were obese, and more than forty million children under the age of five were overweight or obese. Without doubt we've been getting fatter, a trend that can be traced back in the United States to the nineteenth century, but the epidemic of diabetes is a more intriguing, more telling phenomenon.
Diabetes was not a new diagnosis at the tail end of the nineteenth century when Joslin did his first accounting, rare as the disease might have been then. As far back as the sixth century B.C., Sushruta, a Hindu physician, had described the characteristic sweet urine of diabetes mellitus, and noted that it was most common in the overweight and the gluttonous. By the first century A.D., the disease may have already been known as "diabetes"—a Greek term meaning "siphon" or "flowing through"—when Aretaeus of Cappodocia described its ultimate course if allowed to proceed untreated: "The patient does not survive long when it is completely established, for the marasmus [emaciation] produced is rapid, and death speedy. Life too is odious and painful, the thirst is ungovernable, and the copious potations are more than equaled by the profuse urinary discharge....If he stop for a very brief period, and leave off drinking, the mouth becomes parched, the body dry; the bowels seem on fire, he is wretched and uneasy, and soon dies, tormented with burning thirst."
Through the mid-nineteenth century, diabetes remained a rare affliction, to be discussed in medical texts and journal articles but rarely seen by physicians in their practices. As late as 1797, the British army surgeon John Rollo could publish "An Account of Two Cases of the Diabetes Mellitus," a seminal paper in the history of the disease, and report that he had seen these cases nineteen years apart despite, as Rollo wrote, spending the intervening years "observ[ing] an extensive range of disease in America, the West Indies, and in England." If the mortality records from Philadelphia in the early nineteenth century are any indication, the city's residents were as likely to die from diabetes, or at least to have diabetes attributed as the cause of their death, as they were to be murdered or to die from anthrax, hysteria, starvation, or lethargy.*1
In 1890, Robert Saundby, a former president of the Edinburgh Royal Medical Society, presented a series of lectures on diabetes to the Royal College of Physicians in London in which he estimated that less than one in every fifty thousand died from the disease. Diabetes, said Saundby, is "one of those rarer diseases" that can only be studied by physicians who live in "great cent[er]s of population and have the extensive practice of a large hospital from which to draw their cases." Saundby did note, though, that the mortality rate from diabetes was rising throughout England, in Paris, and even in New York. (At the same time, one Los Angeles physician, according to Saundby, reported "in seven years' practice he had not met with a single case.") "The truth," Saundby said, "is that diabetes is getting to be a common disease in certain classes, especially the wealthier commercial classes."
William Osler, the legendary Canadian physician often described as the "father of modern medicine," also documented both the rarity and the rising tide of diabetes in the numerous editions of his seminal textbook, _The Principles and Practice of Medicine._ Osler joined the staff at Johns Hopkins Hospital in Baltimore when the institution opened in 1889. In the first edition of his textbook, published three years later, Osler reported that, of the thirty-five thousand patients under treatment at the hospital since its inception, only ten had been diagnosed with diabetes. In the next eight years, 156 cases were diagnosed. Mortality statistics, wrote Osler, suggested an exponential increase in those reportedly dying from the disease—nearly doubling between 1870 and 1890 and then more than doubling again by 1900.
By the late 1920s, Joslin's epidemic of diabetes had become the subject of newspaper and magazine articles, while researchers in the United States and Europe were working to quantify accurately the prevalence of the disease, in a way that might allow meaningful comparisons to be drawn from year to year and decade to decade. In Copenhagen, for instance, the number of diabetics treated in the city's hospitals increased from ten in 1890 to 608 in 1924—a sixty-fold increase. When the New York City health commissioner Haven Emerson and his colleague Louise Larimore published an analysis of diabetes mortality statistics in 1924, they reported a 400 percent increase in some American cities since 1900—almost 1,500 percent since the Civil War.
**THE BEGINNINGS OF AN EPIDEMIC?**
_Diabetes admissions, Pennsylvania Hospital, Philadelphia_
* * *
Despite all this, the disease remained a relatively rare one. When Joslin, working with Louis Dublin and Herbert Marks, both statisticians with the Metropolitan Life Insurance Company, examined the existing evidence in 1934, he again concluded that diabetes was rapidly becoming a common disease, but only by the standards of the day. He conservatively estimated—based on what he considered careful studies done in New York, Massachusetts, and elsewhere—that only two to three Americans in every thousand had diabetes.
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Times have certainly changed. In 2012, the latest year for which the Centers for Disease Control (CDC) have provided estimates, one in every seven to eight adults in this country had diabetes—12 to 14 percent, depending on the criteria used to diagnose it. Another _30 percent_ are predicted to get diabetes at some point during their lives. Almost two million Americans were diagnosed with diabetes in 2012—one case every fifteen to sixteen seconds. Among U.S. military veterans, one in every four patients admitted to VA hospitals suffers from diabetes.
The great proportion of this tidal wave of diabetics—perhaps 95 percent—have what is now known as type 2 diabetes, the form of the disease, as Sushruta would have said over two thousand years ago, that associates with overweight and obesity. A small proportion have type 1, typically children. This is the acute form of the disease, and it kills, if untreated, far more quickly.*2 Both type 1 and type 2 diabetes have been increasing in prevalence for the past 150 years; in both, the increase has been dramatic.
Those afflicted with diabetes will die at greatly increased rates from heart disease or stroke, from kidney disease—the disease is now considered the cause of more than 40 percent of cases of kidney failure—and diabetic coma. Without appropriate treatment (and occasionally even with), their eyesight will deteriorate (often a first symptom); they'll suffer nerve damage; their teeth will decay and fall out; they'll get foot ulcers and gangrene; and they'll lose limbs to amputation. Six in every ten lower-limb amputations in adults are due to diabetes—some seventy-three thousand of them in 2010 alone. A dozen _classes_ of drugs are now available to treat the disease, and the market for diabetic drugs and devices in the United States alone is over thirty billion dollars yearly. Drugstore chains now offer free tests to customers to check levels of blood sugar, hoping to sell home-testing kits to those whose blood sugar might happen to show up borderline or high.
The obvious questions are: Why have things changed so? How did we get here? What forces of nature or environment or lifestyle have led to diabetes in one out of every eleven Americans, children and adults together?
One way to avoid answering this question is to assume that historical trends in diabetes prevalence constitute unreliable evidence. Who knows what was really going on fifty or a hundred years ago? And, indeed, it's surprisingly difficult to quantify with any confidence the changing prevalence of a chronic disease in a population. Such issues as the criteria by which it's diagnosed, how much attention physicians, the public, and the media pay to it, the availability of treatment and how well those treatments work, the longevity of the population, and whether the disease is more common with age will all confound any authoritative attempts to establish reliably how the actual occurrence of a chronic disease has changed with time. It's a very good bet, though, that had one in eleven Americans been afflicted with diabetes in the nineteenth century, the hospital inpatient records of those eras would have looked dramatically different, as would the number of deaths attributed to diabetes. As Saundby wrote in 1901, "Diabetes is in all cases a grave disease....Life seems to hang by a thread, a thread often cut by a very trifling accident."
For the past century, the observation that diabetes is increasing in the population—transitioning from a rare disease to a common one and now to a scourge—has remained a constant theme in the medical literature. In 1940, Russell Wilder, the leading diabetologist at the Mayo Clinic, reported that diabetes admissions had been increasing steadily at the clinic for the previous twenty years. "The incidence of diabetic morbidity is unknown," he wrote, "but the indications that it is increasing are very clear." Ten years later, Joslin himself referred to the "appalling increase in diabetes," which he now considered an inescapable fact of life. In 1978, Kelly West, the leading American authority on diabetes epidemiology—the study of how diseases move through populations—suggested that diabetes had already killed more people in the twentieth century than all wars combined. "Diabetes mellitus has become one of the most important of human problems," he wrote, calling it "a significant cause of disease and death in all countries and all major races."
Epidemic increases in the occurrence of diabetes, as West suggested, were not a localized phenomenon. Diabetes was virtually unknown or at least undiagnosed in China, for instance, at the turn of the twentieth century. One British physician reported seeing only one case of the disease among twenty-four thousand outpatients in Nanking, although "all drawn from the lower classes of society." Another reported only two cases among the twelve thousand inpatients treated in his hospital. In the 1980s, the prevalence of diabetes in the Chinese population at large was still estimated to be approximately 1 percent. The latest estimates are that 11.6 percent of the adult population is diabetic—one in nine, more than 110 million Chinese in total. Almost half a _billion_ Chinese are believed to be pre-diabetic.
The prevalence of both diabetes and pre-diabetes was considered vanishingly small among Inuit in Greenland, Canada, and Alaska through the 1960s—"Eight Alaskan Eskimos are now known to have diabetes," reported one article in the _Journal of the American Medical Association_ in 1967. By the 1970s, diabetes was still rare, but researchers were now documenting the increasing appearance of a pre-diabetic condition, glucose intolerance. In recent studies, diabetes rates in the Inuit are now at 9 percent—one in every eleven individuals—similar to the levels in Canada and the United States as a whole.
The same epidemic patterns have been observed in Native American tribes (particularly the Pima population in Arizona, as we'll discuss later) and in the First Nations People of Canada. In many of these populations, one out of every two adults now has diabetes. In some cases—the Ojibwa Cree people of Sandy Lake in northern Ontario, for instance—diabetes, if it existed, was undiagnosed in the population as late as the 1960s. In 1974, when Kelly West examined the available data on diabetes in Native American populations, he concluded that the disease had been rare to nonexistent prior to the 1940s—both civilian and military physicians had carried out health surveys—and yet, by the mid-1960s, research, including his own, was documenting previously unafflicted populations in which one in four adults was diabetic. (When researchers charted the number of cases diagnosed each year in the Navajo from the 1950s through the 1980s, the resulting graph looked almost identical to that on this page from Pennsylvania Hospital in Philadelphia a century earlier.) Similar patterns have been observed in Polynesians, Micronesians, and Melanesians in the South Pacific; in aboriginal populations in Australia; in Maoris in New Zealand; and in populations throughout the Middle East, Asia, and Africa. In fact, anywhere populations begin eating Western diets and living Western lifestyles—whenever and wherever they're acculturated or urbanized, as West noted in 1978—diabetes epidemics follow.
So what happened? What's happening? Something changed dramatically in our diets, our lifestyle, or our environment to trigger these unprecedented epidemics of diabetes; but what? As Joslin observed under similar circumstances at a far earlier stage in this epidemic, had this been an infectious disease, the relevant boards of health, the insurance agencies, the newspapers, the country as a whole, would be demanding answers. The CDC and the World Health Organization would have established panels of expert investigators to pry into every crevice of our assumptions about the cause of this disease to see where we might have misunderstood its etiology. Such is not the case.
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Prior to the 1970s, public-health authorities and clinicians commenting on the rising tide of diabetes in the populations they studied frequently suggested what to them seemed like the prime suspect—sugar consumption. Here was a disease of carbohydrate metabolism that was becoming increasingly common as populations began consuming sugar—a kind of carbohydrate—at levels that were virtually unimaginable a century before; in some cases, just twenty or thirty years before.
As sugar consumption exploded in the United States and the United Kingdom with the industrial revolution; with the birth of the confectionary, cereal, and soft-drink industries; and with the increasing availability of chocolate bars and ice-cream treats, so did diabetes begin its inexorable climb. When sugar and sugar-rich products spread around the globe, so did diabetes. When peasant farmers throughout Africa, India, Asia, and Central and South America migrated to towns and cities to become wage earners, and changed their dietary habits accordingly—no longer eating locally grown cereals, starches, and fruits, but instead buying sugary drinks and sugar-laden treats in shops and markets—diabetes made its inevitable appearance. As Kelly West said about the emerging epidemics of diabetes in Native American populations in 1974, "Some had been nomadic hunters and meat eaters...while others had derived a substantial majority of their calories from fats....Sugar consumption has been increasing in most, if not all, of the United States tribes in whom diabetes rates have recently increased precipitously. This same association has been observed in Eskimos of Alaska, Canada, and Greenland as well as in Polynesians."
And on those very rare occasions when sugar consumption declined—as it did, for instance, during World War I, because of government rationing and sugar shortages—diabetes mortality invariably declined with it. "Rises and falls in sugar consumption," wrote Haven Emerson and Louise Larimore in 1924, "are followed with fair regularity...by similar rises and falls in the death rates from diabetes."
In 1974, when the sugar industry hired pollsters to survey physicians for their attitudes toward sugar, most of those physicians said they thought sugar consumption accelerated the onset of diabetes. (One advertising executive, later asked if his children ate a particularly sugar-rich cereal for which he had modeled the ad campaign on Snoopy and the Red Baron, admitted that they never did: "You need an insulin shot if you eat a bowl of that," he said.) In 1973, Jean Mayer of the Harvard School of Public Health, probably the most influential nutritionist of the era, was suggesting that sugar "plays an etiological role in those individuals who are genetically susceptible to the disease." Such a statement, of course, raises the obvious question of whether anyone ever gets the disease who _isn't_ genetically susceptible (with the rare exceptions of those individuals who sustain injuries or tumors that affect pancreatic function). Nonetheless, at scientific meetings on sugar and other sweeteners, researchers and clinicians would debate whether or not sugar caused diabetes or only helped it along in those somehow predisposed.
By the late 1970s, though, sugar had mostly vanished from the discussion. Dietary fat had been implicated as a cause of heart disease. Nutritionists and public-health authorities responded by rejecting the idea that sugar could be responsible for the diseases that associated with heart disease, which included both obesity and diabetes.
Researchers had also come to embrace a pair of related assumptions that were poorly tested and might or might not be true. The first is that type 2 diabetes is caused by obesity, because the two diseases are so closely associated, both in populations and in individuals, and obesity typically appears first (although more than one in every ten individuals diagnosed with type 2 diabetes is neither obese nor overweight). The second assumption, as the World Health Organization puts it, is: "The fundamental cause of obesity and overweight is an energy imbalance between calories consumed and calories expended." "The only trouble with the American diet," as Fred Stare, the founder and head of the nutrition department at Harvard University, said in 1976 on national television, is that "we eat too damn much." The overeating was accompanied by a decrease in physical activity, attributed to changing modes of transportation and the mechanization of labor.
Public-health authorities have considered no investigations necessary to explain the obesity and diabetes epidemics, because they have assumed that the cause is obvious. Attempts to prevent diabetes in the United States, Europe, and Asia, and among populations worldwide, are almost invariably aimed at getting these populations to eat smaller portions and fewer calories, perhaps to avoid "fatty foods," as particularly dense sources of calories, and to increase their physical activity.
Meanwhile, the latest surge in this epidemic of diabetes in the United States—an 800 percent increase from 1960 to the present day, according to the Centers for Disease Control—coincides with a significant rise in the consumption of sugar. Or, rather, it coincides with a surge in the consumption of _sugars,_ or what the FDA calls "caloric sweeteners"—sucrose, from sugarcane or beets, and high-fructose corn syrup, HFCS, a relatively new invention.
After ignoring or downplaying the role of sugars and sweets for a quarter-century, many authorities now argue that these are, indeed, a major cause of obesity and diabetes and that they should be taxed heavily or regulated. The authorities still do so, however, not because they believe sugar causes disease but, rather, because they believe sugar represents "empty calories" that we eat in excess because they taste so good. By this logic, since refined sugar and high-fructose corn syrup don't contain any protein, vitamins, minerals, antioxidants, or fiber, they either displace other, more nutritious elements of our diet, or simply add extra, unneeded calories to make us fatter. The Department of Agriculture, for instance (in its recent "Dietary Guidelines for Americans"), the World Health Organization, and the American Heart Association, among other organizations, advise a reduction in sugar consumption for these reasons primarily.
The empty-calories argument is particularly convenient for the food industry, which would understandably prefer not to see a key constituent of its products—all too often, _the_ key constituent—damned as toxic. The sugar industry played a key role in the general exoneration of sugar that took place in the 1970s, as I'll explain later. Health organizations, including the American Diabetes Association and the American Heart Association, have also found the argument convenient, having spent the last fifty years blaming dietary fat for our ills while letting sugar off the hook.
The empty-calories logic allows companies that sell sugar-rich products, or products in which all the calories come from these sugars, to claim that they, too, are fighting the good fight. They can profess and perhaps believe that they are fighting the scourge of childhood obesity and diabetes—that they are part of the solution, not the problem—by working to educate children on how to eat less, be satisfied with smaller portions, and exercise more, just as Coca-Cola, PepsiCo, Mars, Nestlé, Hershey's, and a few dozen other companies did in 2009 when they joined up with the Grocery Manufacturers Association, the American Dietetic Association (now the Academy of Nutrition and Dietetics), and the Girl Scouts of the USA to found the Healthy Weight Commitment Foundation. Embracing the notion of empty calories is politically expedient as well. Any politician running for public office is unlikely to benefit from alienating major constituents of the food industry, particularly companies with powerful lobbies, such as the sugar and beverage industries. "This is not about demonizing any industry," as Michelle Obama said in 2010 about "Let's Move," her much-publicized program to combat childhood obesity.
This book makes a different argument: that sugars like sucrose and high-fructose corn syrup are fundamental causes of diabetes and obesity, using the same simple concept of causality that we employ when we say smoking cigarettes causes lung cancer. It's not because we eat too much of these sugars—although that is implied merely by the terms "overconsumption" and "overeating"—but because they have unique physiological, metabolic, and endocrinological (i.e., hormonal) effects in the human body that directly trigger these disorders. This argument is championed most prominently by the University of California, San Francisco, pediatric endocrinologist Robert Lustig. These sugars are not short-term toxins that operate over days and weeks, by this logic, but ones that do their damage over years and decades, and perhaps even from generation to generation. In other words, mothers will pass the problem down to their children, not through how and what they feed them (although that plays a role), but through what they eat themselves and how that changes the environment in the womb in which the children develop.
Individuals who get diabetes—the ones in any population who are apparently susceptible, who are genetically predisposed—would never have been stricken if they (and maybe their mothers and their mothers' mothers) lived in a world without sugar, or at least in a world with a lot less of it than the one in which we have lived for the past 100 to 150 years. These sugars are what an evolutionary biologist might call the environmental or dietary trigger of the disease: the requisite ingredient that triggers the genetic predisposition and turns an otherwise healthy diet into a harmful one. Add such sugars in sufficient quantity to the diet of any population, no matter what proportion of plants to animals they eat—as Kelly West suggested in 1974 about Native American populations—and the result eventually is an epidemic of diabetes, and obesity as well. If this is true, then to make headway against these disorders—to prevent future cases of obesity and diabetes from manifesting themselves, and to reverse the epidemics that are now ongoing—we must show these sugars and the businesses that sell them for what they truly are.
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The implications of the case against sugar go far beyond diabetes. Those who are obese or diabetic are also more likely to have fatty liver disease, and this, too, is now epidemic in Westernized populations. The National Institutes of Health estimate that as many as one in four Americans now have the disease, unrelated to alcohol consumption. If untreated, it can progress to cirrhosis of the liver and eventually the need for a liver transplant. Those who are obese and diabetic also tend to be hypertensive; they have a higher risk of heart disease, cancer, and stroke, and possibly dementia and even Alzheimer's disease as well.
These chronic diseases—the diseases that ultimately kill us in modern Western societies—tend to cluster together in both populations and individual patients. Diabetes, heart disease, cancer, stroke, and Alzheimer's account for five of the top ten causes of death in the U.S. A conservative estimate is that they cost the medical system and our society, in lost work and productivity, one trillion dollars a year.
Together they're often referred to as diseases of Western lifestyles, or diseases of Westernization. This cluster has led cancer researchers to suggest that obesity is a cause of cancer. It has led some Alzheimer's researchers to refer to Alzheimer's as type 3 diabetes.
All of these diseases have now been linked to a condition known as "insulin resistance," a phenomenon we will examine in depth. Insulin resistance is the fundamental defect present in type 2 diabetes and perhaps obesity as well. So it's a reasonable possibility that the same thing that causes one of these diseases—type 2 diabetes in particular—causes all of them. It's what scientists would call the null hypothesis, a starting point for research, discussion, and studies. If sugar and high-fructose corn syrup are the cause of obesity, diabetes, and insulin resistance, then they're also the most likely dietary trigger of these other diseases. Put simply: without these sugars in our diets, the cluster of related illnesses would be far less common than it is today; likewise other disorders that associate with these illnesses, among them polycystic ovary syndrome (PCOS), rheumatoid arthritis, gout, varicose veins, asthma, and inflammatory bowel disease.
If this were a criminal investigation, the detectives assigned to the case would start from the assumption that there was one prime suspect, one likely perpetrator, because the crimes (all the aforementioned diseases) are so closely related. They would only embrace the possibility that there were multiple perpetrators when the single-suspect hypothesis was proved insufficient to explain all the evidence. Scientists know this essential concept as Occam's Razor. When Isaac Newton said, "We are to admit no more causes of natural things than such as are both true and sufficient to explain their appearances," he was saying the same thing that Albert Einstein, three centuries later, said (or was paraphrased as saying): "Everything should be made as simple as possible, but no simpler." We should begin with the simplest possible hypothesis, and only if that can't explain what we observe should we consider more complicated explanations—in this case, multiple causes.
This is not, however, how medical researchers and public-health authorities have come to think about these disorders. Despite their faith in the notion that obesity causes or accelerates diabetes and that therefore (in what I will argue is a mistaken assumption) both are diseases of overconsumption and sedentary behavior, they will also defend their failure to curb the ongoing epidemics of these diseases on the basis that these are "multifactorial, complex disorders" or "multidimensional diseases." By this they mean that so many factors are involved in the genesis and progression of these diseases—including genetics for sure, epigenetics (the modification of how genes are turned on and off in cells), how much we eat and exercise, perhaps how well we sleep, toxins in the environment, pharmaceuticals, possibly viruses, the effect of antibiotic use on the bacteria in our guts (dysbiosis, as it's now commonly called, or microbial imbalance)—that to identify one ultimate trigger, or one critical component of our modern diets, is to be naïve.
The counterargument is simple: Lung cancer is also assuredly a multifactorial, complex disease. Most smokers will never get lung cancer, and at least a tenth of all cases of lung cancer are unrelated to smoking cigarettes, and yet it's widely accepted—for very good reasons—that smoking is _the_ primary cause. Whether or not obesity and diabetes and their associated diseases are multifactorial, complex disorders, something has to explain their connection with modern Western diets and lifestyles and the epidemics that are both ongoing and almost ubiquitous worldwide. What is it? We are clearly doing something different from what we did fifty years ago, or 150 years ago, and our bodies and health reflect it. Why?
The goal of this book is to clarify the arguments against sugar, correct some of the misconceptions and preconceptions that have dogged the debate for the hundreds of years during which it's been ongoing, and provide the perspective and context needed to make reasonable decisions on sugar as individuals and as a society. People are dying today, literally every second, from diseases that seemed virtually nonexistent in populations that didn't eat modern Western diets or live modern Western lifestyles. Something is killing them prematurely. This book will document the case against sugar as the prime culprit.
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In my two previous books on health and nutrition, I discussed the evidence implicating all highly processed and easily digestible carbohydrates in general—grains and starchy vegetables—as well as sugar and high-fructose corn syrup. I suggested that there was something unique about those sugars that then made the other carbohydrate-rich foods a problem as well. So the treatment of the conditions they caused—particularly obesity and diabetes—often required restricting some or all of these carbohydrates, not just sugar.
In this book, the focus is specifically on the role of sugar in our diet, and the likely possibility that the difference between a healthy diet and one that causes obesity, diabetes, heart disease, cancer, and other associated diseases begins with the sugar content. If this is true, it implies that populations or individuals can be at the very least reasonably healthy living on carbohydrate-rich diets, even grain-rich diets, as long as they consume relatively little sugar. As sugar consumption rises and people ingest it over decades, and across generations, it causes insulin resistance and triggers the progression to obesity, diabetes, and the diseases that associate with them. Once this process starts, easily digestible, carbohydrate-rich foods aid and abet it. If the argument is correct, the first necessary step in preventing or avoiding these diseases is to remove the sugars from our diets.
This argument also serves to censure the last century of advice on obesity, diabetes, and nutrition, notwithstanding the best intentions of those who gave it. Despite a century's worth of evidence implicating sugar as the cause of insulin resistance and diabetes and many, perhaps all, of the diseases that associate with them, the researchers working in these fields, and the health organizations funding this research, chose to ignore it or reject it. Invariably, they did so on the basis of ill-founded assumptions and preconceptions about what other factors might be responsible—dietary fat, or the simplistic idea that eating too many calories of any kind makes us fat. Here I'll be discussing the science as much as the errors in judgment that were made during this time. It's one thing to claim that sugar is uniquely toxic—perhaps having prematurely killed more people than cigarettes or "all wars combined," as Kelly West said about diabetes itself—but to do so convincingly we have to understand why this conclusion has not been common wisdom.
In the process, I'll be looking at the key scientific issues with a decidedly historical perspective. History is critical to understanding science and how it progresses. In many scientific disciplines—physics, for example—the science is taught with the history attached. Students learn not only what is believed to be true and which conjectures have fallen by the wayside, but on the basis of what experiments and what evidence, and by whose authority and ingenuity. The names of the physicists responsible for the advances in understanding—Newton, Einstein, Maxwell (for his equations of electromagnetism); Heisenberg, Planck, and Schrödinger, among others, for their work in understanding the quantum nature of the universe; and many more—are as well known as many historical figures in politics and other fields. Medicine today, though, as with related fields such as nutrition, is taught mostly untethered from its history. Students are taught what to believe but not always the evidence on which these beliefs are based, and so oftentimes the beliefs cannot be questioned. And medical students are not taught, as physics students typically are, to question everything that has not demonstrably survived the trial-by-fire process of rigorous, methodical testing. Students of any science need to know why they are being asked to believe a particular idea, or why not, and on what grounds. Without the history of the idea, there's no way to tell and, by implication, no reason to ask.
This is why authorities on diabetes today will often argue that sugar does not cause diabetes but will do so based on little or no awareness of how that conclusion was ultimately reached and on what evidence. It's why the provenance of the idea that we get fat because we consume more calories than we expend is little known, even by those physicians and researchers who have been (or still are) its die-hard proponents. It's why the existence of a competing hypothesis of obesity as a hormonal disorder is little known, let alone that this hypothesis is capable of explaining the data and the observations in a way that the "energy balance" notion is incapable of doing.
In writing this book, I hope to continue to restore this history to the discussion of how our diets influence our weight and health, and to do so in the context of the vitally important question of sugar in the diet.
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I want to clarify a few final points before we continue.
First, I'm going to concede in advance a key point that those who defend the role of sugar in our diet will invariably make. The sugar industry and purveyors of sugar-rich products are right when they say that it cannot be established definitively, with the science as it now stands, that sugar is uniquely harmful—a toxin that does its damage over decades. The evidence is not as clear with sugar as it is with tobacco. This isn't a failure of science but, rather, an issue of its limits.
With tobacco, researchers could compare smokers with nonsmokers and look for the difference in incidence of a single disease—lung cancer—that in nonsmokers, at least, is very rare. These studies were first done in the late 1940s, and the difference observed in these comparisons was so dramatic—heavy smokers had twenty to thirty times the risk of those who had never smoked—that it was effectively impossible to imagine any reasonable explanation other than cigarettes (not that the tobacco industry didn't try).
With sugar, the best researchers can do is compare individuals all of whom have consumed tremendous amounts of sugar, at least compared with the levels of consumption in nonindustrialized societies. If they compare sugar consumers with those who abstain, they're looking at individuals who have vastly different philosophies about how to lead a healthy life and so will differ in many meaningful ways other than just how much sugar they consume. They're also looking at differences in rates of what are now all-too-common diseases, although whether the diseases would be common in a world without sugar is the question. The study of sugar consumers versus nonconsumers entails issues and challenges that simply didn't exist in the study of cigarettes and lung cancer.
One way to tackle this problem is to compare populations that had no access to sugar, or very little, with those that had plenty—often the same populations twenty, fifty, or a hundred years later. Still, the difference in sugar consumption is just one of the many differences that might explain the differences in health status. It's possible to assemble a compelling argument with this method (just as a good prosecutor can create a compelling case from circumstantial evidence), but that is not sufficient to establish definitively what is causing the health effects we're seeing.
Whether we can assemble the kind of evidence that would stand up in a court of law and allow governments to regulate sugar, as they already do tobacco and alcohol, remains to be seen. But whether we have enough evidence and reasonable assumptions to convince ourselves to avoid sugar, to minimize its consumption, and to convince our children to do the same is a different question. That's the question this book will try to answer.
Second, I need to clarify what exactly we're talking about when we talk about sugar or sugars. This may seem obvious, but it certainly hasn't been in the past. The controversy over the health effects of sugar—proceeding, as it has, for hundreds of years—is littered with erroneous statements and conclusions that have driven thinking to the current day. Often, if not largely, it is because the individuals considered authorities on the subject often had no true understanding of what they were talking about, and thus no understanding of how different types of sugars—all carbohydrates—might have profoundly different effects on human health. This confusion still exists and still haunts some of the most influential reporting on diet and health, despite the multitudes of articles written on sugar and health in the past decade.
Biochemically, the term "sugar" refers to a group of carbohydrate molecules consisting, as the word "carbohydrate" implies, of atoms of carbon and hydrogen. The names of these carbohydrates all end in "-ose"—glucose, galactose, dextrose, fructose, lactose, sucrose, etc. All of these sugars will dissolve in water, and they all taste sweet to us, although to a greater or lesser extent. When physicians or researchers refer to "blood sugar," they're talking about glucose, because it constitutes virtually all of the sugar circulating in our blood.
The more common usage of "sugar" refers to sucrose, the white crystalline variety that we put in our coffee or tea or sprinkle on our morning cereal. Sucrose in turn is composed of equal parts glucose and fructose, the two smaller sugars (monosaccharides, in the chemical lingo) bonded together to make the larger one (a disaccharide). Fructose, found naturally in fruits and honey, is the sweetest of all these sugars, and it's the fructose that makes sucrose particularly sweet. Lately, researchers have been asking whether fructose is toxic, because it's the significant amount of fructose in sugar (sucrose) that differentiates it from other carbohydrate-rich foods, such as bread or potatoes, which break down upon digestion to mostly glucose alone. Because we never consume the fructose without the glucose, though, the appropriate question is whether sucrose, the combination of roughly equal parts fructose _and_ glucose, is toxic, not one alone.
This would be confusing enough without the introduction in the 1970s of high-fructose corn syrup (HFCS), which replaced a significant part of the refined sugar (i.e., sucrose) consumed in the United States over the decade that followed. High-fructose corn syrup comes in different formulations; the most common one is known as HFCS-55, because it's 55 percent fructose and 45 percent glucose.*3 In sucrose, the ratio is 50-50. It was created, in fact, to replace sucrose inexpensively when used as the sweetener in soft drinks—specifically Coca-Cola—without any noticeable difference in taste or sweetness.
The U.S. Department of Agriculture includes both sucrose and HFCS in the category of "caloric" or "nutritive" sweeteners, along with honey and maple syrup—both glucose-fructose combinations—differentiating them from artificial sweeteners such as saccharin, aspartame, and sucralose, which are effectively calorie-free. Public-health authorities often refer to sucrose and HFCS as "added sugars" to differentiate them from the component sugars that can be found naturally (in relatively small proportions) in fruits and vegetables.
Because the introduction of HFCS-55 roughly coincided with the beginning of the obesity epidemic in the United States, researchers and journalists later suggested that HFCS was the cause, implying that it was somehow distinct from sugar itself. HFCS was promptly demonized as a particularly pernicious aspect of the diet—"the flashpoint for everybody's distrust of processed foods," as the New York University nutritionist Marion Nestle has described it—and that's often still considered to be the case. This is why cans of Pepsi sweetened by sucrose rather than high-fructose corn syrup proudly proclaim that they contain "natural sugar." Newman's Own lemonade, sweetened with sucrose ("cane sugar," as the label says), proclaims prominently on the carton that it contains "no high fructose corn syrup." In 2010, the Corn Refiners Association petitioned the Food and Drug Administration to allow it to refer to high-fructose corn syrup as "corn sugar" on food labels, thus trying to avoid this demonization process. The sugar industry promptly sued them to prevent it from happening, at which point the Corn Refiners countersued. In 2012, the FDA denied the Corn Refiners' petition—sugar, the FDA said, "is a solid, dried, and crystallized sweetener" and HFCS is not—and so the latter is still clearly identifiable as both syrupy and derived from corn.
All of this controversy, however, though it may benefit the sugar (sucrose) industry in particular, serves only to obfuscate the key point: high-fructose corn syrup is not fructose, any more than sucrose is. (The reason for the appellation "high fructose" is that HFCS has a greater proportion of fructose to glucose than previous corn syrups, which date back to the nineteenth century and were never sweet enough to challenge the primacy of sucrose in foods and beverages.) Our bodies appear to respond the same way to both sucrose and HFCS. In a 2010 review of the relevant science, Luc Tappy, a researcher at the University of Lausanne in Switzerland, who is considered by biochemists who study fructose to be among the world's foremost authorities on the subject, said there was "not the single hint" that HFCS was more deleterious than other sources of sugar. The question I'll be addressing in this book is whether they are both benign, or both harmful—not whether one is worse than the other.
My usage of the words "sugar" or "sugars" throughout the text will depend on context. If I'm speaking about the present, when sucrose and high-fructose corn syrup are used to an equal extent, I'll use "sugar" to refer to both. If the context is prior to the introduction of high-fructose corn syrup in the late 1970s, then "sugar" will only mean sucrose, and I'll often qualify it by describing it as either beet sugar or cane sugar. If I'm referring to specific (monosaccharide) _sugars_ —fructose, glucose, lactose, etc.—then that, too, will be clear from the context.
The last issue that requires clarification before we continue is that of how much of these sugars (i.e., caloric sweeteners) we actually consume or, for that matter, ever did. Through the 1970s, the per capita consumption numbers cited by government organizations, historians, and journalists—the numbers I typically use in this book— would have been for sugar "deliveries," as the Department of Agriculture now refers to them. This is the amount that industry makes available for consumer use. The formula is simple: domestic production plus imports minus exports, all divided by the current population. Governments acquire these numbers for tax, tariff, and other purposes, and they do it reasonably well. Hence, these numbers are (relatively) reliable, as are trends based on these numbers. We can assume, for instance, that when the USDA reports that 114 pounds of sugar and HFCS were delivered to retailers in 2014, that number can be meaningfully compared with the 153 pounds delivered in 1999, when deliveries (and, so we assume, consumption) peaked in the United States, and both can be compared with the few tens of pounds delivered per capita two hundred years ago.
Beginning in the 1980s, however, with a Food and Drug Administration report that we will discuss in chapter 8, authorities have often tried to estimate how much of this available sugar is actually consumed. After all, much gets thrown out with stale bakery products, for instance, or flat soda or the juice at the bottom of a cup or can. The authorities base these estimates primarily on surveys in which individuals are asked to recall what they ate and drank. This survey data is known to be exceedingly _un_ reliable, which the USDA readily admits. ("Limitations on accurately measuring food loss," it says, "suggest that actual loss rates may differ from the assumptions used.")
Still, the USDA now reports that in 2014 (the latest numbers available as I write this) the average American consumed _only_ 67 pounds of the sucrose and HFCS out of the 114 pounds the industry made available—slightly less than 60 percent. By doing so, a reasonably reliable number (114 pounds _delivered_ ) has been transformed into an unreliable number (67 pounds _consumed_ ). A number that can be used for historical trends and comparisons has been converted into a number that cannot.
The sugar industry prefers the latter, smaller number—"We perceive it to be in our interest to see as low a per-capita sweetener consumption estimate as possible," as one sugar industry executive wrote in a 2011 e-mail. The smaller number suggests that we don't eat or drink all that much sugar (or HFCS), after all. But it has no comparison. We have no meaningful way of adjusting sugar deliveries for loss decades or centuries ago. Nor can we use it to draw meaningful comparisons to the amount of other foods we supposedly consume today, because those _adjusted_ numbers are also based on unreliable surveys and unsubstantiated assumptions.
For the sake of simplicity, I will typically refer in the text to the amount of sugar consumed per year (100 pounds per capita in the U.S. in 1920, for instance) because that's how it was referred to in the documents I cite, even though this number was technically the amount of sugar made available by industry, i.e., deliveries. When I refer to numbers that purport to be legitimate estimates of consumption, I will be explicit. It's a confusing business, but I'll do my best to keep it clear as we continue.
* * *
*1 At Massachusetts General Hospital, the very same handwritten medical records that Joslin would later analyze reveal that for twenty of the forty-five years between 1824 and 1869 there was not a single case of diabetes. In none of these years were there more than three cases.
*2 Because type 2 diabetes is so much more common, when I refer to diabetes in this book I will be referring to the type 2 form or both type 2 and type 1 together, unless specified otherwise.
*3 This ratio was called into question in a 2010 analysis claiming that fructose content in some popular sugary beverages was then as high as 65 percent.
# CHAPTER 1
# DRUG OR FOOD?
> _The sweet shop in Llandaff in the year of 1923 was the very center of our lives. To us, it was what a bar is to a drunk, or a church is to a Bishop. Without it, there would have been little to live for....Sweets were our life-blood._
>
> ROALD DAHL, _Boy: Tales of Childhood,_ 1984
>
> _Imagine a moment when the sensation of honey or sugar on the tongue was an astonishment, a kind of intoxication. The closest I've ever come to recovering such a sense of sweetness was secondhand, though it left a powerful impression on me even so. I'm thinking of my son's first experience of sugar: the icing on the cake at his first birthday. I have only the testimony of Isaac's face to go by (that, and his fierceness to repeat the experience), but it was plain that his first encounter with sugar had intoxicated him—was in fact an ecstasy, in the literal sense of that word. That is, he was beside himself with the pleasure of it, no longer here with me in space and time in quite the same way he had been just a moment before. Between bites Isaac gazed up at me in amazement (he was on my lap, and I was delivering the ambrosial forkfuls to his gaping mouth) as if to exclaim, "Your world contains this? From this day forward I shall dedicate my life to it."_
>
> MICHAEL POLLAN, _Botany of Desire,_ 2001
What if Roald Dahl and Michael Pollan are right, that the taste of sugar on the tongue can be a kind of intoxication? Doesn't it suggest the possibility that sugar itself is an intoxicant, a drug? Imagine a drug that can intoxicate us, can infuse us with energy, and can do so when taken by mouth. It doesn't have to be injected, smoked, or snorted for us to experience its sublime and soothing effects. Imagine that it mixes well with virtually every food and particularly liquids, and that when given to infants it provokes a feeling of pleasure so profound and intense that its pursuit becomes a driving force throughout their lives.
Overconsumption of this drug may have long-term side effects, but there are none in the short term—no staggering or dizziness, no slurring of speech, no passing out or drifting away, no heart palpitations or respiratory distress. When it is given to children, its effects may be only more extreme variations on the apparently natural emotional roller coaster of childhood, from the initial intoxication to the tantrums and whining of what may or may not be withdrawal a few hours later. More than anything, our imaginary drug makes children happy, at least for the period during which they're consuming it. It calms their distress, eases their pain, focuses their attention, and then leaves them excited and full of joy until the dose wears off. The only downside is that children will come to expect another dose, perhaps to demand it, on a regular basis.
How long would it be before parents took to using our imaginary drug to calm their children when necessary, to alleviate pain, to prevent outbursts of unhappiness, or to distract attention? And once the drug became identified with pleasure, how long before it was used to celebrate birthdays, a soccer game, good grades at school? How long before it became a way to communicate love and celebrate happiness? How long before no gathering of family and friends was complete without it, before major holidays and celebrations were defined in part by the use of this drug to assure pleasure? How long would it be before the underprivileged of the world would happily spend what little money they had on this drug rather than on nutritious meals for their families?
How long would it be before this drug, as the anthropologist Sidney W. Mintz said about sugar, demonstrated "a near invulnerability to moral attack," before even writing a book such as this one was perceived as the nutritional equivalent of stealing Christmas?
—
What is it about the experience of consuming sugar and sweets, particularly during childhood, that invokes so readily the comparison to a drug? I have children, still relatively young, and I believe raising them would be a far easier job if sugar and sweets were not an option, if managing their sugar consumption did not seem to be a constant theme in our parental responsibilities. Even those who vigorously defend the place of sugar and sweets in modern diets—"an innocent moment of pleasure, a balm amid the stress of life," as the British journalist Tim Richardson has written—acknowledge that this does not include allowing children "to eat as many sweets as they want, at any time," and that "most parents will want to ration their children's sweets."
But why is it necessary? Children crave many things—Pokémon cards, _Star Wars_ paraphernalia, _Dora the Explorer_ backpacks—and many foods taste good to them. What is it about sweets that makes them so uniquely in need of rationing, which is another way of asking whether the comparison to drugs of abuse is a valid one?
This is of more than academic interest, because the response of entire populations to sugar has been effectively identical to that of children: once populations are exposed, they consume as much sugar as they can easily procure, although there may be natural limits set by culture and current attitudes about food. The primary barrier to more consumption—up to the point where populations become obese and diabetic and then, perhaps, beyond—has tended to be availability and price. (This includes, in one study, sugar-intolerant Canadian Inuit, who lacked the enzyme necessary to digest the fructose component of sugar and yet continued to consume sugary beverages and candy despite the "abdominal distress" it brought them.) As the price of a pound of sugar has dropped over the centuries—from the equivalent of 360 eggs in the thirteenth century to two in the early decades of the twentieth—the amount of sugar consumed has steadily, inexorably, climbed. In 1934, while sales of candy continued to increase during the Great Depression, _The New York Times_ commented, "The depression proved that people wanted candy, and that as long as they had any money at all, they would buy it." During those brief periods of time during which sugar production surpassed our ability to consume it, the sugar industry and purveyors of sugar-rich products have worked diligently to increase demand and, at least until recently, have succeeded.
The critical question, what scientists debate, as the journalist and historian Charles C. Mann has elegantly put it, "is whether [sugar] is actually an addictive substance, or if people just act like it is." This question is not easy to answer. Certainly, people and populations have acted as though sugar is addictive, but science provides no definitive evidence. Until recently, nutritionists studying sugar did so from the natural perspective of viewing sugar as a nutrient—a carbohydrate—and nothing more. They occasionally argued about whether or not it might play a role in diabetes or heart disease, but not about whether it triggered a response in the brain or body that made us want to consume it in excess. That was not their area of interest.
The few neurologists and psychologists interested in probing the sweet-tooth phenomenon, or why we might need to ration our sugar consumption so as not to eat it to excess, did so typically from the perspective of how these sugars compared with other drugs of abuse, in which the mechanism of addiction is now relatively well understood. Lately, this comparison has received more attention as the public-health community has looked to ration our sugar consumption as a population, and has thus considered the possibility that one way to regulate these sugars—as with cigarettes—is to establish that they are, indeed, addictive. These sugars are very likely unique in that they are both a nutrient _and_ a psychoactive substance with some addictive characteristics.
Historians have often considered the sugar-as-a-drug metaphor to be an apt one. "That sugars, particularly highly refined sucrose, produce peculiar physiological effects is well known," wrote the late Sidney Mintz, whose 1985 book _Sweetness and Power_ is one of two seminal English-language histories of sugar on which other, more recent writers on the subject (including myself) heavily rely.* But these effects are neither as visible nor as long-lasting as those of alcohol, or caffeinated beverages, "the first use of which can trigger rapid changes in respiration, heartbeat, skin color and so on." Mintz has argued that a primary reason that through the centuries sugar has escaped religious-based criticisms, of the kind pronounced on tea, coffee, rum, and even chocolate, is that, whatever conspicuous behavioral changes may occur when infants consume sugar, it did not cause the kind of "flushing, staggering, dizziness, euphoria, changes in the pitch of the voice, slurring of speech, visibly intensified physical activity, or any of the other cues associated with the ingestion" of these other drugs. As this book will argue, sugar appears to be a substance that causes pleasure with a price that is difficult to discern immediately and paid in full only years or decades later. With no visible, directly noticeable consequences, as Mintz says, questions of "long-term nutritive or medical consequences went unasked and unanswered." Most of us today will never know if we suffer even subtle withdrawal symptoms from sugar, because we'll never go long enough without sugar to find out.
Mintz and other sugar historians consider the drug comparison to be so fitting in part because sugar is one of a handful of "drug foods," to use Mintz's term, that came out of the tropics, and on which European empires were built from the sixteenth century onward, the others being, tea, coffee, chocolate, rum, and tobacco. Its history is intimately linked to that of these other drugs. Rum is distilled, of course, from sugarcane, whereas tea, coffee, and chocolate were not consumed with sweeteners in their regions of origin. In the seventeenth century, however, once sugar was added as a sweetener and prices allowed it, the consumption of these substances in Europe exploded. Sugar was used to sweeten liquors and wine in Europe as early as the fourteenth century; even cannabis preparations in India and opium-based wines and syrups included sugar as a major ingredient.
Kola nuts, containing both caffeine and traces of a milder stimulant called theobromine, became a product of universal consumption in the late nineteenth century, first as a coca-infused wine in France (Vin Mariani) and then as the original mixture of cocaine and caffeine of Coca-Cola, with sugar added to mask the bitterness of the other two substances. The removal of the cocaine in the first years of the twentieth century seemed to have little influence on Coca-Cola's ability to become, as one journalist described it in 1938, the "sublimated essence of all that America stands for," the single most widely distributed product on the planet and the second-most-recognizable word on Earth, "okay" being the first. It's not a coincidence that John Pemberton, the inventor of Coca-Cola, had a morphine addiction that he'd acquired after being wounded in the Civil War. Coca-Cola was one of several patent medicines he invented to help wean him off the harder drug. "Like Coca, Kola enables its partakers to undergo long fast and fatigue," read one article in 1884. "Two drugs, so closely related in their physiological properties, cannot fail to command early universal attention."
As for tobacco, sugar was, and still is, a critical ingredient in the American blended-tobacco cigarette, the first of which was Camel, introduced by R. J. Reynolds in 1913. It's this "marriage of tobacco and sugar," as a sugar-industry report described it in 1950, that makes for the "mild" experience of smoking cigarettes as compared with cigars and, perhaps more important, makes it possible for most of us to inhale cigarette smoke and draw it deep into our lungs. It's the "inhalability" of American blended cigarettes that made them so powerfully addictive—as well as so potently carcinogenic—and that drove the explosion in cigarette smoking in the United States and Europe in the first half of the twentieth century, and the rest of the world shortly thereafter, and, of course, the lung-cancer epidemics that have accompanied it.
Unlike alcohol, which was the only commonly available psychoactive substance in the Old World until sugar, nicotine, and caffeine arrived on the scene, the latter three had at least some stimulating properties, and so offered a very different experience, one that was more conducive to the labor of everyday life. These were the "eighteenth-century equivalent of uppers," writes the Scottish historian Niall Ferguson. "Taken together, the new drugs gave English society an almighty hit; the Empire, it might be said, was built on a huge sugar, caffeine and nicotine rush—a rush nearly everyone could experience."
Sugar, more than anything, seems to have made life worth living (as it still does) for so many, particularly those whose lives were absent the kind of pleasures that relative wealth and daily hours of leisure might otherwise provide. As early as the twelfth century, one contemporary chronicler of the Crusades, Albert of Aachen, was describing merely the opportunity to sample the sugar from the cane that the Crusaders found growing in the fields of what are now Israel and Lebanon as in and of itself "some compensation for the sufferings they had endured." "The pilgrims," he wrote, "could not get enough of its sweetness."
As sugar, tea, and coffee instigated the transformation of daily life in Europe and the Americas in the seventeenth and eighteenth centuries, they became the indulgences that the laboring classes could afford; by the 1870s, they had come to be considered necessities of life. During periods of economic hardship, as the British physician and researcher Edward Smith observed at the time, the British poor would sacrifice the nutritious items of their diet before they'd cut back on the sugar they consumed. "In nutritional terms," suggested three British researchers in 1970 in an analysis of the results of Smith's survey, "it would have been better if some of the money spent on sugar had been diverted to buy bread and potatoes, since this would have given them very many more calories for the same money, as well as providing some protein, vitamins and minerals, which sugar lacks entirely. In fact however we find that a taste for the sweetness of sugar tends to become fixed. The choice to eat almost as much sugar as they used to do, while substantially reducing the amount of meat, reinforces our belief that people develop a liking for sugar that becomes difficult to resist or overcome."
Sugar was "an ideal substance," says Mintz. "It served to make a busy life seem less so; in the pause that refreshes, it eased, or seemed to ease the changes back and forth from work to rest; it provided swifter sensations of fullness or satisfaction than complex carbohydrates did; it combined easily with many other foods, in some of which it was also used (tea and biscuit, coffee and bun, chocolate and jam-smeared bread)....No wonder the rich and powerful liked it so much, and no wonder the poor learned to love it." What Oscar Wilde wrote about a cigarette in 1891, when that indulgence was about to explode in popularity and availability, might also be said about sugar: It is "the perfect pleasure. It is exquisite, and it leaves one unsatisfied. What more can one want?"
Sugar craving does seem to be hard-wired in our brains. Children certainly respond to it instantaneously, from birth (if not in the womb) onward. Give babies a choice of sugar water or plain, wrote the British physician Frederick Slare three hundred years ago, and "they will greedily suck down the one, and make Faces at the other: Nor will they be pleas'd with Cows Milk, unless that be bless'd with a little Sugar, to bring it up to the Sweetness of Breast-Milk." Slare's observation was confirmed experimentally in the early 1970s by Jacob Steiner, a professor of oral biology at the Hebrew University of Jerusalem. Steiner studied and photographed the expressions of newborn infants given a taste of sugar water even before they had received breast milk or any other nourishment. The result, he wrote, was "a marked relaxation of the face, resembling an expression of 'satisfaction,' often accompanied 'by a slight smile,' " which was almost always followed "by an eager licking of the upper lip, and sucking movements." When Steiner repeated the experiment with a bitter solution, the newborns spit it out.
This raises the question of why humans evolved a sweet tooth, requiring intricate receptors on the tongue and the roof of the mouth, and down into the esophagus, that will detect the presence of even minute amounts of sugar and then signal this taste via nerves extending up into the brain's limbic system. Nutritionists usually answer by saying that in nature a sweet taste signaled either calorically rich fruits or mother's milk (because of the lactose, a relatively sweet carbohydrate, which can constitute up to 40 percent of the calories in breast milk), so that a highly sensitive system for distinguishing such foods and differentiating them from the tastes of poisons, which we recognize as bitter, would be a distinct evolutionary advantage. But if caloric or nutrient density is the answer, the nutritionists and evolutionary biologists have to explain why fats do not also taste sweet to us. They have twice as many calories per gram as sugars do (and more than half the calories in mother's milk come from fat).
One proposition commonly invoked to explain why the English would become the world's greatest sugar consumers and remain so through the early twentieth century, alongside the fact that the English had the world's most productive network of sugar-producing colonies, is that they had lacked any succulent native fruit, and so had little previous opportunity to accustom themselves to sweets, as Mediterranean populations did. As such, the sweet taste was more of a novelty to the English, and their first exposure to sugar, as this thinking goes, occasioned more of a population-wide astonishment. According to this argument, Americans then followed the British so closely as sugar consumers because the original thirteen colonies were settled by the English, who brought their sweet cravings with them. The same explanation holds for Australians, who had caught up to the British as sugar consumers by the early decades of the twentieth century.
All of this is speculation, however, as is the notion that it was the psychoactive aspects of sugar consumption that provided the evolutionary advantage. The taste of sugar will soothe distress, and thus "distress vocalizations" in infants; consuming sugar will allow adults to work through pain and exhaustion and to assuage hunger pains. That sugar works as a painkiller or at least a powerful distraction to infants is evidenced by its use during circumcision ceremonies—even in hospitals on the day after birth—to soothe and quiet the newborn. If sugar, though, is only a distraction to the infant and not actively a pain reliever or a psychoactive inducer of pleasure that overcomes any pain, as this view posits, we have to explain why in clinical trials it is more effective in soothing the distress of infants than the mother's breast and breast milk itself.
Many animals do respond positively to sugar—they have a sweet tooth—but not all. Cats don't, for instance, but they're obligate carnivores (in nature, they eat only other animals). Chickens don't, nor do armadillos, whales, sea lions, some fish, and cowbirds. Despite the ubiquitous use of rats in the research on sugar addiction, some strains of laboratory rats prefer maltose—the carbohydrate in beer—to sugar. Cattle, on the other hand, will happily fatten themselves on sugar, an observation that was made in the late nineteenth century, when the price of sugar fell sufficiently that farmers could afford to use it for feed. In one study published in 1952, agronomists reported that they could get cattle to eat plants they otherwise disdained by spraying the plants with sugar or molasses (the cattle preferred the latter)—in other words, by sugar-coating them. "In several instances," the researchers reported, "the cattle quickly became aware of what was going on and followed the spraying can around expectantly." The cattle had the same response to artificial sweeteners, suggesting that "the cattle liked anything sweet whether it had food value or not." By sweetening with sugar, as an essay in _The New York Times_ observed in 1884, "we can give a false palatableness to even the most indigestible rubbish."
The actual research literature on the question of whether sugar is addictive and thus a nutritional variation on a drug of abuse is surprisingly sparse. Until the 1970s and for the most part since then, mainstream authorities have not considered this question to be particularly relevant to human health. The very limited research allows us to describe what happens when rats and monkeys consume sugar, but we're not them and they're not us. The critical experiments are rarely if ever done in humans, and certainly not children, for the obvious ethical reasons: we can't compare how they respond to sugar, cocaine, and heroin, for instance, to determine which is more addictive.
Sugar does induce the same responses in the region of the brain known as the "reward center"—technically, the nucleus accumbens—as do nicotine, cocaine, heroin, and alcohol. Addiction researchers have come to believe that behaviors required for the survival of a species—specifically, eating and sex—are experienced as pleasurable in this part of the brain, and so we do them again and again. Sugar stimulates the release of the same neurotransmitters—dopamine in particular—through which the potent effects of these other drugs are mediated. Because the drugs work this way, humans have learned how to refine their essence into concentrated forms that heighten the rush. Coca leaves, for instance, are mildly stimulating when chewed, but powerfully addictive when refined into cocaine; even more so taken directly into the lungs when smoked as crack cocaine. Sugar, too, has been refined from its original form to heighten its rush and concentrate its effects, albeit as a nutrient that provides energy as well as a chemical that stimulates pleasure in the brain.
The more we use these substances, the less dopamine we produce naturally in the brain, and the more habituated our brain cells become to the dopamine that _is_ produced—the number of "dopamine receptors" declines. The result is a phenomenon known as dopamine down-regulation: we need more of the drug to get the same pleasurable response, while natural pleasures, such as sex and eating, please us less and less. The question, though, is what differentiates a substance that works in the reward center to trigger an intense experience of pleasure and yet isn't addictive, and one that happens to be both. Does sugar cross that line? We can love sex, for instance, and find it intensely pleasurable without being sex addicts. Buying a new pair of shoes, for many of us, will also stimulate a dopamine response in the reward center of the brain and yet not be addictive.
Rats given sweetened water in experiments find it significantly more pleasurable than cocaine, even when they're addicted to the latter, and more than heroin as well (although the rats find this choice more difficult to make). Addict a rat over the course of months to intravenous boluses of cocaine, as the French researcher Serge Ahmed has reported, and then offer it the choice of a sweet solution or its daily cocaine fix, and the rat will switch over to the sweets within two days. The choice of sweet taste over cocaine, Ahmed reports, may come about because neurons in the brain's reward circuitry that respond specifically to sweet taste outnumber those that respond to cocaine fourteen to one; this general finding has been replicated in monkeys.
This animal research validates the anecdotal experience of drug addicts and alcoholics, and the observations of those who both study and treat addiction, that sweets and sugary beverages are valuable tools—"sober pleasures"—to wean addicts off the harder stuff, perhaps transferring from one addiction, or one dopamine-stimulating substance, to another, albeit a relatively more benign one. "There is little doubt that sugar can allay the physical craving for alcohol," as the neurologist James Leonard Corning observed over a century ago. The twelve-step bible of Alcoholics Anonymous—called the Big Book—recommends the consumption of candy and sweets in lieu of alcohol when the cravings for alcohol arise. Indeed, the per capita consumption of candy in the United States doubled with the beginning of Prohibition in 1919, as Americans apparently turned en masse from alcohol to sweets. Ice-cream consumption showed a "tremendous increase" coincident with Prohibition. By 1920, sugar consumption in the United States hit record highs, while breweries were being converted into candy factories. "The wreckage of the liquor business," _The New York Times_ reported, "is being salvaged for the production of candy, ice cream and syrups." Five years later, British authorities suggested that this tremendous increase in ice-cream consumption "due to prohibition was injurious to health," but an American college president countered that the trade-off was apparently worth it, as he had "never heard of a man who ate excessive quantities of the confection going home to beat his wife."
All of this is worth keeping in mind when we think about how inexorably sugar and sweets came to saturate our diets and dominate our lives, as the annual global production of sugar increased exponentially from the 1600s onward. The yearly amount of sugar consumed per capita more than quadrupled in England in the eighteenth century, from four pounds to eighteen, and then more than quadrupled again in the nineteenth. In the United States, yearly sugar consumption increased sixteen-fold over that same century.
By the early twentieth century, sugar had assimilated itself into all aspects of our eating experience—consumed during breakfast, lunch, dinner, and snacks. Nutritional authorities were already suggesting what appeared to be obvious, that this increased consumption was a product of at least a kind of addiction—"the development of the sugar appetite, which, like any other appetite—for instance, the liquor appetite—grows by gratification."
A century later still, sugar has become an ingredient avoidable in prepared and packaged foods only by concerted and determined effort, effectively ubiquitous: not just in the obvious sweet foods—candy bars, cookies, ice creams, chocolates, sodas, juices, sports and energy drinks, sweetened iced tea, jams, jellies, and breakfast cereals (both cold and hot)—but also in peanut butter, salad dressing, ketchup, barbecue sauces, canned soups, cold cuts, luncheon meats, bacon, hot dogs, pretzels, chips, roasted peanuts, spaghetti sauces, canned tomatoes, and breads. From the 1980s onward, manufacturers of products advertised as uniquely healthy because they were low in fat or specifically in saturated fat (not to mention "gluten free, no MSG & 0g trans fat per serving") took to replacing those fat calories with sugar to make them equally, if not more, palatable, and often disguising the sugar under one or more of the fifty-plus names by which the fructose-glucose combination of sugar and high-fructose corn syrup might be found. Fat was removed from candy bars, sugar added or at least kept, so that they became health-food bars. Fat was removed from yogurts and sugars added, and these became heart-healthy snacks, breakfasts, and lunches. It was as though the food industry had decided en masse, or its numerous focus groups had sent the message, that if a product wasn't sweetened at least a little, our modern palates would reject it as inadequate and we would purchase instead a competitor's version that was.
Along the way, sugar and sweets became synonymous with love and affection and the language with which we communicate them—"sweets," "sweetie," "sweetheart," "sweetie pie," "honey," "honeybun," "sugar," and all manner of combinations and variations. Sugar and sweets became a primary contribution to our celebrations of holidays and accomplishments, both major and minor. For those of us who don't reward our existence with a drink (and for many of us who do), it's a candy bar, a dessert, an ice-cream cone, or a Coke (or Pepsi) that makes our day. For those of us who are parents, sugar and sweets have become the tools we wield to reward our children's accomplishments, to demonstrate our love and our pride in them, to motivate them, to entice them. Sweets have become the currency of childhood and of parenting.
The common tendency is, again, to think of this transformation as driven by the mere fact that sugars and sweets taste good. We can call it the "pause that refreshes" hypothesis of sugar history. The alternative way to think about this is that sugar took over our diets because the first taste, whether for an infant today or for an adult centuries ago, is literally, as Michael Pollan put it, an astonishment, a kind of intoxication; it's the kindling of a lifelong craving, not identical but analogous to that of other drugs of abuse. Because it is a nutrient, and because the conspicuous sequelae of its consumption are relatively benign compared with those of nicotine, caffeine, and alcohol—at least in the short term and in small doses—it remained, as Sidney Mintz says, nearly invulnerable to moral, ethical, or religious attacks. It remained invulnerable to health attacks as well.
Nutritionists have found it in themselves to blame our chronic ills on virtually any element of the diet or environment—on fats and cholesterol, on protein and meat, on gluten and glycoproteins, growth hormones and estrogens and antibiotics, on the absence of fiber, vitamins, and minerals, and surely on the presence of salt, on processed foods in general, on overconsumption and sedentary behavior—before they'll concede that it's even possible that sugar has played a unique role in any way other than merely getting us all to eat (as Harvard's Fred Stare put it forty years ago) too damn much. And so, when a few informed authorities over the years did, indeed, risk their credibility by suggesting sugar was to blame, their words had little effect on the beliefs of their colleagues or on the eating habits of a population that had come to rely on sugar and sweets as the rewards for the sufferings of daily life.
* * *
* The other is _The History of Sugar,_ published in two encyclopedic volumes in 1949 and 1950, by Noël Deerr, a sugar-industry executive turned sugar historian.
# CHAPTER 2
# THE FIRST TEN THOUSAND YEARS
> _M. Delacroix, a writer as charming as he is prolific, complained once to me at Versailles about the price of sugar, which at that time cost more than five francs a pound. "Ah," he said in a wistful, tender voice, "if it can ever again be bought for thirty cents, I'll never more touch water unless it's sweetened!" His wish was granted._
>
> JEAN ANTHELME BRILLAT-SAVARIN
>
> _The Physiology of Taste,_ 1825
Sugar is a fuel for plants and can be found in all of them—in some, however, more than in others. It's a safe bet that humans have tried to extract sugar, at one time or another, from pretty much every substance or plant that was noticeably sweet and held the promise of offering its sugar up in quantity. Honey was consumed throughout Europe and Asia before sugar displaced it, and when European colonists arrived in the New World and found no honey, they introduced honeybees, which Native Americans took to calling the "English Man's Fly." Native Americans were using maple syrup as a sweetener before the Europeans arrived, and they introduced the colonists to the taste. (Thomas Jefferson was a proponent of maple syrup because it rendered slave labor unnecessary. The sugar maple, he wrote, "yields a sugar equal to the best from the cane, yields it in great quantity, with no other labor than what the women and girls can bestow....What a blessing.") But neither maple syrup nor honey can be used to sweeten cold beverages, and neither mixes well with coffee. Neither could be produced in the quantities necessary to compete with sugar. We still consume them, but in limited quantities and for limited uses.
Even sorghum, an Old World grass used as cattle feed in Africa and chewed by villagers there for its sweetness, had a run in the late nineteenth century as a potential source of sugar, a competitor to cane and beet sugar. The U.S. Department of Agriculture took it up and "kindled an enthusiasm that amounted to a craze," but droughts and insect visitations did it in. Cane and then beet sugar and now high-fructose corn syrup simply won out, in that they were the sweeteners that could be mass-produced economically and provided in quantities necessary to satisfy what appears to have been an almost limitless demand.
Anthropologists believe that sugarcane itself was first domesticated in New Guinea about ten thousand years ago. As evidence that it was revered even then, creation myths in New Guinea have the human race emerging from the sexual congress of the first man and a stalk of sugarcane. The plant is technically a grass, growing to heights of twelve to fifteen feet, with juicy stalks that can be six inches around. In tropical soils, sugarcane will grow from cuttings of the stem, and will ripen or mature in a year to a year and a half. The juice or sap from the cane, at least the modern variety, is mostly water and as much as 17 percent sugar. This makes the cane sweet to chew but not intensely so. Anthropologists assume that early farmers domesticated the cane for the sweetness to be derived from chewing the stalks _and_ the energy it provided. Well before the art of refining came along, sugarcane domestication had already spread to India, China, the Philippines, and Indonesia.
Without refining, the juice of sugarcane is for local consumption only. Within a day of cutting, the sugarcane stalks will begin to ferment and then rot. But the juice can be squeezed or crushed or pounded out of the cane, and that, in turn, as farmers in northern India discovered by around 500 B.C., can be transformed into a raw sugar by cycles of heating and cooling—a "series of liquid-solid operations." The sugar crystallizes as the liquid evaporates. One end product is molasses, a thick brown viscous liquid; another, requiring greater expenditures of time and effort, is dry crystalline sugar of colors ranging from brown to white. The greater the refining effort, the whiter and more pure is the end product.
When cultivated with the instruments of modern technology, sugarcane can produce (as the sugar industry and nutritionists would state in its defense repeatedly in the twentieth century) more calories per acre to feed a population than any other animal or plant. It can survive years of storage; it travels well; it can be consumed on arrival unheated and uncooked. And, unlike honey or maple syrup, it has no distinctive taste or aftertaste. Refined sugar is colorless and odorless. It is nothing more than the crystallized essence of sweet. Other than salt, it is the only pure chemical substance that humans consume. And it provides four calories of energy per gram.
Sugar is extraordinarily useful in food preparation, even when sweetness is not necessarily the desired result, and this is one reason why sugar in all its various names and forms is now ubiquitous in modern processed foods. Sugar allows for the preservation of fruits and berries by inhibiting the growth of micro-organisms that would otherwise cause spoiling. As such, inexpensive sugar made possible the revolution in jams and jellies that began in the mid-nineteenth century (one of many revolutions in sugar-rich foods that began at the same time, as we'll discuss shortly). It inhibits mold and bacteria in condensed milk and other liquids by increasing what's called the osmotic pressure of the liquid. It reduces the harshness of the salt that's used for curing and preserving meat (and the salt increases the sweetness of the sugar). Sugar is an ideal fuel for yeast, and thus the rising and leavening of bread. The caramelization of sugar provides the light-brown colors in the crust of bread. Dissolve sugar in water and it adds not only sweetness but viscosity, and thus creates the body and what food scientists call the "mouth feel" of a soda or juice. As a seasoning or a spice, it enhances flavors already present in the food, decreases bitterness, and improves texture.
All of this was assuredly secondary to sweetness and nourishment, and perhaps any perceived medicinal use, when sugar began its dispersion throughout the world two thousand years ago. From India, Buddhist missionaries carried it to China and Japan. Muslim explorers then discovered sugar in China and carried it back to Arabia via Persia shortly before the Muslim expansion that began in the seventh century after the death of Muhammad. As the story goes, Chosroes I, Emperor of Persia, asked for a drink of water from a young girl in a garden, and she gave him a cup of sugarcane juice chilled with snow. Chosroes promptly asked for a refill and then contemplated stealing the garden while she was gone. "I must remove these people elsewhere and take this garden for myself," he said to himself. Whether he did or not, Chosroes is credited with taking the sugarcane back to Persia, and the Muslim Empire then spread sugarcane-growing around the Mediterranean—to Malta, Sicily, Cyprus, southern Spain, and North and East Africa.
By the tenth century, the two great sugar-producing areas outside of India and China were at the head of the Persian Gulf in the Tigris-Euphrates delta, and in the Nile River Valley in Egypt. It was the Egyptians who first developed the refining techniques that have been used more or less ever since. Records exist of the use of sugar at that time in the royal households of Egyptian viziers and caliphs to the tune of a thousand pounds per _day,_ and of Ramadan feasts in which seventy-five tons of sugar were used at a single celebration, much of it to sculpt table decorations that were either consumed outright or given to the neighborhood beggars after the feasts.
Sugar began to seep into Northern Europe with the Crusades in the eleventh century. When the first Crusaders made it back home, they told stories about the fields of sugarcane they had seen and the locals, as Albert of Aachen recorded, "sucking enthusiastically on these reeds, delighting themselves with their beneficial juices, and seem[ing] unable to sate themselves with the pleasure." By then the Crusaders were overseeing sugar production in the areas they had conquered. Sugar was "a most precious product, very necessary for the use and health of mankind," wrote one contemporary chronicler. When Crusaders with a taste for sugar returned home, Italian city-states began shipping sugar by land and sea routes to Northern Europe and the British Isles. Sugar appears in the kitchen expenditures of Henry II at the tail end of the twelfth century, listed as a spice; this was among the first mentions ever of sugar use in Britain. In 1288, Edward I's household used over sixty-two hundred pounds of sugar.
As sugar diffused through Europe, it did so primarily as a medicine—as would tea, coffee, tobacco, and chocolate centuries later—a decorative, a spice, and a preservative. (Edward I's delicate son, who suffered perpetually from colds, was given sugar and sugar sticks as part of his treatment—"to no avail, as he died early.") In the thirteenth century, Thomas Aquinas said sugar consumption did not have to be prohibited during fasts because sugar was not "eaten with the end in mind of nourishment, but rather for ease in digestion; accordingly, they do not break the fast any more than taking of any other medicine." For the next five hundred years, sugar would be ingested medicinally as much as for any other use. "It was good for almost every part of the body, for the very young, for the very old, for the sick and for the healthy," wrote the British historian James Walvin. "It cured and prevented illnesses; it refreshed the weary, invigorated the weak."
As the price of sugar slowly dropped, its use as a sweetener and a food went up. It moved from the shops of apothecaries, "who kept it exclusively for invalids," to being devoured "out of gluttony." By the fourteenth century, sugar was appearing in cooking recipes; by the fifteenth, it was an indispensable ingredient in the kitchens of those wealthy enough to afford it. "No food refuses, so to speak, sugar," is how one Italian gastronome described it at the time, an opinion that is supported by the existence of several recipes from medieval English cuisine for sugar-sprinkled oysters. "Sugar spoils no dish," was a mid-sixteenth-century German variation on the same notion.
The barriers to the increased consumption of sugar, as I suggested earlier, would invariably be cost and availability, which in turn were constrained by land and labor. Sugarcane itself can be grown only in or near the tropics; it needs warm weather, and either a lengthy rainy season or extensive irrigation to provide the considerable water necessary. Wherever sugar could be grown in the Old World it was grown, but the land was limited; planting, harvesting, and refining sugar, and in sufficient quantities to sell anywhere other than at local markets, was not work that could be done by individual peasant farmers. It required mills for extracting the juice from the cane; vessels and copious wood for boiling; pots for crystallizing; containers for shipping and storing; and facilities for transport.
The work itself was dreadful, as Charles C. Mann has described it—"swinging machetes into the hard, soot-smeared cane under the tropical sun, [splattering the field hands] head to foot with a sticky mixture of dust, ash, and cane juice," not to mention working the mills and the infernolike refineries or "sugar factories," as they were then called. It was difficult to find a population poor enough and desperate enough to do it willingly.
Slaves, having no choice in the matter, became the solution. If nothing else, the intimate relationship between slavery and sugar would demonstrate what atrocities our ancestors were willing to tolerate and perpetrate for the sake of their sweet tooth, their sugar rushes, and the money to be made by satisfying them.
Sugar and slavery went hand in hand from the earliest times. When Muslims began growing sugar in the Middle East in the seventh century, they imported black slaves from East Africa to work the fields. Slaves were apparently used throughout the Mediterranean sugar industry, often working beside peasant labor. As Portugal and then Spain sent ships progressively south along the African coast in the early fifteenth century, inaugurating the Age of Discovery, they simultaneously began trading in black slaves and putting them to work in the sugar plantations on the newly colonized islands in the nearby Atlantic—Madeira, the Azores, the Cape Verde Islands, São Tomé, Principe and Annobon, and the Canary Islands.
It was Columbus who first brought sugar to the New World—on his second voyage, in 1493, having stopped first in the Canary Islands, where he picked up both sugarcane plantings and "field experts in cultivation" who could grow the sugar. The sugarcane grew with Biblical speed in the fertile soil of Hispaniola (now Haiti and the Dominican Republic)—sprouting in seven days, Columbus reported—but the planters themselves sickened and died, as did the Amerindian slaves used for labor. In 1506, Canary Island sugarcane was brought back to Hispaniola, and every inhabitant who would "erect a sugar mill should have five hundred pieces of eight in gold lent him." Ten years later, loaves of sugar were being sent back to Spain as gifts to the emperor; by 1525, the trade was "so lucrative that sugar was shipped along with treasure and pearls under convoy."
Columbus's pilot, Pinzón, brought sugar to Brazil with his voyage of discovery in 1499, and the Portuguese colonists in Brazil created the first viable sugar industry in the New World. By 1526, sugar was being refined in a factory and sent back to Portugal, making sugar the first agricultural commodity to be shipped in commercial quantities from the New World to the Old. Brazilian sugar dominated the trade in the sixteenth century. Sugar factories sprang up throughout the country. By the end of the century, they were exporting back to Europe at least ten thousand pounds of sugar each year—by some estimates, tens of thousands of pounds.
In Mexico, the first Spanish conquistadors, in the early sixteenth century, brought sugar with them as well. They founded a nascent sugar industry as they marched through the region. Cortés himself gets credit not only for conquering the Aztec Empire (with the considerable help of smallpox and other infectious diseases), but also for erecting two of the earliest sugar mills on the continent. By 1552, when Gonzalo Fernández de Oviedo published his _History of the Conquest of Mexico,_ he insisted that the fledgling Mexican sugar industry was capable of producing enough sugar "to supply the whole of Christendom." The conquistadors also came upon the natives drinking chocolate, although unsweetened and spiced with chili peppers. The Spaniards found the drink unpleasant—"better to be tossed out to pigs than drunk by men"—but Cortés sent a gift of cocoa beans back to Emperor Charles V in 1527 nonetheless. By the end of the century, Spanish aristocrats were mixing their chocolate with sugar and drinking sweetened hot chocolate morning and afternoon.
Both the Spaniards and Portuguese first used the natives of the Americas to work their sugar plantations, but the forced labor and epidemic diseases brought over from Europe and Africa decimated these populations. And so they shipped in African slaves to work the plantations in the New World. When the French and British established colonies in the Caribbean in the seventeenth century, they, too, entered the sugar business, depending on slave labor from Africa to do the backbreaking labor of harvesting sugarcane on their plantations.
The British had tried to grow sugarcane on their first permanent colony in the New World at Jamestown, Virginia, in 1607, but the climate wasn't suitable. The British succeeded in Barbados in the 1640s and later Jamaica, only after Dutch refugees from Brazil—sugar-industry veterans—brought the sugarcane with them and taught the British how to grow and refine it.*1 The number of slaves on Barbados, the richest of the sugar islands until Jamaica later eclipsed it, went from a handful early in the seventeenth century to more than forty-six thousand in 1683. By the 1830s, when the British emancipationists finally put an end to the slave trade, some twelve and a half million Africans had been shipped off as slaves to the New World; two-thirds of them worked and died growing and refining sugar.
—
From the seventeenth through the nineteenth centuries, sugar was the equivalent, economically and politically, of oil in the twentieth. It was the stuff over which wars were fought, empires built, and fortunes made and lost. By 1775, "King Sugar," or "white gold," as it was known, constituted almost a fifth of all British imports, five times that of tobacco. The result, as the historian of science Robert Proctor has written about tobacco and taxation, was a "second addiction"—both the British and U.S. governments came to be vigorous promoters of the sugar industry because of the revenues they could garner by taxing it. Sugar was an ideal target of taxation: production was localized to tropical colonies, so its import could be controlled, and it was in universal demand but not (yet) considered a necessity of life. (The same was true of tea; the sweetening of tea and the burgeoning tea industry in India also drove sugar consumption through the British Empire in this era.) The British government began taxing sugar imports from the Caribbean, along with tobacco, in the late seventeenth century. The Americans followed a century later, after the Revolution, and after realizing how much money could be raised from sugar to help get a fledgling country on its feet.
For the sugar islands in the Caribbean, sugar production was so profitable that it seemed worthwhile to grow almost exclusively sugar and to import anything else needed for life. American colonies then thrived on the business of providing the necessities, the basic foodstuffs, which these sugar colonies failed to produce. Indeed, a primary reason the British West India Company had set out in the 1660s to wrest New York City (then New Amsterdam) from the Dutch was that it needed a port on the American mainland—an entrepôt—"from which they could obtain slaves and food in exchange for raw sugar and molasses." When the Dutch agreed to let the British keep New York in 1667, it was in exchange for Dutch Guiana (now Suriname) and its then more valuable sugar plantations. Not until the 1790s were Americans successfully growing any sugarcane—in Louisiana—although already sugar refineries, turning raw sugar from the Caribbean into refined sugar, were proliferating up and down the Northeastern coast. By 1810, thirty-three refineries were operating; by 1860, eighteen were operating in New York alone.
Many of the wealthiest New York families would make their fortunes initially as sugar refiners, as confectioners, and as middlemen in the triangular slave trade that hauled sugar and molasses north to New York, sent rum to Africa, and brought slaves back to the Caribbean, while also supplying the sugar islands in the Caribbean directly with the food and naval stores "without which the West Indian plantations couldn't survive." And it was the British decision in 1764 to enforce a tax on molasses in the colonies that helped incite the revolutionary feelings that would lead to independence. "I know not why we should blush to confess that molasses was an essential ingredient in American independence," wrote John Adams in 1775. "Many great events have proceeded from much smaller causes."
Sidney Mintz has elegantly described the arc of sugar's early history as that of a "luxury of kings into the kingly luxury of commoners." That transformation had been completed in the United Kingdom by the early nineteenth century, when sugar consumption per capita was approaching twenty pounds per year. The decades that followed would transform sugar into as much an article of necessity in life as bread itself. The latter stage in this transformation was marked in England in 1874, when the government finally abolished import duties, on the basis that sugar had become, as one member of Parliament described it, "the delight of childhood and the solace of old age," besides being "exceedingly nutritious and wholesome"; so, by this logic, the poor should have every right to consume as much as did the rich. In 1890 when the U.S. Congress was debating the same question—whether to repeal the tax on imported sugar, which it would never do— _The New York Times_ noted that more than half a billion dollars had been collected in sugar taxes by the federal government in the 1880s alone.
Two factors ultimately drove this final transformation of sugar from a luxury for the wealthy to a pleasure for all. One was the development of the beet-sugar industry, representing a source of sugar that could be grown outside the tropics, in temperate climates. In the United States, this meant a two-thousand-mile-wide, north-to-south swath that stretched from coast to coast. In Europe and Asia, it meant a domestic supply of sugar for all those countries—including, most notably, Germany, Austria, and Russia—that had no access to the tropics or tropical colonies.
German chemists had succeeded in extracting and refining sugar from selected white beets as early as the 1740s, but they failed to make it profitable. ("To scientific ability he did not unite business acumen," wrote Noël Deerr in _The History of Sugar_ about the first of these German beet-sugar entrepreneurs.) In 1811, when the British blockade of Europe during the Napoleonic Wars cut off the sugar supply to France, a French naturalist and banker named Benjamin Delessert succeeded at both refining sugar from beets and doing so in a way that wouldn't lead to bankruptcy. Napoleon famously traveled to Delessert's sugar factory to give him the medal of the Legion of Honor. In a speech to the French chambers of commerce, Napoleon suggested that the English could now throw their cane sugar "into the Thames," because they wouldn't be selling it on the Continent anymore. Napoleon allotted eighty thousand acres for growing sugar beets and established technical centers to teach the art and business of beet-sugar production. Within three years, over three hundred factories were producing beet sugar in France alone.
Napoleon's beet-sugar revolution would be temporarily derailed with his defeat in 1814 and the end of the continental blockade by the British. Once cheap sugar from the Caribbean flowed back into Europe, beet-sugar manufacturers couldn't compete with the lower prices. However, the abolition of slavery by the English in the 1830s, and the temporary collapse of the Caribbean sugarcane industry that followed, gave European beet-sugar producers another opportunity to get the industry up and running. By the late 1850s, sugar from beets coming out of Europe and Russia constituted more than 15 percent of world sugar production. By 1880, beet sugar had surpassed cane sugar, and the total amount of all sugar being refined and apparently consumed worldwide had increased over fivefold in forty years.
When the U.S. Department of Agriculture was founded in 1862, its impetus, as much as anything, was to encourage sugar-beet production.*2 Among its first acts was to analyze different strains of beets for their sugar content. Six years later, the commissioner of agriculture was claiming that it was only because of the U.S. government's encouragement of the fledgling beet-sugar industry that it might now "be numbered among the industries which bless the world."
—
The second factor in the transformation of sugar into a dietary staple—one of life's necessities—was technology. The industrial revolution, inaugurated by Watt's steam engine in 1765, transformed sugar production and refining just as it did virtually every other existing industry in the nineteenth century. By the 1920s, sugar refineries were producing as much sugar in a single _day_ —millions of pounds—as would have taken refineries in the 1820s an entire decade.
With sugar becoming so cheap that everyone could afford it, the manner in which we consumed it would change as well. Not only did we add sugar to hot beverages and bake it into wheat products or spread it on top—jams and jellies were two foods that cheap, available sugar made ubiquitous, since fruit could now be preserved at the end of the growing season and provide nutrition (sweetened, of course) all year round—but the concept of a dessert course emerged for the first time in history in the mid-nineteenth century, the expectation of a serving of sweets to finish off a lunch or dinner. The industrial work break also emerged, as a new era of factory workers learned to partake of some combination of nicotine, caffeine, and sugar; cigarettes, coffee and tea, and sweetened biscuits or candy could all be purchased inexpensively.
The food entrepreneurs of the era, taking advantage of the industrial tools now available, created entirely new foods that could be mass-produced and sold everywhere in unprecedented quantities. In the 1840s, as Mark Twain wrote of his youth in rural Missouri, both sugar and molasses were bought in bulk out of barrels at the village store. Conspicuously absent from Twain's vivid enumeration of the items for sale in his uncle's country store in his hometown of Florida, Missouri, were _any_ of the mass-produced foods or drinks through which we consume sugar today: no candy, ice cream, chocolate bars, packaged cakes or cookies, sodas, or juices. All of those would be effectively invented in the next half-century, as would the industries that would mass-produce them, the railroads that would ship them nationwide, the bottling and packaging needed to contain them, the labels to go on the packages, and the advertising techniques and acumen (if not genius) needed to market them and assure what we would now call brand loyalty. In so doing, first women and then children were targeted as the natural consumers of sweets; by the mid-nineteenth century onward, sugar had become the currency of childhood.
Numerous industries would also contribute to our ever-increasing sugar consumption by using sugar in food preparation, but for reasons other than the sweetness itself. Flour milling was one of the many technological revolutions in the nineteenth century, for instance, and as the mills ground the flour ever more pure and white, even the yeast bugs saw little benefit from eating it. Sugar was added by the bakers to make the yeast rise, and rise faster, and to make palatable otherwise tasteless flour. Through the decades of the twentieth century, the sugar content in bread rose steadily, feeding what might have been an ever-more-demanding sweet tooth. (As _Sugar: A User's Guide_ explained in 1990, white bread—the Wonder Bread of American childhoods, for example—can have a sugar content greater than 10 percent, compared with roughly 2 percent in European breads.)
Four industries in particular emerged beginning in the 1840s to contribute directly to the sugar saturation of our diets and our lives by producing and marketing foods and beverages in which sugar was the primary or defining ingredient. We can think of these foods and beverages as doing for sugar what cigarettes did for tobacco (and all of them would eventually be targeted to children). Fruit juices, sports drinks, and especially breakfast cereals would appear in the market and then explode in popularity a century later, in the decades following the Second World War.
## CANDY
In 1847, a Boston druggist named Oliver Chase launched the modern candy industry with his invention of a machine for churning out perfectly formed candied lozenges by the thousands. Hand-cranked machines like Chase's would later become horse-powered, then steam-powered, and eventually electric-powered; local hand-produced sweets for the rich became mass-produced wholesale treats for the nation. The confection shop—"a display of grown-up prestige," as the historian Wendy A. Woloson explained in _Refined Tastes_ —turned into the candy shop, "a venue for the children of early American capitalism." By 1876, when the city of Philadelphia hosted the Centennial Exposition, twenty companies were displaying mass-produced candies, created by specialized machinery. By 1903, _The New York Times_ was estimating yearly candy industry sales at $150 million in the United States alone, up from "almost nothing" a quarter century earlier.
## CHOCOLATE
The chocolate bar also dates to the 1840s, when Swiss confectioners—the Lindt brothers—figured out the trick of solidifying chocolate powder into a bar that could be mass-produced, packaged, and shipped. Until then, chocolate had been consumed as a hot beverage; only high-end French confectioners had known the secret of making edible chocolate in solid form. By the end of the century, automated machines to wrap individual bars were operating in factories throughout the United States, and Milton Hershey, among others, had begun mixing the chocolate with milk to make it sweeter, more delicately flavored, and thus more appealing to children. A remarkable proportion of the chocolate staples of the twentieth century and today were first created and mass-produced between 1886 (the Clark bar) and the early 1930s—Tootsie Rolls (1896), Hershey's Milk Chocolate bar (1900), Hershey's Kisses (1906), Toblerone (1908), the Heath bar (1914), Oh Henry! (1920), Baby Ruth (1921), Mounds and Milky Way (1923), Mr. Goodbar (1925), Milk Duds (1926), Reese's Peanut Butter Cups (1928), Snickers (1930), Tootsie Roll Pops (1931), and the Mars and 3 Musketeers bars (1932).
## ICE CREAM
Ice cream had been a treat for the wealthy since it was first invented—apparently in Italy—in the late seventeenth century. By the mid-eighteenth century, it was still sufficiently rare in the United States that eating it was considered an event worthy of mention in the newspaper. What it required to go viral, other than suitably inexpensive sugar, was either a reliable supply of ice or a freezer in which to make and store it. The natural ice industry—harvesting ice from Northern lakes, ponds, and rivers in the winter and preserving it throughout the year—exploded in the nineteenth century. The first ice-cream freezer was invented in 1843 by a Philadelphia tinkerer named Nancy Johnson.
Wholesale ice-cream production began with Jacob Fussell, a Maryland milk-dealer, who found himself in the summer of 1851 with an oversupply of cream and no customers to buy it. He added sugar, froze it into ice cream, sold it for twenty-five cents a quart, and was overwhelmed with the demand. Fussell then went into the wholesale business, opening ice-cream factories first in Pennsylvania, near the source of the cream, then in Baltimore, near his clients, and then in Washington, Boston, and New York. In England, an Italian pastry-maker named Carlo Gatti first began mass-producing ice cream in the late 1850s.
Ice-cream making might have been the one culinary talent in which the United States led the world. By the 1870s, druggists were adding ice cream to the soda water they had been dispensing in their establishments for forty years*3 (first plain, and later with flavorings and sweeteners). The result, as Woloson says, was "not only a new treat—the ice cream soda—but also a new institution—the ice cream soda fountain." By 1892, the ice-cream sundae had been invented; in 1904, the ice-cream cone pioneered at the World's Fair in Saint Louis;*4 in 1919, the Eskimo Pie; in 1920, the Good Humor bar; in 1923, Popsicles.
## SOFT DRINKS
And then there was soda pop. Dr Pepper, Coca-Cola, and Pepsi were all launched in the 1880s. A late-twentieth-century Coca-Cola CEO would describe the latter two as "the magnificent competitors," dominating the industry and competing in the dissemination of their products—flavored, caffeinated sugar water—to every last backwater in the world.
Soft drinks began as variations on patent medicines, which would become a lucrative industry in the second half of the nineteenth century. Coca-Cola was the conception of John Pemberton, an Atlanta maker of patent medicines, whose revelation was to mix the formulation for Vin Mariani—an exceedingly popular French wine (among its fans were Thomas Edison, H. G. Wells, President William McKinley, and six French presidents), infused with the powdered leaves of the coca plant (cocaine)—with kola nuts, another popular ingredient in patent medicines, and the carbonated water being dispensed in soda fountains. Pemberton removed the wine from his formula in 1885, when local counties in Georgia voted to ban the sale of alcohol. That's when he added sugar to disguise the natural bitterness of the kola and the coca leaves. He advertised the mixture as "a delicious, exhilarating, refreshing and invigorating Beverage...a valuable Brain Tonic, and a cure for all nervous affections—Sick Head-Ache, Neuralgia, Hysteria, Melancholy, etc."
In 1891, Pemberton sold the Coca-Cola rights for twenty-three hundred dollars to Asa Candler, a former drugstore clerk and another maker of patent medicines, who set about creating a distribution network that within four years would have the product available in soda fountains in every state in the country and, within another two, in Canada and Mexico. In 1902, with a national debate raging about the addictive nature of cocaine, Candler had it quietly removed from Coca-Cola. This didn't seem to put a dent in sales. Coca-Cola was by then spending a hundred thousand dollars a year on advertising. When John Candler, Asa's brother, was asked what items Coca-Cola used for advertising, he replied, "I don't know anything they _don't_ advertise on." By 1913, the company had upped its advertising budget to over a million dollars yearly, promoting Coca-Cola on over one hundred million items, including thermometers, cardboard cutouts, matchbooks, blotters, and baseball cards. Pepsi-Cola (originally called "Brad's Drink") came along thirteen years after Coca-Cola and was, as the name now implied, a direct competitor, its growth curve exponential. Pepsi-Cola syrup sales increased tenfold between 1904 and 1907; by the end of 1908, Pepsi had licensed 250 bottlers in twenty-four states.
The only setback to the ever-increasing levels of sugar consumption worldwide was the First World War, and that setback was temporary. The war in Europe took a third of the world's sugar supply—the European and Russian beet-sugar industry—out of circulation. The Cuban and American industries upped their production capacity to make up the shortfall, as did sugar industries in nearly fifty other countries around the globe. Rationing during the war was replaced afterward by the greatest yearly increases in consumption the United States had ever seen. Only in Europe was sugar consumption slow in returning to prewar levels. "The people of Europe have lost their sweet tooth," as one sugar-industry executive opined to a _New York Times_ reporter in 1921. "They learned to do without sugar during the war. They are still doing without it, to a large extent; some from necessity, some from choice. It will require an energetic campaign of education to bring Europe back to her former sugar consuming status."
By then, the sugar industry in the United States was selling annually more than a hundred pounds of sugar per capita for the first time in history, and Americans were consuming more than three billion bottles of soft drinks a year. Journalists, historians, and sugar-industry executives were marveling at what had been accomplished in the previous century in driving up both sugar production and consumption, and in changing the nature of the American food supply.
* * *
*1 The Dutch had initially conquered northern Brazil, after a decade-long struggle that concluded in 1635, motivated by the profits to be made growing sugar there. The Portuguese tossed them out in 1654, and it was these Dutch refugees who settled in Barbados and Jamaica.
*2 The influence of science in the sugar industry cannot be underestimated. According to Deborah Jean Warner, a curator at the National Museum of American History and author of _Sweet Stuff,_ beet sugar was the first agricultural endeavor to rely on scientific expertise to generate higher yields and strive for quality control, and when the American Chemical Society was founded in 1876, most of the founding members were sugar chemists.
*3 Soda water had been invented by Joseph Priestley in 1767.
*4 Among the several existing creation myths, one that is taken seriously is that Ernest Hamwi, a waffle maker, had a concession stand at the fair next to an ice-cream dealer who ran out of cups in which to sell his ice cream. Hamwi rolled his waffles into cones, the ice cream was added, and the rest is history.
# CHAPTER 3
# THE MARRIAGE OF TOBACCO AND SUGAR
> _Such an investigation is pertinent not only because the cigarette consumption has reached an all-time high in the United States, but the American blended cigarette, this product of the marriage of tobacco and sugar, is now rapidly gaining popularity all over the world._
>
> "Tobacco and Sugar"
>
> Sugar Research Foundation, Inc., October 1950
This book is about the likely consequences to human health of consuming significant amounts of sugar—eating it or drinking it. But the industrial revolution led to another significant change in human habits in the first half of the twentieth century that has had demonstrable effects on our health—the explosive success and dissemination worldwide of the American blended-tobacco cigarette and, with it, as I've discussed, the epidemic of lung cancer that cigarette smoking demonstrably causes.
Just as diabetes was an exceedingly rare disease (or at least diagnosis) prior to the industrial revolution and the steep rise in sugar consumption that followed, lung cancer was an exceedingly rare disease until cigarettes surged in popularity and transformed an uncommon disease eventually into a scourge. Only 150 cases of lung cancer were diagnosed in the United States in total prior to 1900. In 1914, one year after R. J. Reynolds introduced Camels, the first brand of cigarettes to be made of multiple tobacco types blended together, and the first year that lung cancer was officially listed as a cause of death in the United States, four hundred cases were diagnosed. By 1930, that number had increased sevenfold. In 1945, more than twelve thousand Americans died of lung cancer. In 2005, when the epidemic may have peaked, more than 163,000 Americans succumbed to the disease.
A story that has been little told—although Robert Proctor of Stanford University tells it in _Golden Holocaust,_ his monumental 2011 exposé of the cigarette industry—is that sugar played, and still does, an absolutely critical role in this epidemic. Proctor relies for much of this history, as do I, on a 1950 report, "Sugar and Tobacco," generated for internal use by the sugar industry's Sugar Research Foundation (SRF).*1 "This business of sugar in tobacco leaf is a fascinating one," Proctor says, "and insufficiently appreciated outside the tobacco man's labs."
For those who would immediately dismiss the possibility that sugar itself may be responsible for more premature deaths than cigarettes, we have to consider the fact that cigarettes themselves would have been far less harmful and far less addictive had it not been for sugar. "Were it not for sugar," Wightman Garner, a former chief of the tobacco branch of the U.S. Department of Agriculture, told the author of the SRF report in 1950 (back when the USDA could still conceivably be proud of what the tobacco industry had accomplished), "the American blended cigarette and with it the tobacco industry of the United States would not have achieved such tremendous development as it did in the first half of this century."
Until the early twentieth century, Americans mostly smoked cigars or pipes, rarely inhaling the smoke of either, or they chewed "plug" tobacco, as it was then called. Cigarettes only overtook cigars and pipes in the mid-1920s (as measured by pounds of tobacco consumed), in part spurred by the distribution of cigarettes to the millions of young American men who fought in the First World War, and in part by the ever-increasing popularity of American blended cigarettes. Within two years of its introduction by R. J. Reynolds, Camel was the best-selling cigarette in America; within eight years, Camel accounted for 40 percent of all cigarettes sold. By the 1930s, cigarette manufacturers in the United States were selling almost exclusively blended cigarettes, and the American blended cigarette was in the process of taking over the world—an accomplishment, as with Coca-Cola and Pepsi, that the Second World War would aid immeasurably.
The critical factor driving both addiction and cancer is that cigarette smoke can be easily inhaled. When tobacco is drawn deep into the lungs, the nicotine can be absorbed, along with oxygen itself, over an internal surface area that has been estimated to be roughly half the size of a tennis court. (At most, 5 percent of the nicotine in tobacco smoke is absorbed in the mouth, according to Wightman Garner's 1946 book, _The Production of Tobacco._ "When the smoke is inhaled, a much greater proportion of the nicotine is absorbed.") But this huge surface area also offers enormous opportunity for healthy cells to be targeted by carcinogens and transformed into malignant cells, and so what makes the experience of smoking cigarettes so pleasurable and so addictive—what gives the "nicotine satisfaction," as tobacco researchers would call it—is also critical to the cancer process as well. The cigarette industry could have made cigarettes that were harder to inhale, notes Proctor, and so the nicotine would have been less addictive, but then they'd have sold fewer cigarettes and hooked fewer smokers.
American blended cigarettes, as the name implies, are blends of multiple types of tobacco. The two most prominent tobaccos in blended cigarettes—about 70 percent of the content—are air-cured Kentucky or "Burley" tobacco, and flue-cured Virginia tobacco. It's flue curing that constituted the great technological revolution in the tobacco industry in the 1860s and 1870s, making inhalation possible, as Proctor tells it, and leading him to suggest that "flue-curing may well be the deadliest invention in the history of modern manufacturing. Gunpowder and nuclear weapons have killed far fewer people."
When tobacco is flue-cured, the harvested tobacco leaves are suspended over iron flues that heat the surrounding air to progressively higher temperatures. The process continues for the better part of a week, during which the heat first fixes the color of the tobacco leaves and then dries them, while breaking down the enzymes in the leaves that would otherwise break down the sugars they contain. Tobacco that begins with a relatively high carbohydrate content (up to 50 percent of dry weight) but is low in sugar (3 percent) ends up as much as 22 percent sugar, sucrose specifically. The "closest parallel" to what happens in the tobacco leaves during flue curing, notes the 1950 SRF report, is "the massive conversion of starch into sucrose" that happens when bananas are harvested and allowed to ripen.
The sugar content of the flue-cured tobacco leaves is the key to inhalation. The high sugar content results in tobacco smoke that is acidic rather than alkaline—chemists would say that it has a lower pH. Alkaline smoke irritates the mucous membranes and stimulates the coughing response. Acidic smoke can be inhaled without doing either. Most people, as German researchers noted in the 1930s, are unable to inhale the alkaline smoke from pipe and cigar tobaccos, but they can inhale the acidic smoke from the sugar-rich, flue-cured tobacco in cigarettes. So this is the first of two roles played by sugar in blended cigarettes that are critical to inhalation and addiction.
Until Camel came on the market, cigarettes were made almost exclusively from flue-cured tobacco. Though they could be inhaled, they had a relatively low nicotine content, and the nicotine was not easily absorbed by the lungs. The more sugar naturally occurring in the tobacco, the lower the nicotine content, and the less absorbable the nicotine is. As such, the satisfaction to be derived from the experience of smoking cigarettes prior to Camel was also low, at least compared with that of cigars or pipes or chewing plug tobacco, all of which used predominantly the air-cured Burley tobacco. A novice smoker's urge to keep smoking or to smoke frequently was also relatively low.
In 1911, the Supreme Court dissolved the American Tobacco Company—known as the Tobacco Trust—on the grounds that it was a monopoly and thus in violation of the Sherman Antitrust Act. In doing so, it split the trust into four smaller companies. One was R. J. Reynolds, which had sold chewing tobacco and now moved into the cigarette business. For its Camel cigarettes, R. J. Reynolds used a tobacco blended from the air-cured Burley of their chewing tobacco and the flue-cured Virginia tobacco traditionally used in cigarettes (as well as some sun-cured Oriental tobacco midway between Burley and Virginia tobacco in sugar content, and minor amounts of other tobaccos).
Air-curing Burley tobacco results in a tobacco that's relatively nicotine-rich, and the nicotine is easier to absorb than it is in Virginia tobacco, but the smoke itself is alkaline and thus difficult to inhale. More important, after air curing, Burley tobacco has virtually no sugar in it, which is what Wightman Garner described in 1946 as one of its "objectionable properties." But by 1913, this problem had been solved by the makers of plug tobacco, and the Burley tobacco that went into Camel was already what Proctor aptly described as a "candied up" tobacco.
The leaves of Burley tobacco are porous and absorbent, a quality that prompted the earliest tobacco farmers in Missouri and Kentucky to realize that Burley leaves could easily absorb sugar. These tobacco farmers had taken to sweetening their tobacco after curing with a process that immersed the leaves in a "sugar sauce," marinating them, in effect, in a concentrated sugar solution that might also typically include honey, maple syrup, molasses, fruit syrups, licorice, and other sweeteners.*2 As the Sugar Research Foundation would point out, "Sugar enhances the flavor of aromatic substances, just as it does whenever it is applied in prepared and processed foodstuffs." Burley tobacco can absorb up to 50 percent of its own weight in sugar through the saucing process, and manufacturers of chewing tobacco took advantage both to make their products sweeter and to save money, because sugar, pound for pound, was cheaper than the tobacco. (Virginia tobacco farmers in the 1880s blamed competition from the sugar-sauced tobacco on "the perverted tastes of the Yankee who did not care for tobacco but dearly loved sweets.")
It was this sugar-sauced Burley tobacco that R. J. Reynolds blended into Camels, a decision that the SRF report called either an act of "necessity [they had mainly stocks of air-cured tobaccos used in the manufacture of plug] or the stroke of genius anticipating future trends in demand and consumption." Either way, if the explicit goal had been to maximize the delivery of nicotine—and so, regrettably, carcinogens with it—to the human lungs, they may not have been able to find a better way to do it. American cigarette manufacturers all followed suit.
By 1929, U.S. tobacco growers were saucing Burley tobacco with fifty million pounds of sugar a year and using it in over 120 billion cigarettes.*3 The sugar balanced out the tobacco's naturally alkaline smoke, maximizing its inhalability and delivering even more nicotine into the lungs. The sugars in the tobacco also "caramelize" as they burn (technically, during the process of pyrolysis) and the caramelization of the smoke provides a sweet flavor and an agreeable smell that made cigarettes more attractive to women smokers and to adolescents as well. ("This [caramelization] process adds as much to the flavor and smoking enjoyment of cigarettes as it does to the arena of confectionary and bakery products," notes the SRF report.)
Since the 1970s, toxicologists and cancer researchers have been studying the effect of sugars in cigarette smoke and confirming the observations made by the Sugar Research Foundation report in 1950. As toxicologists in the Netherlands explained in 2006, "Consumer acceptance of cigarette mainstream smoke [what's directly inhaled] is proportional to the sugar level of the tobacco." These researchers pointed out one other interesting if regrettable aspect of the acidic smoke that comes from the sugary tobacco used in cigarettes: The acidity of the smoke increases as the cigarette burns closer to the butt, as does what chemists call its "acid buffering capacity," which in turn decreases the absorbability of the nicotine. This means that as the cigarette burns down, the nicotine satisfaction decreases and the smoker tends to draw longer and harder to compensate. As a result, the urge to inhale most deeply is greatest when the tar-and-carcinogen content of the smoke is also greatest. The opposite is true with air-cured tobacco in cigars, in which the smoke becomes progressively more alkaline, thus increasing the absorbability of the nicotine and lessening the urge to inhale.
When the Sugar Research Foundation produced its report on sugar and tobacco in 1950, four years after Wightman Garner of the USDA confirmed the key role that sugar played in the explosive growth of the cigarette industry, neither had reason, or at least reason enough, to consider the deleterious consequences. Both were thinking of how the sugar industry could continue to benefit from the cigarette industry's remarkable growth. "This spectacular development," proclaimed the SRF report, "sets no limit for possible expansion of sugar use in tobacco products and especially cigarettes. While most of it will certainly depend on future demand for American-type blended cigarettes at home and abroad, there is also a possibility of using cane and beet sugar to a larger extent to make up for sugar deficiencies in tobacco types used in blended cigarettes." Fourteen years later, the surgeon general's landmark report on smoking and health would officially link cigarettes to lung cancer, giving the sugar industry reason to rethink this position. Still, as the SRF report correctly claimed, it was the "marriage of tobacco and sugar" that made possible both the astounding success of American cigarettes worldwide and the lung cancer epidemics that followed.
* * *
*1 The report acknowledges contributions from dozens of researchers and administrators, many of them at the U.S. Department of Agriculture.
*2 When sweetened chewing tobacco was first commercially produced, in the 1830s, it sold with "sensational rapidity," as the Duke University historian Nannie May Tilley wrote in 1972, and the tobacco growers who pioneered the process "in a few years amassed a fortune."
*3 By 1939, according to the Sugar Research Foundation report, 40 percent of all the maple sugar produced in the United States and "almost all" of the imports from Canada were being used to sauce tobacco.
# CHAPTER 4
# A PECULIAR EVIL
In 1937, C. W. Barron, then the owner of _The Wall Street Journal,_ made the pithy observation that if we want to make money in the stock market, we should invest in companies that provide us with our vices. "In hard times [consumers] will give up a lot of necessities," he said, "but the last thing they will give up is their vices."
George Orwell made a similar observation that same year in a very different context, documenting the bleak lives of the British laboring class in _The Road to Wigan Pier._ In a decade of unparalleled depression, Orwell observed, sales of what he called "cheap luxuries" had surged. "The peculiar evil is this," he wrote. "A millionaire may enjoy breakfasting off orange juice and Ryvita biscuits; an unemployed man doesn't....When you are unemployed, which is to say when you are underfed, harassed, bored and miserable, you don't _want_ to eat dull wholesome food. You want something a little bit 'tasty.' There is always some cheaply pleasant thing to tempt you."
This observation alone may be enough to explain the resiliency of the sugar industry, regardless of how hard the times, and of the "depression-proof" nature of candy, ice cream, and soft drinks. Annual per capita sugar consumption in the depth of the Great Depression was sixteen pounds _higher_ than it had been in 1920. Candy consumption climbed steadily through the Depression. Coca-Cola thrived, as did Pepsi, although not before first declaring bankruptcy in 1931. An investor who purchased Coca-Cola stock at its highest price in the summer of 1929, held it through the Crash and the ensuing Depression, and then sold it in 1938 at its lowest price, as _Barron's_ reported at the time, would have made a profit of 225 percent. It was during the Depression that Schrafft's restaurant chain in New York City reported diners "breakfasting on Coca-Cola and rolls or even Coca-Cola alone," rather than the more nourishing meals they might have eaten when they had the money.
Until the second-to-last year of the twentieth century, the one certainty about sugar was that consumption increased, if not every year, then over time. Sugar shares a common feature with those agricultural products for which the demand and supply are relatively immune to the price—what economists call "price inelastic." As the economists Stephen Marks and Keith Maskus have noted, rising prices don't lead to less consumption in these cases; they lead to greater production and eventually greater revenues for the producers. But falling prices also lead to greater demand and production. Production and consumption move steadily upward.
In the sugar industry, these cycles invariably begin with production shortfalls. For instance, storms or droughts in the tropics disrupt cane-sugar production; wars in Europe and Asia have disrupted beet-sugar production or restricted trade. Less sugar is available, and so prices rise. Reserve stocks are quickly depleted. The public demands more sugar. As Earl Babst, a president of the American Sugar Refining Company, said about the specter of sugar rationing during World War I, a "frantic and abnormal demand" resulted. Other producers around the world make up for the shortfall by planting more sugarcane or beets, building more sugar factories, and increasing refining capabilities to process that sugar. The more sugar these producers can grow, refine, and sell, the greater their profits.
Once the disrupted sugar fields come back on line, though, the supply of sugar exceeds the demand. And because sugarcane continues to produce sugar for half a dozen years after planting, the farmers will continue to harvest it until they have to pay more to harvest it than they can get from selling it. The refiners will refine it. The result is a post-disruption glut in available sugar, which causes prices to plummet. This was "the unhealthy economics and unholy politics," as _Time_ magazine phrased it in 1945, which led to an industry that "produces too much sugar between wars and too little during them." Sugar growers and refiners are naturally resistant to the idea that they produce less to rein in prices; the sugar fields, whether beet or cane, are typically unfit for other crops that might be planted instead.
The industry invariably responds to the glut and plunging prices by lobbying governments for policies—import quotas and subsidies—that will protect producers from losing money, while allowing them to continue to harvest and process all the sugar they can. The industry will also work diligently to increase consumption globally, looking for new industrial uses for sugar, and promoting sugar directly to the public. This strategy includes inducing countries that import and consume little sugar—China, for instance, as was suggested in 1931—to increase their consumption.
By the mid-1930s, when the U.S. Congress passed the Sugar Act, which would stay in force, with amendments, for forty years, the domestic sugar industry was distributed so widely—beet sugar in the Northern, Central, and Western states; cane in the South; refiners on the coasts; and the candy, soda, and paint industries (sugar is an essential ingredient in paint)—that President Franklin Roosevelt was calling the sugar lobby, according to _The New York Times,_ "the most powerful pressure group that had descended on the national capital during his lifetime." The Sugar Act effectively guaranteed that producing and refining sugar in the United States would always be a profitable business. It established the price of raw sugar (typically higher, if not significantly so, than world prices), put limits on domestic production, and set quotas on imports. The Sugar Act also allowed for subsidies to be paid to producers either for the sugar they didn't produce or the sugar they couldn't sell—"benefit payments to domestic producers," in the words of the _Times._ As a result, consumers were invariably paying more for sugar than would have been the case without the quotas and price supports. And yet that didn't stop us from buying sugar.
Technological advances continued to work to the benefit of the sugar industry. Sugar-rich products could be made ever more available to consumers. Vending machines—"electric coolers"—made their appearance in the 1930s, and the price of refrigerators dropped so much that they became common household appliances. By 1935, refrigerators could be purchased for well under two hundred dollars, and one and a half million were sold that year alone. For the first time in history, consumers could easily indulge in ice-cold soft drinks and ice cream without leaving their homes. Coca-Cola and Pepsi began selling their products in markets in six-packs and cartons for home use, and crafting advertising campaigns that targeted women and children specifically. In the six years leading up to America's entry into the Second World War, soft-drink sales in the United States nearly quadrupled—from two hundred million to 750 million cases per year.
The war created a setback but, as with the First World War, only a temporary one. Sugar rationing began in 1942, with the Asian, European, and South Pacific industries no longer providing sugar to the West, and molasses in the United States being diverted to make industrial alcohol for the war effort (for synthetic rubber and explosives, primarily). A hurricane and a drought in Cuba disrupted the Cuban sugarcane industry, on which the United States relied for much of the sugar it consumed. By 1945, American civilians were expected to get by on levels of sugar consumption that hadn't been seen since the 1870s—only seventy pounds per year. One economist was calling it the "worst sugar famine in history."
The dearth of sugar available for civilian use was compounded by the massive allotment of sugar going to the eleven million servicemen of the armed forces—220 pounds per capita yearly for the U.S. Army, according to a 1945 congressional investigation. This was twice what the soldiers would have been eating prewar as civilians, and more than three times the amount allotted to noncombatants on the home front. It seemed excessive even to the congressional investigators, but they wouldn't interfere, lest they be seen as harming the war effort. "It would not seem unreasonable," the committee suggested, "for some responsible officer of the American armed forces to inform all area commanders of the stringency of the civilian sugar situation and ask their cooperation to conserve sugar in every way possible."
Toward the end of the war, authorities were touting the value of sugar and candy as stimulants to make "our warriors...more effective in combat," and the army alone was purchasing over a hundred million pounds of candy a year for its troops. Both the K-ration and the emergency D-ration had contained chocolate bars; the former included "fruit candy" bars as well. According to one navy analysis, candy bars constituted 40 percent of the foods that servicemen were purchasing from the mess over and above their sugar-rich rations. "We have tended to underestimate the importance of these bars in the feeding of men," reported the Cornell University nutritionist Clive McCay, who served as a commander at the Naval Medical Research Institute during the war years. The candy industry promptly took advantage of all this by launching an advertising campaign touting candy on the basis of its "fighting food value." The goal, as _The New York Times_ suggested, was "to correct popular misinformation that candy is fattening and causes tooth decay."
Coca-Cola and Pepsi both made their service to the war effort the easy availability of their products to servicemen worldwide. Pepsi circumvented the rationing problem by stockpiling sugar at the start of the war and then importing syrup directly from Mexico as the war continued. The company set up Pepsi-Cola centers for servicemen that stayed open past midnight and served two million men in the first year of operation.
Coca-Cola won an exemption from the sugar rationing for Cokes sold to the military. The official Coca-Cola policy was to sell servicemen Coke anywhere in the world for a nickel a bottle, regardless of the cost to the company. To help accomplish this task, and to prepare for the postwar years, the company established sixty-four bottling plants worldwide, some using German and Japanese prisoners of war to work the plants. The company's unpublished history credited this policy with making "friends and customers for home consumption of 11,000,000 GIs" and doing a "sampling and expansion job abroad which would [otherwise] have taken 25 years and millions of dollars."*1 When the company hosted its first international convention three years after the war ended, one of its executives described its purpose as the beginning of the effort necessary to "serve those two billion customers who are only waiting for us to bring our product to them." "When we think of Communism," read a sign at the conference, "we think of the Iron Curtain. BUT when THEY think of democracy, they think of Coca-Cola."
When _Time_ magazine put Coca-Cola on the cover in 1950—with the Coke symbol lovingly feeding a Coca-Cola to a thirsty globe—a third of the company's profits were already derived from international sales. And Pepsi, of course, was quickly catching up: Its sales abroad increased fivefold in the 1950s, as the company opened two hundred bottling plants outside the United States. By 1959, Vice President Richard Nixon would be photographed in Moscow with Soviet Premier Nikita Khrushchev, both holding bottles of Pepsi.
While sugar consumption was rebounding in the postwar years, the ways in which we consumed it once again shifted. Soft drinks, candy, and ice-cream sales would regularly hit new highs—ice-cream consumption alone doubled between 1940 and 1956—but now sugar would become a mainstay of breakfasts as well, first in fruit juices and then in sugar-rich breakfast cereals.
Canned breakfast juices had first appeared during Prohibition, motivated by grape growers who could no longer sell their products as wine, and by orange growers in California and Florida burdened with surplus oranges during years of glut. In 1920, a cooperative of California growers (selling under the now familiar brand name Sunkist) began taking advantage of what nutritionists of the era called the "new nutrition"—the awareness of the importance of vitamins in preventing deficiency diseases—and took to advertising their products as a healthy way to get necessary vitamins, particularly vitamin C, a proposition that's still with us today.
Many consumers had become accustomed to drinking fruit juices instead of alcohol during the Depression. The "crowning achievement" in fruit-juice history, however, according to _The Oxford Encyclopedia of Food and Drink in America,_ and "perhaps a defining moment of the American breakfast," was the invention of frozen concentrate by researchers funded by the federal government in the years after World War II. Minute Maid, in 1948, was the first. By the mid-1950s, "chilled" orange juice had also arrived. By 1980, according to USDA estimates, Americans were drinking over seven and a half gallons of fruit juice a year, and by the late 1990s, when the trend (as with sugar consumption itself) peaked, over nine gallons—roughly equivalent to drinking an additional eight pounds of sugar per year. These sugar-rich juices would not show up in the official USDA estimates of sugar consumption.
Fruit juices could easily be marketed, as the fruit industry did, as healthful additions to the American diet, and company nutritionists would go along. This was not the case with breakfast cereals, which further transformed American breakfasts in the 1950s. The company nutritionists had second thoughts. They were able to delay the appearance of sugar-coated cereals for perhaps half a century, and then market forces overwhelmed them. By the 1960s, children's breakfasts had been reshaped into a morning variation on the theme of candy bars or dessert—perhaps lower in fat content, but richer than ever in sugar. Companies would offer all sorts of rationalizations for the creation of cereals that in some cases were over 50 percent sugar, and they would market them relentlessly to children. Once a single cereal company broke through the pre-sweetened barrier, the others did it—or so they told themselves—to survive.
The dried-cereal industry had its roots in Battle Creek, Michigan, and the health-food movement of the late nineteenth century. The pioneers were John Harvey Kellogg, a physician who was a follower of the Seventh-day Adventist Church, and his competitor and former patient, C. W. Post. Both operated what they called "sanitoriums" for the well-heeled dyspeptic,*2 and both believed that the path to health and happiness ran through the digestive tract. As Kellogg would say, "The causes of indigestion are responsible for more deaths than all other causes combined." The idea of a breakfast flake that would aid digestion supposedly came to Kellogg in a midnight revelation, and he set to work on it the following morning. Post beat him to it, though, with his Grape Nuts, which by 1900 had earned him what was then the single largest, fastest legitimate fortune in America.
Post Grape Nuts were originally made with molasses and maltose from barley flour, but no cane or beet sugar. Kellogg's first cornflakes were sugar-free as well. But Kellogg had put his younger brother, W.K., in charge of the development progress, and while the elder Kellogg was away in Europe in 1902, W.K. added sugar to the toasted cornflakes to improve the taste and the flaking process. John Harvey was said to be outraged when he returned—"he felt that sugar was unhealthy and argued vehemently against using it," as the story is told in the 1995 history _Cerealizing America._ Consumers disagreed, though, and the sugar—a relatively trivial amount—stayed. Two years later, when Quaker Oats gave away a truly sugar-coated cereal at the 1904 World's Fair in St. Louis, the company considered it candy, as did their customers, and chose not to market it, on the assumption that "America's sweet tooth was a passing fad." This turned out to be not quite correct.
It took thirty-five years for dried cereals, a health food, to begin the successful transformation into sugar-coated cereals, a hugely profitable breakfast candy. The process began with an industry outsider—Jim Rex, a Philadelphia heating-equipment salesman—and a line of thinking that seems almost incomprehensible in the context of the anti-sugar sentiments of today. As told in _Cerealizing America,_ Rex was sitting at breakfast one day watching his children ladle spoonfuls of sugar atop their puffed-wheat cereal. "Sickened by the sugary excess, Rex began to think of ways he could get his kids to eat their cereal without plunging into the sugar bowl. The solution came to him in a flash of inspiration. Why not create a cereal 'already sugar'd.' "
The result, Ranger Joe, was the first sugar-coated, pre-sweetened cereal sold in America. Rex sold it in local markets, but he failed to solve the technical issue of the cereal's clumping together in its package because of the sugar coating—it would "turn into bricks," as one cereal-industry executive later put it. After just nine months on the market, Rex sold his company to another local entrepreneur, who in turn sold out in 1949 to the National Biscuit Company (now Nabisco). By then, Post Cereals was already planning to roll out a competitor, Sugar Crisp, nationwide.
Post then began the trend of rationalizing how a company positioned as a producer of health foods could justify selling a cereal coated in sugar. Echoing the logic of Jim Rex, Post executives would argue that pre-sweetened cereal actually contained less sugar than what children would add on their own. By adding sugar, Post was merely "trading off sugar carbohydrates for grain carbohydrates and sugar and starch are metabolized in exactly the same way." Biochemists had already demonstrated that this was untrue, but it was not widely known. Either way, Post argued that "the nutritional value of the product" remained unchanged, with sugar calories replacing those from cereal grains. Sugar Crisp (now called Golden Crisp) sold spectacularly well, forcing the rest of the industry to play catch-up. Nabisco quickly released Ranger Joe nationwide, now renamed Wheat and Rice Honeys. Kellogg's, in 1950, released Sugar Corn Pops, even though most of the company stock was still held by the W. K. Kellogg Foundation, "a charitable organization established to promote children's health and education."
Kellogg's set out to produce a sugar-coated version of its iconic cornflakes as if "it was their salvation," releasing Sugar Frosted Flakes in 1952 and Sugar Smacks, a direct competitor to Post's Sugar Crisp, a year later. Kellogg's failed to produce a sugar-coated oat cereal and turned to chocolate instead. The company logic, again guided by nutritionists, was that "all this sweetness is not the best for children, [and] that bittersweet chocolate was good and healthy and it wouldn't be harmful to them." The result was Cocoa Krispies. When the first, bittersweet-flavored version didn't sell, the company added even more sugar. "The new cereal," as one Kellogg's salesman put it, "was a dietary flop, and a sales bonanza."
General Mills executives worried about the "possible dietary effects" of sugar-coated cereals, and its in-house nutritionist delayed the company's entry into the pre-sweetened market for years, but eventually they were overruled. The marketing team at General Mills argued that if the company didn't compete, it wouldn't survive. In 1953, General Mills released Sugar Smiles, a mixture of Wheaties and sugar-frosted Kix; by 1956, they had released three more sugar-coated cereals—Sugar Jets, Trix, and Cocoa Puffs.
Over the next twenty years, the cereal industry would create dozens of sugar-coated cereals, some with half their calories derived from sugar. The greatest advertising minds in the country would not only create animated characters to sell the cereals to children—Tony the Tiger, Mr. MaGoo, Huckleberry Hound and Yogi Bear, Sugar Bear and Linus the Lionhearted, the Flintstones, Rocky and Bullwinkle—but give them entire Saturday-morning television shows dedicated to the task of doing so.
These companies would spend enormous sums marketing each cereal—six hundred million dollars total in a single year by the late 1960s, when the consumer advocate Ralph Nader took on the industry. Each new cereal that succeeded would spawn a rush of imitators, while the industry, by the 1960s, was now openly advertising the candylike nature of the products: "It tastes like maple sugar candy," Marky Maypo's father said of Maypo in 1956, to entice his son to eat it; Cocoa Krispies were advertised as tasting "like a chocolate milk shake, only crunchy." Industry executives, bolstered by nutritionists—most famously, Fred Stare, founder and director of the nutrition department at Harvard—would justify the sale of sugar-coated cereals as a means to get kids to drink milk, or as part of a "healthy breakfast." The magazine _Consumer Reports_ may have captured this logic perfectly in 1986 when it claimed, "Eating any of the cereals would certainly provide better nutrition than eating no breakfast at all."
The identical logic is still used today, when nutritionists and public-health authorities argue that children should be allowed to drink sugary chocolate milk because the benefit of obtaining the vitamins and minerals in the milk outweighs any danger that could come from drinking the sugar. This is based on a conception of nutrition science that dates back to the "new nutrition" of the 1920s, and whether it is true or not, or even vaguely true, was and still is the obvious question.
* * *
*1 After the war, one Coca-Cola employee working in Eastern Europe observed that Coke was second only to Hershey bars as an inducement for sex with the local women.
*2 Kellogg's many famous patients included J. C. Penney, Montgomery Ward, John D. Rockefeller, Eleanor Roosevelt, and Johnny Weismuller.
# CHAPTER 5
# THE EARLY (BAD) SCIENCE
> _In spite of the doctors, we declare that when sugars are dear the people suffer. When we are all obliged to deny the many little gratifications of our whimsical palates, we are made very uncomfortable._
>
> _The New York Times,_ 1856
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> _Most people know that the sugars are good food. Some people know how many calories there are in a piece of fudge. A few people know that sugar is not conducive to reducing._
>
> J. J. WILLAMAN, University of Minnesota, 1928
By the early decades of the twentieth century, in medical journals and in newspapers, physicians could be found blaming sugar for a host of ills that seemed to come about with the dramatic increase in the product's consumption. Diabetes would get the most attention, as awareness spread of an apparent diabetes epidemic. Rheumatism, gallstones, jaundice, liver disease, inflammation, gaseous indigestion, sleeplessness, tooth decay, ulcers and intestinal diseases, neurological disorders (or at least "nervous instability"), cancer, and "making the human race a degenerate people" were all blamed on sugar, and for an obvious reason. "No other element in the human dietary has increased with such leaps and bounds," wrote the Los Angeles physician Alexander Gibson in _The Medical Summary_ in 1917. "The prodigious feeders of the Elizabethan era, when sugar cost a guinea a pound, consumed less free sugar in a month than a modern school child for a couple of penny's worth of 'all-day-suckers' consumes in a day. In fact the indulgence of sugar has exceeded every other stimulant, even including tobacco, coffee, tea and alcohol."
Discussions on the value of sugar, the risks and benefits of consuming it in quantity, were informed by the science of nutrition, which was in its infancy. Typically, science makes progress when new technologies are invented or applied, allowing researchers to obtain new information, and thus to ask and answer new questions about the phenomena they're studying. In nutrition and its relationship to chronic disease, however, this never happened. New technologies appeared, and they resulted in new revelations, as expected, but those revelations had no influence on how nutritionists, and even researchers studying obesity and diabetes, perceived the problem presented by sugar. The thinking of the 1920s remained firmly set, and we've been living with the consequences ever since. Understanding how and why this happened is critical to understanding the risks and benefits of consuming sugar.
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The roots of the modern science of nutrition date back to France in the late eighteenth century, and they coincide with the birth of modern chemistry, as a handful of now legendary scientists began to explore the relationship between the air we breathe, the foods we eat, and what it means, in effect, to be alive—the chemical reactions that constitute life itself. As the science of nutrition diverged from chemistry in the latter half of the nineteenth century, the nexus of research moved to Germany, where the details of how organisms burn protein, fat, and carbohydrates for fuel were worked out. ("The amount of information [the Germans] acquired within a comparatively few years past is remarkable," wrote the American nutritionist Wilbur Atwater in 1888.) Scientists there would study the metabolism and respiration of men and animals under various dietary conditions, studying the balance of energy into and out of the human body—what went in via breathing and eating, and what exited in the breath and as heat or excreta.
These were the obvious first questions to ask, and the tools the scientists had available drove their research—as is always the case in science. Historians would later date the birth of _modern_ nutrition science to the 1860s, when German researchers pioneered the use of room-sized devices called calorimeters that allowed them to measure precisely how much energy human or animal subjects expended under different conditions of diet and physical activity. By the early twentieth century, nutrition researchers were measuring the energy requirements of children, soldiers, and athletes; they were studying how foods contributed to building strong bodies, and the components of a healthy diet—how many calories were needed, how much protein, and what vitamins and minerals. They studied what happened when essential vitamins and minerals were absent from the diet and identified deficiency diseases that could be cured by adding them back. This was the "new nutrition" of the era, and it has been the foundation of nutrition wisdom ever since.
However, when physicians and public-health authorities started questioning the effects of various carbohydrates and sugars on human health, this research could tell them precious little about anything other than energy metabolism. The influence of foods on what were then called "internal secretions"—on hormones such as insulin and growth hormone—was unknown, as was the influence on any pathological conditions, other than those that were caused by vitamin or mineral deficiencies. These subjects had yet to be studied.
Not until 1960 would researchers publish the details of a technique called the radioimmunoassay, which allowed the measurement of hormone levels in the circulation with accuracy, and in turn gave birth to the modern era of endocrinology—the study of hormones and hormone-related diseases. As a result, nutritionists had a ninety-year head start in thinking about diet in terms of its effect on "energy balance"—on the energy consumed and expended by the human body—rather than on the internal secretions, the hormones, that regulate such fundamental properties as how much fat we accumulate in our cells and the "partitioning" or "allocation" of the fuels we consume, whether we store them as fat, carbohydrate (glycogen), or protein, or burn them for fuel.
That ninety-year head start would be critical in establishing how nutritionists and medical researchers interpreted the risk/benefit ratio of consuming sugars, and it still affects how they think about these issues today. When nutritionists say that sugar is "empty calories," they're defining the problem posed by sugar in the science of the early twentieth century—in terms of the amount of energy (calories) and vitamins and minerals (empty) they contain—and ignoring the research, and an entire field of medical science, that came after. Those physicians, like Eliott Joslin, who did think about the influence of hormones on disease states—insulin, in particular, on diabetes—had little or no understanding of how foods influenced those hormones. That was the purview of nutritionists, and the nutritionists lacked the tools or, frankly, the awareness to pay attention.
Nutrition researchers of the late nineteenth and early twentieth centuries were beginning to understand that sugar had properties that set it apart from other carbohydrates, but they didn't understand the extent of those properties beyond the realm of energy and vitamin and mineral content, or why they might be relevant to obesity, diabetes, or any related disease. The chemists and nutritionists who studied the metabolism of these carbohydrates in the laboratory or in lab animals weren't doctors, and they weren't treating patients or thinking about the public-health implications of their work. The American physicians treating obesity and diabetes were not applying the skeptical and rigorous thinking of science, and yet it was their opinions that would forge the conventional thinking about the relationship between sugar and disease.
At a time when physicians in America were first confronting this rising tide of diabetic patients, medicine and science had little connection in the U.S., though that began to change in 1893, with the founding of the Johns Hopkins Medical School. Physicians interested in scientific research would travel to Europe to learn from the authorities there, as Joslin did, but medical schools themselves did not require physicians to study science or even to understand it. As late as 1900, only a single medical school in the United States—Johns Hopkins—required that applicants have a college degree. Many schools, according to a 1910 Carnegie Foundation report on the state of American medical education, did not even require that their students have finished four years of high school. Their primary criterion for acceptance was the ability and willingness to pay tuition. None of these medical schools supported research. In 1871, when Henry Percival Bowditch of Harvard set up what may have been the first academic laboratory in the country to pursue experimental medicine, it was located in an attic, and Bowditch's father paid for some of the equipment. Americans of this era were transforming the worlds of engineering and industry, but not medical science.
European researchers and clinicians pioneered all the fields of science relevant to understanding both obesity and diabetes—including nutrition, metabolism, endocrinology, and genetics—and dominated this research through the Second World War. These Europeans would come to radically different conclusions about the genesis of obesity and thus, by implication, diabetes as well, but the European research communities evaporated with the war, and these European conceptions evaporated with it. European scientists would later write, as the Nobel Prize–winning physician and biochemist Hans Krebs did in 1967, about the need for centers of excellence in science, where young researchers could do an apprenticeship, learning literally at the bench of great scientists, who in turn had learned their skills and how to think critically from the bench of other great scientists. As Krebs wrote, "Scientists are not so much born but made." This culture of science, and these centers of excellence, were unfortunately absent in medicine in the United States, so American physicians who pursued scientific investigations were making it up as they went along, for better or for worse.
—
The dilemma posed by sugar is a clear one, or at least it is in retrospect. It had been delineated more than two thousand years ago, when Hindu physicians noted that sugar "promotes nutrition _and_ [my italics] corpulency." That it has rather remarkable nutritional qualities, nutritionists would later come to accept as a given. Its history suggests it has medicinal qualities as well. But do those who get fat do so, as some suggested, through merely consuming sugar in excessive quantities, or through some unique characteristic of sugar itself?
The roots of the modern discussion on sugar and disease can be traced to the early 1670s, when sugar first began flowing into England from its Caribbean colonies (and this, of course, may not be a coincidence) and the habit of drinking sugared tea was becoming common. Thomas Willis, medical adviser to the duke of York and King Charles II, noted an increase in the prevalence of diabetes in the affluent patients of his practice. "The pissing evil," he called it, and became the first European physician to diagnose the sweet taste of diabetic urine—"wonderfully sweet like sugar or hon[e]y." It was Willis who appended the term "mellitus" ("from honey") to the name of the disease.*1 Willis attributed the diabetes he was seeing among his wealthy London patients to "an ill manner of living, and chiefly an assiduous and immoderate drinking of Cider, Beer, or sharp Wines." But he nonetheless strongly "disapprove[d] [of] things preserv'd, or very much season'd with Sugar...[and judged] the invention of it, and its immoderate use to have very much contributed to the vast increase of Scurvy in this late Age."
Willis's denunciation of sugar led in turn to its censure by the botanist John Ray, which could "frighten the Credulous," as the physician Fred Slare noted in 1715, forty years later. (Scientific debates moved far more slowly in the pre-Internet era.) It was Slare's vigorous defense of sugar—his "Vindication of Sugars Against the Charge of Dr. Willis, Other Physicians, and Common Prejudices"—that would once again capture perfectly the dilemma posed by sugar and the framing of the debates to come.
To "defraud" infants of sugar "is a very cruel Thing, if not a crying Sin," Slare wrote, before discussing the anecdotal experience of those, like his grandfather, who lived to be a hundred, and the duke of Beaufort, who died at seventy-one, both of whom ate excessive sugar by the standards of the era (Beaufort, apparently, for any era—a pound daily for forty years).*2 Slare also recounted his own experience as edifying: he was "near Sixty-seven" and in excellent health, he wrote, while indulging in large quantities of sugar. "I write without Spectacles, and can read a small Print: can walk ten or fifteen Miles with Ease, and can ride thirty or forty Mile a day." More important, perhaps, he had outlived some eighty of his colleagues in the Royal College of Physicians, many of whom "were bitter enemies" of sugar. (This kind of argument—akin to saying my uncle Max smoked two packs of cigarettes a day and lived to be a hundred, ergo cigarettes do not cause lung cancer—would also be common in the sugar debates ever after.)
Slare also noted that "the worst of the Skum and Sediment" from the sugar refineries in the West Indies was used successfully to fatten hogs—a good thing, from Slare's perspective. He added a single caveat to his absolution of sugar as a dietary evil. Writing at a time when sugar was still a luxury item and its yearly consumption in England is estimated to have been less than five pounds per capita, or less than one-twentieth what it would be two centuries later, he nevertheless cautioned that women who prided themselves on their "fine proportions" but were "inclining to be too fat" might want to avoid sugar, because it is "so very high a Nourisher, may dispose them to be fatter than they desire to be."
Still, in an era when malnutrition and undernutrition were pervasive problems throughout Europe, sugar's ability to put fat on the lean or emaciated was widely perceived as one of its beneficial qualities. Not only could the aged live for many years on "scarcely anything but sugar," as the British physician Benjamin Moseley noted in his 1799 treatise on the subject, but "taken in tea, milk, and beer, [sugar] has caused lean people to grow fat, and has increased the vigour of their bodies." It may have been Moseley, having spent eighteen years working in the West Indies, who first suggested that slaves grow fat sucking on the juice of sugarcane during the harvest, an observation that would be repeated in medical writing through the early twentieth century. Not only could the juice from sugarcane bring health to the sickly, worm-ridden infants of slaves, Moseley wrote—"Give a negro infant a piece of sugar cane to suck, and the impoverished milk of his mother is tasteless to him"—but it did the same for adults as well. "I have often seen old, scabby, wasted negroes, crawl from the _hot-houses,_ apparently half dead, in crop-time; and by sucking canes all day long, they have soon become strong, fat, and sleaky."
In 1865, Abel Jordão, a professor at the Medical School of Lisbon and a leading European authority on diabetes, suggested that this ability of sugar to put fat on the lean might explain the association between obesity and diabetes. Whereas most physicians, including most notably Joslin, would come to think that obesity caused diabetes, Jordão proposed that a kind of pre-diabetic state, caused by consuming too much sugar, could in turn cause obesity. If animals were fattened by being given sugars and starches, he reasoned, then it made sense that humans got fat when they had too much sugar in their circulation, which was the case in diabetes. "A robust adipose constitution is not a cause, but an effect of the complaint," Jordão explained. "I have seen some cases of lean individuals attacked with diabetes, who commenced to fatten." When Charles Brigham, then a medical student at Harvard and later a renowned surgeon, wrote an award-winning thesis on diabetes that was published in 1868, he expanded on Jordão's thinking and echoed Slare's caveat as well, but now from the opposite perspective: "On this same principle of sugar fattening," Brigham wrote, "many of the fairer sex, ashamed of the skeleton-like appearance which their shoulders and arms present when exposed, are in the habit of taking frequently a glass of eau sucrée [sugar water] in hopes of an amendment."
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The few nutrition researchers and food chemists studying sugar and other carbohydrates were focusing their attention almost exclusively on sugar's nutritional qualities, determined solely by what they could measure at the time. By 1900, they had delineated the different types of sugars found in nature—glucose and fructose, for instance, which were then known as dextrose and levulose respectively—and the ways in which they combined in the more complex sugars, such as the lactose in milk, or sucrose from beet and cane. Researchers would report that muscles use these sugars for fuel and do so very efficiently. (They, too, would often, if not typically, confuse the sugar we consume—sucrose, composed of fructose and glucose—with the glucose of blood sugar.) Unlike protein, which leaves behind nitrogen to be excreted in the urine, carbohydrates produce energy "without any waste and leaving no residue." And although carbohydrates don't work to build muscle, as protein does, the body appears to burn them preferentially as fuel, sparing the protein in the process.
In 1916, Harold Higgins, working at the Carnegie Institute of Washington (located in Boston), measured how quickly our bodies metabolize these different sugars—how quickly, in effect, they give us energy; this was considered to be the "nutritive value" of the food. Higgins reported that we metabolize fructose and sucrose more quickly than other sugars. This finding would be the biochemical basis of the idea that sugar provides "quick energy," as the sugar industry would later advertise.
Higgins's laboratory research also confirmed the observation that sugar had what the British physician Willoughby Gardner, writing in the _British Medical Journal_ in 1901, would call "unexpected stimulating properties." This observation distinguished sugar from other carbohydrates and suggested that it was, literally, a stimulant—the late-nineteenth- and early-twentieth-century version of a performance-enhancing drug. German researchers, wrote Gardner, had tested "various men, both of weak and of strong muscular physique," and concluded that an ounce of sugar was sufficient to restore within forty-five minutes "the power of work to muscles so tired that they had previously given hardly appreciable results." Sugar seemed to help these men perform "extraordinary muscular labor," and the Germans speculated that it might directly influence the nervous system to "overcome the feeling of fatigue."
Other researchers noticed similar effects in their experiments, and these observations supported reports from the field that lumberjacks, Alpine climbers, and polar explorers had taken to using sugar instead of brandy or other alcohol to relieve fatigue. Parisian cab companies had even taken to feeding sugar to their horses to give them energy and restore vitality. The legendary British climber George Mallory said that in his 1923 attempt on Mount Everest, he succeeded in making it within two thousand feet of the summit by living on sugar for the last few days of the ascent: almost exclusively lemon drops, peppermint candies, and chocolate. "At great elevations no one has any strength to waste on unnecessary processes of digestion," Mallory said; "sugar...can be digested quickly and easily converted into muscular energy. It has also a much-needed stimulating effect."
In 1897, according to Gardner, the German Reichstag had debated the value of sugar as a food and made the decision to test it on German soldiers, a trial that was carried out during autumn maneuvers the following year. "The results were conclusively in favor of the sugar eaters," Gardner wrote. The soldiers given sugar in their rations increased in weight, "which their comrades did not, they enjoyed better health, and were able to support the hard work with much less distress....As a result of these experiments it was resolved that the sugar ration for the German soldiers should be raised to 60 grams per day." (That this happened to be almost twice what British soldiers were getting—thirty-seven grams—seemed to suggest to Gardner that the British were now at a distinct military disadvantage.)
Dutch authorities took to advocating "sugar training" for endurance athletes, and several rowing clubs—including the Rowing Society of Berlin—took up the practice of eating what were then considered large quantities of sugar and by doing so "did not become 'stale' or overtrained." By the mid-1920s, an era when rowing regattas were as popular as professional baseball or any other sport, rowing coaches at Harvard and Yale were emulating the Europeans and testing sugar on their rowers—jams, jellies, lumps of sugar, even a "pound of peppermints" (a "preposterous" rumor, suggested the Harvard coach: such an amount "would make a boy sick").*3
In 1925, Harvard researchers reported in _The Journal of the American Medical Association_ that runners in the Boston Marathon had very low blood sugar at the end of the race—similar to a diabetic, they wrote, who is given "an overdose of insulin"—and that they had ameliorated the symptoms in other runners by having them load up with carbohydrates before the race and eat "glucose candies" while they ran, and supplying them with "tea containing a large amount of sugar at stations along the course." This report prompted editors at _The Lancet,_ a British journal, to poke fun at the Americans for not knowing what everyone else had learned years earlier: "The most curious thing is that neither the authors nor the subjects at Harvard seem to have been aware that the consumption of sugar in one form or another is very widely known as preventive and curative of fatigue....Sugar cakes are a sine qua non at an athletic tea-party."
Viewed from this quick-energy/fatigue-beating perspective, sugar seemed to be so valuable an item of the diet that the U.S. Department of Agriculture suggested that sugar "would seem to be a food especially adapted to children because of their great activity." By this logic, as Gardner suggested in the _British Medical Journal,_ "the popular prejudice against" sugar was working to the detriment of growing boys and girls, not to their benefit. The candy industry, not surprisingly, agreed.
Through the 1920s, these discussions of sugar's nutritional value continued to be accompanied with what was usually an aside, that sugar was fattening and therefore the obese—anyone, for that matter, who had to work to remain lean—would be best served by avoiding it. As Gardner wrote in his assessment in the _British Medical Journal,_ sugar was surely "one of the most valuable articles of the diet," and yet to be avoided "like poison" by those prone to obesity, diabetes, or gout.
This had become conventional thinking. After the artificial sweetener saccharin was discovered in coal-tar derivatives by Johns Hopkins University chemists in 1878, and then transformed into a commercial product over the next decade, it was immediately clear to medical authorities that "it may with benefit wholly or partially replace sugar in the diet" for the obese and diabetic, and perhaps those with liver disease and gout as well. In 1929, when delegates to the League of Nations met in Geneva to discuss economic issues facing their countries, one of the issues was the deleterious effect on their national sugar industries of "a growing world-wide abstinence by women" who were avoiding sugar "in order to keep their figures trim." By then, the American Cigarette Company was selling Lucky Strike—which began its existence as sugar-sauced plug tobacco and would beat out Camel in 1930 to become the nation's most popular cigarette—as "a splendid alternative to fattening sweets."
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With the slowly rising tide of diabetes in the late nineteenth century, physicians and public-health authorities began entertaining the possibility that sugar was responsible. But because the disease was still relatively rare, so were the physicians who specialized in treating it and thought in a meaningful way about its cause. Elliott Joslin was among the first in the United States to specialize in diabetes, and he was just starting his career at the time. Joslin was followed by Frederick Allen, who had done research on diabetic animals at Harvard Medical School and on human patients at the Rockefeller Institute for Medical Research.
In 1913, Allen published a textbook on diabetes— _Studies Concerning Glycosuria and Diabetes_*4—compiling observations from human and animal studies, from the biochemists, and even from history books. Allen's textbook included a lengthy discussion on the possibility that diabetes was caused by sugar, and he believed it had to be discussed for the obvious reason: "The consumption of sugar is undoubtedly increasing," wrote Allen. "It is generally recognized that diabetes is increasing, and to a considerable extent, its incidence is greatest among the races and the classes of society that consume [the] most sugar."
Allen divided the European authorities into three schools of thought on a possibly causal relationship between sugar and diabetes. Some, like the German Carl von Noorden, author of several multi-volume textbooks on diabetes and disorders of metabolism and nutrition, rejected the idea outright; some, like the German internist Bernhard Naunyn (whom Joslin had visited as a young physician to learn about the disease), thought the evidence that sugar caused diabetes was ambiguous. These physicians wouldn't blame sugar for actually causing diabetes, but did concede, wrote Allen, that "large quantities of sweet foods and the maltose of beer" favored the onset of the disease. Others, most notably the French authority Raphaël Lépine, were convinced of the causal role of sugar, and mentioned as evidence that diabetes was suspiciously common among laborers in sugar factories.
As Allen noted, however, what physicians said about sugar and diabetes and how they acted were often disconnected (as is still the case today): The majority of these authorities seemed to think that sugar had little or no role in actually causing the disease, although they were "open to accusations against sugar" when it came to the possibility that it exacerbated diabetic complications. Virtually all these physicians, however, including these same skeptical authorities, told their diabetic patients not to eat sugar, suggesting that they did, indeed, think sugar was harmful. "The practice of the medical profession is wholly affirmative" of this idea, Allen wrote. If sugar could make diabetes worse, he noted, which was implied by this near-universal restriction of sugar in the diabetic diet, then the possibility surely existed that it could cause the disease to appear in individuals who might otherwise seem healthy.
Allen's thinking had been influenced heavily by a discussion on "diabetes in the tropics" at the 1907 annual meeting of the British Medical Association. Influential British and Indian physicians working in the Indian subcontinent had discussed the high and apparently growing prevalence of diabetes among the "lazy and indolent rich" in their populations, and particularly among "Bengali gentlemen" whose "daily sustenance...is chiefly rice, flour, pulses, sugars."
"There is not the slightest shadow of a doubt that with the progress of civilization, of high education, and increased wealth and prosperity of the people under the British rule, the number of diabetic cases has enormously increased," observed Rai Koilas Chunder Bose, a fellow at Calcutta University, noting that perhaps one in ten of the "well-to-do class of Bengali gentleman" had the disease. Bose added that Hindu physicians had diagnosed diabetes back in the sixth century and even then had noticed the honey urine—"ants flock" around it—while observing that this was a disease "which the rich principally suffer from, and is brought on by their overindulgence in rice, flour, and sugar." Allen found this point singularly compelling. These early Hindu physicians, after all, were linking diabetes to carbohydrate consumption and sugar more than a millennium before the invention of organic chemistry and its revelations that sugar, rice, and flour were carbohydrates and that carbohydrate "in digestion is converted into the sugar which appears in the urine." "This definite incrimination of the principal carbohydrate foods," Allen wrote, "is, therefore, free from preconceived chemical ideas, and is based, if not on pure accident, on pure clinical observation."
What was unclear was whether the dietary trigger of diabetes was all carbohydrates, just refined grains (white rice and white flour among them) and sugars, sugars alone, perhaps gluttony itself, or even some other factor that predisposed the well-to-do to diabetes and protected the poor. From the discussion at the British Medical Association meeting, it was apparent that poor laborers could live on carbohydrate-rich diets without getting diabetes, whereas well-to-do Indians (and even affluent Chinese and Egyptians, as was noted by physicians at the conference) who lived on carbohydrate-rich diets easily succumbed to diabetes and seemed to be doing so at ever-increasing rates. What was the difference in their diet and lifestyle? "Unless the unknown cause of diabetes is present," wrote Allen, "a person may eat gluttonously of carbohydrate all his life and never have diabetes." Some of the physicians at the British meeting had suggested this unknown cause was the mental stress or "nervous strain" of the life of a professional—a doctor or a lawyer—compared with the relatively simple life of a laborer (as the British physician Benjamin Ward Richardson had suggested as a cause of diabetes in his 1876 book, _Diseases of Modern Life_ ); others suggested it was the idle life led by the wealthy and their disdain of physical activity that brought on the disease. Still others thought it was gluttony, or maybe alcohol. Sugar itself, as Allen noted, was consistently raised as a possibility.
Allen considered it likely that individuals are born with a certain innate ability to assimilate the carbohydrates in their diet and use them for energy. If the carbohydrates consumed overwhelm that ability, the excess go unused by the body and so are voided in the urine—hence the "glycosuria" or sugar in the urine that was then the principal diagnostic symptom of the disease. Maybe eating sugar somehow overtaxed this process in some people, but not all, and heavy manual labor might work to counter the effect. "If he is a poor laborer he may eat freely of starch," Allen suggested, "and dispose safely of the glucose arising from it, because of the slower process of digestion and assimilation of starch as compared with free sugar, and because of the greater efficiency of combustion in the muscles due to exercise. If he is well-to-do, sedentary, and fond of sweet food, he may, with no greater predisposition, become openly diabetic."
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By the mid-1920s, the rising mortality rates from diabetes in the United States had become the fodder of newspapers and magazines; Joslin, the Metropolitan Life Insurance Company, and the New York State commissioner of health were all reporting publicly what Joslin was now calling an epidemic. When Haven Emerson, head of the department of public health at Columbia University, and his colleague Louise Larimore discussed this evidence at length at two conferences in 1924—the American Association of Physicians and the American Medical Association annual meetings—they considered the increase in sugar consumption that paralleled the increasing prevalence of diabetes to be the prime suspect.
It wouldn't stay that way. Over the next thirty years, a series of misconceptions propagated by just a few very influential diabetes specialists, led by Joslin himself, would come to exonerate sugar almost entirely as _a_ cause of diabetes, let alone _the_ primary cause of the steadily increasing rates of diabetes. The argument that sugar was a cause of obesity and diabetes would be revisited again in the 1970s, but by that time the clinicians studying and treating diabetes would barely be involved.
One of the common themes in the history of medical research is that a small number of influential authorities, often only a single individual, can sway an entire field of thought. In science, young researchers are taught to challenge authority and to be skeptical of all they're taught, but this isn't the case in medicine, where the opinion of figures of authority carry undue weight. This can be particularly damaging when the state of the science is immature and the number of researchers pursuing answers is small. In the United States, Joslin became that single influential figure in diabetes, and his opinions on the subject were often treated as gospel. By the mid-1920s, Joslin had far surpassed Allen as the leading authority in the United States on diabetes, and his textbook, _The Treatment of Diabetes Mellitus,_ would become the bible in the field. He published the first edition in 1916, based on what he had learned from the thousand patients he had treated at his clinic, and he and his colleagues would update it nine times by his death, at age ninety-two, in 1962.*5 With Joslin arguing in edition after edition of his textbook that sugar was not the cause of diabetes, the entire field would eventually accept this as truth.
By all accounts, Joslin was a remarkably dedicated physician, always working for the best interests of his patients. After insulin was discovered by researchers at the University of Toronto in 1921, Joslin's clinic pioneered its use in the United States, and he, like other physicians, quickly came to believe that insulin allowed diabetic patients to be free of the burden of severe carbohydrate restriction that until then had been thought necessary to control the disease. Perhaps more striking, juvenile diabetics, with the acute form of the disease (now known as type 1), were freed from the torturous near-starvation regimen that Allen had pioneered and upon which he had built his reputation. With insulin, both older diabetics and younger ones could eat carbohydrates, keep their blood sugar under control, and live relatively normal lives. Joslin's colleague Priscilla White, who specialized in treating the diabetic children at his clinic, would later say, "No child can grow up without a scoop of ice cream once a week," and insulin made this kind of indulgence possible.
Joslin recognized the value of sugar for athletes, as his colleagues at Harvard had reported about marathon runners in 1925 (to the ridicule of the _Lancet_ editors).*6 He also recognized that consuming sugar in the form of candy, for instance, could immediately reverse the low blood sugar (hypoglycemia) or even diabetic coma that could result from poorly timed or ill-dosed injections of insulin. ("An orange is less temptation to a child than two or three pieces of sugar or even of candy," Joslin cautioned in the 1923 edition of his textbook.) Joslin believed that sugar was a valuable item in the diet, and thus unlikely to be a cause of chronic disease.
Joslin simply didn't understand that the carbohydrates in sugar had unique properties that other carbohydrates did not. He was a physician, not a nutritionist, although he had studied biochemistry for a year at Yale. He would argue that all carbohydrates were, in effect, the same—starch, grains, sugars. Joslin was the first of the many influential medical authorities who literally didn't know what they were talking about when talking about sugar; his beliefs and his ultimately successful defense of sugar in the diet would be based largely on this misconception.
As early as 1917, Joslin was using the Japanese as the singular reason to question the idea that sugar caused diabetes, and his textbook would continue to make the same argument, often in the same words, for the next forty years. "Indeed, a high percentage of carbohydrate in the diet does not appear to predispose to diabetes," he had written. "Thus, the Japanese live upon a diet consisting largely of rice and barley, yet so far as statistics show, the disease is not only less frequent but milder in that country than in this." He acknowledged that the rising death rate from diabetes in the United States coincided with rising sugar consumption, and he even had a table in the early editions of his textbook showing how sugar consumption increased step by step with diabetes mortality. "Such a marked alteration in the diet of a nation is noteworthy and deserves attention," he noted. The obvious conclusion would be to _assume_ that the two "must stand in relation," he added, but the Japanese experience simply argued otherwise: "Fortunately, the dietary habits and the statistics upon diabetes of Japan would seem to save us from this error."*7
Joslin came to blame the diabetes epidemic on two primary factors rather than sugar. The most obvious was obesity, because of the close association between the two conditions. Since most adult diabetics were fat, Joslin assumed that it was their fatness that made them diabetic, and he believed they got fat in the first place because they ate too much and moved too little. (In 1925, Joslin gave a lecture in which he blamed diabetes in part on the invention and spread of the automobile, which made people more sedentary than they had been previously and thus, he believed, fatter.)
Joslin would also come to believe that diabetes was caused by a diet rich in fat, which fed into his belief that sugar could be absolved. It was "an excess of fat, an excess of fat in the body, obesity, an excess of fat in the diet, and an excess of fat in the blood," he wrote in 1927. "With an excess of fat diabetes begins and from an excess of fat diabetics die...." This was the lesson passed on as well by Cyril Long, a prominent diabetologist and dean of the Yale School of Medicine. "While there is a popular conception that an increased consumption of sugar is associated with the increasing incidence of diabetes," wrote Long, "it can be said with considerable assurance that excessive carbohydrate consumption in itself is not a direct cause of the disease." Long's view was informed by his suspicion that dietary fat was the more likely suspect.
Physicians specializing in the treatment of diabetes would come to assume that when medical textbooks used phrases like "considerable assurance," they did so based on compelling evidence, but this simply wasn't the case. Long's opinion was based almost entirely on the assertions of another profoundly influential diabetes researcher, Harold Himsworth, of University College Hospital in London, and Himsworth's assertions were based as much on his own work as Joslin's.
Like Joslin, Himsworth would have an illustrious career in medicine. In 1948, he would be named secretary of the British Medical Research Council (similar to the National Institutes of Health in the United States), a position he would hold for two decades. But he was only in his mid-twenties in 1931, when he proposed that a diet relatively rich in carbohydrates was ideal for diabetics, implying that a diet rich in fat might be a cause of the condition. "Sugar is what must be given" to treat diabetic coma, Himsworth explained, and so it stood to reason that sugar and other carbohydrates (glucose) would be valuable for any diabetic diet.
Himsworth would later report that diabetes rates had risen in Western countries in parallel with a general increase in fat consumption and a decrease in carbohydrates.*8 And he came to believe, as other researchers had suggested, that consuming carbohydrates helped build up an individual's ability to tolerate carbohydrate-rich foods, and that consuming the kind of fat-rich diet typically fed to diabetics did the opposite. "It would thus appear," wrote Himsworth, "that the most efficient way to reduce the incidence of diabetes mellitus amongst individuals predisposed to develop this disease would be to encourage the consumption of a diet rich in carbohydrate and to discourage them from satisfying their appetite with other types of food."
In his textbooks and articles, Joslin would describe Himsworth's "painstakingly accumulated" data implicating fat as a cause of diabetes and so exonerating sugar. (Long described Himsworth's "very significant observations" leading to those conclusions.) Himsworth in turn would cite Joslin as the ultimate authority that sugar was not the cause of diabetes, and that fat might be. Through the 1930s and 1940s, the two constructed the scientific equivalent of a house of cards in support of their beliefs, each citing the other's observations as evidence, only to be cited in turn as the support for that evidence. Both ultimately based their conclusions largely on the incorrect assumption that sugar and other carbohydrates were equivalent in their chemical composition and thus their effect on the human body. Both returned, again and again, to the Japanese experience as the key. Here was a nation that consumed very little fat and considerable carbohydrates and had very little diabetes. Joslin took this fact as compelling evidence that carbohydrate-rich diets were beneficial; Himsworth used it to argue that fat-rich diets caused diabetes. Both exonerated sugar in the process.
Neither Himsworth nor Joslin apparently bothered to ask whether the Japanese consumed less sugar than the Americans or the British—which they did. As late as 1963, per capita sugar consumption in Japan had been roughly equivalent to the quantity consumed in England and the United States a century earlier, when diabetes was still a very rare disease in those countries as well. The Japanese experience could have been used to support the sugar/diabetes connection just as Joslin and Himsworth used it to refute the connection.
One of the many remarkable aspects of this history is that after Joslin concluded that Himsworth's fat hypothesis of diabetes was sufficiently compelling to be accepted as undisputed truth, Himsworth himself rejected it. In a 1949 lecture to the British Royal College of Physicians, Himsworth described the problem with the hypothesis as a paradox: even though populations that consumed more fat tended to have more diabetes, "the consumption of fat has no deleterious influence on sugar tolerance, and fat diets actually reduce the susceptibility of animals to diabetogenic agents." Put simply, the more fat that laboratory animals consumed to replace carbohydrates, the harder it was to make them diabetic. Now Himsworth suggested that maybe dietary fat wasn't the culprit, after all, and perhaps there were "other, more important, contingent variables" that tracked with fat in the diet. He suggested total calories as a possibility—overeating of all foods—because of the association between diabetes and obesity, and because "in the individual diet, though not necessarily in national food statistics, fat and calories tend to change together." Himsworth omitted mention of sugar, however, which is another contingent variable that tracks together with fat and calories in both national food statistics _and_ individual diets.
With Joslin in the United States and Himsworth in the U.K. arguing that sugar did not cause diabetes, this statement took on the aura of undisputed truth. By the 1971 edition of Joslin's textbook, edited by his colleagues nine years after his death and now renamed _Joslin's Diabetes Mellitus,_ the subject of whether or not sugar consumption caused diabetes had vanished entirely. Just as other physicians and nutritionists around the world began again to suggest that sugar was an obvious cause of obesity, diabetes, and now heart disease as well, diabetes researchers in the United States would assume _a priori_ that the possibility was no longer worthy of serious attention. Rather, they would argue that obesity itself was the cause, targeting gluttony and sloth and _all_ calories together, rather than sugar by itself.
* * *
*1 Willis's testimony stands as an exception to the observation that diabetes was an exceedingly rare disease prior to the twentieth century. In his posthumous discourse, _Diabetes or the Pissing Evil,_ Willis wrote, "We meet with examples and instance enough, I may say daily, of this disease." This could be an exaggeration, as Robert Tattersall, a retired professor of clinical diabetes at the University of Nottingham in the U.K. and author of _Diabetes: The Biography,_ suggests. It could be a reflection of the fact that Willis's patients were wealthy and royalty, and thus most likely to be afflicted.
*2 Slare found it notable that the duke of Beaufort's internal organs, upon autopsy, were in excellent shape, and he still had his own teeth. The duke apparently believed a common adage: "That which preserves Apples and Plums, Will also preserve Liver and Lungs." Slare considered the duke's viscera and teeth to be evidence that the duke was right.
*3 In November 1924, the Yale soccer team was given sugar "in an attempt to increase their physical energy" during a game against the University of Pennsylvania. Yale lost, five to one, prompting a Yale professor of applied physiology to tell _The New York Times_ that the results of the experiment "were noticeable but not convincing."
*4 "Glycosuria" means an excess of sugar (glucose) in the urine.
*5 The latest edition—the fourteenth, 1,224 pages long—was published in 2005.
*6 In a public lecture on diabetes in 1925, according to _The New York Times,_ Joslin made a point of asserting that sugar given to tired athletes renewed their vigor: "Chocolate bars for marathon runners and sugared tea for football players may result in new records," he declared.
*7 This was a natural assumption and was often made by physicians working in Asian countries as well: Isidor Snapper, for instance, who spent the World War II years in China, reported that diabetes had become a common disease among the well-to-do Chinese but was very infrequent among the poor: "It would seem that the extremely low caloric diet, consisting mainly of carbohydrates, fresh or salted vegetables and soybean flour must have had a mitigating influence upon the diabetes."
*8 To make his argument that fat caused diabetes, Himsworth had to reject evidence that populations like the Inuit or the Masai, eating very-high-fat diets, also had very low diabetes rates, or at least they did at the time that Himsworth was making his claims. He did so by insisting that the evidence regarding the Masai was "so scanty" that it could be ignored, and then by misreading two articles—one on the Inuit on Baffin Island and one on the "fisherfolk" of Labrador—to claim that the Inuit, despite all evidence to the contrary, actually consumed carbohydrate-rich diets.
# CHAPTER 6
# THE GIFT THAT KEEPS ON GIVING
> _Diabetes...is largely a penalty of obesity, and the greater the obesity, the more likely is Nature to enforce it. The sooner this is realized by physicians and the laity, the sooner will the advancing frequency of diabetes be checked._
>
> ELLIOTT JOSLIN, 1921
>
> _18 CALORIES! in a teaspoonful of sugar...You use up more than that getting dressed in the morning!_
>
> Advertisement from Sugar Information Inc., 1962
One more lengthy digression into the science is necessary before we get back to sugar. Since the 1930s, to summarize briefly, nutritionists have embraced two ideas that ultimately shaped our judgments about what constitutes a healthy diet. These would be the pillars on which the foundation of nutritional wisdom about the impact of foods—including sugar—on obesity, diabetes, heart disease, and other chronic diseases would be based. They were both products of the state of the science of the era; they were both misconceived, and they would both do enormous damage to our understanding of the diet-disease relationship and, as a result, the public health.
The first idea was that the fat in our diets causes the chronic diseases that tend to kill us prematurely in modern Western societies. This is what Himsworth argued and Joslin came to believe about diabetes in the 1930s, and it had spread by the 1960s to researchers looking for dietary triggers of heart disease and obesity (because of the dense calories in the fat) and eventually cancer and Alzheimer's disease as well.
At its simplest, this focus on dietary fat—specifically from butter, eggs, dairy, and fatty meats—emerged from a concept that is now known as a nutrition transition: As populations become more affluent and more urban, more "Westernized" in their eating habits and lifestyle, they experience an increased prevalence of these chronic diseases. Almost invariably, the dietary changes include more fat consumed (and more meat) and fewer carbohydrates.
This isn't always the case, however, which should have been considered a critical factor in the nutritional debates that ensued. The Inuit, for instance, pastoral populations like the Masai in Kenya, or South Pacific Islanders like those on the New Zealand protectorate of Tokelau, consumed less fat (and in some cases less meat) over the course of their relevant nutrition transitions, and yet they, too, experienced more obesity, diabetes, and heart disease (and cancer as well). These populations are the counterexamples that suggest that this dietary-fat hypothesis is wrong. The same is true of populations like the French and Swiss, who eat fat-rich and even saturated-fat-rich diets but are notably long-lived and healthy. Mainstream nutrition and chronic-disease researchers would ignore these populations entirely or invoke ad hoc explanations (the French paradox, for instance) for why their experience is not relevant.
That _all_ populations, without exception, consume significantly more sugar as they become affluent and more Westernized, would occasionally be considered as a competing hypothesis, as Joslin did early in his career. Until recently, though, it would typically be rejected on the basis that (1) most influential experts believed dietary fat was the problem, and (2) carbohydrates have identical effects on the human body, whether starches or sugar, and therefore on chronic-disease states, as Joslin and Himsworth believed. By this logic, populations that ate fat-poor and carbohydrate-rich diets and had low levels of obesity and diabetes (such as the Japanese) were held up as definitive evidence that fat is the problem and sugar is harmless.
The second pillar of modern nutritional wisdom is far more fundamental and ultimately has had far more influence on how the science has developed, and it still dominates thinking on the sugar issue. As such, it has also done far more damage. To the sugar industry, it has been the gift that keeps on giving, the ultimate defense against all arguments and evidence that sugar is uniquely toxic. This is the idea that we get obese or overweight because we take in more calories than we expend or excrete. By this thinking, researchers and public-health authorities think of obesity as a disorder of "energy balance," a concept that has become so ingrained in conventional thinking, so widespread, that arguments to the contrary have typically been treated as quackery, if not a willful disavowal of the laws of physics.
According to this logic of energy balance, of calories-in/calories-out, the only meaningful way in which the foods we consume have an impact on our body weight and body fat is through their energy content—calories. This is the only variable that matters. We grow fatter because we eat too much—we consume more calories than we expend—and this simple truth was, and still is, considered all that's necessary to explain obesity and its prevalence in populations. This thinking renders effectively irrelevant the radically different impact that different macronutrients—the protein, fat, and carbohydrate content of foods—have on metabolism and on the hormones and enzymes that regulate what our bodies do with these foods: whether they're burned for fuel, used to rebuild tissues and organs, or stored as fat.
By this energy-balance logic, the close association between obesity, diabetes, and heart disease implies no profound revelations to be gleaned about underlying hormonal or metabolic disturbances, but rather that obesity is driven, and diabetes and heart disease are exacerbated, by some combination of gluttony and sloth. It implies that all these diseases can be prevented, or that our likelihood of contracting them is minimized if individuals—or populations—are willing to eat in moderation and perhaps exercise more, as lean individuals are assumed to do naturally. Despite copious reasons to question this logic and, as we'll see, an entire European school of clinical research that came to consider it nonsensical, medical and nutrition authorities have tended to treat it as gospel. Obesity is caused by this caloric imbalance, and diabetes, as Joslin said nearly a century ago, is largely the penalty for obesity. Curb the _behaviors_ of gluttony (Shakespeare's Falstaff was often invoked as a pedagogical example) and sloth (another deadly sin) and all these diseases will once again become exceedingly rare.
This logic also served publicly to exonerate sugar as a suspect in either obesity or diabetes. By specifying energy or caloric content as the instrument through which foods influence body weight, it implies that a calorie of sugar would be no more or less capable of causing obesity, and thus diabetes, than a calorie of broccoli or olive oil or eggs or any other food. By the 1960s, the phrase "a calorie is a calorie" had become a mantra of the nutrition-and-obesity research community, and it was invoked to make just this argument (as it still is).
The sugar industry came to embrace this thinking as the lifeblood of its organization—"Which is LESS FATTENING?" a Domino Sugar advertisement asked in 1953. "3 Teaspoons of Pure Domino Sugar Contain Fewer Calories than one medium Apple." By the energy-balance logic, sugar is seen as at worst harmless and perhaps, as the sugar industry would come to argue, an ideal food for losing weight. This view was born of the assumption that obesity is caused by overeating and that all calories are the same, and the sugar industry would take full advantage. This is why it is important to understand the evolution of this thinking, how it came to be accepted as dogma, its implication, and its shortcomings.
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The energy-balance idea derives ultimately from the simple observation that the obese tend to be hungrier than the lean, and to be less physically active, and that these are two deviations from normal intake and expenditure: gluttony and sloth. It was first proposed as an explanation of obesity in the early years of the twentieth century, when nutrition researchers, as we discussed, were focused on carefully quantifying with their calorimeters the energy content of foods and the energy expended in human activity. At the time, the application of the laws of thermodynamics and particularly the conservation of energy to living creatures—the demonstration that all the calories we consume will either be burned as fuel or be stored or excreted—was considered one of the triumphs of late-nineteenth-century nutrition science. Nutrition and metabolism researchers embraced calories and energy as the currency of their research. When physicians began speculating as to the cause of obesity, they naturally did the same.
The first clinician to take these revelations on thermodynamics and apply them to the very human problem of obesity was the German diabetes specialist Carl von Noorden. In 1907, he proposed that "the ingestion of a quantity of food greater than that required by the body, leads to an accumulation of fat, and to obesity, should the disproportion be continued over a considerable period."
Noorden's ideas were disseminated widely in the United States and took root primarily through the work of Louis Newburgh, a University of Michigan physician who did so based on what he believed to be a fundamental truth: "All obese persons are alike in one fundamental respect—they literally overeat." Newburgh assumed that overeating was the cause of obesity and so proceeded to blame the disorder on some combination of a "perverted appetite" (excessive energy consumption) and a "lessened outflow of energy" (insufficient expenditure). As for obese patients who remained obese in spite of this understanding, Newburgh suggested they did so because of "various human weaknesses such as overindulgence and ignorance." (Newburgh himself was exceedingly lean.) Newburgh was resolutely set against the idea that other physical faults could be involved in obesity. By 1939, his biography at the University of Michigan was already crediting him with the discovery that "the whole problem of weight lies in regulation of the inflow and outflow of calories" and for having "undermined conclusively the generally held theory that obesity is the result of some fundamental fault."
The question of a fundamental fault could not be dismissed so lightly, however. To do that required dismissing observations of German and Austrian clinical researchers who had come to conclude that obesity could only be reasonably explained by the existence of such a fault—specifically, a defect in the hormones and enzymes that served to control the flow of fat into and out of cells. Newburgh rejected this hormonal explanation, believing he had identified the cause of obesity as self-indulgence.
Gustav von Bergmann, a contemporary of Noorden's and the leading German authority on internal medicine,*1 criticized Noorden's ideas (and implicitly Newburgh's) as nonsensical. Positive energy balance—more energy in than out—occurred when _any_ system grew, Bergmann pointed out: it accumulated mass. Positive energy balance wasn't an explanation but, rather, a description, and a tautological one at that: logically equivalent to saying that a room gets crowded because more people enter than leave.*2 It was a statement that described _what_ happens but not _why._ It seems just as illogical, wrote Bergmann, to say children grow taller because they eat too much or exercise too little, or they remain short because they're too physically active. "That which the body needs to grow it always finds, and that which it needs to become fat, even if it's ten times as much, the body will save for itself from the annual balance."
The question that Bergmann was implicitly asking is why excess calories were trapped in fat tissue, rather than expended as energy or used for other necessary biological purposes. Is there something about how the fat tissue is regulated or how fuel metabolism functions, he wondered, that makes it happen?
The purpose of a hypothesis in science is to offer an explanation for what we observe, and, as such, its value is determined by how much it can explain or predict. The idea that obesity is caused by the overconsumption of calories, Bergmann implied, failed to explain anything.
Obesity has a genetic basis. Identical twins, after all, are identical not just in their facial features, height, and coloring, but in body type—in the amount of fat they accumulate and where that fat goes. Body types run in families, just as hair and eye color and any other characteristics do. In 1929, the University of Vienna endocrinologist Julius Bauer confirmed the obvious when he reported that he had taken case histories from 275 obese patients and three out of every four had had at least one obese parent. (In 2004, the Rockefeller University molecular biologist Jeffrey Friedman would describe the influence of genes on obesity as "equivalent to that of height and greater than that of almost every other condition that has been studied.")
Newburgh was openly skeptical that genes could determine fat accumulation directly, let alone whether or not we're predisposed to become obese. He acknowledged that maybe "a good or poor appetite is an inherited feature," but then claimed that "a more realistic explanation" is a family tradition of serving huge portions of all-too-tasty food—"of the groaning board and the savory dish," as Newburgh phrased it. Fat parents cooked too much for their kids, and so their kids ate too much and became fat as well. Joslin, apparently, believed the same: that the children of obese parents acquired their predisposition to become obese through the eating habits passed on through the kitchen, not through their genes.
Julius Bauer, on the other hand, had spent his professional career studying and thinking about the application of genetics and endocrinology to internal medicine, a field he had pioneered with his seminal 1917 monograph, _Constitution and Disease._ He noted that this dismissive attitude demonstrated a remarkably naïve understanding of the role of genes and how genetic traits manifested themselves in living organisms. "The genes responsible for obesity," Bauer explained, must "act upon the local tendency of the adipose tissue to accumulate fat, as well as upon the endocrine glands and those nervous centers which regulate [fat accumulation] and dominate metabolic functions and the general feelings ruling the intake of food and the expenditure of energy. Only a broader conception such as this can satisfactorily explain the facts."
Bergmann, Bauer, and other European authorities wanted to know, among other things, why men and women accumulated fat differently. Even if they both eat more than they expend, why do men tend to store that fat above the waist (the beer belly) and women below? What does a caloric imbalance—Newburgh's perverted appetite—have to do with it? Why do girls put on fat as they go through puberty and in very specific places—hips and breasts—whereas boys typically lose fat and gain muscle? Why do women put on fat when they become pregnant, and, again, below the waist, not in their abdomens? (Saying the mother-to-be is eating for two—or for more than two—as would become and remain fashionable, isn't an explanation, just another observation.)
Why do women tend to gain fat during menopause or after having their ovaries removed? Endocrinologists like Bauer studying this "well known phenomenon" in animals would discuss the obvious role that female sex hormones _must_ play in inhibiting fat accumulation. Newburgh ignored the animal research, while writing off the same phenomenon in a woman as caused by an inclination to indulge herself: "Probably she does not know or is but dimly aware," Newburgh wrote, "that the candies she nibbles at the bridge parties which she so enjoys now that she is rested are adding their quota to her girth."
These kinds of observations told European clinical researchers thinking about obesity in the 1920s and 1930s that hormones had to be among those critical biological factors that regulated fat accumulation and, perhaps more to the point, that caloric balance and a perverted appetite offered no meaningful explanation. "The energy conception can certainly not be applied in this realm," Erich Grafe, director of the Clinic of Medicine and Neurology at the University of Würzburg, wrote about how fat distribution differs by sex in his 1933 textbook. Double chins, fat ankles, large breasts, or even the characteristic fat deposits of the buttocks known as steatopygia in the women of some African tribes were all examples cited by Bauer and others of the local accumulation of excessive fat about which, as Grafe said, the energy conception couldn't be applied.
In a series of articles written from the late 1920s onward, Bauer took up Bergmann's thinking and argued that obesity was clearly the end result of a dysregulation of the biological factors that normally work to keep fat accumulation under check. For whatever reason, fat cells were trapping excessive calories as fat and not allowing it to escape or be used as energy by the rest of the body, if it did. And if fat cells were being driven or instructed by these biological factors to hoard excessive calories as fat, this would deprive other organs and cells of the energy they needed to thrive, leading to hunger or lethargy. These would be consequences of the fattening process, not causes. Bauer likened the fat tissue of an obese person to that of "a malignant tumor or...the fetus, the uterus or the breasts of a pregnant woman," all with independent agendas, and so they would take up calories of fuel from the circulation and hoard them, regardless of how much the person might be eating or exercising. With obesity, wrote Bauer, "a sort of anarchy exists, the adipose tissue lives for itself and does not fit into the precisely regulated management of the whole organism."
By 1938, Russell Wilder, the leading expert on diabetes and obesity at the Mayo Clinic and soon to become director of the Food and Nutrition Board of the National Academy of Sciences, was writing that this German-Austrian hypothesis "deserves attentive consideration," and that "the effect after meals of withdrawing from the circulation even a little more fat than usual might well account both for the delayed sense of satiety and for the frequently abnormal taste for carbohydrate encountered in obese persons....A slight tendency in this direction would have a profound effect in the course of time." By 1940, the Northwestern University endocrinologist Hugo Rony, in the first academic treatise written on obesity in the United States, was asserting that the hypothesis was "more or less fully accepted" by the European authorities. Then it virtually vanished.
As the German and Austrian medical-research communities evaporated with the rise of Hitler and the devastation of the Second World War, the notion of obesity as a hormonal regulatory disorder effectively evaporated with it. The primary German textbook on endocrinology and internal medicine in the 1950s still included a discussion of this thinking, but that textbook never saw an English translation, which is significant, since the lingua franca of medical science had now shifted from German prewar to English afterward. The German-language journals from the prewar era, and with them the best scientific thinking of the era in all the disciplines relevant to both obesity and diabetes—including metabolism, endocrinology, nutrition, and genetics—would no longer be read, nor would they be referenced. In the United States, which would now dominate medical research for decades, physicians treating obese patients in their clinics and researchers studying it in the laboratory embraced the ideas of Louis Newburgh as documented facts. "The work of Newburgh showed clearly," they would say in seminars, or "Newburgh answered that" would be the response to any suggestions that obesity was caused by anything other than a perverted appetite. The postwar generation then bequeathed their belief to the generations that followed.
This perspective might have been more understandable if not for two developments. First, animal models of obesity consistently refuted Newburgh's arguments and supported the European school of thinking. The first such models were identified in the late 1930s, and they were remarkably consistent in confirming Bauer's and Bergmann's hormonal-regulatory take on obesity. These obese animals would frequently manifest what Newburgh might have described as a perverted appetite—in other words, as they grew fatter they would appear to be exceedingly hungry and consume greater amounts of food. But they would also get obese, or at least significantly fatter, even when they didn't eat more; this was true of virtually every animal model in which the researchers thought to ask what happened if the animals were not allowed to increase the amount of food they ate or eat any more food than did their lean littermates. Some of these animals would remain excessively fat even as they were being starved to death. Whatever the defect that caused these animals to accumulate fat, it obviously wasn't the result of overeating or a perverted appetite. It had to be working either to cause the fat cells to hoard calories as fat or to suppress the animals' ability to burn fat for fuel. Or maybe both.
Occasionally, researchers studying obesity—such as George Cahill, a leading authority on diabetes, metabolism, and obesity at Harvard in the 1960s—would pay attention to this research and conclude that, indeed, animals must have evolved to regulate their fat tissue carefully, and it was this system that would have to be dysregulated to create obesity. Cahill, however, felt that this was irrelevant to humans: such a regulatory system, as Cahill put it, "is also probably present in man, but markedly suppressed by his intellectual processes."
The second development, in 1960, was the development of a new technology that allowed researchers for the first time ever to measure accurately the level of hormones circulating in the bloodstream. It was the invention of Rosalyn Yalow, a medical physicist, and Solomon Berson, a physician, and was called the radioimmunoassay. When Yalow won the Nobel Prize for the work in 1977 (Berson by then was not alive to share it), the Nobel Foundation would describe it aptly as bringing about "a revolution in biological and medical research." Those interested in obesity could now finally answer the questions about which the pre–World War II European clinicians could only speculate: which hormones were regulating the storage of fat in fat cells and its use for fuel by the rest of the body?
Answers began coming with the very first publications out of Yalow and Berson's laboratory and were swiftly confirmed by others. As it turns out, virtually all hormones work to mobilize fat from fat cells so that it can then be used for fuel. Hormones are signaling our bodies to act—flee or fight, reproduce, grow—and they also signal the fat cells to make available the fuel necessary for these actions. The one dominant exception to this fuel-mobilization signaling is insulin, the same hormone that researchers still assumed in the early 1960s to be deficient in all cases of diabetes. Insulin, Yalow and Berson reported, can be thought of as orchestrating how the body uses or "partitions" the fuel it takes in.
When blood-sugar (glucose) levels rise, the pancreas secretes insulin in response, which then signals the muscle cells to take up and burn more glucose. Insulin also signals the fat cells to take up fat and hold on to it. Only when the rising tide of blood sugar begins to ebb will insulin levels ebb as well, at which point the fat cells will release their stored fuel into the circulation (in the form of fatty acids); the cells of muscles and organs now burn this fat rather than glucose. Blood sugar is controlled within a healthy range, and fat flows in and out of fat cells as needed. The one biological factor necessary to get fat out of fat cells and have it used for fuel, as Yalow and Berson noted in 1965, is "the negative stimulus of insulin deficiency." These revelations on the various actions of insulin led Yalow and Berson to call it the most "lipogenic" hormone, meaning fat-forming. And this lipogenic signal has to be turned down, muted significantly, for the fat cells to release their stored fat and the body to use it for fuel.
A second revelation emerged in Yalow and Berson's early papers: both type 2 diabetics and the obese, they reported, tended to have elevated levels of blood sugar _and_ abnormally high levels of insulin circulating in their bloodstream. Diabetes specialists like Joslin had assumed that all diabetics—whether they had the mild form (type 2) that associated with age and overweight, or the acute form (type 1) that appeared usually in children—lacked insulin, and that this was why their blood sugar could not be controlled. After all, both types of diabetes could be treated successfully, at least temporarily, with insulin therapy.
The Austrian Wilhelm Falta, a pioneer in the field of endocrinology, and later Harold Himsworth in the U.K. had reported that older, fatter diabetics seemed to be resistant to insulin's action, but diabetes specialists had paid little attention to the implications. The fact that type 2 diabetics had elevated insulin, as Yalow and Berson were now reporting, and still had high blood sugar, meant their cells must be resistant to insulin's usual blood-sugar-reducing effect. When other researchers working with Yalow and Berson's assay quickly confirmed this observation, it was clear that what we now call type 2 diabetes is not a disease of insulin deficiency (as type 1 is)—at least not at first—but of insulin resistance. It is preceded by an excess of insulin in the circulation, and that in turn may be a compensatory effect of the body's resistance to the action of that insulin.
That was just one of the critically important implications from this work. The second emerged from the observation that the obese also had high blood sugar _and_ high insulin levels (what Yalow and Berson called "hyperinsulinism," though it is now more commonly known as "hyperinsulinemia"). So, if insulin is a lipogenic hormone—if it drives fat accumulation—and the obese had high levels of insulin, maybe that was why they were obese. And maybe the relationship between obesity and type 2 diabetes was not as simple as Joslin and others in diabetes research were assuming, or at least the direction of causality might be very different. Rather than obesity's causing diabetes, perhaps the same underlying physiological defect—insulin resistance and thus this hyperinsulinism—was causing both. "We generally accept that obesity predisposes to diabetes; but does not mild diabetes predispose to obesity?" as Yalow and Berson wrote in 1965 (echoing what the Portuguese physician Abel Jordão had suggested a century earlier). "Since insulin is a most lipogenic agent, chronic hyperinsulinism would favor the accumulation of body fat."
If this was true, and it certainly made sense from a biological perspective, the vital question that the medical researchers and nutritionists had to answer was: what causes insulin resistance and thus elevated levels of insulin?
It could be gluttony and sloth, as Newburgh might have argued, and it could be obesity itself, as the obesity researchers would quickly come to believe. Obesity researchers in the United States had been rejecting a hormonal hypothesis of obesity since the 1930s, if not earlier. By assuming that hyperinsulinemia and insulin resistance were caused by obesity, they could continue to believe that obesity itself is caused merely by taking in more calories than expended. This thinking left a host of problems unsolved or unexplained—insulin resistance and hyperinsulinemia, for instance, in lean individuals—but it would become widely accepted nonetheless.
Another possibility is that these elevated levels of insulin and the insulin resistance itself were caused by the carbohydrate content of our diets, and perhaps sugar in particular. Insulin is secreted in response to rising blood sugar, and rising blood sugar is a response to a carbohydrate-rich meal. That somehow this system could be dysregulated such that too much insulin was being secreted and that this was causing excessive lipogenesis—fat formation—was a simple hypothesis to explain a simple observation. And it would support an observation that had been made for millennia—that sugar was capable of providing quick energy but also inducing corpulence in those so predisposed.
These revelations led both directly and indirectly to the notion that diets restricted in carbohydrates—and restricted in sugar most of all—would be uniquely effective in slimming the obese. By the mid-1960s, these carbohydrate-restricted diets, typically high in fat, were becoming fashionable, promoted by physicians, not academics, and occasionally in the form of hugely successful diet books. Academic nutritionists led by Fred Stare and Jean Mayer of Harvard were alarmed by this and denounced these diets as dangerous fads (because of their high fat content, particularly saturated fat), suggesting that the physician-authors were trying to con the obese with the fraudulent argument that they could become lean without doing the hard work of curbing their perverted appetites. "It is a medical fact that no normal person can lose weight unless he cuts down on excess calories," _The New York Times_ would explain in 1965.
This battle played out through the mid-1970s, with the academic nutritionists and obesity researchers on one side, and the physicians-turned-diet-book-authors on the other. The obesity researchers began the 1960s believing that obesity was, indeed, an eating disorder—Newburgh's "perverted appetite"—and the ongoing revolution in endocrinology, spurred by Yalow and Berson's invention of the radioimmunoassay, did little to convince them otherwise. Many of the most influential obesity researchers were psychologists, and much of their research was dedicated to studying why the obese failed to restrain their appetites sufficiently—to eat in moderation—and how to induce them to do a better job of it. The nutritionists followed along as they focused on the question of whether dietary fat caused heart disease and perhaps obesity as well, because of its dense calories. (A gram of protein or a gram of carbohydrate has four calories; a gram of fat has almost nine.) In the process, they would continue to reject any implication that sugar had fattening powers beyond its caloric content. That it might be the cause of insulin resistance—after all, _something_ was—would not cross their radar screen for decades.
The sugar industry would continue to take advantage of this conventional nutritional wisdom by defending its product, as it had been doing since the 1920s, on the basis that a calorie of sugar is no more fattening or capable of causing diabetes than a calorie of any other food. As long as obesity was considered an eating disorder, this was a perfectly legitimate assumption, a gift given to the sugar industry by nutritionists and obesity researchers with the best of intentions.
In 1956, when the sugar industry embarked on a $750,000 advertising offensive to "knock down reports that sugar is fattening," they were doing so on the seemingly sound scientific basis that calories "that are spent as energy can never be deposited as fat." A photograph of President Dwight Eisenhower putting the artificial sweetener saccharin in his coffee had provoked the campaign. His doctor, as newspapers reported, had told him to avoid sugar if he wanted to remain lean. ("Sugar Bowled Over by Photo," ran the headline in _The New York Times._ ) "Sugar is neither a 'reducing food' nor a 'fattening food,' " the industry advertisements responded. "There are no such things. _All_ foods supply calories and there is no difference between the calories that come from sugar or steak or grapefruit or ice cream."
Almost sixty years later, when the _Times_ reported in 2015 that academic researchers were doing the bidding of Coca-Cola by taking its money to fund a Global Energy Balance Network (GEBN) and "shift blame for obesity away from bad diets," this was still the argument the researchers would invoke in their defense: "Mainstream scientists understand that obesity is caused by a calorie surplus due to over-eating or under-exercising." And anyone who didn't know this was either a quack or at best held a "fringe view." Members of the GEBN were expected to be "champions of energy balance," and to "bring science to bear on the awareness for an energy balance–based solution" to the obesity epidemic. "Energy balance," the GEBN Web site noted, "is not yet fully understood, but there is strong evidence that it is easier to sustain at a moderate to high level of physical activity (maintaining an active lifestyle and eating more calories)." By implication, the problem still wasn't drinking too much Coca-Cola, or consuming too much sugar, or even consuming too much of anything; it was not being sufficiently physically active to expend those calories, a natural implication of the energy-balance thinking. For the sugar industry and the purveyors, like Coca-Cola, of sugar-rich foods and beverages, this remarkably resilient, and yet remarkably naïve, century-old conception of why some of us get fat (or are born fat) and others don't (or aren't) was, indeed, the gift that keeps on giving.
* * *
*1 Today the highest honor of the German Society of Internal Medicine is to be awarded the Gustav von Bergmann Medal.
*2 In 1968, the Harvard nutritionist Jean Mayer would make the identical point with a different metaphor: "To attribute obesity to 'overeating,' " he wrote, "is as meaningful as to account for alcoholism by ascribing it to 'overdrinking.' "
# CHAPTER 7
# BIG SUGAR
> _If...every American could be induced to tip just one extra teaspoon of sugar into his breakfast coffee alone, U.S. consumption would rise 2,000,000,000 pounds annually...._
>
> _Forbes,_ October 1, 1955
In 1928, when the sugar industry created the Sugar Institute, its first trade association, it did so not because nutritionists were attacking sugar but, rather, to address the glut of sugar that was then flooding U.S. markets. Too much sugar meant lower prices and what _The New York Times_ called "cut-throat competition" among wholesalers and refiners. The mission of the Sugar Institute was, in part, to promote a new code of ethics that would get everyone in the industry working together. It would also promote directly to the public the joys and benefits of eating and drinking sugar, because getting Americans to increase their sugar consumption was a good way of bringing supply and demand in line.
Over the next three years, the Sugar Institute placed regular advertisements in newspapers and magazines, promoting sugar as a health food—a 1930s equivalent of probiotics or multiple vitamins today. In the winter and spring, Sugar Institute advertisements pitched sugar as a means to build up the immune system and fight off colds; in the summer, sugar was pitched as an enhancement of the iced beverages that keep us cool. In the fall, sugar was the solution to mid-afternoon fatigue: "Recent scientific investigations have proved that the eating of sweet cakes, a few pieces of candy, a dish of ice cream or the drinking of a sweet beverage—even a glass of water sweetened with sugar—will revive one in an amazing way."
In 1931, though, the Department of Justice sued the Sugar Institute for trying to solve the problem of cutthroat competition by using "repressive methods" to fix prices. The case went to trial in New York City, and the court ruled against the sugar industry. The sugar industry unsuccessfully appealed to the Supreme Court, which ruled that the institute had engaged in forty-five illegal practices in assuring profits for all its members. In 1936, the Sugar Institute was dissolved.
With the coming of World War II, a new crisis arose. Nutritionists had spent the last half-century coming to understand the role of vitamins and minerals in deficiency diseases—scurvy, pellagra, and beriberi, among others. This "new nutrition" research prompted a series of studies reporting that a surprising number of Americans suffered from malnutrition; their diets failed to provide them the necessary vitamins and minerals for health. In 1940, when the military draft began, 40 percent of the first million men called up for service were rejected for medical reasons, of which the primary one was extensive tooth decay. The development prompted, among other government actions, the creation of the Food and Nutrition Board of the National Research Council and its publication of the first Recommended Daily Allowances for calories, protein, and eight other nutrients, none of which, other than calories, could be found in sugar. The head of the Food and Nutrition Board, Russell Wilder of the Mayo Clinic, declared that sugar "of all foods, [was] unquestionably the worst." Two years later, when the Food and Nutrition Board and the U.S. Department of Agriculture released the "Basic Seven" food groups— _"For Health...eat some food from each group...every day"_—sugar was still nowhere to be found.
The growing perception of sugar as "empty calories," devoid of any protein or essential vitamins and minerals, gave the government a convenient means to prepare Americans to live with the sugar rationing that would come with the war. Nutritionists and government authorities joined what the sugar industry had come to call "food faddists" in suggesting that sugar had no place in a healthy diet. One sugar industry document described these pronouncements as "sugarcoating the bitter pill of rationing," which was a clever, and apt, way of putting it. What the industry considered an attack on its livelihood—"a heavy barrage of anti-sugar propaganda"—was launched in 1942 with a government pamphlet released in preparation for rationing: It asked the question "HOW MUCH SUGAR DO YOU NEED?" and answered it unequivocally: "NONE!...Food experts say you really don't _need_ any sugar at all."
The American Medical Association published a report by its Council on Foods and Nutrition that described sugar as a "vitamin poor" dietary constituent, which could lead to deficiency diseases by taking the place of vitamin-rich foods. The AMA council conceded that at best sugar could be harmless when consumed with nutritious foods—milk and eggs, for instance—but even then it merely " 'dilute[d] with calories' the food which is sweetened." The report concluded that "all practical means" should be "taken to limit the consumption of sugar in any form in which it fails to be combined with significant proportions of other foods of high nutritive quality." As sugar rationing kicked into effect in 1942, other authorities were even blunter about the value of sugar in the diet. "Don't complain about sugar rationing," Louis Newburgh told a reporter. "It would be a godsend if there was no sugar at all."
In their internal documents, sugar-industry executives suggested that they had simply failed to educate government officials on the "true story" of sugar. Now they had to undo the damage, before habits that would be learned during the wartime years of sugar rationing carried over into the postwar years. "Coffee without sugar today," warned one internal industry report, "in many cases will result in coffee without sugar during the post-war period."
In 1943, the industry formed a new nonprofit organization, the Sugar Research Foundation (SRF), to set the record straight.*1 The rationale and strategy of the SRF—"a suggested program for the cane and beet sugar industries"—were described in a document drafted by Ody Lamborn, who was president of the Coffee and Sugar Exchange of New York and would be the SRF's first executive director. "What happens when the flood-gates are opened at the close of the war?" Lamborn's document asked. "It will readily be seen that it is important not to have the mind of the American public poisoned against an invaluable and almost indispensable food—sugar."
The focus of the SRF would be educating the public on the merits of sugar, while simultaneously funding research that would "secure all known facts about sugar and its effects on and need by the human system." Members would include sugar producers, refiners, and processors, and these companies would provide the necessary funding of roughly a million dollars a year. One model for what Lamborn and the sugar industry hoped to achieve was what the California Fruit Growers' Exchange had accomplished to sell oranges and orange juice—"Who does not know of Sunkist oranges?"—and private industries such as Heinz and Campbell were achieving with their nationally branded products. The Sugar Research Foundation, befitting its name, would not indulge in any of the questionable activities that led to the demise of the Sugar Institute. Rather, it would focus on the single major challenge that the entire industry had in common—"the defense of sugar as a food and the expansion of post-war markets for sugar."
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The dilemma for such an organization is one that would become common to all such industry-funded research programs and, most notably, those of the tobacco industry: how to defend and promote the use of a product—sugar, in this case—while simultaneously funding research that is ostensibly meant to secure all known facts about the product and its effect on human health. Because this research could elucidate the problematic aspects of sugar, the two goals could turn out to be mutually exclusive. Executives of the sugar industry might hope this would never happen, but there was no guarantee. If results of the research in any way challenged "the defense of sugar," the organization would have to find a way to spin its research and its program of education to make it appear as though it didn't.
By 1951, the Sugar Research Foundation, by then renamed the Sugar Association Inc. (SAI), had distributed three million dollars in research grants throughout the highest levels of academia—from Princeton and Harvard on the East Coast to the California Institute of Technology on the West. At a time when academic researchers were encouraged to work closely with industry, the SRF/SAI grants went to some of the most prominent researchers in nutrition, carbohydrate chemistry, and metabolism. The program was exceptional, and the grants themselves would regularly be written up in _Science_ and other influential scientific journals. The first award went to the Massachusetts Institute of Technology (MIT): $125,000 to fund five years of research on carbohydrate metabolism. The MIT researchers would look for new industrial uses for sugar, while training a generation of young scientists in carbohydrate chemistry. MIT announced the grant along with the news that Robert Hockett, an assistant professor of chemistry, would take a leave of absence from the university to become scientific director of the SRF/SAI. The president of MIT would later say that he hoped this collaboration with the sugar industry would be a model for how industry and universities worked together in the future, and to a great extent it was.
Among the many other researchers that the sugar industry would begin supporting during the war years, two of them—Ancel Keys, at the University of Minnesota, and Fred Stare, founder of the department of nutrition at Harvard—would become lifelong friends of the industry. Stare and Keys would play critical roles in the 1960s and 1970s, defending the place of sugar in a healthy diet and arguing against the idea that it could be a cause of chronic disease.
By the early 1950s, the SAI would begin fighting public-relations battles on multiple fronts. If Americans were told that sugar caused dental caries (the technical term for tooth decay and cavities), the SAI, with the help of the researchers it was funding, would find a way to present the evidence that suggested Americans would be foolish to consume less sugar. When obesity became an issue, as it quickly did, and Americans turned to artificial sweeteners, the SAI would take on artificial sweeteners directly. The tobacco industry in the 1960s would use similar strategies to combat the public-health campaigns against smoking, and some of the players who honed their expertise on sugar—Robert Hockett most notably—would take on the same roles for the tobacco industry.*2
Cavities and tooth decay had been linked to sugar directly for hundreds of years and indirectly for thousands. In the fourth century B.C., for instance, Aristotle was asking what it was about figs, a particularly sugar-rich fruit, that damages the teeth. In the sixteenth century, when sugar had become a staple of British royalty, a German traveler to London famously commented that Queen Elizabeth's teeth were black and that this was "a defect the English seem subject to, from their too great use of sugar." He added that the poor in England then seemed healthier than the rich, because sugar was a luxury the poor couldn't afford. Sugar "rotteth the teeth, making them look blacke, and withal, causeth many times a loathsome stinking-breath," one seventeenth-century text suggested. "And therefore let young people especially, beware how they meddle too much with it." This thinking can be found sprinkled throughout medical opinion ever after.
Still, the prevalence of dental caries remained relatively low through the mid-nineteenth century, but then it began to explode.*3 By the 1890s, the British Army was rejecting a "startlingly high-proportion of recruits" because of their rotten teeth. In the 1930s, researchers on both sides of the Atlantic were documenting high rates of dental caries among the poor and malnourished. "You would have to look for a long time before you saw a working-class person with good natural teeth," wrote George Orwell in _Road to Wigan Pier_ in 1937. And, indeed, few had their own teeth at all after childhood. "Various people gave me their opinion that it is best to 'get shut of' your teeth as early in life as possible. 'Teeth is just a misery,' one woman said to me."
In 1939, Weston Price, a Cleveland dentist and chair of the American Dental Association's research committee, published _Nutrition and Physical Degeneration,_ his seminal study of dental health around the world. As Price reported, and other researchers would confirm, isolated populations—including Swiss mountain villages, pastoral populations in Central Africa, the Inuit and First Nations people of North America, South Pacific Islanders—had nearly cavity-free teeth and retained their teeth for life, as long as they consumed their traditional diets and avoided the sugar and white flour that had come to dominate diets in the United States and Europe. "It is true that dental caries was not a major health and economic hazard until refined sugar was made available," wrote the Northwestern University chemist L. S. Fosdick in 1952. "Even today dental caries is not a major disease in those countries where refined sugar is a luxury."
The proximate cause of tooth decay had been obvious since the late nineteenth century—bacteria living in the mouth. When sugars are present, as Fosdick put it, "they find it a nice place to live," and produce an acidic environment that eats away at the enamel of the teeth. The effect is transient and follows each meal. Hence, the more times each day we feed our bacteria, the more times each day the teeth will come under attack. The more sugar-rich or carbohydrate-rich snacks consumed during the day, the more "cariogenic" episodes. Brushing immediately after meals was known to be relatively effective at preventing cavities, but not nearly as good as avoiding sugar entirely. By the 1930s, dentists had taken to advising diets with minimal sugar as the obvious means of prevention, and one that would work even in children who may have been otherwise malnourished.
The existing science left only one significant point of controversy, which gave the sugar industry its defense. Sugar _might_ not be any worse than other easily digestible carbohydrate-rich foods, particularly white flour and starches. Glucose was known to fuel the same acid-secreting bacteria as sucrose or fructose alone. Two of the very first grants given out by the SRF had gone to researchers at the University of Iowa and Harvard (Fred Stare and his colleague Leroy Johnson) to reassess the evidence on sugar and caries formation. By 1950, the Sugar Association, Inc., was acknowledging in its internal documents that carbohydrates, including sugar, play a causal role in tooth decay, and that sugars that dissolved easily in water—sucrose and glucose—might play a bigger role than starches, though the latter point was still open to debate.
The problem, from the sugar-industry perspective, was that dentists didn't seem to care about the ambiguity and were simply telling children to avoid sugar. Hence, the "ultimate aim" of the industry's research, according to the SAI's annual report in 1950, was to "discover effective means of controlling tooth decay by methods other than restricting carbohydrate intake." Publicly, the association would argue that there was nothing unique about refined sugar, that plenty of foods would need to be restricted if prevention was the goal. If so, wrote Robert Hockett, the SAI president, then "most of the present counsel is tragically wide of the mark." An approach that would require Americans to cut down on all carbohydrates "stands little chance of success," and so it shouldn't be done. Rather, as the sugar industry was doing, more research should be funded to come up with better ways of preventing cavities on a nationwide scale—perhaps vaccines that worked against the cariogenic bacteria. In the meanwhile, the industry would argue, the only wise counsel dentists could give and should give was to recommend "prompt brushing after every meal or a simple water rinse at the earliest possible moment after taking food of any kind that will help materially in keeping down decay."
—
The sugar industry would adopt a similar tactic with obesity, arguing that all foods should be restricted, not just sugar—a calorie was a calorie, after all—albeit without the implication that such a tactic was sure to fail.
Whether a coincidence or not, the 1950s became the decade in which Americans started dieting en masse—or at least when the media began paying attention and low-calorie food products exploded as a food category. "Millions of Americans—male and female—were locked in the battle of the bulge," according to _Time_ magazine in 1953. The American Medical Association "had described obesity as America's No. 1 health problem," noting that the thirty-four million Americans who were then overweight (according to a Gallup poll) had a higher risk of dying than the lean. By the end of the decade, _The New York Times_ was reporting on "the great American dieting neurosis," while noting that one in five Americans was now "overweight" (defined as 10 percent above their "desirable" weight) and that one in three—another Gallup poll—was planning to diet, if he or she hadn't already done so (and regained, as was apparently inevitable, whatever weight had been lost).
The diet industry was now exploding, and the sugar industry perceived this as a direct threat to its viability. In 1952, some fifty thousand cases of "low-calorie" soft drinks had been sold, and sugar-free soft drinks were perceived as primarily a product to be used by diabetics. In 1959, fifteen million cases were sold; this was still a tiny percentage of the soft drink market, but the share was increasing every year.
Soft-drink manufacturers could respond—as both Coca-Cola and Pepsi quickly did—by creating their own diet soft drinks, but the sugar industry had no such option. Its only means of protecting its market share was by going on the offensive, first by defending the role of sugar in a healthy diet, even as a tool for dieting, and then by attacking the competition—artificial sweeteners—directly, as it would in the 1960s.
In 1951, the American Sugar Refining Company launched an intensive advertising campaign—the goal was nine hundred million messages, delivered in three hundred daily newspapers, Sunday supplements, and farm journals—stressing how important it was for children, in particular, to benefit from the energy contained in pure sugar. Three years later, the Sugar Association took over the effort, working through its public-relations arm, Sugar Information, Inc., which would now be dedicated to communicating the proposition that sugar was an indispensable food in _any_ diet. The Sugar Association budgeted $1.8 million for a three-year advertising blitz—an "educational campaign"—and hired the legendary Leo Burnett advertising agency in Chicago to craft it.*4
While physicians at Harvard, Cornell, and Stanford medical schools were now publishing in the medical journals anti-obesity diets that advocated avoiding sugar and sweets entirely, as did the occasional medical textbook, the sugar industry, reported the _Times,_ was dead set on convincing the public that its product was anything but fattening. Sugar Information, Inc., with the help of Leo Burnett, would do so by taking advantage of two assumptions of the nutritionists themselves. The first, as we discussed, was that obesity was caused by the excess consumption of all calories. If so, there was nothing unique about sugar. It was "neither a 'reducing food' nor a 'fattening food,' " as the sugar-industry advertisements were now proclaiming. Assumption number two was based on the idea that hunger is a response either to low blood sugar or to the diminished utilization of glucose for fuel by the central nervous system. (The latter was an idea of Jean Mayer, working in Fred Stare's department at Harvard, and funded, at least in part, by the Sugar Association.) Both assumptions would be repeatedly refuted in experiments and would remain at best controversial for another twenty years, but nutritionists had a tendency, as they still do, to hold on to their hypotheses once adopted, regardless of the evidence that might accumulate against them. These ideas continued to suggest that foods that had the ability to raise blood sugar quickly or to be metabolized quickly—as sugar did and was—would be particularly effective at staving off hunger and thus overeating.
The sugar industry capitalized on both ideas, especially since they _seemed_ logical: Because sugar contains only sixteen calories*5 per teaspoon (a quantity chosen by Sugar Information, Inc., perhaps because people tend to put sugar in their coffee or tea by the teaspoon), and because sugar is metabolized so quickly, it "satisfies the appetite faster than any other food. Faster even than larger portions of many other foods that supply _far more calories._ " By the industry's logic, eating sugar between meals "takes the edge off your hunger, [and] helps to overcome one of the chief causes of overweight— _overeating._ " Here's the argument as a Q&A in a Sugar Information, Inc., advertisement that ran in _The Washington Post_ in 1957:
Q. How can sugar help you eat less?
A. You may remember when you were small, your mother wouldn't let you have a cookie or a piece of candy before a meal because you wouldn't eat all your dinner. Perhaps mother didn't know the scientific reason, but it is a fact that _no other food stems the appetite faster than sugar._...If you are trying to cut down on portions, a nibble of something sweet shortly before a meal may keep you from eating far more calories than you need at mealtime.
As an increasing proportion of the public grew overweight and then obese, and as dieting did, indeed, become a national obsession, the advertisements and their very questionable logic did the job of addressing the immediate problem confronting an industry that was dedicated to maximizing both the production and the consumption of sugar.
By the early 1960s, though, Sugar Association executives came to believe that a more direct line of attack was needed to combat the growing threat to their livelihood from the use of artificial sweeteners—particularly saccharin and cyclamates—as sugar replacements. Not only were these artificial sweeteners gaining unprecedented acceptance with weight-conscious consumers, they were also less expensive than sugar. This competitive advantage may have driven the sugar industry's response more than any other factor, leading cyclamates to be removed from the U.S. market entirely within a decade, and saccharin, if not all artificial sweeteners, perhaps irrevocably tainted as a potential carcinogen.
This particular conflict, like many with sugar, had a long history. Saccharin had been discovered in 1879, a derivative of coal tar that would be marketed as a sugar alternative, and even then an inexpensive one. Saccharin was more than five hundred times sweeter than sugar, and it could be purchased for one-tenth the cost. It had the added benefit of passing through the body without apparently being metabolized, which made it ideal for diabetics, who were told by their physicians to avoid sugar, and for the obese, who might be trying to limit calories or avoid carbohydrates. "For the first time in history," as the journalist Rich Cohen wrote about saccharin, "a food was valued not for being nutritional but for having no nutritional value whatsoever."
Then, as now, saccharin was controversial. The gist of the conflict was captured as early as 1907, when President Theodore Roosevelt had what amounted to an exceedingly short argument on its risks and benefits with Harvey Wiley, chief chemist of the Bureau of Chemistry of the U.S. Department of Agriculture. At the time, Congress had just passed the Pure Food and Drugs Act, which was the first great consumer-protection law in the United States. It had been largely motivated by Wiley's efforts to safeguard Americans from the adulteration of processed foods by dangerous chemical preservatives, and from patent medicines containing addictive and dangerous drugs. The Pure Food and Drugs Act was the founding act in a series of legislations that led to the 1930 reorganization of the USDA's Bureau of Chemistry into the Food and Drug Administration as we know it today.
Wiley believed that saccharin was unsafe for human consumption (his own research apparently failed to demonstrate otherwise) and, as he would argue to Roosevelt, that any consumer who purchased a product sweetened by saccharin had been deceived. Such a consumer "thought he was eating sugar," Wiley had said, "when in point of fact he was eating a coal tar product totally devoid of food value and extremely injurious to health." Wiley was unmoved by the argument that fruit canners, for instance, could save significant money by sweetening and preserving their products with saccharin rather than sugar. He had begun his career at the Department of Agriculture in 1883 and had been tasked then with the job of developing the domestic sugar industry. Wiley, more than any single individual, gets credit for the success of the American beet-sugar industry, having spent years of his professional life determining the optimal strains of beets to plant for different soil and climatic conditions.
Roosevelt's perspective on sugar and saccharin, however, was different. He was fat and in danger of getting fatter, and his personal physician, or so Roosevelt told Wiley, had counseled him to use saccharin daily. Hence, "anybody who says saccharin is injurious is an idiot." That was the end of the argument.
Roosevelt may or may not have been right about the long-term safety of saccharin; Wiley was certainly wrong in his contention that it was "extremely" dangerous. Roosevelt did have the better instinctive understanding of the nature of the health trade-off. For him, a nonnutritive sweetener—a "non-caloric" sweetener—seemed to be an obvious means of preventing corpulence. He correctly understood the policy question to be: which was worse, sugar or saccharin?
In 1975, when the FDA was moving toward a ban of saccharin, this is how thoughtful scientists also framed the issue. Philip Handler, head of the National Academy of Sciences, would describe it as a trade-off in his introduction to a symposium on sweeteners hosted by the NAS. As long as those who are overweight died sooner than the lean, as actuarial tables showed—"bearing out an old aphorism I learned as a graduate student," Handler said: 'The thin rats bury the fat rats' "—and assuming some weight or health benefits could be gained from consuming a noncaloric sweetener rather than sugar itself, then the question should be a risk-benefit analysis: What degree of risk from cancer or some other ailment was acceptable in the face of the benefit?
But this was not how the FDA saw it. The FDA mandate in regulating food additives focused almost exclusively on risk, as it always had. Despite Roosevelt's contention of saccharin's safety, from 1913 onward the federal government required that saccharin-containing products be plainly labeled: they could be used only "for the benefit of those to whom sugar is harmful or deleterious" or "by persons who must restrict their intake of ordinary sweets." Sugar shortages, particularly during the two world wars, would prompt increases in saccharin use as a sugar substitute, but otherwise it was marketed to and apparently used primarily by the diabetic and dyspeptic.
Cyclamates did not have saccharin's illustrious and controversial history. Sodium cyclamate was discovered in 1937 and by 1950 was being marketed in pill form by Abbott Laboratories. The compound was thirty times sweeter than sugar, as was calcium cyclamate, a sister compound, and they both lacked the bitter aftertaste that some individuals noticed with saccharin. They could also be used for cooking and baking without any loss of sweetness, which wasn't true of saccharin.
The FDA required the same labeling on products sweetened with cyclamates that it did with saccharin-sweetened products: "used only by those persons who must restrict their intake of ordinary sweets." But by the 1950s, the number of those individuals was apparently skyrocketing. Certainly the number of individuals who _wanted_ to restrict their intake of ordinary sweets was. And thus was born a diet-food industry to support a nation of dieters, typically using a ten-to-one mixture of cyclamate to saccharin that would become the industry standard.
No-calorie and low-calorie soft drinks first appeared in 1952—sweetened by cyclamate or the cyclamate-saccharin mixture. They were sold in pharmacies and groceries ostensibly for diabetics, but used widely. Coke and Pepsi released artificially sweetened diet sodas in 1963—Tab and Patio respectively—following on the heels of Royal Crown's Diet-Rite and diet sodas from Canada Dry and Dad's Root Beer. Sales of diet sodas increased from 7.5 million cases in 1957 to fifty million in 1962, and then began doubling yearly. By 1964, they made up 15 percent of soft-drink sales, and analysts were predicting that they might someday constitute over a third of all sales.
The sugar industry responded with a million-dollar advertising campaign clearly meant to address the threat to business from diet soft drinks, claiming that artificially sweetened sodas failed to meet the nutritional needs of growing children and that "trying to lose weight by drinking them is like trying to lighten an airplane by emptying the ashtrays." (Royal Crown, which held almost 50 percent of the diet-soft-drink industry with Diet-Rite, responded with a series of ads rebutting the "sugar daddies": "If it's wrong to do millions of people a favor by taking the sugar out of cola, Diet-Rite pleads guilty.")
Publicly, the sugar industry would address the threat by looking for ways to diversify their products—continuing to fund research on the use of sugar in paints, detergents, water purification, and cigarettes, among other items—but none of these held the promise of replacing the sugar sales that were in danger of being lost to artificial sweeteners.
Privately, the industry would try to generate the evidence that the FDA needed to put the competition out of business. Although industry executives were remarkably open about this strategy, at least once it was showing signs of success. In 1969, after the Sugar Association created the International Sugar Research Foundation, John Hickson, the Foundation's vice president, described the sugar industry's position as either "find new arguments to use as leverage to force the FDA to fulfill its regulatory functions or expect to see major fractions of its markets taken over." To _The New York Times,_ Hickson phrased this position in slightly more colloquial terms: "If anyone can undersell you nine cents out of 10," he said, speaking of cyclamates and saccharin, "you'd better find some brickbat you can throw at him."
That brickbat, to be precise, was a 1958 amendment to the Pure Food and Drugs Act that had been passed by Congress twenty years earlier. The original act had mandated that the FDA approve any new ingredient in processed foods as safe before it could be used, specifying that the only criterion for approval was _safety._ If a product had a safety risk, no amount of benefit from its use would work in its favor. There would be none of the trade-offs that Roosevelt had perceived or Philip Handler would later describe. A New York congressman named James Delaney chaired the congressional committee responsible for the 1958 amendment, and Delaney had recently lost a close relative to cancer. Hence, the amendment came with what would come to be called the "Delaney clause," specifying that "no additive shall be deemed to be safe if it is found to induce cancer when ingested by man or animal."
The 1958 amendment had also allowed the FDA to exempt some seven hundred existing substances from the approval process on the grounds that they were "generally recognized as safe," a designation that depended on the opinions of experts with the appropriate qualifications. These substances, which included both cyclamates and saccharin, had what would come to be known as GRAS (generally recognized as safe) status: the industry could freely use and sell them as food additives, but if new evidence came along to raise questions about their safety, the FDA would have to reassess these as well.
Between 1963 and 1969, the Sugar Association spent more than two-thirds of a million dollars (over four million today) on research designed to force the FDA to remove cyclamates from the GRAS list and have them banned. Much of the funding went to then obscure research organizations such as the Wisconsin Alumni Research Foundation (WARF) and the Worcester Foundation for Experimental Biology. The researchers at these foundations would look at the effects of saccharin or cyclamates on ingestion and excretion, metabolism, blood transport, drug interactions, the stunting of growth, cell or chromosomal damage that might lead to cancer, on sex hormones, birth defects, behavior, and even gastric distress. The aim was to find something that could prompt the FDA to reassess the GRAS status of these artificial sweeteners. If nothing else, the research reports from these institutions would keep cyclamates and saccharin in the news as a potential health hazard and increase consumer anxiety about their safety.
In May 1965, the FDA published its first review of the medical literature on cyclamates and concluded that there was little to fear. Five months later, the Sugar Association announced that WARF had published a one-page letter in the prestigious journal _Nature_ suggesting that cyclamates could stunt the growth of rats—at least when the rats consumed these noncaloric sweeteners in quantities equivalent to hundreds of twelve-ounce cans of diet soda daily. This was the only study the WARF researchers would publish on cyclamates, but the two researchers involved (apparently the president and head of the biological department at WARF) continued their research through the early 1970s, first on cyclamates and then on saccharin. They reported directly to the Sugar Association and paid multiple visits to the FDA to discuss their unpublished results and why they believed that cyclamates should be banned from public use of any kind, suggesting to the FDA investigators that cyclamates were capable of causing everything from birth defects to "mental disturbance."
William Goodrich, an assistant general counsel at the FDA, would later testify to Congress that the FDA had been skeptical of the WARF research on the grounds that it had been funded by the sugar industry, which "had an understandable interest in getting cyclamates out of the soft drinks." The sugar industry lawyers, he said, had also "bombarded [him] with memoranda and scientific arguments of every sort that the product cyclamate could not generally be recognized as safe."
Finally, in 1970, researchers funded by Abbott Laboratories, at the request of the FDA, reported that high doses of cyclamate had, indeed, caused bladder cancers in male rats. The Delaney clause would now have to be invoked. A Coca-Cola executive later noted that humans would have to drink 550 cans of Fresca daily to get the equivalent dose of cyclamates as had the rats—"you'd drown before you'd get cancer," he said—but the Delaney clause did not account for whether the dosage required to cause cancer was a realistic one.
The FDA administrators had originally hoped to ban cyclamates for use in soft drinks and other foods, but to sustain their use for diabetics and obese individuals who needed to watch their calorie consumption or whose doctors suggested they avoid sugar. The pressure from food activists concerned about chemical carcinogens prevented even that compromise. (Ralph Nader's Public Citizen's Health Research Group, for instance, argued that the FDA should regard "one of its primary missions as being a cancer-prevention agency.") In October 1970, the FDA banned all use of cyclamates. Two years later, when John Hickson left the International Sugar Research Foundation to work for the Cigar Research Council, he was described in a confidential tobacco-industry memo as a "supreme scientific politician who had been successful in condemning cyclamates, on behalf of the Sugar Research [Foundation], on somewhat shaky evidence which he had been able to conjure out of Wisconsin Alumni Research Foundation."
The sugar industry almost succeeded in barring saccharin sales as well. In 1972, the FDA removed saccharin from the GRAS list, limiting its use by the food industry but allowing consumers to continue to purchase the sweetener, while the agency waited for more conclusive research. The FDA's action was based on yet another unpublished claim from the WARF researchers: that rats consuming relatively vast amounts of saccharin also developed bladder cancer.*6 The rats in the WARF studies, as in the cyclamate studies that had preceded it, were conceived, developed in utero, weaned, and subsequently lived their entire lives in a saccharin-rich environment, "in excess of the amount a consumer would receive from drinking 800 twelve-ounce diet sodas daily for a lifetime," _The New York Times_ would explain. ("It's humanly impossible to drink 1/10th that amount in a day," said one congressman. "The first 50 cans...would kill you.") Chronic toxicity studies carried out in Japan, Germany, England, and the Netherlands would all show no harm from saccharin consumption, but the Delaney clause was what it was, and the FDA had its mandate.
In 1977, after Canadian researchers reported a finding similar to what the WARF researchers had claimed, the FDA moved to ban saccharin as well. It never happened, largely because the FDA succumbed to a letter-writing campaign and settled yet again for a warning label that would stay on packets of the saccharin-based Sweet 'N Low, most prominently, until the year 2000. (To confuse matters, the Canadians banned saccharin but left cyclamates on the market, so Sweet 'N Low in the United States is made from saccharin and in Canada from cyclamates.)
Researchers would later realize that the physiology of laboratory rodents is sufficiently different from that of humans so that their propensity to develop bladder cancer occasionally when living on vast amounts of artificial sweeteners is not relevant to what happens to us, as the National Cancer Institute acknowledges. The FDA now considers neither cyclamates nor saccharin to be carcinogenic. In December 2000, the FDA removed the requirement that Sweet 'N Low carry a warning label, but by that time artificial sweeteners had been, indeed, irrevocably tainted. In the 1980s, when food-industry analysts were predicting a surge in diet-soda sales that failed to last, one explanation was that consumers continued to think of these substances as far more noxious than sugars and so drank sugar-sweetened beverages instead. And by then the sugar industry had successfully fought off the greatest threat to its livelihood—that it, too, could lose GRAS status and no longer be generally recognized as safe.
* * *
*1 This is the same SRF that in 1950 would discuss the spectacular success of the sugar-tobacco marriage.
*2 In the early 1970s, Hockett served as scientific director for the Council for Tobacco Research. In that role, he dealt with the dilemma of funding research while simultaneously promoting consumption of the product by threatening at least one investigator with a cessation of his funding if he didn't spin the interpretation of the evidence to make it less obvious that cigarette smoke was carcinogenic.
*3 That the pattern was strikingly similar to that of diabetes is probably not a coincidence.
*4 Burnett's agency was famous, among other things, for the Jolly Green Giant, Tony the Tiger, the Pillsbury Doughboy, and the Marlboro Man. In 1998, _Time_ magazine listed Burnett, the "Sultan of Sell," as among the hundred most influential people of the twentieth century.
*5 Sugar industry ads would occasionally say eighteen.
*6 The WARF researchers did present a paper in 1974 at a symposium on sweeteners organized by the American Chemical Society.
# CHAPTER 8
# DEFENDING SUGAR*1
> _If we are looking for a dietary cause of some of the ills of civilization, we should look at the most significant changes in man's diet._
>
> JOHN YUDKIN, _The Lancet,_ 1963
>
> _So the real question for me as an educator is, if I go out and tell people that I think they are eating too much sugar, if I go out and tell mothers I think they should stop their kids from eating so much sugar because it is bad for them, am I going to get flak from the scientists? Or am I going to be allowed to make that statement without travail, on the grounds that even though we do not have hard evidence to link sugar with a specific disease, we do know that a dietary pattern containing considerably less sugar, in which sugar is replaced by a complex carbohydrate, would be a much healthier diet?_
>
> JOAN GUSSOW, chairman,
>
> Columbia University nutrition department, 1975
In 1976, John Tatem, Jr., then president of the Sugar Association, Inc., made two memorable presentations telling the story of sugar from the industry's perspective. Tatem spoke first in January to the Chicago Nutrition Association; in October, he spoke in Scottsdale, Arizona, to a meeting of the Sugar Association's board of directors.
Sugar is a healthy if not an ideal nutrient, Tatem explained at these meetings, "the purest and most economical carbohydrate available to us." In fact, as a source of inexpensive calories, sugar was a vital nutrient in the battle against famine throughout the underdeveloped world. But recently sugar had come under attack. The "enemies of sugar," Tatem said, "have charged it with contributing to every disease and physical ailment known to man, from heart disease to sweating palms."
These enemies were the "persuasive purveyors of nutritional rubbish," said Tatem, the "opportunists dedicated to exploiting the consuming public," "the promoters and quacks" who "calculatedly enlist the mass media to their ends," who "neatly apply Goebbels' 'Big Lie' technique," and who had "successfully misled a great many well-meaning advocates and media commentators." As a result of this campaign of anti-sugar propaganda, said Tatem, "sugar, once accepted almost without question, has become a highly controversial food." And if we wanted to learn the truth, we'd have to "wade through yards of pseudoscientific drivel" to do it.
Tatem wasn't fazed, or at least not publicly, by the fact that these alleged purveyors of nutritional nonsense included, among others, Walter Mertz, head of the Carbohydrate Nutrition Laboratory at the U.S. Department of Agriculture; John Yudkin, the most influential nutritionist in the United Kingdom, founder of the first dedicated department of nutrition in Europe; and the Harvard nutritionist Jean Mayer, easily the most influential nutritionist in the United States and shortly to become president of Tufts University.
Mayer had published an article in June 1976 in _The New York Times Magazine_ —"The Bitter Truth About Sugar"—linking sugar not just to cavities and tooth decay but to obesity and type 2 diabetes, what Mayer called the "fat-and-forty type" of diabetes because of its association with obesity and aging. For children, Mayer suggested, sugar is quite possibly as addictive as tobacco. "The limited bill against sucrose which can be documented is sufficient to justify a drastic decrease in our consumption," Mayer had written.
At the Scottsdale meeting, four months after the _Times_ had published Mayer's article, Tatem described how the Sugar Association had come to learn that _Reader's Digest_ was planning to run an excerpt of it. Tatem and his colleagues had then managed to kill the excerpt, he said, first with an hour-and-a-half call to a _Reader's Digest_ editor, followed by a three-page telegram to the managing editor himself. Mayer's article, according to the telegram, which was distributed to board members at the meeting, was a "scientific farce and a journalistic disgrace," and the Sugar Association could say this because "not one shred of substantiated, admissible scientific evidence exists linking sugar to the death-dealing diseases."
This was the story that the sugar industry believed, and this was the story the Sugar Association was now widely selling to the American public. "We have moved to the defensive—the defense of our primary product," Tatem said. "In confronting our critics we try never to lose sight of the fact that no confirmed scientific evidence links sugar to the death-dealing diseases. This crucial point is the lifeblood of the Association."
—
The war on sugar, as the newspapers would take to calling it—and in which this book is the latest offensive—had emerged fully blown in the 1960s, when the Sugar Association went on the attack to protect what Tatem later called its lifeblood. Prominent nutritionists, physicians, and laboratory researchers had begun to publish reports suggesting that sugar seemed uniquely capable of causing a cluster of metabolic abnormalities—at least in laboratory animals, if not in humans as well—that were intimately associated with both diabetes and heart disease. These reports coincided with the rise of the consumer movement and with demands from consumer activists that the Food and Drug Administration fulfill its obligations to protect the public from harmful pesticides and additives in food. In 1969, a White House Conference on Food, Nutrition and Health, convened by President Richard Nixon, called for a complete FDA review of food ingredients that were "generally recognized as safe," or GRAS substances. Sugar had been considered by the FDA—along with other "common food ingredients" such as salt, pepper, and vinegar—to be safe for any intended use. Still, like saccharin and cyclamates, it could have its "GRAS status" revoked if the FDA were given sufficient reason to worry.
The challenge to the sugar industry, as Tatem explained, was first to its credibility—"for one of the offshoots of the consumer movement has been a great weakening of public faith in the motives of business and industry"—and then to its viability. It had to respond to the charges leveled against sugar by these researchers and public health authorities, by "the enemies of sugar," as Tatem called them. "We have had to answer back to establish the facts or run the risk of being legislated out of existence."
The sugar industry won that battle in the 1970s. In doing so, it managed to shape both public opinion on the healthfulness of sugar, and how the public-health authorities and the federal government would perceive it for the next quarter century, if not, perhaps, ever since. This was one of the great public-relations triumphs of the food industry. The Sugar Association executives certainly perceived it as such.
By the mid-1980s, academic or government researchers who suggested that sugar could be a cause of heart disease or diabetes said they were risking their credibility in the process. Largely because of the sugar industry's public-relations triumph, the consumption of sugars—both sucrose and high-fructose corn syrup—did not decrease dramatically, as Jean Mayer had suggested was necessary, but, rather, saw the greatest increase in at least half a century. This was accompanied—coincidentally or not—by equally dramatic increases in the prevalence of obesity and diabetes.
What the sugar industry accomplished in the 1960s and 1970s raises vital questions about how an industry should respond when confronted with legitimate, albeit ambiguous, research suggesting that its product is dangerous. Defending your product against the dire implications of research is a natural response, as is pointing out the limitations and conflicting nature of the evidence. But does responsibility end there? Is it justified to do no more than wait and see what future research shows?
In the mid-1970s, even researchers hired as consultants by the sugar industry were telling it to do whatever experiments and clinical trials were necessary—to spend whatever money was necessary—to establish definitively whether or not sugar causes diabetes and raises the risk of heart disease. Instead, the sugar industry launched its public-relations campaign to defend sugar and attack its critics. Because this campaign succeeded, the research necessary to establish whether the dire implications were correct, or to exonerate sugar, as the case might be, was delayed for at least twenty years. It's still being done, albeit only in fits and starts. The sugar industry's campaign, however, could only succeed with the help of a nutrition-research community that had largely come to believe that dietary fat—saturated fat in particular—was the most likely cause of our chronic diseases. Understanding that development is crucial.
—
In the 1950s, nutrition research had turned away from its focus on the energy content and the vitamin and mineral content of foods (the "new nutrition" of the prewar years) and instead considered the possibility that certain foods could be unique causes of the chronic diseases that tend to kill us in the developed world. Heart disease was the immediate focus of this _newer_ nutrition, and the growing belief that dietary fat was the cause would determine how this scientific endeavor played out. Nutritionists and other researchers—typically, cardiologists or other physicians—were making up the methods and protocols for this research as they went along. It was all new science, and very much a work in progress. In retrospect, the key players had little idea what they were doing, or how best to do it, but their conclusions shaped fifty years of nutritional dogma and still do.
Coronary disease was the focus because of the observation that more and more Americans _seemed_ to be dying of heart attacks. In 1948, the American Heart Association had begun a multimillion-dollar publicity campaign to raise money for heart-disease research. In so doing, it brought to the attention of the nation what was an undeniable fact: that more Americans died of heart disease than from any other illness. This fueled the belief that the nation was in the midst of a heart-disease epidemic, and this in turn prompted nutritionists and cardiologists to wonder why. The stress of modern living was one possibility—hence, the idea that type A personalities and corporate executives were particularly susceptible—though it had nothing to do with what we eat. The cholesterol levels in our blood were another prime suspect, and it did.
Researchers had known for decades that cholesterol was a significant component of the atherosclerotic plaques that are a distinguishing feature of coronary artery disease or coronary heart disease. Russian researchers had famously demonstrated that rabbits fed high doses of cholesterol developed lesions in their arteries that looked suspiciously like atherosclerosis. (That rabbits, which are herbivores, did not naturally consume cholesterol in their diet was a fact that was occasionally raised in protest, as it should have been.) In the 1930s, Columbia University researchers created a technique for measuring cholesterol levels in the bloodstream (serum cholesterol, in the lingo) and with this analytical tool available, cholesterol became the focus of nutrition science. Researchers could easily measure the serum cholesterol of study subjects fed on different diets and see how they differed; researchers practicing the nascent science of "risk factor" epidemiology could measure serum cholesterol in thousands of individuals in large population studies—the first, famously, was in Framingham, Massachusetts—and see who later got heart disease and who didn't; physicians measured cholesterol in their patients with heart disease and compared what they saw with the cholesterol levels in their healthy patients.
By 1952, the University of Minnesota nutritionist Ancel Keys was arguing that high blood levels of cholesterol caused heart disease, and that it was the fat in our diets that drove up cholesterol levels. Keys had a conflict of interest: his research had been funded by the sugar industry—the Sugar Research Foundation and then the Sugar Association—since 1944, if not earlier, and the K-rations he had famously developed for the military during the war (the "K" is said to have stood for "Keys") were loaded with sugar. This might have naturally led him to perceive something other than sugar as the problem. We can only guess. However, it is clear that Keys was wrong about many of his conclusions, particularly regarding the role of fat and cholesterol in heart disease. Nevertheless, his thinking and the strength of his personality—both his competitors _and_ his friends described him as combative and ruthless—would drive nutrition research for the next thirty years.
The American Heart Association also played a critical role in focusing on dietary fat and cholesterol as culprits, as it still does. In 1957, the AHA published a fifteen-page assessment of the evidence, compiled by some of the leading cardiologists of the era, concluding that the dietary-fat/heart-disease hypothesis was highly questionable, and castigating researchers—presumably Keys—for taking "uncompromising stands based on evidence that does not stand up under critical examination." That would be the AHA's last critical analysis. In December 1960, the organization changed its position, albeit based on no new evidence or clinical trials. An ad hoc committee, of which Keys was now a member, took the opposite position from the 1975 report, claiming instead that the "best scientific evidence of the time" suggested that heart disease was caused by the saturated fat in our diet, and that men at high risk of heart disease (overweight smokers, for instance, with high cholesterol) should eat little of it. A month later, Keys was on the cover of _Time_ magazine as the face of nutrition in America, arguing that the entire country should be consuming a low-fat diet (less than half the fat we were then consuming) and that dietary fat was indisputably a cause of heart disease.
Over the next decade, researchers on both sides of the Atlantic would carry out a series of increasingly elaborate clinical trials designed to test the hypothesis that a diet that lowered our cholesterol levels would prevent heart disease and, more important, allow us to live a longer and healthier life. The results would be, at best, ambiguous. Some of the trials suggested a modest reduction in heart disease from decreasing the saturated fat content of the diet; one even suggested that it might lengthen lives. But others suggested it wouldn't, and one even suggested that eating less saturated fat would shorten our lives.*2 Even today, half a century later, comprehensive reviews of the connection between dietary fat and heart disease find at best "suggestive" evidence that heart-disease risk can be increased by consuming saturated fat, and often they state that the existing evidence simply fails to support this conclusion.
Throughout the 1960s and into the 1970s, though, the media would continue the job that _Time_ magazine had started, trusting the AHA to be the unbiased authority on this issue, while communicating the idea that interest in the hypothesis that saturated fat caused heart disease, and the efforts that researchers were making to test it, constituted reason enough to believe it was true. The AHA, meanwhile, would revisit its dietary-fat recommendations in a series of reports that inevitably served to support its conclusions ever more forcibly. By 1970, the AHA was advocating low-fat diets for every American, including "infants, children, adolescents, lactating and pregnant women, and older persons," despite the continued failure of the various clinical trials actually to confirm the hypothesis, or the fact that all these studies had been done in adults—particularly adult men (who are at high risk for heart disease). Women weren't studied, and so any extrapolation of the results, ambiguous as they were, to women, let alone children and infants, would be an even greater leap of faith.
Influential researchers would acknowledge in medical journals that the dietary-fat/heart-disease relationship was "an unproved hypothesis that needs much more investigation," as Thomas Dawber, a founder of the famous Framingham Heart Study, did in _The New England Journal of Medicine_ in 1978. But the press, the AHA, and eventually the U.S. Congress and the U.S. Department of Agriculture treated the hypothesis as almost assuredly true, at least until definitive research came along to demonstrate otherwise.
The simplest explanation for what happened in this period was that the dietary-fat/heart-disease hypothesis had filled a vacuum, supplying a viable and seemingly reasonable answer to the question of what aspect of diet caused heart disease. Any competing hypothesis that came along after had to overcome the belief that the question had already been answered. It would have to dislodge that dogma, which was a far harder task than filling the vacuum in the first place.
—
Sugar entered the discussion of causation because it seemed an obvious culprit, at least to nutritionists and researchers who had not already embraced the notion that fat was to blame. The logic that sugar was likely to be causally involved was based on a series of propositions: First, that the prevalence of heart disease was increasing in Western nations (whether as dramatically as some believed or not) and increased with affluence; it was higher in developed nations than undeveloped. Second, that the same was true of the prevalence of diabetes, obesity, and hypertension (high blood pressure). Third, that these disorders are intimately related: the obese are likely to be diabetic and hypertensive and have heart attacks; those who have heart attacks are likely to be hypertensive and obese and/or diabetic; diabetics are very likely to be obese and hypertensive and very likely to die of heart attacks. So, whatever the causal factor was, it was likely to be something that accompanied affluence and was an integral part of Western diets or lifestyles, and something that could cause all these diseases, not just heart disease alone.
The dramatic increase in cigarette smoking could be responsible, for instance, and it would turn out that smoking does, indeed, raise the risk of heart disease, but it was (and still is) hard to make the argument that cigarettes cause either obesity or diabetes. Many authorities believed that cars and mechanization had made our lives less physically active, and this could be a factor as well, but it was (and is) easy to identify populations with high levels of obesity, diabetes, and hypertension that also worked very hard for a living—poor populations without the benefits of automation and mechanization.
As for diet, by far the most significant and consistent change in human diets as populations become Westernized, urbanized, or merely affluent is how much sugar they consume. Some populations also have the opportunity to consume more animal products and particularly red meat, but other populations—the Inuit, Native American tribes of the Great Plains, and African pastoralists like the Masai—were already living predominantly on animal products, and they, too, get obese, diabetic, hypertensive, and atherosclerotic as they become Westernized. All of these populations, without exception, consume significantly more sugar with this process of Westernization. (The business model of companies like Coca-Cola and PepsiCo and the sugar industry itself is devoted to making that happen.) Fat consumption may have increased in the United States since the early twentieth century, according to USDA statistics, but the reported increase was not nearly as dramatic or as certain as it had been for sugar since the 1850s. Nutritionists legitimately argued about whether the fat-consumption figures reported by the USDA—based on estimates made during the early years of World War II—were, indeed, real.
No such ambiguity existed about sugar consumption. "We now eat in two weeks the amount of sugar our ancestors of 200 years ago ate in a whole year," as the University of London nutritionist John Yudkin wrote in 1963 of the situation in England. "Sugar provides about 20 percent of our total intake of calories and nearly half of our carbohydrate." To Yudkin and others, this simple fact made sugar the prime suspect for the rising prevalence of obesity, diabetes, hypertension, and heart disease throughout developed nations.
As this argument took hold in the early 1960s, it was bolstered by observations from Israel, South Africa, and the South Pacific linking sugar intake to what appeared to be epidemic increases in diabetes prevalence—similar to what had been happening in the United States since the end of the Civil War, but much faster, over the course of a few decades.
In 1954, Elliott Joslin himself had challenged an Israeli physician, Aharon Cohen, to test Cohen's belief that genetic predisposition was not the primary cause of diabetes. Cohen had spent the previous decade studying and treating diabetes among Native Americans in the United States and the immigrant populations that had flooded into Israel after the Second World War. These experiences had convinced him that diet played a significant role in triggering the disease in susceptible individuals. Cohen took up Joslin's challenge by comparing the prevalence of diabetes in a local immigrant population—Jews from Yemen, at the southwestern tip of the Arabian Peninsula—that had arrived in Israel in two distinct waves. The first had come in the 1930s and had been settled in Israel for a quarter-century; the second had arrived in a legendary and massive airlift known as Operation Magic Carpet that began in 1949 and brought forty-nine thousand Yemenite Jews to Israel over the course of a single year.
The Yemenites who had been in Israel since the 1930s, according to Cohen's research, had diabetes rates very similar to those of other Israelis and of populations documented in New York and elsewhere. This rate was _fifty_ times higher than that of the Yemenites who had arrived in Operation Magic Carpet and had been in the country for only half a dozen years when Cohen began his research. Cohen noted that similar disparities in disease rates for hypertension and heart disease had been reported between these two waves of Yemenite immigrants. He and his colleagues then systematically queried the Yemenites about their original diets in Yemen and what they were eating in Israel, and the singular difference was not in their fat consumption. "The quantity of sugar used in the Yemen had been negligible," Cohen reported; "almost no sugar was consumed. In Israel there is a striking increase in sugar consumption, though little increase in total carbohydrates."
George Campbell, a South African physician, made a similar series of observations in two populations served by the King Edward VIII Hospital in Durban, where Campbell ran a diabetes clinic. Campbell's research was prompted by an observation he had made that was becoming increasingly common throughout Africa: The relatively affluent whites there suffered from a spectrum of chronic disease—including obesity, diabetes, heart disease, and hypertension—that was absent in rural blacks living their traditional lifestyles. This same cluster of chronic diseases, though, was becoming increasingly apparent in blacks who had moved from rural areas into towns and cities. Campbell would describe how he was "absolutely staggered by the difference in disease spectrum" between these rural and urban populations.*3 This difference alone seemed to rule out genetics as the primary factor in the etiology of these diseases, and suggested some aspect of diet or lifestyle was responsible.
Campbell focused his research on a population that was descended from immigrants who had arrived in the Natal region of South Africa from India in the late nineteenth century to work as indentured laborers on the sugar plantations. Four out of five of Campbell's diabetic patients, he reported, came from this Natal Indian community, many of whom were still employed in the local sugar industry. "A veritable explosion of diabetes is taking place in these people," Campbell reported. He estimated that one in three middle-aged men in this population was diabetic and described this prevalence as "almost certainly the highest in the world." (As we'll see, Campbell was wrong on this account.) Although the Indian ancestry suggested a genetic predisposition among this population, Campbell noted that the prevalence of diabetes throughout India itself was only one in a hundred. So, if a predisposition existed, it had to be triggered by the local environment. Diet was again the obvious suspect. Campbell ruled out the fat content, because it was as low in this population as it was in India. He rejected the simplistic notion that these Natal Indians were merely eating too much, because the poorer members of the community were subsisting on as little as sixteen hundred calories a day—"a figure in many countries which would be regarded almost as a _starvation wage,_ " said Campbell. Yet some were still "enormously fat and suffered from undoubted diabetes proven by blood tests." Once again, the amount of sugar consumed stood out: in India, the sugar consumption per capita was twelve pounds per year, compared with nearly eighty pounds for the Indians in Natal.
Campbell also compared disease rates between the urban and rural Zulu populations, and noted that the urban Zulus were beginning to appear in his hospital with diabetes, hypertension, and heart disease, whereas these diseases were still virtually absent in the rural Zulus. The urban Zulus, Campbell reported, were eating on average ninety pounds of sugar each year; the rural Zulus consumed only forty pounds, and this number itself had increased sixfold in a decade.
Campbell's research led him to two conclusions that are worth mentioning about the appearance of diabetes epidemics in populations. First, from his study of various groups, he suggested that most could tolerate as much as seventy pounds per capita of sugar per year—roughly what Americans and the British were consuming in the 1870s—before diabetes prevalence would begin the kind of epidemic increase he was seeing among the Natal Indian and urban Zulu populations in South Africa. Second, diabetes had an incubation period similar, for example, to the time it took lung cancer to appear in cigarette smokers. From the medical histories he had taken in his clinic, Campbell noted "a remarkably constant period in years of exposure to town life"—eighteen to twenty-two years—before diabetes appeared.
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By the early 1960s, the argument that sugar caused not just diabetes and heart disease but the entire cluster of chronic diseases that associated with them was being made most forcibly by two British researchers: Thomas (Peter) Cleave and John Yudkin. Whereas Yudkin was the most influential nutritionist in the U.K., if not all of Europe, Cleave was an outsider, a British naval surgeon turned director of medical research at the Institute of Naval Medicine. Cleave argued that white sugar and refined grains were equally responsible for these common chronic diseases. Yudkin focused on sugar alone. Both informed their arguments with a Darwinian perspective that was absent from discussions of the cholesterol/saturated-fat hypothesis.
Cleave had been arguing in the pages of _The Lancet_ since 1940 that the more a food changes from its natural state, the more harmful it's going to be to the animal that consumes it—in this case, humans—and that sugar and refined flour were the most dramatic examples of this. In a series of articles and books, one of which was co-authored by George Campbell, Cleave invoked what he called the "Law of Adaptation," based on his reading of Darwin, to explain the epidemics of chronic disease that Campbell and others were beginning to document around the world: species require "an adequate period of time for adaptation to take place to any unnatural (i.e., new) feature in the environment, so that any danger in the feature should be assessed by how long it has been there." To Cleave, the refining of sugar and white flour and the dramatic increase in their consumption since the mid-nineteenth century were the most significant changes in human nutrition since the introduction of agriculture roughly ten thousand years before. "Such processes," he wrote about the refining of sugar and wheat, "have been in existence little more than a century for the ordinary man and from an evolutionary point of view this counts as nothing at all."
In the local populations of the kind that Campbell, Cohen, and others were studying, the changes in sugar and white-flour consumption that Americans and Europeans had experienced over a century were occurring in many cases over the span of ten to twenty years. And so their response to these foods, by Cleave's reasoning, should be that much more dramatic—higher levels of obesity and diabetes, particularly—and appearing in these exceedingly short periods of time. If researchers studied a population of African Americans or Native Americans or South Pacific Islanders, or a population of Natal Indians, as Campbell had studied, who were consuming significant amounts of sugar, and compared them with a population of European ancestry consuming the same amount, the former would exhibit a greater prevalence of obesity and diabetes because they would have had considerably less time to adapt to these foods at such relatively large levels of consumption.
Cleave believed that the refining of the sugar and flour allowed both to be easily overconsumed. Compare the teaspoonful of sugar in a single apple, Cleave suggested, with the amount of sugar commonly taken in liquid beverages. "A person can take down teaspoonfuls of sugar fast enough, whether in tea or any other vehicle, but he will soon slow up on the equivalent number of apples," Cleave wrote. "The argument can be extended to contrasting the 5 oz. of sugar consumed, on the average, per head per day [in the United Kingdom] with up to a score of average-sized apples....Who would consume that quantity daily of the natural food? Or if he did, what else would he be eating?"
What's more, Cleave argued, refining increased the speed of digestion of the sugars—both sucrose _and_ glucose. The pancreas in particular would be subject to an onslaught of glucose the likes of which it had never had to confront throughout human history, and Cleave believed this could easily explain the rise of diabetes over the past century. "Assume that what strains the pancreas is what strains any other piece of apparatus," wrote Cleave, "not so much the total amount of work it is called upon to do, but the rate at which it is called upon to do it. In the case of eating potatoes, for example, the conversion of the starch into sugar, and the absorption of this sugar into the blood-stream, is a slower and gentler process than the violent one that follows the eating of [any] mass of concentrated sugar."
John Yudkin was trained not only as a physician but as a biochemist as well, having earned his Ph.D. from Cambridge University with research that the French biochemist Jacques Monod would later credit as the basis of the work that led to Monod's Nobel Prize. Yudkin had developed his interest in nutrition while serving in West Africa during World War II, when he identified the cause of a skin disease among local soldiers as a vitamin deficiency. In the early 1950s, Queen Elizabeth College (shortly to become a school of the University of London) established the first dedicated nutrition program in Europe under Yudkin's leadership, and he then devoted his own research to understanding the cause and prevention of obesity and heart disease.
In 1963, in a seminal article in _The Lancet,_ Yudkin took up Cleave's idea that species are adapted—"anatomically, physiologically, and biochemically"—to a particular diet and combination of foods, and that the most dramatic departures from this diet are likely to be the harmful ones. Yudkin proposed the term "diseases of civilization" to describe the cluster of diseases including obesity, diabetes, and heart disease that are common in affluent Western societies and uncommon elsewhere. (Later researchers would prefer the term "Western diseases," to avoid the implication that somehow the only civilized societies are Westernized ones.) He attributed this pattern to the relative amount of sugar consumed.
Underlying this notion, explained Yudkin in his _Lancet_ article, was a series of findings coming from American biochemists and biophysicists—at the University of California, Rockefeller University in New York City, and Yale University—implicating the carbohydrate content of the diet in heart disease, and suggesting a common pathology underlying obesity, heart disease, _and_ diabetes. This research directed attention away from cholesterol as the primary factor in heart disease and the formation of atherosclerotic plaques, and focused it instead on the particles known as lipoproteins, which ferry the cholesterol around the circulation. (Today, when we talk about LDL cholesterol—the "bad cholesterol"—we are referring to the cholesterol carried around in low-density lipoproteins, LDL particles.) Cholesterol is only one of several fatlike substances that circulate in the blood. A co-traveler with cholesterol in these lipoproteins is a form of fat known as triglycerides, and different species of lipoproteins (characterized by their density) carry differing amounts of triglycerides and cholesterol.
Either of these substances could be playing a role in heart disease, as could any of the various species of lipoprotein particles themselves. Cholesterol was relatively easy to measure in the 1950s and 1960s, as this science was developing, but triglycerides were more difficult, and quantifying the lipoprotein particles required highly specialized and expensive equipment. That didn't mean that lipoprotein particles play less of a role in heart disease, only that their role was harder to determine. As Yudkin observed, research was already suggesting that they were critical actors. One way to think about this, which is how it's often discussed today, is that the lipoproteins are like buses, and the cholesterol and the triglycerides are the passengers. The question that would be hotly debated over the next thirty years, and still is to some extent, is whether it's the buses or one or another of the passengers that are doing the harm to the artery walls and therefore causing heart disease.
By the early 1960s, as the Yale and Rockefeller researchers were reporting, it was already clear that people with heart disease were more likely to have abnormally elevated triglycerides in their blood than elevated cholesterol (as measured after an overnight fast, not immediately after a meal). Another way to phrase it is that a high triglyceride count—not cholesterol—was the more common abnormality associated with heart disease. What's more, people who were likely to get heart disease but hadn't yet manifested it—those with a family history, or with diabetes (as Joslin had noted thirty years earlier), or who were merely overweight or obese—also tended to have high triglyceride levels.
All of this suggested, as Yudkin would continue to argue, that there is a pattern of metabolic and maybe hormonal disturbances, a whole cluster of them, that cause heart disease, or at least accompany it, and that that pattern of disturbances is far more profound than merely having high cholesterol. All of this suggested, as the Yale and Rockefeller research was now demonstrating, that the carbohydrate content of the diet is playing a critical role: triglycerides in the bloodstream, in particular, remain elevated when we eat carbohydrates, not fat. From this perspective, dietary fat seems to have little or nothing to do with heart disease. Yudkin considered sugar to be the obvious suspect as the carbohydrate responsible.
Over the next decade, Yudkin tested his sugar hypothesis in a series of experiments, feeding sugar or starch to laboratory animals—rats, mice, rabbits, and pigs—and reporting that sugar consumption would raise some combination of triglycerides, cholesterol, and insulin levels. He fed human subjects sugar-rich diets and reported that this raised both their cholesterol and their triglycerides, the latter more dramatically, and that it seemed to ratchet up their insulin and even make their blood cells sticky, which suggested to Yudkin that such individuals would now be more likely to have the blood clots that precipitate heart attacks.*4 Other researchers began studying the effect of sugar on human subjects and animals over the course of weeks to a few months; though this research continued to be suggestive, it couldn't establish whether or not sugar was truly the cause of these chronic diseases, or whether people (and the laboratory animals used in the experiments) simply ate too much of the stuff, and so got fat first and sick second.
The kind of clinical trials that were then being carried out in the United States and Europe to test the fat hypothesis were never pursued to test the sugar hypothesis. Through the 1960s and 1970s, researchers launched ever more elaborate and expensive trials in which the subjects were randomized to diets of differing amounts or types of fat and then followed for a year or several years to see the effect: Did they have more or less heart disease or cancer? Did they live longer or tend to die prematurely? Those trials would consistently fail to confirm that eating less fat or replacing saturated fat with polyunsaturated fat could prolong lives. _No such equivalent effort would be pursued in testing sugar._ Moreover, only a few researchers were measuring the levels of circulating triglycerides in the bloodstream. Quantifying the lipoproteins in the circulation required exorbitantly expensive and arcane equipment. And so research on these "risk factors" for heart disease, as they would come to be called, was isolated to a very few laboratories.
When cardiologists and the American Heart Association thought about the role of triglycerides or lipoproteins in heart disease, perhaps not surprisingly they considered them from a physician's perspective—not what they (or we) could learn about the genesis of heart disease by studying these other substances in our blood that associate with heart disease but, rather, whether we could expect the doctors in their offices to measure them in patients. Did they have a drug they could give patients to lower elevated triglycerides, and if so, would that drug have more benefits than risks? If not, what good was it to measure triglycerides? Any physician could easily measure the cholesterol level, as could any researchers interested in studying heart disease; therefore, cholesterol is what people studied and where the AHA invested its interest.
The medical journals in England—primarily the _British Medical Journal_ and _The Lancet_ —published debate after debate on the role of sugar in chronic disease. ("The refining of sugar may yet prove to have been a greater tragedy for civilized man than the discovery of tobacco," one Scottish physician suggested in a letter to _The Lancet_ in 1964.) Other researchers and clinicians questioned, as scientists are wont to do, the interpretation that sugar really was responsible, and discussed what studies were necessary to determine that. The American journals, like the research community in the United States, remained focused on fat and largely quiet on the sugar question.
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The Sugar Association first became concerned about the emerging evidence linking sugar to heart disease and diabetes as early as 1962, but other pressing issues took precedence. The Cuban Missile Crisis, and what a Sugar Association memo refers to as the "Castro Situation," meant that financial contributions from Cuban sugar producers, until then members of the association, would no longer be forthcoming. The threat of competition from artificial sweeteners, particularly cyclamates, had made the research program on saccharine and cyclamates the Sugar Association's "top priority," the more immediate threat to the livelihood of their industry.
In 1968, when the research arm of the Sugar Association split off to become the International Sugar Research Foundation, or ISRF (and, in 1978, the World Sugar Research Organization, which is still with us today), it did so in large part, according to sugar-industry documents, to recruit more members worldwide. These would provide more financial support to combat the accumulating evidence from researchers tying sugar consumption to both diabetes and heart disease. A 1969 ISRF brochure designed to entice sugar companies to join the effort (and so pay the membership fees), titled "What's at Stake in Sugar Research," explained that the organization would focus on nutrition and public-health studies, because "misconceptions concerning the causes of tooth decay, diabetes and heart problems exist on a worldwide basis." Put simply, ISRF funds would go to combatting the notion that sugar was a unique cause of these problems. (That a certain unconditional faith in sugar is woven into the very fabric of the organization is evident today as well. The mission of the Sugar Association, as it now says on its Web site, is that of "educating health professionals, media, government officials and the public about sugar's goodness.")
The Sugar Association had plenty of help in this regard from Ancel Keys, whose laboratory had been supported by the association since the 1940s. In 1957, Yudkin had implicitly attacked Keys's work in a paper demonstrating that, among other things, sugar consumption or even the number of TVs and radios per capita tracked with heart disease in the U.K. better than the amount of dietary fat consumed. In 1970, Keys returned the favor, in a letter he first distributed widely to colleagues and then published in the obscure journal _Atherosclerosis._ He treated Yudkin as a figure of ridicule, describing his arguments as "tendentious" and his evidence that sugar rather than fat was the cause of heart disease as "flimsy indeed" and a "mountain of nonsense."
Most of Keys's criticisms were equally applicable to his own studies, which he may have known. They spoke to flaws and limitations in the research methods that the researchers themselves were just beginning to understand—the use of short-term trials to extrapolate to long-term chronic disease states, for instance, or the implication that associations between what we eat and the diseases we later get mean that the latter was _caused_ by the former. But this reality didn't stop Keys from using these ideas to discredit Yudkin and his work specifically.
Ultimately, Keys built his argument against Yudkin on the first results of Keys's famous Seven Countries Study, which had just been released and went a long way to convincing nutritionists and the public that saturated fat caused heart disease (and monounsaturated fat, as in olive oil, protected against it). This was a project he had begun in 1956. Working with an international team of collaborators, Keys had compared heart-disease rates with diet in sixteen populations in Italy, Yugoslavia, Greece, Finland, the Netherlands, Japan, and the United States. Ironically, Keys's study was the first one ever that made an attempt to measure directly both sugar and fat consumption in different populations. The conclusion was that, of all the various dietary factors measured in these populations, the two that tracked best with heart disease—as Yudkin might have predicted—were sugar and saturated fat. These are two macronutrients, along with animal protein, that populations tend to (but don't always) consume in greater quantity as they become Westernized and more affluent. Because the association that emerged from the Seven Countries Study seemed to be _slightly_ stronger for saturated fat than for sugar, and because populations in the study that ate a lot of one tended also to eat a lot of the other, Keys now suggested that this was "adequate to explain the observed relationship between sucrose and [coronary heart disease] without recourse to the idea that sucrose was somehow involved in the etiology"—i.e., that sugar caused it. This was speculation, by any account, but Keys made it nonetheless. "None of what is said here should be taken to mean approval of the common high level of sucrose in many diets," he said in his takedown of Yudkin, yet he insisted that his rival "has no theoretical basis or experimental evidence" to support his claims.
Four years later, when Keys and his wife, Margaret, co-authored a diet book based on their belief in the healing powers of Mediterranean eating patterns, they insisted that Yudkin was "alone in his contentions," at least among academic researchers, and added, "Yudkin and his commercial backers are not deterred by the facts; they continue to sing the same discredited tune."
It's hard to overemphasize how the existence of the dietary-fat hypothesis influenced thinking on the sugar hypothesis and the evolution of the controversy. Researchers typically assumed that if Keys was right, Yudkin was wrong, and vice versa. (The scientific conflict wasn't helped by the fact that "there was quite a bit of loathing" personally between Yudkin and Keys, as one of Yudkin's colleagues would later phrase it.) Critical pieces of evidence would be viewed from one perspective only, and usually that of supporters of the saturated-fat hypothesis. During the Korean War, for instance, pathologists doing autopsies on American soldiers killed in battle noticed that many had significant plaque buildup in their arteries, even though they were only teenagers. The Koreans killed in battle did not. This was later attributed to the fact that the American soldiers ate plenty of butter, meat, and dairy products—all rich in saturated fat—and the Korean soldiers did not. But disparities in sugar consumption could also, obviously, have explained what was seen (as, of course, could other factors as well): as late as the 1950s, per capita sugar consumption in Korea would have been as low as or probably lower than sugar consumption in the United States a century earlier.
When researchers realized that the French had relatively low rates of heart disease despite a diet that was rich in saturated fats, they wrote it off as an inexplicable "paradox," and ignored the fact that the French traditionally consumed far less sugar than did populations—the Americans and British, most notably—in which coronary disease seemed to be a scourge. At the end of the eighteenth century, French per capita sugar consumption was less than a fifth of what it was in England. At the end of the nineteenth century, even after the beet-sugar revolution, France was still lagging far behind both the British and the Americans—thirty-three pounds for the French compared with eighty-eight for the English and sixty-six for Americans. ("Sweetness does not seem ever to have been enshrined as a taste to be contrasted with all others in the French taste spectrum—bitter, sour, salt, hot—as it has in England and America," wrote Sidney Mintz. "It is not necessarily a mischievous question to ask whether sugar damaged English cooking, or whether English cooking in the seventeenth century had more _need_ of sugar than the French.")
Journalists would write about the potential evils of sugar, but then write off the idea that it could cause heart disease—as the _New York Times_ personal-health reporter Jane Brody did, for instance, in a 1977 article entitled "Sugar: Villain in Disguise?"—on the basis that the notion "does not have widespread support among experts in the field, who say that fats and cholesterol are the more likely culprits."
Whereas American researchers and observers tended to side with Keys and his dietary-fat hypothesis, Europeans were more open-minded. "Although there is strong evidence that dietary fats, particularly the saturated ones, play an important role in the etiology of [coronary heart disease], there is no proof that they are the only or the main culprit," wrote Robert Masironi, a heart-disease researcher at the World Health Organization and later president of the European Medical Association. "As regards the relationship of sugars to cardiovascular diseases, it must be borne in mind that these nutrients have common metabolic pathways with fats. Disturbances in carbohydrate metabolism may be responsible for abnormal fat metabolism and may therefore act as a causative factor in the development of atherosclerosis and of coronary disease."
In 1971, Yudkin retired from his position as chair of the nutrition department at the University of London, hoping to devote his time to research and writing. The university administrators replaced him with the South African nutritionist Stewart Truswell, who believed and argued publicly that Keys's dietary-fat hypothesis was assuredly correct and that people should change their diets accordingly. Under Truswell's leadership, the department broke its agreement to give Yudkin an office and allow him to keep his laboratory, and that ended his research career. Yudkin instead spent the first year of his retirement writing a popular polemic against sugar that was published in 1972 as _Pure, White and Deadly_ in England and _Sweet and Dangerous_ in the United States.
While Yudkin's work failed to move the medical-research community in the United States to embrace either him or his sugar theory, publication of his book was reported by the media: "Sugar—The Question Is, Do We Need It at All," read the _Times_ headline. The press attention in turn prompted the U.S. Senate to get involved. In April 1973, a Senate subcommittee headed by George McGovern (and advised by Jean Mayer) held a congressional hearing on sugar in the diet, diabetes, and heart disease.
The testimony came from an international panel of researchers. Yudkin testified, as did Aharon Cohen, George Campbell, Peter Cleave, and Peter Bennett, a National Institutes of Health diabetes researcher working with the Pima population of Native Americans in Arizona. Bennett testified that the Pima had perhaps the highest rates of diabetes of any population ever studied. "The only question that I would have," Bennett said, "is whether we can implicate sugar specifically or whether the important factor is not calories in general, which in fact turns out to be really excessive amounts of carbohydrates." Walter Mertz, head of the Carbohydrate Nutrition Laboratory at the U.S. Department of Agriculture, also testified, as did his colleague Carol Berdanier, explaining that refined sugar seemed to play particular havoc with health, at least in laboratory rats. It elevates blood sugar and triglycerides specifically, and causes them to become diabetic, Berdanier told the congressmen, "and they die at a very early age."
The International Sugar Research Foundation responded the following March by hosting a conference in Washington, D.C.—"Is the Risk of Becoming Diabetic Affected by Sugar Consumption?"—and inviting to speak only researchers who were outwardly skeptical of the sugar–diabetes–heart disease connection. Absent from the list, therefore, were any of the researchers who had testified at McGovern's hearings and would have argued that the evidence was compelling. (The rationale: "The research and findings of these scientists are well known to the ISRF staff and members of the Foundation.")
Even the researchers recruited to speak at the conference, skeptical as they were of the sugar hypothesis, agreed that some significant percentage of individuals might be particularly sugar-sensitive, and these would experience an increase in heart-disease risk unless they restricted their sugar consumption. "From the dietary point of view," said the Belgian nutritional chemist Jean Christophe, one of the speakers, "the fact that sucrose increases serum triglycerides in some patients...could make imperative its restriction." A review of the conference published in a diabetes journal, which the ISRF shared with its members, concluded, "All those present agreed that a large amount of research is still necessary before a firm conclusion can be arrived at, and various suggestions were made about future research."
In September 1975, the International Sugar Research Foundation reconvened in Montreal to discuss research priorities with scientist consultants hired to point them in the right direction. It was clear now that the industry was in trouble. As John Tatem of the Sugar Association reported at the meeting, the amount of sugar sold by the industry in the United States and thus apparently consumed had dropped by 12 percent in the previous two years alone (from 102 pounds per capita to ninety), and a major factor was "the impact of consumer advocates who link sugar consumption with certain diseases."
After the Montreal conference, the ISRF disseminated a memo to its members focusing on the recommendations of Errol Marliss, a University of Toronto diabetes specialist, implying that these would be embraced by the foundation. "It is in the best interests of the industry to establish definitively what contribution sucrose can and does make to the course of diabetes—and other diseases—to place it in context," Marliss had said and the ISRF reported. "This will require the support of well-designed research programs. Such research programs _might_ produce an answer that sucrose is bad in certain individuals, and if well designed, may allow for the recommendation of specific amounts to those individuals....The foregoing could well be expensive in terms of the research investment, and should be undertaken in a sufficiently comprehensive way as to produce results. A gesture rather than full support is unlikely to produce the sought-after answers."
A gesture is all the sugar industry would offer. By 1975, U.S. sugar companies were pulling their support from the ISRF, disagreeing on how research money should be spent. Instead of pooling funds at an international level—"the effort to unite the world for sugar research has been a dismal failure," as Tatem reported to his board of directors—the Sugar Association would now take back control of research in the United States and get the money to do so from local sugar-using industries—eventually enlisting, among others, Coca-Cola, Hershey, General Foods, General Mills, Nabisco, Life Savers, Quaker Oats, M&Ms/Mars, PepsiCo, and Dr Pepper.
First, though, the Sugar Association hired the legendary Madison Avenue public relations firm Carl Byoir and Associates to design a public-health campaign that would "establish with the broadest possible audience—virtually everyone is a consumer—the safety of sugar as a food." (The PR firm and the Sugar Association submitted an application to the Public Relations Society of America for its 1976 Silver Anvil Award, the most prestigious honor in the PR industry, awarded for "the forging of public opinion," and Byoir's sugar-defense campaign would win it.) Point one was the recruitment of a Food and Nutrition Advisory Committee (FNAC) that would be composed of well-respected authorities in medicine, nutrition, and dentistry, all apparently willing to defend sugar as necessary to the public. To John Tatem and the sugar industry, they were "eminent and objective medical scientists."
Working to the sugar industry's advantage, once again, was the rising support for the belief that saturated-fat consumption and elevated levels of serum cholesterol were the likely causes of heart disease. At a time when Henry Blackburn, a colleague of Ancel Keys at Minnesota, was writing in _The New England Journal of Medicine_ that "two strikingly polar attitudes persist" on the subject of diet and heart disease, "with much talk from each and little listening between," and when the National Institutes of Health had just launched two massive, unprecedented clinical trials, at a cost of more than a quarter-billion dollars, to test, albeit only indirectly, the dietary-fat/cholesterol hypothesis, the Sugar Association and the ISRF would build their scientific defense against sugar on the belief that saturated fat had already been proved to be the causative agent of heart disease. (Tatem would even suggest in a letter to the editor of _The New York Times,_ never published, that some "sugar critics" were motivated merely by wanting "to keep the heat off saturated fats.")
When the Sugar Association needed an authority on heart disease for the FNAC, it enlisted Francisco Grande, who worked closely with Keys at the University of Minnesota. Keys and Grande had co-authored over thirty papers together, most of them either supporting the presumed relationship between dietary fat and heart disease or trying to explain away the evidence implicating sugar. A second heart-disease authority on the FNAC was the University of Oregon nutritionist William Connor, the leading proponent of the idea that dietary cholesterol caused heart disease.
For a diabetes expert, the FNAC recruited Edwin Bierman of the University of Washington. Bierman had been almost single-handedly responsible for convincing the American Diabetes Association to liberalize the amount of carbohydrates recommended in diabetic diets and to effectively ignore the sugar content. Bierman also professed an apparently unconditional faith that it was high cholesterol levels that caused heart disease, and this implicated the saturated fat in our diets, not sugar.
Bierman's role, both for the Sugar Association and working on his own, was absolutely pivotal in assuring that little research effort was expended on the possible causative role of sugar in diabetes. Bierman was unequivocal in his belief that sugar and other carbohydrates played no role in the development of diabetes, other than perhaps providing excess calories. He shaped the American Diabetes Association's nutrition guidelines, taking the ADA's focus away from sugar, when the ADA was (and still is) involved in setting the diabetes research agenda through its own funding and the significant advocacy/advisory role it plays. He also rejected the idea that sugar had any significant role in causing diabetes when he co-authored, with the epidemiologist Kelly West, a section on obesity and nutritional factors in a 1976 report by the National Commission on Diabetes— _The Long Range Plan to Combat Diabetes_ —that has influenced the federal government's diabetes research agenda ever since. Some researchers, Bierman and West acknowledged, had "argued eloquently" that refined carbohydrates such as sugar could be a precipitating factor in diabetes (citing Peter Cleave and Aharon Cohen, but not Yudkin). They did not find the idea compelling, however, and omitted any further study of the role of sugar from their research recommendations. "A review of all laboratory and epidemiologic evidence," they wrote, "suggests that the most important dietary factor increasing the risk of diabetes is total calorie intake, irrespective of source." In an equally influential 1979 review published in _The American Journal of Clinical Nutrition,_ Bierman would insist, "There is no known biological basis for the hypothesis that would relate higher sucrose or carbohydrate intakes to the causation of diabetes."
The point man for the Sugar Association's Food and Nutrition Committee was Fred Stare, founder and longtime chairman of the department of nutrition at the Harvard School of Public Health. The sugar industry had been supporting Stare and his department since the early 1940s, and the International Sugar Research Foundation estimated that its grants to Stare (to study the relationship between blood sugar, appetite, and obesity) had resulted in the publication of thirty research articles and reviews between 1952 and 1956 alone. In 1960, when Stare's nutrition department broke ground on a new five-million-dollar building, it was paid for largely by private donations, including the "lead gift," as Stare described it, of $1.026 million from the General Foods Corporation, the maker of Kool-Aid and the Tang breakfast drink.
By the late 1960s, Stare had become, in academia, the most public defender of sugar—it was not even "remotely true," he would write, "that modern sugar consumption contributes to poor health"—while his department received funding from the sugar industry, the National Confectioners Association, Coca-Cola, PepsiCo, and the National Soft Drink Association. (Tobacco-industry documents reveal that Stare's department, at his request, also received money from the Tobacco Research Council, specifically to fund projects that might exonerate cigarettes as a cause of heart disease.) Stare freely acknowledged that he did not use sugar in his coffee or cereal; he was saving the calories, he said, for a martini at night. But he also argued that it was unsound "and may be hazardous" to recommend that anyone, including children, avoid sugar, on the grounds that if they did they would be likely to replace it with saturated fat, "and that, I hope, everyone will agree, is not desirable."
The Sugar Association repeatedly turned to Stare and his Harvard credentials to counter any anti-sugar sentiments in the press—"plac[ing] Dr. Stare on the AM America Show," as internal memos reveal, and "do[ing] a 3½ minute interview with Dr. Stare for 200 radio stations." In using Stare as its front man to dismiss anti-sugar sentiments publicly, the Sugar Association noted, it was "able to keep the sugar industry in the background" and so keep Stare's conflicts of interest in the background as well.
Ultimately, the FNAC members would be most useful as authors of an eighty-eight-page white paper, "Sugar in the Diet of Man," a compilation of the evidence and arguments going back into the 1930s that could be used to counter the research put forth by Yudkin, Mayer, Cohen, Campbell, Cleave, and the other "enemies of sugar." Stare wrote the introduction and edited the document. Grande wrote the chapter on heart disease, exonerating sugar as a cause. Bierman co-wrote the chapter on diabetes with Ralph Nelson of the Mayo Clinic, doing the same. "The causes of primary diabetes mellitus in man remains [ _sic_ ] unknown," Bierman and Nelson wrote, but "there is no evidence that excessive consumption of sugar causes diabetes." (What made this position on sugar typically perplexing is that Bierman and Nelson didn't actually believe that diabetics should eat sugar, because it was bad for them, a point that they made in two short sentences in the eight-page chapter: "Simple sugars should still be avoided," they wrote, and sucrose is very much a simple sugar.)
The Sugar Association eventually disseminated at least twenty-five thousand copies of "Sugar in the Diet of Man." When newspaper food editors met for a conference in Chicago in 1975, copies of the white paper were included in their press packets. (The sugar industry hosted a session there that included a talk by Phil White, a former student of Fred Stare's, who was then working as director of the department of foods and nutrition at the American Medical Association. John Tatem, who hosted the session, insisted that the subject of discussion was not sugar per se but rather food faddism in general and the many commodities, of which sugar happened to be just one, that were "falsely maligned by this element of pseudo-scientists.") When the report was sent to the press, it was accompanied by a lay summary written by a health journalist and a press release with the headline "Scientists Dispel Sugar Fears."
As with Stare's placement on radio and TV shows, the Sugar Association's role in preparing and funding the document were kept well in the background. Sugar Association documents suggest that the FNAC activities and the report itself were funded entirely by the sugar industry, at significant cost, but no such acknowledgment appeared on the document. A confidential memo to "hold and use for inquiries" about bias or conflict of interest in the report was sent by the Sugar Association to directors of communications at sugar companies across the country. According to the memo, Stare had come up with the idea for the white paper and asked the SAI to fund it, so they paid for his research time "as we would with any research project" and "purchased reprints," the twenty-five thousand copies distributed.
In November 1976, Stare's copious conflicts of interest were finally exposed in an article by Michael Jacobson, founder of the Center for Science in the Public Interest, and two colleagues, entitled "Professors on the Take." "In the three years after Stare told a Congressional hearing on the nutritional value of cereals that 'breakfast cereals are good foods,' " Jacobson and his colleagues wrote, "the Harvard School of Public Health received about $200,000 from Kellogg, Nabisco, and their related corporate foundations." ("A lot of the public, and unfortunately some of my colleagues, think I'm a monster," Stare would later acknowledge, "a paid tool of the food industry.") By 1976, however, Stare was no longer necessary for the public-relations campaign, and the Sugar Association could turn to an FDA document that took up where "Sugar in the Diet of Man" left off.
—
While Stare and his colleagues were drafting "Sugar in the Diet of Man," the FDA would launch its first review of whether sugar could be considered "generally recognized as safe" (GRAS). These GRAS reviews, requested by the White House after President Nixon's 1969 Conference on Food, Nutrition and Health, had been subcontracted by the FDA in 1972 to the Federation of American Societies of Experimental Biology, which in turn had created a committee of eleven members—the Select Committee on GRAS Substances (SCOGS)—to vet hundreds of food additives, from acacia to zinc sulfate. Over the course of five years, SCOGS would submit seventy-two "comprehensive reports" to the FDA, covering 230 substances that the FDA had been given reason to believe might not be as safe as thought.
This committee would officially review the science, pro and con, on sugar. Despite a stated sensitivity to industry influence in the process ("Avoidance of even an appearance of conflict of interest was emphasized," the SCOGS members would later write), the chair of SCOGS, and thus of the committee reviewing sugar for the FDA, was George W. Irving, Jr. Irving was a biochemist and a longtime member and chairman (for two years beginning in 1969) of the scientific advisory board of the International Sugar Research Foundation. Another member of SCOGS, Samuel Fomen, a University of Iowa professor of pediatrics, had received sugar-industry funding to study the role of sugar in infant feeding from 1970 to 1973.
According to the FDA guidelines, the committee could pronounce a substance to be hazardous—not generally recognized as safe—if it found "credible evidence of, or reasonable grounds to suspect, adverse biological effects...in whatever information was available." The committee members apparently decided, however, that if a subject was sufficiently sensitive, as sugar was ("If sucrose was to be declared a health hazard," they would later write, "what should be done about glucose, fructose, honey?"), they could decide that ambivalent evidence was reason enough to decide against the potential health-hazard conclusion.
Whether we consider this right or wrong, ethical or unethical, the committee's review of sugar relied heavily on the Sugar Association's "Sugar in the Diet of Man" and its authors. In January 1976, the Sugar Association obtained a copy of the "tentative conclusions" of the SCOGS committee, which was then disseminated to the members of FNAC with an "urgent request to review" and the anticipation that Stare and his colleagues would "identify pertinent missing and faulty data as well as possible misinterpretation of background information." But even the tentative conclusions were sugar-industry friendly. The section on sugar and heart disease said "conflicting results" were found, and cited fourteen such studies, one of which was Francisco Grande's chapter in "Sugar in the Diet of Man"; five either came from Grande's lab itself or were sugar-industry-funded studies. The single paragraph on diabetes in the SCOGS review acknowledged that studies "suggest that long term consumption of sucrose can result in a functional change in the capacity to metabolize carbohydrates and thus lead to diabetes mellitus," but then said that "recent reports tend to contradict" this. Of the four contradictory reports cited, one was Ed Bierman's chapter with Ralph Nelson in "Sugar in the Diet of Man," and two others were studies from Bierman's laboratory.
The revised version of the SCOGS review, released a year later, concluded that reasonable evidence existed to conclude that sugar caused tooth decay, but not that it was a "hazard to the public" in any other way, at least not at the levels then being consumed. It described the evidence linking sugar to diabetes as "circumstantial," and said there was "no plausible evidence" that it was related to the disease, other than as a source of excess calories. The report described the evidence linking sugar to cardiovascular disease as "less than clear." "Furthermore," it explained, "it would appear that the primary dietary factors involved in cardiovascular disease are the nature and amount of fat in the diet. Thus, the role of sucrose in cardiovascular disease appears to be secondary although it may represent a potentiating factor in its etiology."
The one cautionary note in the SCOGS review, other than the link to cavities, was that the use of sugar in the food and beverage industries had been increasing, and that, should these trends continue, all bets were off: "It is not possible to determine without additional data whether an increase in sugar consumption...would constitute a dietary hazard."
The SCOGS reviewers then thanked the Sugar Association for its help in "contribut[ing] information and data" to the report, prompting John Tatem to remark later that, though he was "proud of the credit line, I think we would probably be better off without it." The report itself was signed by Irving, the former chairman of the ISRF's scientific advisory board.
Before releasing the report in January 1977, the FDA held a public hearing to discuss it. Sheldon Reiser, director of the USDA's Carbohydrate Nutrition Laboratory, and his colleagues submitted what they considered "abundant evidence" showing that "sucrose is one of the dietary factors responsible for obesity, diabetes, and heart disease." As they would later explain in a letter to _The American Journal of Clinical Nutrition,_ clearly some portion of the American public could not tolerate a diet high in sugar and other carbohydrates—perhaps fifteen million adults at the time, they estimated. This alone, they had argued to the SCOGS panel, was reason to restrict sugar consumption by "a minimum of 60 percent" and urge that "a national campaign be launched to inform the populace of the hazards of excessive sugar consumption."
The members of the SCOGS panel, however, stood by their conclusions, despite "loudly proclaim[ing] the imperfectability" of expert committees like their own. They had done the "best [they] could," they later wrote, "under an enormous number of uncertainties and constraints."*5
The Sugar Association, on the other hand, would pronounce the FDA effort definitive and tout the SCOGS report as a combination of salvation and exoneration. The SCOGS report had described the evidence against sugar variously as ambiguous, less than clear, or circumstantial, but the Sugar Association translated those caveats as synonymous with "nonexistent." Tatem distributed a memo to the members of the association, suggesting that the SCOGS report "should be memorized" by the staff of any company associated with the sugar industry. "In the long run," he said, "the GRAS report cannot be sidetracked, and you may be sure we will push its exposure to all corners of the country."*6
"Sugar is Safe!" proclaimed a Sugar Association advertisement about the FDA report. "Sugar does not cause death-dealing diseases....There is no substantiated scientific evidence indicating that sugar causes diabetes, heart disease or any other malady." The ad ended with a caution to the unwary consumer: "The next time you hear a promoter attacking sugar, beware the ripoff. Remember he can't substantiate his charges. Ask yourself what he's promoting or what he is seeking to cover up. If you get a chance, ask him about the GRAS Review Report. Odds are you won't get an answer. Nothing stings a nutritional liar like scientific facts."
—
The Sugar Association did get around to funding research on diabetes, but it was nothing like the concerted effort that the scientist-consultants had argued for prior to publication of the SCOGS report. Between 1976 and 1978, the sugar industry—via the Sugar Association and the ISRF—budgeted sixty thousand dollars each year to paying Fred Stare and his fellow Food and Nutrition Advisory Committee members, and between 1975 and 1980 it spent $655,000 on more than a dozen research projects, designed, as the industry documents put it, to "maintain research as a main prop of the industry's defense." These research proposals had to be vetted first by the FNAC members, and then by commissions that included members of the sugar industry itself and of companies such as Coca-Cola and Hershey that constituted "contributing research members." Perhaps not surprisingly, virtually all the money went to proposals that set out to exonerate sugar and to sugar-friendly researchers or simply friends of the FNAC members. (One study, at the Massachusetts Institute of Technology, proposed to explore whether sugar could be shown to boost serotonin levels in the brains of rats, and thus "prove of therapeutic value, as in the relief of depression.")
Two researchers who received Sugar Association money for their work during this period—Ron Arky of Harvard, a friend and medical-school classmate of Bierman's, and Paul Robertson, a student of Bierman's at the University of Washington—both described the research philosophy of the Sugar Association in later interviews as a token gesture. Having come under fire for selling a product that may be causing diabetes, Robertson said, "they wanted to position themselves so that they could say they were actually helping do research on diabetes."
The bulk of the industry's effort would go to continuing the public-relations battle. By concentrating its efforts on the FDA report, Tatem would describe in memos and presentations, the Sugar Association would actually lose the next battle in the war. The industry had been confident that George McGovern's committee, which had held the 1973 hearings on sugar, "would self destruct" in 1977, and so the Sugar Association had focused its attention on the FDA. But the committee survived long enough to publish a report, _Dietary Goals for the United States,_ in January of that year. McGovern would describe the report in a press conference as "the first comprehensive statement by any branch of the Federal Government on risk factors in the American diet." The committee's report would focus primarily on getting Americans to eat less fat, but it would also recommend that the nation reduce its sugar consumption by 40 percent, a number in tune with George Campbell's estimate of the threshold at which populations begin to manifest diabetes epidemics. The sugar industry was taken by surprise.
Tatem told Sugar Association members that they had "hammered away" at McGovern's committee afterward, using the FDA report "as our scientific bible," but McGovern ("or more likely his staff," according to Tatem) wasn't impressed and wouldn't budge off the 40 percent number. It stayed in a revised edition of the _Dietary Goals,_ which was published at the end of 1977. "The weight given to the consideration of sugar's relationship to obesity and disease is a matter of judgment," McGovern wrote to Tatem in a letter, "and I believe we have been prudent in our judgment."
After the McGovern report, though, the Sugar Association and the industry carried the day. In 1980, the U.S. Department of Agriculture released the first edition of its "Dietary Guidelines," drafted by a small committee led by Mark Hegsted, who had spent his entire career working in Fred Stare's department at Harvard. Hegsted later said that he had relied on Ed Bierman's 1979 review in the _American Society of Clinical Nutrition_ to decide how to phrase the sugar recommendations, and Bierman had been confident that sugar was harmless.
"Contrary to widespread opinion," the "Dietary Guidelines" said, "too much sugar does not seem to cause diabetes." It then advised that we "avoid too much sugar," without bothering to define what was meant by "too much." In the second edition of the guidelines, published in 1985, the USDA (with Fred Stare now a member of the guidelines advisory committee) was still advising Americans to avoid too much sugar, but had now dropped the caveat on the diabetes-sugar connection. Instead, it stated unambiguously that "too much sugar in your diet does not cause diabetes," even though much of the significant research published in the intervening years had come out of the USDA's own Carbohydrate Nutrition Laboratory and supported the notion that sugar consumption was, indeed, a cause of diabetes, and that even "modest" amounts of sugar could increase the risk of heart disease in a significant proportion of the population.
—
In 1986, the FDA returned to the question of whether sugar should be generally recognized as safe. Three FDA administrators, led by Walter Glinsmann (who would later become a consultant for the Corn Refiners Association), now took up the job that the SCOGS committee had left off in 1976. After reviewing the evidence once again, these FDA administrators determined that "no conclusive evidence demonstrates a hazard to the general public when sugars are consumed at the levels that are now current."
The FDA assessment then became the official government position on sugar, its logic and conclusions echoed in a series of official reports on diet and health that came after—particularly the 1988 _Surgeon General's Report on Nutrition and Health_ and the 1989 National Academy of Sciences report _Diet and Health,_ which are the two seminal documents on the subject in the last half-century, and even reviews by the Institute of Medicine as late as 2005. All of these official documents focused on fat as the root of dietary evils: The "disproportionate consumption of food high in fats," according to the Surgeon General's report, played a prominent role in five of the ten most common causes of death and thus could be held chiefly responsible for two-thirds of the 2.1 million deaths in the United States that year. All repeated the FDA's conclusion that the evidence linking sugar to chronic disease was inconclusive, and then effectively equated "inconclusive," as the Sugar Association did, with "nonexistent." (As of March 2016, the Sugar Association Web site was still misquoting the FDA report to make that point.)
All of these seminal reports also ignored a second caveat that accompanied the 1986 FDA review of sugar: the FDA report had concluded that sugar was likely to be harmless "when sugars are consumed at the levels that are now current." As Walter Glinsmann would later explain, any substance could be harmful if taken at too high a dose, so the levels at which a substance is taken in a drug or consumed in a diet are key. (This logic was contrary to that used by the SCOGS panels, for instance, in condemning cyclamates and saccharin—the dosage necessary to induce cancer in an animal model was considered irrelevant—but the FDA and Glinsmann's committee invoked it with sugar nonetheless.)
In their 1986 report, Glinsmann and his colleagues estimated the levels at which sugar was currently consumed to be forty-two pounds of sugar per person per year, or the equivalent every day of the amount of sugar in eighteen ounces—a can and a half—of Coke or Pepsi. This was only slightly more than half of what the USDA was estimating at the time—seventy-five pounds per capita—and significantly less than half (44 percent) of what the USDA estimated we were consuming by the early twenty-first century, ninety pounds per capita. Even the most ardent critics of sugar would probably be content if Americans consumed only forty-two pounds of added sugar and high-fructose corn syrup each year on average, but the evidence suggests we consume significantly more.
In 1989, the British Committee on Medical Aspects of Food Policy (commonly known as COMA) released the British government's first official assessment of the health aspects of sugar, a report entitled _Dietary Sugars and Human Disease._ The committee that authored the report was composed of a dozen of the leading nutritionists, biochemists, and physiologists in the U.K., led by a diabetes specialist named Harry Keen, who had received funding from the sugar industry throughout the 1970s.
The British report clearly manifested the conflict between the urge to exonerate sugar—based on, if nothing else, what the FDA and hence the surgeon general's office and the National Academies of Science were now claiming—and the scientific evidence itself. Keen and his colleagues acknowledged that chronic consumption of sugar at the levels the British public seemed to be consuming at the time (roughly equivalent to the seventy-five pounds per capita the USDA was then estimating for American consumption) could induce, as Yudkin had proposed, a cluster of metabolic abnormalities associated with elevated levels of triglycerides and thus heart disease, diabetes, hypertension, and obesity. It acknowledged that some significant portion of the population was sensitive to sugar and other carbohydrates. But it then concluded that sugar "played no causal role" in these diseases. The one major caveat in the British report was that individuals with elevated levels of triglycerides—a proportion that today, for instance, might constitute as much as half of the adult population in the United Kingdom or the United States—would be best served by restricting their consumption of sucrose and other "added sugars" to twenty to forty pounds per year, or roughly what the British were consuming per capita in the early years of the Victorian era—almost two hundred years earlier.
* * *
*1 Much of the content in this chapter about the Sugar Association and its defense of sugar was first published as an article in the November–December 2012 issue of _Mother Jones,_ which I co-authored with Cristin Kearns. Cristin unearthed all the sugar industry documents on which the article and this chapter rely.
*2 This study was completed in 1973 but not officially published until 1989, because, as the lead investigator told me, "We never saw the results that we thought we would." This kind of selection bias was all too common in this research.
*3 This same comparison would be made by Campbell and others between the disease spectrum in black Africans and in blacks in the United States, who had been (forcibly) removed from Africa only a few hundred years earlier. The comparison strongly implied that something other than genetics was involved in these chronic diseases; some aspect of diet or lifestyle had to be triggering the disease that was present in the United States and relatively absent in Africa.
*4 In the United States, Ancel Keys and his colleagues at the University of Minnesota first fed high-sugar diets to middle-aged men and also reported that their cholesterol levels rose. Keys then repeated the studies with college students and reported that the sugar-rich diets seemed benign to them, reaffirming to Keys that he was right and Yudkin was wrong. But it is possible, if not likely, that men in their forties and fifties respond differently to sugar than they would have in their late teens and early twenties.
*5 These constraints included the limited amount of research, the "limitations of experimental designs," "the tangled web of social consequences associated with the introduction or withdrawal of a commercially added food ingredient," and "the continuous progression of scientific theories and empirical findings."
*6 In May 1976, when the Public Relations Society of America awarded its Silver Anvil Award to the Sugar Association and Byoir and Associates for the advertising campaign in defense of sugar, the society emphasized the campaign's "ability to stem the flow of reckless commentary" about sugar, and singled out the conclusions of the SCOGS report as an accomplishment that would make it "unlikely that sugar will be subject to legislative restriction in coming years."
# CHAPTER 9
# WHAT THEY DIDN'T KNOW
> _I wish there were some formal courses in medical school on Medical Ignorance; textbooks as well, although they would have to be very heavy volumes._
>
> LEWIS THOMAS, "Medicine as a Very Old Profession," 1985
Over the past four hundred years, thinking on the scientific method has distilled the concept down to two words: "hypothesis" and "test." If we want to establish reliable knowledge—that what we think is true really is—this is the process that must be followed. In the words of the philosopher of science Karl Popper, "The method of science is the method of bold conjectures and ingenious and severe attempts to refute them." The bold conjectures are the hypotheses, and they are the relatively easy part of science. The ingenious and severe attempts to refute them are the experimental tests—the hard part. This is what takes time, effort, and money, and often prohibitive amounts of each.
Nutrition hypotheses are particularly challenging because they're often about how foods or constituents of foods or dietary patterns influence our pursuit of a long and healthy life. The hypothesis addressed in this book, for instance, is that sugar is the dietary trigger of obesity and diabetes and, if so, the diseases such as heart disease that associate with them. But this hypothesis is ultimately about what happens to us over decades—the time it takes chronic diseases to manifest themselves—and not months, as is the case, say, with vitamin-deficiency diseases like scurvy or beriberi.
In the late 1960s, when administrators at the National Institutes of Health considered doing a trial that would test the hypothesis that dietary fat causes heart disease and thus, ultimately, the shortening of our lives, they concluded that it would require perhaps a hundred thousand subjects and would cost at least one billion dollars. And they were justifiably concerned that such a study still couldn't be trusted to give a reliable and definitive result. (That's why replication, ideally by independent investigators, is also considered key to the scientific process: a necessary step before a hypothesis is accepted as likely to be true.) So such a study was never undertaken.
What happened after that tells us a lot about the particular pitfalls of nutrition science and public-health policy and how they interact. Instead of the billion-dollar test of the dietary-fat hypothesis, the NIH invested a quarter-billion dollars in two trials that tested variations on the same theme, or links in a hypothetical chain of reasoning. The first trial would test the supposition that men with high cholesterol levels who were told to eat a low-fat diet (and also took blood-pressure medication and received counseling to quit smoking, if either of these was necessary) would live longer than men who weren't. The results of this study were published in 1982 and failed to confirm the hypothesis. The men on the low-fat diet suffered more deaths than the men who were left to their own devices. (The investigators refused to believe that a low-fat diet could be harmful, and certainly not the smoking cessation, so they concluded, questionably, that the blood-pressure medication had unforeseen side effects and caused more deaths than it prevented.) The second trial tested the hypothesis that a cholesterol-lowering medication given to men with very high levels of cholesterol would lengthen their lives, compared with men who took no such medication. The results of this study, published in 1984, indicated that the medication helped, albeit just barely.
The authorities at the National Institutes of Health then took what amounts to a leap of faith. ("It's an imperfect world," as one of the NIH administrators later phrased it. "The data that would be definitive are ungettable, so you do your best with what is available.") Concerned, as they were, that hundreds of thousands of Americans were dying of heart disease yearly, they assumed that if a drug that lowered cholesterol would extend the lives of men with very high cholesterol, then a diet that also lowered cholesterol would do the same for all the rest of us. Equally important, they assumed that the benefit of communicating this leap of faith on a nationwide scale was worth the risks. In 1984, attended by considerable controversy, they initiated a massive public-relations campaign to induce every American over the age of two to eat a low-fat diet. We've been living with the consequences ever since.
Had scientific progress stopped there, we wouldn't know whether the leap of faith was justified. But we do. The NIH eventually spent between half a billion and a billion dollars, depending on the estimate, testing the hypothesis that a low-fat diet would prevent chronic disease in women and bestow on them a longer life. The authorities involved had little doubt that it would, and were responding to political pressure to include women in medical trials; women had been underrepresented until then. The trial, known as the Women's Health Initiative, was launched in the early 1990s, and the results were reported in 2006. Once again, it failed to confirm the hypothesis. The roughly twenty thousand women in the trial who had been counseled to consume low-fat diets (and to eat more fruits, vegetables, and whole grains, and less red meat) saw no health benefits compared with the women who had been given no dietary instructions whatsoever.
Once again, the researchers involved and the public-health authorities chose _not_ to perceive this negative result as reason to question their belief that fat causes heart disease and that low-fat diets will prevent it. Rather, they chose to assume that the trial—the largest such randomized trial ever done—simply failed to get the right answer, or would have gotten the answer they expected ("statistically significant," in the scientific jargon) had the study lasted longer or included more subjects, or had the women in the trial done a better job of adhering to a low-fat diet. These authorities had now spent decades (nearly half a century, in the case of the American Heart Association) telling us that dietary fat was killing us. Thus they found it easier to accept, or at least easier to communicate, the notion that the study had failed (or almost but not quite succeeded) than that their preconceptions about diet and the dietary advice they had been giving, based largely on that initial leap of faith, had been incorrect.
Often in science, repeated tests of a hypothesis result not in its disproof but in less and less reason to believe it's true. That was the case with the dietary-fat theory. In 1987, as we've seen, in the midst of the government's public-health campaign—i.e., the leap of faith—a supposedly definitive _Surgeon General's Report on Nutrition and Health_ had claimed that two in every three of the two million yearly deaths in the United States could be blamed chiefly on "the disproportionate consumption of food high in fats," and that "the depth of the science base...is even more impressive than that for tobacco and health in 1964." A quarter century later, the most authoritative review of the evidence—from an international organization known as the Cochrane Collaboration—claimed that no health benefits derived from eating a diet low in fat, although the evidence "suggest[ed]" a small benefit if a diet high in fat replaced saturated fat with polyunsaturated fat. The leap of faith had turned out to be, well, a leap of faith.
At the core of all nutrition controversies is a simple fact: the requirements of public-health policy and the requirements of good science can be mutually exclusive. When large numbers of Americans are dying from diet-related diseases, leaps of faith can be justified if the odds seem good that they will save lives. In fact, it may seem irresponsible not to take such steps. But leaps of faith are incompatible with the institutionalized skepticism required to do good science, and the process of rigorously and repeatedly testing our beliefs to establish whether or not they're true. Public-health authorities will talk about not having the time to gather "definitive scientific evidence," because they believe they have to act. Scientists will argue that the absence of definitive scientific evidence means that we don't know what the truth is and, therefore, how to act. And they may both be right. In 1999, when I first started my investigations into these nutrition controversies for the journal _Science,_ the then director of the NIH's office of disease prevention, William Harlan, put it this way: "We're all being pushed by people who say, 'Give me the answer. Is it or isn't it?' They don't want the answer after we finish a study in five years. They want it now. No equivocation...[and so] we constantly get pushed into positions we may not want to be in and cannot justify scientifically."
One danger here, of course, is that once we insist or pretend that we know the answer based on premature or incomplete evidence (even if we're pushed against our will to take such stands), we're likely to continue to insist we're right, even when evidence accumulates to the contrary. This is a risk in any human endeavor. When Francis Bacon pioneered the scientific method almost four hundred years ago, he was hoping to create a methodology of critical or rational thinking that would minimize this all-too-human characteristic of avoiding evidence that disagrees with any preconceptions we might have formed.*1 Without rigorous tests, as many as necessary, beliefs and preconceptions will persevere because it's always easier to believe that a single test has been flawed, or even a few of them, than it is to accept that our belief had been incorrect. The scientific method protects against this tendency; it does not eradicate it.
—
In 1969, John Yudkin discussed this conflict in the context of nutrition research and, specifically, the challenges of establishing reliable knowledge about sugar and chronic disease. Speaking at a symposium in London, Yudkin acknowledged that none of the existing research on sugar could be considered definitive. No one had yet tested the actual hypotheses that were being debated. Scientists had tested the hypothesis that sugar consumption caused chronic disease in rats, because they could do those experiments: they could feed the rodents sugar-rich diets, or not, and see what happened over the lifetime of a rat. But it wasn't a human's lifetime. They had no idea whether rats were good models for humans. Moreover, as other researchers had implied at the same conference, they couldn't even know if the rats they used were good models for other rats, since some of the observations were what researchers would call "strain specific." Eating sugar seemed to shorten the lives of some strains of rats but not others.
The kind of randomized controlled trials over the course of ten or twenty years that would truly test the hypothesis that sugar caused heart disease or diabetes, as Yudkin noted, were no different from the kind the NIH was then considering and would soon reject for the dietary-fat/cholesterol hypothesis. Such trials were certainly far beyond the budget of any single researcher or even collaboration of researchers; they required that the National Institutes of Health or the Medical Research Council in the U.K. or some other government agency create a concerted program to test the idea. Without that, researchers would do what they could afford: study rats or primates, or study a few dozen human subjects for weeks or a few months, and see what happened. "It would be just as great a mistake to dismiss the results of such experiments as valueless because of these limitations," Yudkin said, "as to accept them uncritically as answering questions relating to long-term diets in all persons."
In 1986, with the perceived FDA exoneration of sugar, the public-health authorities and the clinicians and researchers studying obesity and diabetes had come to a consensus that type 2 diabetes was caused by obesity, not sugar, and that obesity itself was caused merely by eating too many calories or exercising away too few. By this logic, the only means by which a macronutrient could influence body weight was its caloric content, and so, calorie for calorie, sugar was no more fattening than any other food, and thus no more likely to promote or exacerbate diabetes. This was what the sugar industry had been arguing and embracing since the 1930s. It was what Fred Stare of Harvard had in mind when he said publicly that he would prefer to get his calories from a martini than from a dessert.
A more nuanced perspective, one nourished by scientific progress, would be that if two foods or macronutrients are metabolized differently—if glucose and fructose, for instance, are metabolized in entirely different organs, as they mostly are—then they are likely to have vastly different effects on the hormones and enzymes that control or regulate the storage of fat in fat cells. One hundred calories of glucose will very likely have an entirely different effect on the human body from one hundred calories of fructose, or fifty calories of each consumed together as sucrose, despite having the same caloric content. It would take a leap of faith to assume otherwise.
Nutritionists had come to assume that a hundred calories of fat had a different effect from a hundred calories of carbohydrate on the accumulation of plaque in coronary arteries; even that a hundred calories of saturated fat would have an entirely different effect from a hundred calories of unsaturated fat. So why not expect that macronutrients would have a different effect on the accumulation of fat in fat tissue, or on the phenomena, whatever they might be, that eventually resulted in diabetes? (Insulin resistance and hyperinsulinemia, as Rosalyn Yalow and Solomon Berson, among others, had suggested in the 1960s, seemed to be a very likely bet.) But obesity and diabetes researchers, as we've seen, had come to embrace the mantra that "a calorie is a calorie"; they would repeat it publicly when they were presented with the idea that there was something unique about how the human body metabolizes sugar that sets it apart from other carbohydrates. The long-held view was based on the state of the science in the early years of the twentieth century, and to cling to it required a willful rejection of the decades' worth of relevant revelations in the medical sciences that had come since.
By the 1980s, biochemists, physiologists, and nutritionists who specialized in the study of sugar or in the fructose component of sugar had come to consistent conclusions about the short-term effects of sugar consumption in human subjects, as well as the details of how sugar is metabolized and how this influences the body as a whole. The glucose we consume—in starch or flour, or as half of a sugar molecule—will be used directly for fuel by muscle cells, the brain, and other tissues, and can be stored in muscles or the liver (as a compound called glycogen), but the fructose component of sugar has a much different fate. Most of it never makes it into the circulation; it is metabolized in the liver. The metabolic pathways through which glucose passes when it is being used for fuel—in both liver and muscle cells—involve a feedback mechanism to redirect it toward storage as glycogen when necessary. This is the case with fructose, too. But the metabolism of fructose in the liver is "unfettered by the cellular controls," as biochemists later put it, that work to prevent its conversion to fat. One result is the increased production of triglycerides, and thus the abnormally elevated triglyceride levels that were observed in many research subjects, though not all, when they ate sugar-rich diets.
While cardiologists and epidemiologists were debating whether elevated triglycerides actually increased the risk of heart disease (in the process, challenging their own beliefs that cholesterol was key), biochemists had come to accept that sucrose was "the most lipogenic" of carbohydrates—as even Walter Glinsmann, author of the FDA report on sugar, would later acknowledge—and that the liver was the site of this fat synthesis.*2 The Israeli biochemist Eleazar Shafrir would describe this in the technical terminology as "the remarkable hepatic lipogenic capacity induced by fructose-rich diets." It was also clear from the short-term trials in humans that this happened to a greater extent in some individuals than others, just as it did in some species of animals and not others. In human studies, subjects who had the highest triglycerides when the trials began tended to have the greatest response to reducing sugar intake, suggesting (but not proving) that the sugar was the reason they had such high triglycerides in the first place. These same individuals also tended to see the greatest drop in cholesterol levels when they were put on low-sugar diets.
There were other interesting vagaries in how both humans and animals in these experiments responded to sugar that these researchers would have liked to explore further, but government funding for this kind of research was increasingly hard to come by in the latter half of the 1980s. Young women, for instance, seemed relatively resistant to this triglyceride-raising effect of sugar, whereas older and particularly post-menopausal women responded just like men. The researchers doing these studies wondered if this could explain why younger women seemed relatively immune to heart disease, but all they could do is speculate.
Subjects who responded with elevated triglycerides to sugar-rich diets also tended to manifest a phenomenon known as glucose intolerance when they consumed carbohydrates: their blood-sugar level over the next few hours would rise higher than it should have. This suggested that the cells of these individuals might also be relatively resistant to the action of insulin in working to keep blood sugar under control. But it wasn't clear why this happened, particularly since the sugar itself was being metabolized in the liver and the fructose component of sugar was not even stimulating the pancreas to secrete insulin. In the early 1970s, Aharon Cohen and his Israeli colleagues had reported that these individual responses were very likely determined by genetic proclivities and that they were linked to the eventual onset of diabetes, at least in rats. Cohen and his colleagues had bred together lean rats that were otherwise healthy, except for this phenomenon of becoming glucose-intolerant on sugar-rich diets. Then they had taken the offspring of these rats, the ones that were also glucose-intolerant when they ate sugar, and bred them together. Within three generations, the progeny would become diabetic upon eating sugar, not just glucose-intolerant. Whether this meant the same thing happened in humans, and whether it explained why some of us get diabetic while eating no more sugar than others who don't, was something neither Cohen nor anyone else could answer.
In 1986, when Walter Glinsmann and his colleagues compiled the final FDA report on sugar, they discussed many of these findings, and then chose to take the absence of definitive evidence on _long-term_ effects of sugar consumption as sufficient reason to conclude that sugar was generally recognized as safe. By then, the great majority of researchers and clinicians thinking about heart disease had come to accept that fat was the problem, not sugar, and so they did, indeed, generally consider sugar to be safe. That didn't mean it _was_ safe, only that this was what most authorities who were expected to have an informed opinion in the 1980s believed.
Researchers who argued otherwise, such as Yudkin, Walter Mertz, and Sheldon Reiser at the USDA Carbohydrate Nutrition Laboratory, were assumed to be biased or bad scientists or, like Yudkin, overly invested in a quack hypothesis. The kinds of tests necessary to answer the question definitively had never been done, and Glinsmann and his co-authors had offered up no suggestions about whether they should be. In fact, their charge in compiling the FDA report did not include specifying where more research was necessary, and so they didn't.*3 Dietary fat had been proclaimed the dietary cause of heart disease, and the government and health organizations would now commit themselves to getting Americans to eat low-fat diets.
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The context would soon change on the science of sugar, but not before two other developments that influenced how the nutritional authorities perceived it and, perhaps more important, how the public perceived _and_ consumed it. Throughout the twentieth century, diabetes specialists and nutritionists had assumed that if any component of the food we ate caused or exacerbated diabetes, either it had to make us fatter (dietary fat by the 1980s was widely touted as the prime suspect for that, because of its particularly dense calories) or it had to put a unique strain on the insulin-secreting cells of the pancreas. Even the British researcher Peter Cleave had assumed this to be true, and it had strongly influenced his thinking in the 1960s, when he was arguing that refined grains and sugars were the causes of obesity and diabetes and their associated chronic diseases.
If this was true, then the key factor in how sugar or any carbohydrate influenced diabetes status would likely be how quickly these foods were digested into their component carbohydrates, such that the glucose could be released into the circulation and result in a rise in blood sugar. This concept came to be known as the "glycemic index." It was pioneered in the late 1970s by researchers at Oxford University, and it supported the notion that Cleave had been right, at least in this one sense. The more refined or processed a carbohydrate, and the less fat and fiber accompanying it to slow its digestion, the greater the blood-sugar response, and thus the more insulin required to metabolize it; or, as Cleave might have phrased it, the greater the strain on the pancreas. For the glycemic index, the Oxford researchers established a reference value of 100 when subjects drank a solution of glucose and water alone. Corn flakes rated 80, white rice 72, white bread 69, apples 39, and ice cream (with its high fat content) only 36.
The initial publications on the glycemic index sparked a surprisingly acrimonious controversy about its ultimate value. One obvious problem was that the blood-sugar response to consuming any specific food would differ significantly from person to person and be strongly influenced by the meals in which that food was consumed—how much fat, protein, and fiber were contained in the other foods in the meal. Another problem was that a food rich in fat, and even saturated fat—ice cream being the prime example—would have a low glycemic index because of the fat content and so appear, by this measure, to be healthy. Many nutritionists and researchers concerned about obesity, diabetes, and heart disease and convinced that dietary fat was the culprit found this to be an unacceptable conclusion. Still, the concept of the glycemic index would slowly come to be embraced by the diabetes community as a useful measure of what foods diabetics could or could not eat, or how they had to modulate their insulin doses if they did.
An unintended consequence of the glycemic index is that it made sugar seem healthy, even for diabetics. Because most of the fructose we consume never makes it through the liver to show up in the circulation as blood sugar, fructose barely registers in the glycemic index. As a result, sugar (now sucrose _and_ high-fructose corn syrup, as we'll discuss shortly) has a relatively low glycemic index—only half of it, the glucose, raises blood sugar. This made fructose appear to be an ideal sweetener for diabetics, and sugar itself of little concern. There was no reason, therefore, "for diabetics to be denied foods containing sucrose," as University of Minnesota researchers concluded in a 1983 article in _The New England Journal of Medicine._ By 1986, this was the official position of the American Diabetes Association as well.
This helps to explain the rise in total caloric-sweetener consumption—in the consumption of sugars that contain fructose, specifically sucrose and high-fructose corn syrup (HFCS)—that began in the 1980s and paralleled the latest incarnations of the obesity and diabetes epidemics. We went from the first half of the 1970s, during which sugar was vilified and per capita sugar consumption actually dipped, to the 1980s, which saw the beginning of the first significant increase in total intake since the Great Depression. In 1999, when 150 pounds of sugar and HFCS were being sold in the United States for every man, woman, and child in the country, this was a third more than had been available a quarter century earlier (113 pounds). Depending on how it's calculated (what proportion of the sugar and HFCS sold is then actually consumed), by 1999 we were now eating and/or drinking from two to three times the dose of sucrose and HFCS that Glinsmann and his FDA colleagues had officially defined as safe just thirteen years earlier.
The upturn began after the sugar industry's successful public-relations campaign and shortly before the exoneration of sugar by the FDA. It coincided with the introduction of high-fructose corn syrup into the food supply, and particularly what is known as HFCS-55—the aforementioned mixture of 55 percent fructose and 45 percent glucose that had been created to be indistinguishable from sucrose when used to sweeten Coca-Cola or Pepsi.*4 By 1984, it had replaced sucrose in both these soft drinks, largely because it was cheaper and, thanks to government legislation passed by the Reagan administration, could be trusted to remain cheaper. It also came in the form of a syrup that was particularly convenient for the beverage industry. From 1984 through the end of the century, caloric-sweetener consumption steadily rose as HFCS first replaced a fair share of the sucrose we were consuming, and then kept climbing.
Multiple possible explanations exist for why this happened, including the fact that the public-health authorities were now telling Americans that fat was what made them fat and implying that sugar was effectively harmless, as long as we didn't overdo it. (By the mid-1990s, even the American Heart Association was recommending we have sugar candies for snacks, rather than foods that contained saturated fat.) Another simple explanation is that the corn refiners went out of their way to promote HFCS as something other than sugar. They referred to their product as "fructose," as though that's all it was, and then they referred to "fructose" as "fruit sugar," making it seem inherently healthy. With the American Diabetes Association and diabetes specialists now suggesting that fructose is an ideal sweetener on the basis that it doesn't raise blood sugar or require insulin to be metabolized, this made HFCS seem ideal as well.
It's difficult to imagine that we simply failed to realize that the HFCS we were now consuming in our soft drinks and juices and an ever-increasing number of processed foods and baked goods was, indeed, just another form of glucose and fructose and thus, in effect, sugar, but that is what happened. The corn refiners had succeeded in muddying the difference.*5 HFCS became the sweetener of choice in a host of products that were now portrayed as uniquely healthy—sports drinks like Gatorade; bottled teas infused with ginkgo biloba, ginseng, or other exotic herbs; low-fat yogurts—and exploded in popularity at the time. The manufacturers could acknowledge in the list of ingredients that the primary source of calories came from high-fructose corn syrup without alerting consumers that this was just another form of sugar, and that they might get even fatter and perhaps more likely become diabetic because of it. As it turned out, we did get fatter _and_ more diabetic. The question, of course, is whether that is a coincidence or an instance of cause and effect.
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In the late 1980s, the context of the science itself began to shift radically. The biochemistry of how the liver metabolizes fructose had been well worked out, and why sugar consumption would be expected to elevate triglycerides in the bloodstream. That was not controversial. But the medical context in which it would be understood—or, more precisely, _should_ be understood—would change. A series of developments in our understanding of heart disease and diabetes began to take the spotlight away from the cholesterol/dietary-fat connection and shine it on the carbohydrate content of the diet.
The medical research community came to recognize that insulin resistance and a condition now known as "metabolic syndrome" is a major, if not _the_ major, risk factor for heart disease and diabetes. Before we get either heart disease or diabetes, we first manifest metabolic syndrome. The CDC now estimates that some seventy-five million adult Americans have metabolic syndrome.
The very first symptom or diagnostic criterion that doctors are told to look for in diagnosing metabolic syndrome is an expanding waistline. This means that if you're overweight or obese—as two-thirds of American adults are—there's a good chance that you have metabolic syndrome; it also means that your blood pressure is likely to be elevated, and you're glucose-intolerant and thus on the way to becoming diabetic. This is why you're more likely to have a heart attack than a lean individual—although lean individuals can also have metabolic syndrome, and those who do are more likely to have heart disease and diabetes than lean individuals without it.
Metabolic syndrome ties together a host of disorders that the medical community typically thought of as unrelated, or at least having separate and distinct causes—getting fatter (obesity), high blood pressure (hypertension), high triglycerides, low HDL cholesterol (dyslipidemia), heart disease (atherosclerosis), high blood sugar (diabetes), and inflammation (pick your disease)—as products of insulin resistance and high circulating insulin levels (hyperinsulinemia). It's a kind of homeostatic disruption in which regulatory systems throughout the body are misbehaving with slow, chronic, pathological consequences everywhere.
The research on metabolic syndrome dates back to the early 1950s and ties together Rosalyn Yalow and Solomon Berson's revelation that both the obese and type 2 diabetics are insulin-resistant with the science Yudkin invoked in 1963 to argue that sugar consumption was the most likely dietary cause of heart disease. Virtually all of these disorders could be generated by feeding sugar to laboratory animals, as Yudkin pointed out, and many by feeding sugar to humans. The Stanford University endocrinologist Gerald Reaven and his collaborators deserve the credit for much of the additional science, and for then getting the medical community to pay attention, a considerable feat. Reaven's argument would be a variation on Yudkin's: that heart disease and diabetes are associated with a common set of metabolic and hormonal disruptions, including obesity, and that elevated cholesterol levels may be the least of them. Reaven implicated all carbohydrates in the disease state. Unlike Yudkin, he wasn't considered a zealot who argued that sugar was toxic and saturated fat was not.
In 1987, Reaven discussed the emerging science of metabolic syndrome at a conference on diabetes prevention hosted by the National Institutes of Health. The researchers and clinicians in attendance acknowledged that the science was compelling, but they also wished, as one NIH administrator said at the time, that "it would go away, because nobody knows how to deal with it." They had come to believe that fat was bad for the heart and that too much protein could put an unhealthy strain on the kidneys. Now Reaven was bringing back the notion that carbohydrates were bad. "We have to eat something," the NIH official said, but what would be left?
The following year, Reaven gave the prestigious Banting Lecture at the annual meeting of the American Diabetes Association. He described the evidence supporting what he had come to call "Syndrome X" (metabolic syndrome). As Reaven described it, the condition of being resistant to insulin—the key defect in metabolic syndrome—is the underlying cause of type 2 diabetes. Not everyone with insulin resistance becomes diabetic, however; some continue to secrete sufficient insulin to overcome their bodies' resistance to the hormone. And this hyperinsulinemia in turn has deleterious effects throughout the human body, including causing heart disease by raising triglyceride levels and blood pressure, lowering levels of HDL cholesterol, and further exacerbating the insulin resistance. It's a vicious cycle in which secreting too much insulin can cause insulin resistance, and insulin resistance will cause the body to secrete still more insulin. Diabetes and heart disease are likely to follow. Getting ever fatter may be a cause, but it could be a result as well.
Over the years, as the research on metabolic syndrome has accumulated, it has generated an ever-growing list of metabolic and hormonal abnormalities that accompany insulin resistance and are thus found in the obese, and which precede both heart disease and diabetes. These include large numbers of LDL particles in the circulation (not the cholesterol itself, but the particles that carry the cholesterol) and elevated blood levels of uric acid, a precursor of gout. They also include a state of chronic inflammation, marked by a high concentration in the blood of a protein known as C-reactive protein and other inflammatory molecules.
Metabolic syndrome changes the vocabulary that physicians use when they discuss a patient's risk of heart disease. High cholesterol isn't among the cluster of metabolic abnormalities, nor is elevated LDL cholesterol, the "bad" cholesterol. Rather, the key factors are high triglycerides, low HDL cholesterol, high blood pressure, overweight, glucose intolerance, and, more than anything, the condition of being insulin-resistant and thus oversecreting insulin, day in and day out. All of these abnormalities happen to be related to the carbohydrate content of the diet, not to the fat content.
The ultimate question, though, is what causes the insulin resistance? What sets off this vicious cycle? Since the early 1960s, many researchers and clinicians have been willing to assume that it's obesity, or at least excess fat accumulation, for the same reason they assumed obesity caused diabetes—the two are so closely associated. But this doesn't explain how lean people can also be insulin-resistant (or diabetic), so sedentary behavior is often invoked to explain metabolic syndrome in these cases. Both are a way to reconcile the presence of insulin resistance in obesity while still blaming obesity itself on more calories consumed than expended. These assumptions were never rigorously tested, but they seemed reasonable and so they were embraced.
One of the interesting side effects of the research on the glycemic index, though, and then the slow acceptance of insulin resistance and hyperinsulinemia as both precursors and drivers of heart disease and diabetes, is that the number of researchers studying sugar and its fructose component began to increase again in the late 1980s. This wasn't because the researchers were particularly concerned that sugar was bad for us. Rather, some started studying fructose because it was seen as a potentially ideal sweetener for diabetics, as the American Diabetes Association was saying, and some because fructose presented a means of comparison with glucose for laboratory studies of metabolism—one had an immediate effect on blood sugar and insulin secretion (glucose), and the other did not (fructose).
Some researchers began studying fructose because researchers in Reaven's laboratory at Stanford demonstrated that the easiest way to cause the symptoms of insulin resistance and thus metabolic syndrome in laboratory rats and mice was to feed them large amounts of fructose. As Reaven would later explain, they started feeding diets that were mostly fructose to their rats because they were curious about the recommendations from the American Diabetic Association. The Stanford researchers very quickly found that they had "a marvelous model" for the metabolic syndrome they were studying in humans—high triglycerides, high insulin levels (hyperinsulinemia), insulin resistance, even high levels of uric acid.
Some researchers began studying sugar because they were interested in why fat accumulates in the liver. The first reports linking fatty liver disease to obesity in humans date to 1950 and a Kansas physician named Samuel Zelman, who suggested that the carbohydrate load consumed by his obese patients might somehow be responsible. (He was motivated to study the subject, he wrote, by a patient who happened to be an aide in his hospital and "ingested the contents of 20 or more bottles of coca-cola per day.") The first case reports in the literature diagnosing fatty liver disease in adults who had no history of alcohol consumption—hence, _nonalcoholic_ fatty liver disease, or NAFLD—date to 1980 and, in children, to 1984. The condition is indistinguishable from the fatty liver disease that alcohol is known to cause. Its presence in adults who don't drink and in children was explained by the fact that these patients were almost invariably obese and had high triglycerides. In other words, they had metabolic syndrome.
Today one in every ten adolescents is thought to have nonalcoholic fatty liver disease, as are an estimated seventy-five million adults (perhaps not coincidentally, the same number as are estimated to have metabolic syndrome). The condition has now been diagnosed in infants. It's clearly another epidemic. Some clinicians dealing with NAFLD assume it's caused by obesity; others have wondered what aspect of modern diets or lifestyles could uniquely work to make fat accumulate in the liver. Because NAFLD also very closely associates with metabolic syndrome and insulin resistance, one possibility is that it's the accumulation of fat in the liver that actually causes the insulin resistance that is at the heart of metabolic syndrome. This is what many researchers who study insulin resistance believe today, and what the latest evidence suggests. But why does fat accumulate in the liver? Some of the researchers trying to answer that question are studying sugar, because fructose is metabolized in the liver and is highly lipogenic (fat-producing).
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Since the 1990s, these researchers have established certain findings unambiguously. First, feed animals enough pure fructose or enough sugar (glucose and fructose) and their livers convert much of the fructose into fat—the saturated fat palmitic acid, to be precise, which is the one that _supposedly_ gives us heart disease when we eat it, by raising LDL cholesterol. The biochemical pathways involved are clear and not particularly controversial. Feed animals enough fructose for long enough and this fat accumulates in the liver, causing the kind of fatty liver seen in obese children and adults. The fat accumulation accompanies insulin resistance, first in the liver and then in other cells as well, resulting in metabolic syndrome, at least in laboratory animals.
These researchers say the metabolic effects of consuming sugar or fructose can happen in as little as a week if the animals are fed huge amounts of it—almost 70 percent of the calories in their diets. The effects may take several months to appear if the animals are fed something closer to what humans in America actually consume—around 20 percent of the calories in their diet. Stop feeding them the sugar, in either case, and the fatty liver goes away, and with it the insulin resistance. In a 2011 study in which twenty-nine rhesus monkeys were given the opportunity to drink a fructose-sweetened beverage along with their usual monkey chow, every last one of them developed "insulin resistance and many features of the metabolic syndrome" within a year, and four had progressed to type 2 diabetes.
Researchers have obtained similar results with humans (albeit without going so far as to give them diabetes), but they have typically done the experiments only with fructose. Luc Tappy at the University of Lausanne in Switzerland began studying fructose in the mid-1980s because he was "fascinated by the very peculiar metabolism of fructose, [that] it's readily metabolized without the need of insulin." When Tappy fed his human subjects the equivalent of the fructose in eight to ten cans of Coke or Pepsi a day—a "pretty high dose," as he says—their livers would start to become insulin-resistant and their triglycerides would elevate in just a few days. With lower doses, the same effects would appear but only if the experiment ran for a month or more.
Despite the steady accumulation of research implicating sugar and fructose in the accumulation of fat in the liver and insulin resistance, every experiment can still be easily criticized as falling short of being conclusive—just as Walter Glinsmann and his FDA co-authors suggested in 1986. The studies with rodents aren't necessarily applicable to humans. And the kinds of studies that Tappy did—getting humans to drink beverages sweetened with fructose and comparing the effect to what happens when the same people or others drink beverages sweetened with glucose—aren't applicable to real human diets, because neither humans nor animals ever naturally drink pure fructose or even pure glucose, at least not in liquid form. We always take it as pretty close to a fifty-fifty combination of the two, as in sugar and high-fructose corn syrup. And the amount of fructose or sucrose being fed to the rodents or the human subjects in these studies has typically, although not always, been enormous—usually constituting 60 or more percent of the calories in the rodents' diet, and the equivalent of 30 to 40 percent of calories from sugar in humans. What's more, these studies are short—a few months at most—and it's unclear how to extrapolate from what happens in just a few months when we're talking about conditions—metabolic syndrome, obesity, diabetes, heart disease—that develop over years and, more likely, decades. Researchers assume that it's a fair assumption that what happens in a few months on large doses of sugar (in studies that are practical and affordable) will happen over a longer period when the doses of sugar consumed are more realistic (in studies that aren't). It's a reasonable assumption, maybe a good one (I think so), but that doesn't mean it's true.
Ultimately, what the sugar industry (and researchers, both on and off the industry's payroll) will argue is that restricting sugars in these studies only decreases insulin resistance and metabolic syndrome when the subjects lose weight. They then assume that the only way to induce weight loss is to get people to eat less—a calorie is a calorie, after all, by this thinking—and so the worst that can be said about sugar is that it tastes so good, it makes people consume too many calories. This leads back to the assertion that if these people had merely eaten less or exercised more, they'd have seen similar beneficial results.
But if sugar actually causes insulin resistance—as the biochemistry and the animal experiments suggest—then it also is the very likely trigger of excess fat accumulation and thus obesity. Remove the sugar, and the insulin resistance improves and weight is lost, not because the subjects ate less, which they may have, but because their insulin resistance resolved. The sugar industry doesn't see it this way.
The attendant complexity explains why research reviews on the subject—not to be confused with the reviews by the USDA or other government agencies—typically conclude that more research is necessary. In 1993, just seven years after the FDA appeared to exonerate sugar in its report, the _American Journal of Clinical Nutrition_ dedicated an entire issue to the effects of consuming fructose and thus sugar. Article after article discussed the evidence that sugar consumption might be harmful and then the need for research that did what the sugar industry's scientist-consultants had suggested two decades earlier was necessary: establish at what level of consumption sugar does, indeed, become dangerous. "Further studies are clearly needed to determine the metabolic alteration that may take place during chronic fructose or sucrose feeding," as Tappy and his colleague Éric Jéquier wrote in their review article in the special issue.
In 2010, when Tappy and his colleague Kim-Anne Lê co-authored a review on sugar, they were still reiterating the same point: "There is clearly a need for intervention studies," as they put it in the technical jargon, "in which the fructose intake of high fructose consumers is reduced to better delineate the possible pathogenic role of fructose. At present, short-term intervention studies however suggest that a high-fructose intake consisting of soft drinks, sweetened juices, or bakery products can increase the risk of metabolic and cardiovascular diseases." In less technical jargon, what's still needed is experiments that can tell us with reasonable certainty at what level or dose sugar consumption does to us what it does to laboratory rats and even baboons. Is that a higher dose than we already consume? Do we get metabolic syndrome and become insulin-resistant and so maybe obese, diabetic, and atherosclerotic because we've passed this point, or is there something else entirely to blame?
We're unlikely to learn anything more definitive in the near future, which brings us back to the issue we were discussing at the beginning of this chapter—the requirements of public-health action versus the requirements of good science. Sugar and high-fructose corn syrup are not "acute toxins," of the kind the FDA typically regulates, and the effects of which can be studied reasonably well over the course of days or months. The question is whether they're chronic toxins, their effects accumulating over the course of many thousands of meals, not just a few. This means that what Tappy referred to as "intervention studies" have to go on for years or decades to be meaningful. Thousands if not tens of thousands of subjects have to be randomized to high- and low-sugar diets and then followed for years (the more subjects in the study, the shorter the trial needs to run) to see which group experiences the greater toll in sickness and death. Such studies are exorbitantly expensive, and few researchers in this field think they'll ever be conducted.
The number of researchers interested in studying sugar and fructose and worrying about the metabolic effects of consuming them is certainly growing, as is the willingness of health organizations worldwide to fund laboratory research, or at least to discuss such funding. But this has yet to be accompanied by the kind of human trials that might identify what happens when we consume sugar or high-fructose corn syrup for years, and at what level of consumption we incur a problem. As of the fall of 2016, fewer than a dozen clinical trials—all small and of short duration—were ongoing in the United States that might actually establish anything that the researchers who pay attention to the literature haven't known for decades.
So the answer to the question of whether sugar, in the form of sucrose and HFCS, is the primary cause of insulin resistance and metabolic syndrome and therefore obesity, diabetes, and heart disease is: it certainly could be. The biological mechanisms that were elucidated by the 1970s make it clear that sugar is a prime suspect and should have been all along. The damage that these sugars do, their toxicity, would take years to accumulate and manifest themselves as disease. This wouldn't necessarily happen to everyone who ingested them (just as cigarette smoking doesn't cause lung cancer in everyone), but the biology suggests that when insulin resistance and metabolic syndrome appear, these sugars are the likely cause. The greater leap of faith, in this case, would be to assume that the sugars are harmless. And if sugars cause insulin resistance, as the evidence suggests, there are all-too-regrettable implications.
* * *
*1 "The human understanding," wrote Bacon, "once it has adopted opinions, either because they were already accepted and believed, or because it likes them, draws everything else to support and agree with them. And though it may meet a greater number and weight of contrary instances, it will, with great and harmful prejudice, ignore or condemn or exclude them by introducing some distinction, in order that the authority of those earlier assumptions may remain intact and unharmed."
*2 In 1916, when Harold Higgins of the Carnegie Institute published the first studies on how rapidly we metabolize different carbohydrates, he had made this same observation. Fructose (and sometimes galactose) "shows a tendency or preference to change to fat in the body, while glucose tends to change to glycogen [the storage form of carbohydrate] and be stored as such."
*3 Twenty-five years later, when I asked Walter Glinsmann, who was then consulting for the Corn Refiners Association, what research could be done to resolve the sugar question definitively, he refused to answer the question.
*4 The fructose and glucose in HFCS are not bound together as they are in sucrose, which has led some researchers to suggest that HFCS may be inherently more harmful. This may be less relevant than these researchers believe, though, because much of the sucrose in the food supply, and particularly in soft drinks—estimated in the 1970s at perhaps 50 percent—ends up as "invert sugar," in which the fructose and glucose have also been broken apart (hydrolyzed) by the time we consume it.
*5 When I began the research and reporting for my first book on nutrition in the early 2000s, even many of the researchers I interviewed either believed that HFCS was fructose alone or didn't know that sucrose was half fructose. Because these researchers tended to be either epidemiologists who study populations, or physicians who backed chronic diseases, they didn't have the nutrition or biochemistry background necessary at the time to be aware of these simple facts.
# CHAPTER 10
# THE IF/THEN PROBLEM: I
> _It is sometimes disheartening to consider that with all our abilities to detect diabetes and begin early intervention, we (i.e., IHS [the Indian Health Service] and NIH) failed to prevent the disaster that has overtaken the Tohono O'odham people and other American Indian Tribes in the United States._
>
> JAMES W. JUSTICE, "The History of Diabetes Mellitus in the Desert People," 1994
In February 1940, Elliott Joslin traveled to Arizona to conduct a comprehensive survey on the prevalence of diabetes in the state. He had been motivated, he would later explain, by a recent national survey that had documented large state-to-state disparities in the death rate from diabetes. Why did the states with the highest diabetes mortality—Rhode Island and Massachusetts—have a rate three to four times that of those with the lowest, of which Arizona seemed best suited for a study? Joslin was a fan of fieldwork, not "armchair statistical" research, so he took himself off to Arizona to answer the question personally. He would be aided by the state's Board of Health and its Medical Society, the Veterans' Bureau, and the Indian Health Service, all working to assure that all the red tape was cut. The local press gave his visit the necessary advance publicity, and the Phoenix Pathological Laboratory reduced its fees to a minimum for any blood-sugar tests that would have to be done. Airmail letters were sent to each of the more than 560 physicians working in the state, asking them to report back on every diabetic patient under their care.
Joslin presented his results that June at the annual meeting of the American Medical Association. His "canvass for diabetes," as he called it, had identified 755 cases in the state. Seventy-three were among the Native Americans living on reservations. After he accounted for the relative youth of the population and estimates of what percentage of cases might actually have been seen by the state's physicians, Joslin concluded that diabetes among the Native Americans in Arizona seemed no less common than it was among other ethnic groups and that the rate, in turn, was comparable to that of any other state—perhaps three or four in every thousand suffered. Diabetes, in other words, was still a rare disease at the beginning of the Second World War, both in Arizona and elsewhere, in the Native American population and among whites, but it was a universal disease. No population was exempt.
—
Times have changed. The prevalence of diabetes in the United States, as noted earlier, is now closer to one in eleven Americans than to the three or four in a thousand that it appeared to be when Joslin went to Arizona. As for the Native Americans in that state, by the 1960s researchers were reporting a prevalence of type 2 diabetes in adults surpassing 50 percent, the highest rate then (and perhaps since) recorded in the world. Both NIH researchers and the local physicians working for the Indian Health Service described this epidemic of diabetes as taking them by surprise. One moment the Native American population seemed to be relatively healthy, as Joslin and others had documented; if they had diabetes, the symptoms were sufficiently benign that they had no reason to be hospitalized and remained undiagnosed by the local physicians. The next moment, or so it seemed, these Native Americans were overwhelmed by the disease, as were the physicians and hospitals dedicated to providing their health care.
Understanding what happened to this Native American population is critical to understanding what's now happening to populations worldwide. How do we explain increases in prevalence of the disease of 900 percent, for instance, in the United States between the 1960s and today, if we believe the CDC statistics to be accurate? The key observations among Native American populations evolved coincident with the understanding of metabolic syndrome and insulin resistance that emerged from the 1960s onward, and so the implications are directly relevant to sugar itself and the proposition that sugar consumption is the cause.
Of the Native American tribes that have experienced diabetes epidemics, three in Arizona provide a window into what happened—the Pima (also known as the Akimel O'odham, or River People), who live along the Gila and Salt rivers, in the south-central part of the state; the Papago, a related tribe (the Tohono O'odham, or Desert People) living farther south, and the Navajo to the northwest.
The Pima are among the best-studied indigenous populations in the world. Their history, told by missionaries, soldiers, physicians, and travelers through the Pima territory prior to the twentieth century, is of an affluent and apparently healthy population whose prosperity came to an end in the 1860s. Anglos and Mexican Americans moved into the region, overhunted the local game, and diverted for their own use the Gila River water, on which the Pima depended for fishing and irrigating their crops. In the 1870s, the Pima were experiencing what they called the "years of famine," which then extended through the end of the nineteenth century and into the twentieth. "The marvel is that the starvation, despair, and dissipation that resulted did not overwhelm the tribe," wrote the Harvard anthropologist Frank Russell, who moved to Arizona in November 1901 to study the Pima, and whose seminal report on the people and their culture was published, posthumously, four years later.
The Pima, like most Native American populations, had remained destitute and isolated—"largely bypassed by the socioeconomic developments in the rest of the United States," as NIH researchers would later write—until the Second World War, when they were drafted into the military and began the process of integration into "white society." The decade that encompassed the war constituted what one anthropologist studying Native Americans has called the "critical juncture with modernity" for the population. During the war years, some twenty-five thousand Native Americans served in the military, and forty thousand worked in war-related industries. Both men and women of the Pima tribe took to working in the factories in nearby Phoenix. Though the economic boom sustained during the war—an estimated 250 percent increase in per capita income—didn't last, the Pima continued to acculturate to Western diets and lifestyles. The war years "accelerated the detribalization process," as a 1991 history of the wartime experience of Native Americans put it: "The reservation had contained the lives of some 400,000 persons who were cut off from the rest of American society. The war unlocked the reservation and introduced thousands of Indians, voluntarily and involuntarily, to the world beyond."
Statistics on the prevalence of obesity and diabetes in the Pima and other Native American populations pre–World War II are scarce and come mainly from hospital records and the occasional survey by anthropologists or Indian Health Service physicians. Both Frank Russell, for instance, and a physician-turned-anthropologist named Aleš Hrdlička* commented during the first years of the twentieth century on the surprising presence of obesity among the Pima, despite their extreme poverty, although almost exclusively among the older members of the tribe, and particularly the women. They "exhibit a degree of obesity," Russell wrote, "that is in striking contrast with the 'tall and sinewy' Indian conventionalized in popular thought."
The Pima were then depending as much on government rations as on their own subsistence farming to survive. Their diet, according to Hrdlička, already consisted of "everything obtainable that enters into the dietary of the white men." Russell suggested that some item of the diet was "markedly flesh-producing," but without making any speculations about what it might be. Hrdlička had also weighed and measured some 250 Pima children, equally split between boys and girls, and reported that these children were lean, if not very lean (on average), by today's standards. In 1938, a University of Arizona anthropologist weighed over two hundred Papago men applying for jobs in the Works Progress Administration and recorded that they, too, were lean, with an average weight of 158 pounds. Surveys of Papago children in the early 1940s and again in 1949 made no mention of obesity, although average weights increased by twenty pounds or more in both boys and girls between the two surveys.
As for diabetes, if it was present among the Pima in the early years of the twentieth century, neither Russell nor Hrdlička had thought it worth mention. Surveys done in the 1930s of Indian Health Service hospitals on the reservations were in accord with Joslin's survey: diabetes was still apparently a rare disease among these Native Americans. The Indian Health Service recorded just eleven deaths attributed to the disease among the entire Native American population of the state in the six years leading up to Joslin's arrival. Sage Memorial Hospital on the Navajo Reservation, a private institution, reported just a single case of diabetes between 1931 and 1936 (although, as Joslin pointed out, only seventy-five of the patients were past the age of fifty). As late as 1947, a survey of the inpatient records of twenty-five thousand Navajo admitted to the same hospital produced a total of only five cases in sixteen years.
By the early 1950s, though, evidence of the epidemic was beginning to appear. A University of Arizona survey of the health of the local Native American tribes suggested that diabetes mortality was two to three times higher than what Joslin had reported in 1940. The anthropologists carrying out the survey also noted that Pima children, despite still living in "widespread poverty," now seemed particularly prone to obesity, and that it was evident in some by age six and more often by age eleven. "That this obesity is not merely a childhood trait that is lost with physical maturity," they wrote, "is apparent to anyone who has lived or worked on the Pima Reservation for even a short period of time." A two-year survey of inpatient records in the hospitals serving the Native American population identified ninety-four cases of diabetes in the Pima, just a dozen years after Joslin had identified only twenty-one. In 1954–55, two Indian Health Service physicians, John Parks and Eleanor Waskow, surveyed physicians and the Indian Health Service hospitals and identified 283 cases among the Pima; by their estimation, at least one in every twenty-five Pima was clearly diabetic, manifesting symptoms of the disease when it is uncontrolled.
The extent of the epidemic and the speed with which it arrived become all too clear in 1963, when two NIH researchers—Peter Bennett, a British rheumatologist, and Tom Burch, an infectious-disease epidemiologist—visited the Gila River Reservation to study rheumatoid arthritis, a disease they believed might be rare among populations like the Pima, living in hot, dry environments. Bennett and Burch took blood samples from over nine hundred Pima and found diabetic levels of blood sugar in 30 percent of them. Among those older than thirty, one in every two appeared to be an undiagnosed and untreated diabetic. Within months of reporting the results of the survey in 1965, the two NIH researchers had been reassigned to Arizona to study diabetes in the Pima and to create an NIH outpost in the state that continues to study diabetes in the Native Americans to this day. By 1971, Bennett, Burch, and their colleagues were confirming, using "conservative criteria," the highest rates of diabetes ever recorded in a population, while also noting that two-thirds of the Pima men and over 90 percent of the women were at least overweight, if not obese. Indian Health Service physicians studying the Papago and other local tribes were now beginning to report numbers almost as high.
By the mid-1980s, the epidemic of diabetes and obesity that had beset the Pima was clearly documented in the Navajo and other Native American tribes throughout Arizona, Utah, and New Mexico. Diabetes had become a primary cause of death among these populations; outpatient visits for diabetes in the Indian Health Service hospitals in Arizona nearly tripled in just a dozen years. Researchers and physicians were documenting ever-increasing levels of childhood obesity and of type 2 diabetes appearing at ever younger ages.
Throughout these decades, the Indian Health Service physicians and the NIH researchers struggled to explain what they were witnessing. How could one in two Pima adults have the blood-sugar level of a diabetic without the hospitals being full of Pima with diabetic complications? One possibility was that these Native Americans could tolerate higher levels of blood sugars than other ethnic groups, and so diabetes in these populations was a relatively benign disease. That belief was dispelled, however, as the familiar complications of diabetes—kidney disease, heart disease, hypertension, nerve damage, gangrene leading to amputation, blindness—began to appear. One NIH researcher who arrived in Arizona in 1983 to study the Pima later said he was "shocked" by "the amount of suffering" he was seeing.
The only explanation that seemed to fit, as Parks and Waskow had first suggested when they published the results of their assessment in 1961 (and as Bennett and Burch did a decade later), was that they were witnessing a wave of diabetes overtaking this population—a new disease, in effect. The Arizona hospitals hadn't been full of Native American patients with diabetic complications because these people hadn't had diabetes long enough to manifest those complications. "As more thorough examinations were done," wrote James Justice of the Indian Health Service when he reviewed the evidence in 1993, "and the duration of diabetes (mostly uncontrolled) increased, all the usual dreaded complications eventually ensued."
In 1965, when Bennett and Burch moved permanently to Arizona to begin the study of diabetes in the Pima tribe, they were motivated by what Bennett later called, with all due respect for the tragedy unfolding, a "fantastic opportunity to try to understand diabetes itself and its implications." Over the next thirty years, the NIH researchers would learn a tremendous amount about why and how diabetes and obesity could explode in a population, as it did throughout these Native American peoples, and as it does now throughout the world.
Three factors appear to be at work.
One is the change in diet and lifestyle that these populations experienced with Westernization, which would be mirrored by aboriginal populations worldwide. By the 1980s, the NIH researchers were following the script dictated by the FDA and the NIH itself, and assuming (as Joslin and diabetes researchers had been doing since the 1920s) that the diabetes they were seeing in this Native American population was caused by the obesity that went with it. The obesity itself, they believed, was caused by an increase in calories consumed—particularly, of course, the dense calories of dietary fat—and by the sedentary behavior that these researchers assumed had arrived with more modern lifestyles. (That many of these Native Americans were hardworking laborers and, indeed, always had been, was the kind of observation that wasn't considered meaningful in this context.)
Sugar seemed to be a prime suspect, and that was a recurring theme in a century's worth of observations and discussion. When Hrdlička had commented that the Pima were already eating Western foods in 1906, he had been referring largely to sugar, white flour, and lard purchased at local trading posts or included in the government rations. When Indian Health Service physicians studied the living conditions on the Pima, Papago, and Navajo reservations half a century later, they reported purchases of Western foods— _particularly_ sugar and sweets—similar to what rural Americans elsewhere would have been purchasing from country stores thirty to forty years earlier; inevitably, the physicians also commented on the sugar in the coffee at every meal, and the "large amount of soft drinks of all types" consumed between meals. By the late 1950s, the USDA had initiated a surplus-commodity food program in which, James Justice would later report, "large quantities of refined flour, sugar, and canned fruits high in sugar" became available on the reservations. And when a physician-epidemiologist working for the CDC in 1992 wrote an essay on the explosion of diabetes now apparent in the Navajo and throughout other Native American populations, this was a point he made as well. "Even though evidence currently favors dietary fats over carbohydrates as a cause of obesity," he wrote, "the level of consumption of sugared pop by Navajo adolescents (more than twice the national average) is remarkable," and so the Indian Health Service had justifiably set program objectives to reduce both "obesity and sugared soda pop consumption."
One obvious possible explanation for the epidemics of obesity and diabetes in these Native Americans, and thus elsewhere, is that as the amount of sugar consumed per capita increases, and perhaps sugary beverages particularly, a greater proportion of the population becomes insulin-resistant. They pass over the threshold at which they can no longer tolerate the sugar they're consuming—some of us can only tolerate a little sugar; some of us can tolerate a lot—and they manifest metabolic syndrome and then obesity and diabetes. The more children eat sugar—especially as it becomes a staple of their diet in breakfast cereals, candies, ice cream, juices, and sodas—the more likely they are to manifest these problems at young ages. And if there's a lag time involved, as the South African diabetologist George Campbell had suggested in the 1960s, as there is with cigarettes and lung cancer—say, twenty years to develop diabetes after passing over the threshold—then we may still be seeing the accumulating effects in adults of those who passed over their sugar threshold decades earlier.
Genetics are also assuredly involved. Parents influence their children's likelihood to become obese and/or diabetic, not just through how and what they feed them or allow them to eat—whether and to what extent, as I'm arguing, they "ration their children's sweets"—but through their genes as well. Some of us have been passed genes that predispose us to get fat and/or diabetic in the world in which we now live, or to get fat and diabetic at younger ages than others, and these are the genes we pass on to our children. Geneticists would say some of us have susceptible "genotypes" that respond to our environment—sugar-rich, as I'm suggesting—and this is why we manifest the obese and diabetic phenotype, or manifest it at younger ages than others. Some of us don't.
Researchers studying the Pima and other Native American tribes have assumed that their genes, for whatever reason, make them particularly susceptible to diabetes and obesity when they eat modern Western diets and live modern Western lifestyles. This may be true, but we now know that vastly different populations with (presumably) vastly different genetic inheritances suffer very similar epidemics of obesity and diabetes when their diets and lifestyles are so quickly Westernized. This suggests an alternative hypothesis, which is that all these populations—the Pima and other Native Americans—are simply the ones, as Peter Cleave suggested in the 1960s about other indigenous peoples, who had the least time to adapt to twentieth-century sugar consumption. For this reason, they were least able to tolerate its effects. They didn't have time to adapt from generation to generation, as sugar consumption slowly rose and the maladaptive nature of diabetes and obesity—birth defects and increased infant and maternal mortality—more slowly worked to create a population more in synch with its environment. Prior to the discovery of insulin, half of all diabetic mothers died during pregnancy or shortly thereafter—Joslin described the prognosis for the mother as "horrible"—and barely more than half of the fetuses or newborns survived. Other than at Joslin's clinic in Boston, the prognosis for either mother or child had barely improved, if at all, by the 1940s, even with insulin.
When clinicians and researchers in Arizona first started studying diabetes in the Pima, they assumed that if the children of diabetic mothers survived the childbirth period, "they would then be fine," as David Pettitt, a pediatrician who worked first with the Indian Health Service and then the NIH, has said. But they weren't fine. And this is where the implications are particularly dire, another possible explanation for why we are likely to be facing grave new problems moving forward if our sugar use isn't dramatically curbed.
Since 1965, with the arrival of Bennett and Burch in Arizona, the NIH has been conducting an ongoing study of diabetes in the population: Pima over the age of five have been examined every two years and followed into adulthood. As Pima women gave birth, their children were added to the study. The NIH researchers wanted to document how the wave of diabetes that had overwhelmed the Pima by the 1960s then influenced the generations that came after.
In 1983, the NIH researchers reported that _more than half_ of the children who had been born to diabetic mothers had become obese by their late teens. This was more than twice the rate of obesity in children born to mothers who became diabetic only after the pregnancy, and more than three times higher than the rate for children whose mothers had been healthy throughout their pregnancy and had yet to become diabetic. In 1988, with five years more to follow these children into adulthood, the NIH researchers reported that 45 percent of the children of diabetic mothers had become diabetic themselves by the time they were in their mid-twenties, more than five times the rate among children of mothers who would go on to become diabetic only after their pregnancy (8.6 percent), and more than thirty times the rate among children of mothers who remained healthy (1.4 percent).
Clearly, genetics seemed to play a role, the NIH researchers reported, because having a father who was diabetic also increased the risk of becoming obese and diabetic early in life. But the effect of being born to a diabetic mother dwarfed that of being born to a diabetic father. This suggested that the consequences of having high blood sugar—of being insulin-resistant and thus glucose-intolerant, of having metabolic syndrome—while pregnant are passed from mother to child in the womb.
Today this concept is known as "perinatal metabolic programming" or "metabolic imprinting." The conditions in the womb—in the intrauterine environment—influence the development of the fetus, so that subtly different conditions will lead, in effect, to the birth of newborns who respond differently to the environment they face outside the womb. In particular, the nutrients that the developing child receives in the womb—including the supply of glucose—pass across the placenta in proportion to the nutrient concentration in the mother's circulation. The higher the mother's blood sugar, the greater the supply of glucose to the fetus. The developing pancreas responds by overproducing insulin-secreting cells. "The baby is not diabetic," says Boyd Metzger, who studies diabetes and pregnancy at Northwestern University, "but the insulin-producing cells in the pancreas are stimulated to function and grow in size and number by the environment they're in. So they start overfunctioning. That in turn leads to a baby laying down more fat, which is why the baby of a diabetic mother is typified by being a fat baby."
This phenomenon was first proposed by the Danish pediatrician Jorge Pedersen in the 1920s (in his doctoral thesis) and had been invoked over the intervening decades to explain why diabetic and obese mothers were more likely to give birth to very large babies. The NIH research on the Pima is just one of many studies that have now confirmed the influence of high blood sugar in pregnant women across the lifespan of their children. Women who are glucose-intolerant during their pregnancies will have children who are born larger and fatter than women who aren't, and those children will carry a greater risk of obesity and diabetes as they themselves reach adulthood. This includes not just women who are diabetic before pregnancy or become diabetic during pregnancy—a condition known as gestational diabetes—but obese women or women who gain a lot of weight in pregnancy. All these women will have higher blood sugar on average than women who remain lean and healthy; their triglycerides will be higher as well. This would explain why maternal obesity, as has been documented repeatedly, is a strong risk factor for childhood obesity and among the strongest predictors of metabolic syndrome and obesity in adulthood.
This implies, of course, that if insulin-resistant, obese, and/or diabetic mothers give birth to children who are more predisposed to being insulin-resistant, obese, and diabetic when they, in turn, are of childbearing age, the problem will get worse with each successive generation—a "vicious cycle," as it's often described in the medical literature by researchers who pay attention to the issue. It is a likely explanation for why obesity and diabetes seemed to explode in Native American populations over the course of just one or two generations, and why efforts to stem these epidemics have failed. Each successive generation includes more and more children predisposed—preprogrammed, in effect—to become obese and diabetic adults and obese and diabetic mothers. The "vicious cycle" of the "diabetic intrauterine environment," wrote the NIH research team studying the Pima in 2000, could account for much of the post–World War II increase in type 2 diabetes among this population. It might also "be a factor," they wrote, "in the alarming rise of this disease nationally." Other researchers have made the same point about the alarming rise of diabetes internationally: this vicious cycle may be driving it.
The vital question is: What initially triggers insulin resistance and metabolic syndrome and thus diabetes and obesity in all these populations—including the Pima and other indigenous populations, in which diabetes exploded through the populations over the course of a few generations, and those in which the prevalence has been increasing steadily over the course of half a century or more?
Those who hold to the conventional thinking, as we've seen, seem to bend over backward to exonerate sugar, despite the continuing accumulation of research implicating sugar as a cause, if not _the_ primary cause, of insulin resistance. Because of the association of obesity and type 2 diabetes, public-health authorities and organizations such as the American Diabetes Association counsel that the key to avoiding diabetes is maintaining a healthy weight and "eating healthy." This means, as the diabetologist Frederick Allen wrote a century ago, that the "general attitude of the medical profession" to the question of whether sugar plays a causal role in diabetes "is doubtful or negative as regards statements in words....But the practice of the medical profession is wholly affirmative." The ADA, for instance, calls it a "myth" that sugar causes type 2 diabetes, because that's caused by "genetics and lifestyle factors" that make us fat—i.e., "calories from any source." It then proceeds to recommend that we all avoid sugar-sweetened beverages to prevent diabetes, adding that we can "save money" by doing so. The organization accepts the role of fat accumulation in the liver as quite possibly a causal factor in the development of insulin resistance, diabetes, and obesity, but ignores the evidence building steadily since the 1980s that implicates sugars as the cause of that hepatic fat accumulation.
If sugar does cause insulin resistance, as the evidence suggests, then once populations begin to consume a sufficient amount—whatever that amount might be—and once the women in these populations begin to manifest metabolic syndrome, once they begin to get fatter and insulin-resistant, once this insulin resistance and glucose intolerance manifest themselves during pregnancy, then the epidemics of obesity and diabetes may be preordained. They may happen quickly, as they have in indigenous populations exposed over the course of a few decades to the sugar-rich environment of twentieth-century Western populations, or they may happen more slowly. But they will happen. And as the NIH researchers wrote in 1988 when discussing this problem in the Pima, there may be no going back. "It is unknown," they wrote, "whether this cycle can be broken." Treating diabetes and high blood sugar during pregnancy is obviously one way to do so, and physicians now work hard to do just that. Identifying the ultimate cause of the insulin resistance, though, even acknowledging the possibility that it could be sugar, would have far more profound consequences.
* * *
* Hrdlička later became the first curator of physical anthropology of what is now the National Museum of Natural History, administered by the Smithsonian Institution in Washington, D.C.
# CHAPTER 11
# THE IF/THEN PROBLEM: II
> PROVISIONAL LIST OF WESTERN DISEASES
>
> _Metabolic and cardiovascular:_ essential hypertension, obesity, diabetes mellitus (type II), cholesterol gallstones, cerebrovascular disease, peripheral vascular disease, coronary heart disease, varicose veins, deep vein thrombosis, and pulmonary embolism
>
> _Colonic:_ constipation, appendicitis, diverticular disease, haemorrhoids; cancer and polyp of large bowel
>
> _Other diseases:_ dental caries, renal stone, hyperuricaemia and gout, thyroidtoxicosis, pernicious anaemia, subacute combined degeneration, also other forms of cancer such as breast and lung
>
> HUGH TROWELL AND DENIS BURKITT,
>
> _Western Diseases: Their Emergence and Prevention,_ 1981
In 1981, when Hugh Trowell and Denis Burkitt published their provisional list of Western diseases, there was little controversy about it, and there still isn't. Western diseases were mostly chronic disorders, not infectious diseases, and they associated with Western diets and lifestyles, common in Europe and the United States and in urban centers elsewhere, and relatively uncommon in indigenous populations isolated from Western influence. Despite the presence of such diseases as breast and colon cancer on the list, the implication of this clustering of diseases with Westernization is that they are caused not necessarily by industrial chemicals in the environment or by bad luck, but by something in the food we now eat or the way we live.
Both Trowell and Burkitt had begun their careers as missionary physicians. Trowell had spent thirty years working and teaching in the hospitals and medical schools of Kenya and Uganda. In 1960, the year after his retirement, he had published _Non-Infectious Diseases in Africa,_ a book that represented the first concerted effort to document the spectrum of diseases afflicting the native population of the continent. Burkitt had worked for eighteen years in Uganda and had become, in the process, what _The Washington Post_ would later call "one of the world's best-known medical detectives." This praise was for Burkitt's pioneering epidemiological studies, leading to the identification of the first human cancer ever linked to a viral cause, a fatal childhood malignancy known since as Burkitt's lymphoma.
Burkitt and Trowell based their provisional list of Western diseases on their surveys of hospital inpatient records worldwide, on the existing medical literature, and on the suggestions of the thirty-four physician-researchers from five continents who contributed to the book _Western Diseases: Their Emergence and Prevention._ They called it a "provisional list" because they acknowledged that such a pioneering effort was likely to contain errors, and because other diseases already appeared likely to be added to it—including irritable bowel syndrome, ulcerative colitis, Crohn's disease, and autoimmune disorders—but the evidence for those potential additions was not yet sufficient. The list was a much-expanded version of the diseases that Peter Cleave and George Campbell had called "saccharine diseases" in the 1950s, implying that refined grains and sugars were to blame (Burkitt and Trowell credited Cleave with being a guiding light in their work), and that Yudkin was discussing and referring to in 1963 as "diseases of civilization," which was the more commonly used term at the time.
Trowell and Burkitt preferred to call them "Western diseases" for what in retrospect was an obvious reason: "It proved obnoxious," they wrote, "to teach African and Asian medical students that their communities had a low incidence of these diseases because they were uncivilized." It's their terminology that's still with us today. These diseases have tended to increase in prevalence through the twentieth century and into the twenty-first, and many of them are closely associated with obesity and type 2 diabetes.
We can think of Burkitt and Trowell's provisional 1981 list as a product of the collective medical consciousness of the British Empire. One of the advantages of having colonies, protectorates, dominions, and territories scattered over much of the planet is that it allows for the physicians working in these far-flung locales—"where the conditions of life differ so widely," Joseph Chamberlain, colonial secretary (and father of Neville), would phrase it in 1903 with the founding of the British Cancer Research Fund—to compare and contrast their clinical experiences and inpatient records with those of their colleagues working in the home country. Physicians like Burkitt and Trowell had the opportunity to train in British medical schools and hospitals and then ply their trade in missionary or colonial hospitals in far-off corners of the empire. They could see firsthand the differences in the spectrum of diseases afflicting Europeans and the indigenous populations to which they administered—differences in the "pattern and pathogenesis of disease," as one such physician, John Higginson, founding director in 1965 of the International Agency for Cancer Research, would later describe this observation. And they could also observe how the disease spectrum of these indigenous peoples changed with time as they adapted to Western diets and urban lives.
When Trowell arrived in Kenya in 1929, for instance, the region already had a local medical association with a professional journal—the _East African Medical Journal,_ founded in 1923—and well over a hundred physician-members, all, like Trowell, trained and qualified in Europe. Their job was to see to the health of the thousands of British settlers who had begun moving into the region, and to the three million native Africans already there and still largely living as they had been for untold generations. "Never before," Trowell wrote, "and probably never again will...so many resident doctors observe three million men, women and children, as in Kenya in the 1920s, emerge from preindustrial tribal life and undergo rapid westernization."
What Trowell and his colleagues experienced in Kenya and Uganda, though, was only a variation on George Campbell's observations in South Africa, the findings of the Indian Health Service physicians working on reservations in Arizona and throughout the United States, and the information gathered by all those physicians and researchers who documented the arrival of diabetes in indigenous populations worldwide.
When Trowell arrived in Kenya, he would later write, hypertension and diabetes were absent. The native population was also as thin as "ancient Egyptians," despite consuming relatively high-fat diets and suffering no shortage of food.*1 By the 1950s, obese Africans were a common sight in the towns and cities. In 1956, Trowell himself reported what he believed to be the first diagnosis of coronary heart disease in a black African, an obese High Court judge who had spent two decades living (and thus eating) in England. By the 1960s, hypertension was as common among black Africans as it was in any other population in the Western world. When Trowell returned to East Africa in 1970, "the towns were full of obese Africans and there was a large diabetic clinic in every city. The twin diseases had been born about the same time and are now growing together."
Burkitt and Trowell observed, as Cleave, Campbell, and Yudkin had observed before them, a consistent pattern of pathogenesis in the British medical literature and in the observations of hundreds if not thousands of physicians worldwide. When populations underwent Westernization, chronic diseases emerged with it, whether rapid or not, and typically in the same order, beginning with periodontal disease (tooth decay), gout, obesity, diabetes, and hypertension, and eventually encompassing all of them.
Because this pattern of pathogenesis differs from population to population in its details and specifics, to understand exactly what is happening, and perhaps why, requires the perspective of evolutionary biology. "The incidence and variety of diseases in a community reflects always the interplay of many environmental factors on the genetic pool of the community," wrote Burkitt and Trowell in their preface to _Western Diseases._ The genes or genotype of any two populations will differ, as will the genes of the individuals in those populations, although to a lesser extent. The environment in which those genes manifest themselves and have for generations will also differ. This means that the influence of Westernization will have a different impact on each population and each individual, but the general patterns will be the same. "In relatively stable populations," wrote Burkitt, "the community genetic pool alters only very slowly during long periods of evolutionary time; in comparison the environment may alter very quickly. If environmental factors change _rapidly_ then the pattern of environment-related diseases also changes rapidly."
It seemed a very good bet, Burkitt argued, that if a cluster of associated diseases appeared at the same time in a population or worldwide, those diseases had a common cause. This was the simplest possible hypothesis. In 1975, when Burkitt discussed what he called the "significance of relationships" in the first book he and Trowell had co-edited on these Western diseases, he pointed out that a single environmental trigger could result in a wide spectrum of diseases depending on the genetic variation in the individuals exposed, the duration of exposure, and the amount of exposure over time and in individuals.
One of Burkitt's examples was cigarettes. The first symptom of smoking was likely to be stained fingers (back in the days of mostly unfiltered cigarettes), often to be followed by bronchitis and eventually lung cancer. Had he known at the time, Burkitt might have added emphysema and heart disease. The appearance of these disorders in individuals would depend on how long they smoked and how much they smoked, and on their individual susceptibility. Some lucky individuals or those genetically blessed would seem immune to all these conditions, and would get nothing more than stained fingers, despite smoking packs a day. Some would get bronchitis, some bronchitis and lung cancer, some only lung cancer. Not every individual would get every manifestation of this disease pattern, but all the smoking-related diseases would appear in the population, and smoking cigarettes would be the cause of all of them. Only by comparing populations with and without cigarettes—or smokers to nonsmokers within a population—would researchers be able to clarify the patterns and the causality.
Syphilis was another example. "Before the spirochaete of syphilis had been identified," Burkitt wrote, "the association in individual patients of several manifestations of this disease must have suggested a common cause. Palate perforation, sub-periosteal bone deposits and a previous history of a characteristic skin rash and penile sore would have been observed in a single patient." If untreated, it would eventually manifest itself in dementia, deafness, and heart and nerve damage, yet all caused by the same, single agent. "If this characteristic pattern of emergence of certain diseases occurs in communities previously almost exempt from these disorders," Burkitt continued, with "early," "mid," and "late" arrival conditions determined by the duration of exposure, "this suggests a common causative factor or associated causative factors."
In Burkitt and Trowell's provisional list of diseases caused by exposure to a Western lifestyle, conditions such as appendicitis and tooth decay appeared typically in childhood. These didn't require a long-lived population to manifest themselves, and should appear earliest after the transition to Westernization. This would make it relatively easy to identify their cause. Obesity, diabetes, gout, and hypertension, among other diseases, tended to appear only as individuals in the exposed population passed into middle age. Cancers and heart disease might typically require an exposure of fifty or more years before they appeared, and thus represented a particular challenge: the indigenous populations being served by these missionary and colonial physicians tended to be relatively short-lived, so a relative absence of a disease like cancer could in reality be a relative absence of individuals in the population old enough to get cancer or seek treatment for it.
In Cleave's books on what he called the saccharine disease, he had suggested that tooth decay provided the obvious clue to the causality of this clustering of Western diseases. Appearing early in life, he said, it was the equivalent of the canary in the coal mine and foretold the coming of the entire spectrum of Western disease. Since tooth decay was caused by refined grains and perhaps sugar most of all, Cleave argued, didn't that imply that the same would be true of all these Western diseases? "It would be an extraordinary coincidence," he wrote, "if these refined carbohydrates, which are known to wreak such havoc on the teeth, did not also have profound repercussions on other parts of the alimentary canal during their passage along it, and on other parts of the body after absorption from the canal."
In 1975, when Burkitt and Trowell published their first book on these Western diseases, they were thinking the same way, although their preferred explanation was that it was the absence of fiber in modern processed foods that was primarily responsible. Fiber was removed in the processing of sugar and grains, and constipation was also an "early" disorder in the cluster, the one (and perhaps only) disorder that appears to be treated or prevented by the addition of fiber to a diet.
By 1981, when they published _Western Diseases,_ Burkitt and Trowell had embraced a more conventional view of the problem. Nutrition researchers in the 1970s had focused their attention almost exclusively on saturated fat as the cause of heart disease and salt as the cause of hypertension. Burkitt and Trowell went along with their peers and adopted a less parsimonious way of viewing the emergence of these Western diseases.
But is this perspective justified? Can a host of chronic diseases that cluster together both in individuals and in populations and associate closely with Western diets and lifestyles best be explained by the presence of a single dietary trigger—i.e., sugar—or by multiple triggers? When Isaac Newton paraphrased the concept of Occam's Razor, he did so by saying, "We are to admit no more causes of natural things than such as are both true and sufficient to explain their appearances." This was rule number one of Newton's "rules of reasoning in natural philosophy" in his _Principia._ So is it necessary to posit multiple aspects of diet and lifestyle—multiple causes—to explain the presence of these chronic diseases that associate with Western and urban lives, or will one suffice? Sugar, for example.
Consider, for instance, the relationship between obesity, diabetes, heart disease, and gout. The latter three are associated with obesity, and the conventional thinking is that they are caused by, or exacerbated by, the accumulation of excess fat—obesity. All four cluster together in populations and in individuals. All are associated as well with hypertension and considered by physicians to be hypertensive disorders, which means blood pressure tends to be pathologically elevated in all of them. This would imply that all these diseases are likely to be caused by the same dietary or lifestyle trigger, whatever it is. But by the 1980s, this was no longer how they were seen.
The single best-documented example of the clustering of these diseases and how they appear together in populations following Westernization happens to be found in studies of an island nation in the South Pacific known as Tokelau, which now has the highest prevalence of diabetes of any single nation in the world (not to be confused with any single population, such as the Pima). As of 2014, almost 38 percent of all Tokelauans had been diagnosed with diabetes. More than two-thirds were obese.
Here we have an epidemiologic snapshot of how life changed with Westernization that is unparalleled in the annals of nutrition research. Tokelau is a protectorate of New Zealand, a cluster of three atolls. In the 1960s, as the Tokelau population grew to almost two thousand islanders, the New Zealand government instituted a voluntary migration program to the New Zealand mainland. In 1968, epidemiologists led by Ian Prior of the Wellington School of Medicine launched the Tokelau Island Migrant Study (TIMS) to document the diet and health of every single Tokelauan who immigrated, following them through the relevant transition to more Western and urban lifestyles, and of all those who remained behind on the atolls.
Through the mid-1960s, as TIMS got up and running, the Tokelauans had subsisted on a diet of coconut, fish, pork (fed on coconuts and fish), chickens, a starchy melon called breadfruit, and another starchy root vegetable known as pulaka. The diet had among the highest fat concentrations in the world at the time—more than 50 percent of the calories consumed came from fat, and most of that was saturated fat from the coconuts. In 1968, the islanders were already consuming some sugar and white flour delivered by the occasional trading boat, but still little by modern Western standards—2 percent of their total calories, which works out to an annual average of less than eight pounds of sugar per islander. The medical records of the islanders at the time documented bouts of chicken pox, measles, occasional cases of leprosy, skin diseases, and asthma—and a few had gout. Three percent of the men and almost 9 percent of the adult women were diabetic.
The change to a more Western dietary pattern occurred gradually on the atolls and then accelerated in the late 1970s with the adoption of a cash economy and the establishment of trading posts on the island. By 1982, in the last TIMS assessment, coconut consumption had decreased. Per capita sugar consumption had increased to fifty-four pounds per year, and the consumption of white flour had jumped from twelve pounds per person annually to seventy pounds. Alcohol consumption increased, and cigarette smoking became more prevalent. Tinned meats and frozen foods arrived on the islands as well, although they were eaten in relatively trivial amounts compared with the normal diet of fish.
The diet and lifestyle changes for the Tokelauans who immigrated to New Zealand were abrupt and even more dramatic. Bread and potatoes replaced breadfruit in their diets; meat replaced fish; they hardly ate any coconuts. Sugar consumption skyrocketed, as did _physical activity:_ the men went to work as manual laborers in the forest service or on the railway, and the women got jobs in electrical assembly plants or clothing factories, or they cleaned offices during the evening hours, walking miles to and from work.
In both populations, a similar pattern of chronic diseases erupted with the Westernization of the diet. Between the late 1960s and early 1980s, diabetes prevalence shot upward, particularly among the immigrants. By 1982, almost 20 percent of the immigrant women and 11 percent of the immigrant men—one in five and one in nine, respectively—were diabetic. Hypertension, heart disease, and gout also increased significantly, particularly in the migrant population (the migrants were nine times as likely to get gout as those remaining behind on the atolls). Obesity, unsurprisingly, also increased: Both men and women gained, on average, between twenty and thirty pounds. Children, too, got fatter.
What's to blame?
As the Tokelau experience demonstrates, Westernization brings with it significant changes in diet and lifestyle, and thus significant challenges to establishing causality. Records of the foods and drinks delivered to Tokelau far more recently (between 2008 and 2012), as collected from the manifests of the trading vessels making regular trips, document huge amounts of white rice, sugar, and flour, of hard liquor, beer, soft drinks, cigarettes, and plenty of other modern foods as well—meats, ice cream, butter, even fruits and vegetables not native to the atolls. Any or all of it could be working to increase the occurrence of the spectrum of Western diseases.
The conventional thinking about this problem, which arose from the nutrition research in the United States in the 1960s and 1970s, is that each of the Western diseases has different dietary and lifestyle triggers, even though the conditions are part of a single cluster of related diseases. Ian Prior and his colleagues suggested that in TIMS "a different set of relevant variables might account for observed differences in [disease] incidence," but simultaneously acknowledged that the contrasting experience of the migrants and those who remained behind on Tokelau made this attribution of multiple causes surprisingly difficult to do.
The migrants gained more weight than the atoll dwellers, even though the migrant lifestyle was significantly the more active of the two. And even though the migrants manifested increasing evidence of heart disease, their diets contained significantly _less_ saturated fat than what they had been eating on Tokelau. Prior and his colleagues suggested that excess weight (eating too much) was at least partially responsible for the increases in hypertension, gout, diabetes, and heart disease among the migrants. And because the migrants seemed to eat more salt, this could also explain the increased prevalence of hypertension, as could the stress of assimilation to a new culture. The migrants ate more red meat than the atoll dwellers, which could explain why so many of them were getting gout. An increase in asthma on the mainland of New Zealand might be explained by the presence of allergens that were absent on the mainland.
All of this makes sense, and it's more or less how we still think of these diseases today. But I'm writing about sugar for a good reason: because Burkitt's logical analysis about causality is correct. The simplest hypothesis—as encapsulated in Occam's Razor—is always _the most likely._ It may not turn out to be right; the perpetrator of the first of a series of apparently related crimes in a community is not necessarily responsible for all of them, but it is the most likely hypothesis that he or she _is_ responsible, and the one that should be considered and perhaps ruled out before multiple perpetrators or hypotheses are suspected. Because the kind of observational evidence researchers deal with is incapable of establishing beyond reasonable doubt that sugar (or any other dietary suspect, for that matter) _is_ the factor in Western diets and lifestyles that triggers the aforementioned cluster of chronic diseases, the best we can do is ask whether this is a likely possibility, and if so, whether it is, indeed, the _most_ likely.
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What makes sugar the leading candidate by far (and what should have made it so when Prior and his colleagues were trying to understand what they were observing in TIMS) is the revelations about metabolic syndrome and insulin resistance. These shifted the obesity/diabetes/heart-disease paradigm from the conventional thinking of the 1970s—obesity is caused by eating too much, diabetes by being too fat, and heart disease by some combination of the two plus the saturated fat in our diets—to the current perspective, according to which metabolic syndrome is the critical player in obesity, heart disease, and diabetes. The fact that many of the Western diseases in Burkitt and Trowell's list, these chronic disorders that associate with Western diets and lifestyles, are also diseases that associate with obesity and diabetes puts the focus, in turn, on insulin resistance and metabolic syndrome as a mechanism or at least a critical precursor. And if insulin resistance and metabolic syndrome are ultimately caused by the sugars we consume, then so are, to some extent, _all_ these other diseases as well. _This_ is why sugar should be at the top of any list of dietary suspects.
For the past fifty years, as the Tokelau case illustrates, nutritionists and heart-disease researchers have assumed that eating too much salt is the cause of hypertension, which can be defined as chronically and pathologically high levels of blood pressure. That hypertension is one of the five criteria that a physician will use in diagnosing metabolic syndrome would make it seem obvious that it's likely caused by the same trigger—dietary or otherwise—as the other conditions. In other words, if your blood pressure is elevated, that's a sign that you're insulin-resistant and have metabolic syndrome; it also means you're likely to be overweight, or at least getting fatter, and your triglycerides are elevated, you're glucose-intolerant, and your HDL cholesterol is low. They all go hand in hand and are probably caused by the same thing. By Occam's Razor and Burkitt's logic, _if_ sugar causes insulin resistance and elevates triglycerides and makes us fat, _then_ it very likely causes hypertension, too—if not directly, then at least indirectly, through its effect on insulin resistance and weight. Sugar is the culprit.
So here's the if/then hypothesis: _If_ these Western diseases are associated with obesity, diabetes, insulin resistance, and metabolic syndrome, which many of them are, _then_ whatever causes insulin resistance and metabolic syndrome is likely to be the necessary dietary trigger for the diseases, or at least a key player in the causal pathway. Because there is significant reason to believe that sugars—sucrose and high-fructose corn syrup in particular, the nearly fifty-fifty combinations of glucose and fructose— _are_ the dietary trigger of insulin resistance and metabolic syndrome, it's quite likely they are a primary cause of all these Western diseases, including, as we'll discuss, cancer and Alzheimer's disease. Without these sugars in the diet, these chronic diseases would be relatively rare, if not, in some cases, virtually nonexistent.
I want to review the major Western diseases, one by one, to discuss the likelihood that sugar is responsible, or at least largely responsible— _a_ prime suspect, if not _the_ prime suspect. We've already discussed obesity and diabetes at length, and also heart disease, indirectly, through its relationship with insulin resistance and metabolic syndrome. So let's begin here with gout, and then we'll return to hypertension and go on to cancer and Alzheimer's disease—or senile dementia—a nightmare disorder that wasn't even on Burkitt and Trowell's radar in the 1970s and 1980s.
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Gout is particularly interesting because it is clearly an ancient disease—signs of its ravages can be seen in skeletal remains, Egyptian mummies, from seven thousand years ago—and yet it's also the very first chronic disease to be indisputably linked to (relatively) modern diets and lifestyles, particularly overconsumption, however we choose to define it. Gout is rarely the subject of media attention, and yet it is more prevalent than ever. Recent surveys suggest that nearly 6 percent of all American men over the age of twenty suffer from gout, and more than 2 percent of women. The proportion rises with age, to over 9 percent of men and women in their seventies and over 12 percent in their eighties—almost one in every eight. Gout prevalence more than doubled from the 1960s to the 1990s, in association with the increases in obesity and diabetes. It appears to have increased steadily since then.
The pathology of gout has been understood since the mid-nineteenth century, when the British physician Alfred Garrod identified the compound called uric acid as the critical agent; uric acid accumulates in the circulation (hyperuricemia) to the point that it falls out of solution, as a chemist would put it, and crystallizes into needle-sharp urate crystals. These crystals then lodge in the soft tissues and in the joints of the extremities—classically, the big toe—and cause inflammation, swelling, and an excruciating pain that was described memorably by the eighteenth-century bon vivant Sydney Smith as akin to walking on one's eyeballs.
The questions then become: where does the uric acid itself come from, and why so much of it? Because uric acid itself is a breakdown product of protein compounds known as purines—building blocks, among other things, of amino acids—and because purines are at their highest dietary concentration in meat, it has been assumed for more than a century that a primary means of elevating uric acid levels in the blood, and thus causing first hyperuricemia and then gout, is an excess of meat consumption. But this is the kind of hypothesis that has been hard to confirm in experimental tests. Or, as two Harvard physicians, Friedrich Klemperer and Walter Bauer, put it elegantly in a 1947 medical textbook, "It is a most regrettable circumstance that these teachings, which are shrouded in the semisanctity of a long and venerable heritage, have never been tested by either adequate experimentation or comprehensive statistical analysis of clinical data."
As it turns out, a nearly vegetarian diet is likely to have only a very modest effect on uric acid levels—at least compared with a typical American diet—rarely sufficient to return high uric acid levels to normality, and there's little evidence that such diets reliably reduce the incidence of gouty attacks in those afflicted. This is why purine-free diets are no longer prescribed for the treatment of gout, as the physician and biochemist Irving Fox noted in 1984, "because of their ineffectiveness" and their "minor influence" on uric acid levels. The incidence of gout in vegetarians, or mostly vegetarians, has always been significant and "much higher than is generally assumed," as Bauer and Klemperer wrote, noting that one mid-century estimate put the incidence of gout in India among "largely vegetarians and teetotalers" at 7 percent. Eating _more_ protein, which is, of course, found in high levels in red meat, apparently increases the excretion of uric acid from the kidneys and, by doing so, reportedly decreases the level of uric acid in the blood. This implies that the meat/gout hypothesis is very debatable; the high protein content of meats could be beneficial, even if the purines are not.
If meat isn't the cause (and those "teetotalers" suggest that alcohol alone cannot explain the presence of gout), what is?
The first clue is the association between gout and the entire spectrum of Western diseases, and between hyperuricemia and the metabolic abnormalities of insulin resistance and metabolic syndrome. In the past century, gout has manifested all of the familiar patterns, chronologically and geographically, of Western diseases. In primitive populations eating traditional diets, gout was virtually unknown or at least went mostly unreported. In 1947, Trowell reported that the disease was so rare in East Africa that he had never seen a case personally in a native African, or even read of one, in the first seventeen years of his practice. When he finally did treat a Rwandan native for gout, Trowell found it sufficiently notable that he published a case report in the _East African Medical Journal._ Even in the 1960s, hospital records from Kenya and Uganda suggested an incidence of gout lower than one in a thousand among the native Africans. By the late 1970s, however, uric acid levels in Africa were increasing with Westernization and urbanization, while the incidence of both hyperuricemia and gout among South Pacific Islanders was skyrocketing. In 1975, the New Zealand rheumatologist B. S. Rose, a colleague of Ian Prior's, described the native populations of the South Pacific as "one large gouty family."
Gout has been linked to obesity since the Hippocratic era, and this association is the origin of the assumption that high living and excessive appetites are the cause. Gouty men have long been reported to suffer higher rates of atherosclerosis and hypertension; stroke and coronary heart disease are common causes of death. Diabetes is also commonly associated with gout. In 1951, Harvard researchers reported that serum uric acid levels rose with weight, and that men who suffered heart attacks were four times as likely to be hyperuricemic as healthy controls. This led to a series of studies in the 1960s, as clinical investigators first linked hyperuricemia to glucose intolerance and high triglycerides, and later to high insulin levels and insulin resistance. By the 1990s, Gerald Reaven at Stanford, among others, was reporting that insulin resistance and hyperinsulinemia raised uric acid levels, apparently by decreasing the excretion of uric acid by the kidney. "It appears that modulation of serum uric concentration by insulin resistance is exerted at the level of the kidney," Reaven wrote. Therefore, the more insulin-resistant an individual, the higher the serum uric acid concentration.
The evidence for sugar or fructose as a primary cause of gout is twofold.
First, the circumstantial evidence: not just the appearance of gout in isolated populations as they become Westernized and urbanized, but in Europe and America as well. The distribution of gout in these populations has paralleled the availability of sugar for centuries. Until the late seventeenth century, the disease afflicted almost exclusively the nobility, the rich, and the educated—those who could afford to indulge an excessive appetite for food and alcohol—and reached almost epidemic proportions among them in Britain. Gout then spread throughout British society in the eighteenth century. Historians refer to this as the "gout wave," and it closely parallels the birth and growth of the British sugar industry and the transformation of sugar (borrowing, once again, Sidney Mintz's phrase) from "a luxury of kings into the kingly luxury of commoners."*2
The second piece of evidence is much less circumstantial: the fructose component of sugars increases serum levels of uric acid. The "striking increase" in those levels with an infusion of fructose was first reported in the late 1960s by Finnish researchers, who referred to it as "fructose-induced hyperuricemia." This was followed by a series of studies through the late 1980s confirming the existence of the effect and reporting on the variety of biochemical mechanisms by which it came about. When fructose is metabolized in the liver, for instance, it accelerates the breakdown of a molecule called ATP, which is the primary source of energy for cellular reactions and is loaded with purines. ("ATP" stands for "adenosine triphosphate"; adenosine is a form of adenine, a purine.) This in turn increases the formation of uric acid. Alcohol raises uric acid levels through the same mechanism (although beer also has purines in it). The effect of fructose on ATP also works to stimulate the synthesis of purines, and the metabolism of fructose leads to the production of lactic acid, which reduces the excretion of uric acid by the kidney and thereby raises uric acid concentrations indirectly.
These mechanistic explanations of how fructose raises uric acid levels were then supported by a genetic connection between fructose metabolism and gout. The disease often runs in families, so much so that clinicians studying gout have always assumed the disease has a strong hereditary component. In 1990, a collaboration led by Edwin Seegmiller, a pioneer of gout research in the United States, and George Radda, who would later become director of the U.K. Medical Research Council, reported that the explanation for this familial association seemed to be a very specific defect in the genes that regulate fructose metabolism. Individuals who inherit this defect will have trouble metabolizing fructose and will thus be born with a predisposition to gout. This suggested the possibility, the researchers concluded, that the defect in fructose metabolism was "a fairly common cause of gout."
As these observations appeared in the literature, the researchers making them were reasonably clear about the implications: "Since serum-uric-acid levels are critical in individuals with gout, fructose might deserve consideration in their diet," noted the Finnish researchers in 1967; the chronic consequences of high-fructose diets on healthy individuals required further evaluation. Gouty patients should avoid high-fructose or high-sucrose diets, explained an article on nutrition and gout in 1984, because "fructose can accelerate rates of uric acid synthesis as well as lead to increased triglyceride production." In 1993, the British biochemist Peter Mayes published an article on fructose metabolism in the _American Journal of Clinical Nutrition_ that reviewed the literature and concluded that high-fructose diets in healthy individuals—in other words, high-sugar diets—were likely to cause hyperuricemia and, by implication, gout as well, but the studies to address that possibility were never conducted.
This, in addition to Reaven's research reporting that high insulin levels and insulin resistance will increase uric acid levels, suggests that sucrose and high-fructose corn syrup would constitute the worst of all carbohydrates when it comes to uric acid and gout. The fructose would increase uric acid production and decrease uric acid excretion, while the glucose, through its effect on insulin, would also decrease uric acid excretion. It would be reasonable, therefore, to assume or at least to speculate that sugar is a likely cause of gout, and that the patterns of sugar consumption explain the appearance and distribution of the disease.
This hypothesis has only been seriously considered in the last few years. Those nutrition researchers interested in gout focused almost exclusively on alcohol and meat consumption. The historical belief that gouty individuals, particularly obese gouty individuals, should shy away from meat and alcohol fit in well with the dietary prescriptions of the 1970s onward.
The sugar/fructose hypothesis was ignored, once again because of bad timing. In the mid-1960s, the pharmaceutical industry developed an inexpensive drug called allopurinol that could lower uric acid levels and could be used by those with gout to prevent future attacks of the disease. The clinical investigators whose laboratories were devoted to studying the mechanisms of gout and purine metabolism began focusing their efforts either on working out the nuances of allopurinol therapy or on applying the new techniques of molecular biology to the genetics of gout and rare disorders of hyperuricemia or purine metabolism. Nutritional studies were simply not considered worthy of their time, if for no other reason than that allopurinol appeared to allow gout sufferers to eat or drink whatever they wanted.
This development coincided with the emergence of research on fructose-induced hyperuricemia. By the 1980s, when the ability of fructose and sucrose consumption to raise uric acid levels in human subjects was demonstrated repeatedly, the era of basic research on gout had come to an end. The major players had left the field and NIH funding for the study of gout had dwindled to a trickle. When the major medical journals ran occasional articles on the clinical management of gout, these would concentrate almost exclusively on drug therapy. Discussions of diet would be only a few sentences long, and typically the science in them was confused. Articles on the dietary treatment of gout—even those informed on the relationship between insulin resistance and uric acid—might include "sugars" and "sweets" as among the recommended foods with low-purine contents. In a few cases, articles that did this also noted that fructose consumption raises uric acid levels, suggesting only that the authors had been unaware of the role of fructose in "sugars" and "sweets."
Recent research on fructose-induced hyperuricemia indicates that the implications for human physiology and, in this case, pathology may extend far beyond gout itself. Since the late 1990s, Richard Johnson, a kidney specialist now at the University of Colorado, has been studying the effect of uric acid on the blood vessels leading into the kidneys. If uric acid levels in the circulation are high enough, this might damage these blood vessels and, in so doing, elevate blood pressure. And if sugar consumption is raising uric acid levels, it's a reasonable assumption that sugar consumption elevates blood pressure. This is another potentially harmful effect of fructose and sugar that was discovered only after the FDA's official 1986 exoneration of sugar in the diet (like DNA evidence implicating the prime suspect in a murder that comes along only after the suspect has been tried and acquitted for lack of evidence). It's yet another mechanism by which sucrose and high-fructose corn syrup could be a particularly unhealthy combination, and would potentially explain the common association of gout and hypertension, and even of diabetes and hypertension, although it's only one of several such mechanisms.
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For fifty years, the consensus of opinion in the medical community has been that the dietary trigger of hypertension is salt consumption. Eating too much salt raises blood pressure; hypertension is the pathological, chronic state that in turn increases risk of both heart disease and cerebrovascular disease (strokes). It's a simple hypothesis and a concise one—and it's all too likely wrong. But to suggest that sugar causes hypertension is to suggest that salt doesn't (or not as much), and public-health authorities typically take umbrage. So it's necessary to talk this through, beginning with some history.
Hypertension is yet another example of how perspective and the available technology drive scientific understanding. In this case, before medical researchers could begin to understand what it meant to have high blood pressure, and who had it and who didn't, and then establish its link to other diseases, particularly heart disease and stroke, they required a relatively easy and standardized way to measure blood pressure in patients. Not until the early twentieth century was such a device, the sphygmomanometer, readily available to practicing physicians. It was the early version of the upper-arm cuff still in use today. In the 1920s, physicians around the world started measuring blood pressure in isolated, aboriginal populations so that their blood pressure could be compared to the blood pressure of those who ate modern Western diets and lived modern Western lifestyles. Physicians in the United States and Europe were debating whether high blood pressure was a bad thing or a good thing (perhaps a compensatory response of the body to nourish tissues that were having trouble getting enough blood, "a saving process in spite of the fact that it carries possibilities of harm in its possessor," as one 1920 textbook suggested). It was life-insurance actuaries, with money riding on the outcome, who first did what would become the definitive research.
By the 1920s, these actuaries had established a few unambiguous facts about blood pressure and hypertension: In particular, blood pressure increases with age _and_ with weight, or at least it does in Europe and the United States (just as the likelihood of having diabetes does), and then, of course, weight itself increases with age. Among the middle-aged men a century ago who considered themselves healthy enough to apply for life insurance, systolic blood pressure below 140 millimeters of mercury (mm Hg) seemed relatively benign, which is why this number is still considered the _lower_ bound of hypertension. As blood pressure went up from 140, prospects for a long and healthy life went down, and so the life insurance companies were hesitant to insure individuals with blood pressure at that level and above, or at least to insure them at the same rates as men with lower blood pressure. The insurance companies would lose money if they did—more "claims would have to be paid," as the chief medical director of the Mutual Life Insurance Company wrote in _The Journal of the American Medical Association_ in 1923.
After another twenty years of study, it was clear that what was true about blood pressure in the United States and Europe wasn't the case in indigenous populations that had yet to be exposed to Western diets and lifestyles. Just as diabetes and obesity seemed rare to nonexistent in these populations, so was this characteristic increase of blood pressure with age. Blood pressure tended to be lower at young ages, and stayed resolutely low throughout life, an observation that was first reported in the Philippines and then among Zuni Indians in New Mexico, the Inuit in Greenland and Labrador, native tribes in Kenya ("This contrast" between blood pressure in the African tribes and among the local Europeans "is somewhat striking and seems to require explanation"), Bedouin tribes in Syria ("the conspicuous hypotension [low blood pressure] of the Arab"), Chinese aboriginal populations, indigenous peoples of the Yucatán and Guatemala, and, as World War II was coming to an end, among Kuna Indians in Panama ("a striking finding is the total absence of hypertension"). By the 1960s, as these populations became urbanized and Westernized, physicians—Hugh Trowell among them—were reporting that hypertension had emerged in these populations just as obesity and diabetes did, and the journals began reporting that as well.
Even when investigators compared similar aboriginal populations living in slightly different circumstances—as Frank Lowenstein, a medical officer for the World Health Organization, did with two tribes of Brazil Indians in the spring of 1958, one living on the grounds of a Franciscan mission and being fed by the missionaries, and one living isolated, deep in the rainforest—the population that was more acculturated had the higher blood pressure and the blood pressure that rose with age. When Lowenstein reviewed the medical literature of all such studies until then, his conclusion was: "All those groups which showed no increase of mean blood-pressures with age during adult life represent relatively small homogeneous populations living under primitive conditions in relative isolation, more or less undisturbed by their contacts with civilization...and they live almost entirely on the natural foods of their environment." Many factors could have explained it, Lowenstein suggested, because many "life habits" changed with Westernization. But if it could be explained, whatever the explanation turned out to be, this would likely explain both the hypertension and the rise of blood pressure with age that the rest of us experience.
By the 1980s, when 150 researchers from around the world published what was then the largest epidemiologic survey ever done on blood pressure, this Western disease phenomenon was still clearly visible. These researchers had measured blood pressure in fifty-two communities around the globe, of which four were still what Lowenstein would have called "relatively small homogeneous populations living under primitive conditions in relative isolation"—the Yanomamo and Xingu Indians of Brazil, and rural populations in Kenya and Papua New Guinea. Not only did these four have by far the lowest blood pressures measured, but their blood pressure remained low as they aged—which was not the case in _any_ of the other populations in the study—and hypertension was virtually nonexistent.
The study, published in 1988, was known as INTERSALT because it had been designed to test the hypothesis that salt raises blood pressure; as a result, the investigators focused exclusively on blood pressure and salt. To the nutrition community, salt was not just the prime suspect for driving up blood pressure, but effectively the only one.*3 The same four isolated aboriginal populations that consumed relatively little salt also consumed relatively little sugar, but the investigators were interested in salt alone, as they had been since the 1960s.
The salt hypothesis has always been relatively simple and founded on basic physiology: Our bodies work to maintain a stable concentration of sodium (salt is sodium chloride) in our blood. When we consume a lot of salt, our bodies retain more water to dilute the sodium to the right concentration, and this manifests itself as elevations in blood pressure. Certainly in the short term, eating salt-rich snacks will make us thirsty, which is why bars and saloons typically offer such snacks for free, so they can sell us more of the liquids necessary to quench our thirst. Our kidneys are supposed to work by excreting the excess water and the salt in our urine, but the assumption is that they eventually fail to compensate, and chronically higher blood pressure is the result. Since the 1950s, this has been the standard thinking about the cause of hypertension, and the medical literature since then is also replete with dozens of randomized trials testing the hypothesis. ("As soon as we think we are right about something," the _New Yorker_ writer Kathryn Schulz noted in her 2010 book _Being Wrong,_ "we narrow our focus, attending only to details that support our belief, or ceasing to listen altogether.")
As with saturated fat and heart disease, though, this salt/hypertension hypothesis has resolutely resisted confirmation in clinical trials. For those not hopelessly wedded to the hypothesis, it has become increasingly difficult to believe that consuming too much salt is why we become hypertensive and why our blood pressure rises inexorably with age. Systematic reviews of the evidence from these trials invariably conclude that reducing our average salt intake by half, for instance, which is difficult to accomplish in the real world, will decrease blood pressure by 4 to 5 mm Hg mercury, on average, in those with hypertension, and perhaps 2 mm Hg in those without (known as normotensives). But even stage 1 hypertension, the less severe form of the condition, is defined by having a blood pressure elevated by at least 20 mm Hg over what's considered healthy. Stage 2 is defined as blood pressure elevated by at least 40 mm Hg over healthy levels. Hence, the fact that halving our salt consumption will result in a decrease of only 4 to 5 mm Hg suggests that the salt we eat is not the primary dietary driver of this disorder. This hasn't prevented public-health authorities from continuing to disseminate the message that salt is a "deadly white powder," as the Center for Science in the Public Interest hyperbolically phrased it in 1978. Avoiding the implications of these trials—that salt is not the cause of hypertension—has directed the research attention away from the possibility that something else in our diets or lifestyle is. If not salt, then what?
Not surprisingly, there's a long history of evidence implicating sugar—now in the laboratory and the clinic, as well as in the study of populations. As early as the 1860s, the German nutritionist Carl von Voit, a legendary figure in nutrition research, had suggested that something about eating carbohydrates made the human body retain water, which was not the case when fats are consumed. Francis Benedict, director of the Nutrition Laboratory at the Carnegie Institute of Washington, confirmed this observation in 1919 in one of the many seminal reports he and his Carnegie colleagues published.
By 1933, insulin was being implicated in this process, although the diabetes researchers at Columbia University who did so seemed unaware of the greater dietary context. Put simply, insulin seems to work as the opposite of a diuretic. Rather than promote the production of urine, which is what a diuretic does, it suppresses it, with the ultimate result being very similar to what is supposed to happen when we eat salt-rich foods. Insulin disturbs what is technically known as "electrolyte balance" or "electrolyte physiology" (sodium is an electrolyte) in such a way that the kidneys retain both sodium and water, rather than excrete them in the urine (just as insulin signals the kidneys to retain uric acid, and so plays a role in gout). By the 1950s, researchers were studying this phenomenon and publishing papers with titles like "Antidiuresis Associated with Administration of Insulin." Within another decade, the underlying biology of the phenomenon and insulin's effect on the kidneys, sodium retention, and thus hypertension had been elucidated. It was clear, in the words of the University of Texas endocrinologist Ralph DeFronzo, a pioneer with Gerald Reaven on the science of insulin resistance and metabolic syndrome, that "insulin, working through sodium, plays an important contributory role" in hypertension, particularly in individuals who happen to be obese and/or diabetic, and therefore insulin-resistant.
In the 1980s, Lewis Landsberg, a Harvard endocrinologist who would later become dean of the Northwestern University School of Medicine, discovered yet another mechanism by which insulin works to increase blood pressure and perhaps induce hypertension—in this case, by stimulating the central nervous system. Landsberg's revelation has since been integrated into established thinking as an explanation for why the obese are hypertensive: they're insulin-resistant, with chronically elevated levels of insulin, which in turn stimulates the nervous system, increasing heart rate, constricting blood vessels, and chronically elevating blood pressure. Since the obese seem to have increased sympathetic nervous activity, it makes perfect sense. Unfortunately, the medical community has continued to view this science as relevant only to the hypertension of the obese and diabetic; discussions on the dietary cause of hypertension have continued to focus almost obsessively on how much salt we should or should not be eating.
All these mechanisms by which insulin can elevate blood sugar and thus conceivably cause hypertension are directly relevant to the effect of sugar as well. If sugar causes insulin resistance and chronically elevates levels of insulin, then these are among the mechanisms through which it would be _expected_ to cause hypertension. Richard Johnson's work on the fructose component of sugar and its effect on uric acid provides yet another, more direct means by which sugar would raise blood pressure. Johnson's research suggests that elevated levels of uric acid (at least in laboratory animals) leads to mild kidney damage and accelerates the process of kidney disease that's already established. The uric acid appears to cause the blood vessels in the kidneys to constrict and increases the blood pressure in the small capillaries (known as glomeruli) through which the kidneys filter waste products from the blood.
This, regrettably, links fructose and sugar not just to hypertension but to the kidney disease that is considered one of the "vascular complications" of diabetes, making it also a Western disease (albeit not mentioned in Burkitt and Trowell's provisional list). If Johnson's work and its implications are correct, simply raising uric acid levels is enough to cause insulin resistance and thus, perhaps, type 2 diabetes and obesity, independent of these other effects on insulin and insulin resistance. And because the glucose in sugar appears to increase the rate at which we absorb and metabolize fructose, the two together—as in sucrose and high-fructose corn syrup—may indeed be the worst of all possible connections.
A final word about hypertension: When researchers study the effect of salt restriction on blood pressure in clinical trials, one possible explanation for the small overall effect these trials report is that some people may be particularly salt-sensitive, and others are not. Salt sensitivity is an elusive and controversial concept, but it implies that only some of us are sensitive to the salt content of the diet. For those of us who are, our blood pressure goes up and down in response to how much salt we're eating. Others can eat salt with impunity and their blood pressure remains relatively constant. That only some of us may be salt-sensitive is still considered by the public-health authorities reason enough to tell _everyone_ to eat less salt. Their assumption is that those of us who are salt-sensitive will benefit and the rest will not be harmed. But salt sensitivity also seems to be associated with insulin resistance and metabolic syndrome. Salt-sensitive hypertension, for instance, can be caused in rats merely by damaging the capillaries of the kidney in the same way that high levels of uric acid do.
These observations and others have led researchers to suggest that salt sensitivity is caused by insulin resistance. If so, then telling people with or without salt-sensitive hypertension to eat less salt might ameliorate one of the symptoms of insulin resistance and metabolic syndrome—the hypertension. They would be better served by being told to avoid whatever was causing the insulin resistance and metabolic syndrome in the first place—i.e., sugar. That would take care of the root cause of the disorder, not just one of the symptoms.
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Among the most provocative of the implications of the sugar/insulin-resistance hypothesis is that cancer may well be caused or exacerbated by sugar. The supposition starts with two observations, the first of which is that cancer seems very much to be a disease of Western diets and lifestyles, just as Burkitt and Trowell suggested in their provisional list, and to increase in prevalence as populations become Westernized. The very concept of a disease of civilization begins with cancer. In 1844, Stanislas Tanchou, a French physician, a veteran of Napoleon's army and a knight of Napoleon's Legion of Honor, reported on his assessment of the death registries throughout Europe, concluding that cancer was more common in cities than in rural areas and that its incidence was increasing throughout the Continent. He acknowledged that cancer was an ancient disease, perhaps always present but, "like insanity," he famously said, it "seems to increase with the progress of civilization." Tanchou may have been the first of what would be a century of physicians, statisticians, and epidemiologists to poll physicians in distant and out-of-the-way locales, only to have them respond that diseases were rarely seen in their patient populations, or at least had been very rare occurrences, but were becoming more common with the passing of the years.
In 1902, the British government founded the Cancer Research Fund*4 to work with both the Royal College of Physicians and the Royal College of Surgeons in investigating "all matters connected with, or bearing on, the causes, preventions, and treatment of Cancer and Malignant Disease." The implicit message was that cancer appeared to be an increasingly common disease, and that action had to be taken to understand what was happening and why. A committee of investigators would now carefully examine the records of malignant disease in hospitals throughout the U.K., Europe, and Asia, and in missionary and colonial hospitals throughout the British Empire. A series of dispatches were circulated to the governors and commissioners of all the British colonies and protectorates worldwide, directing missionary and colonial physicians to report back on the prevalence of cancer in their patient populations and, if possible, ship specimens of any cancers that might be newly diagnosed and surgically removed ("placed in formalin immediately after removal from the body") back to London for careful microscopic investigation.
Within months, the letters and specimens began to arrive. Physicians responded from Newfoundland, the Caribbean, throughout Australia, New Zealand, and the South Pacific, from all the British protectorates in Africa, from the Mediterranean (Gibraltar and Malta), the Indian Ocean (Mauritius), and Asia. The replies reiterated a common theme: "There is a general unanimity of opinion in favor of the idea that cancer is a rare disease among the aboriginal tribes," a Dr. R. U. Moffat wrote about Kenya and Uganda, where he had worked first for the Imperial British East Africa Company and then the British government. Moffat had worked in East Africa for a decade, he reported, and yet had seen only "one undoubted case of cancer": a breast cancer in a Swahili woman living in Mombasa. (She refused an operation, he wrote, and her subsequent history was unknown.)
By 1908, when the fund's committee of cancer researchers and statisticians published its third report on its findings, a few relevant conclusions stood out. First, cancer incidence was definitely increasing across Europe, but it did so along with an "almost universal endeavor to improve the accuracy of statistics." Hence, it was impossible to determine whether or not cancer was, indeed, more frequent or whether physicians were merely paying it more attention and so more likely to diagnose and identify it when it did occur. Second, no population seemed to be exempt from cancer, but it was still undeniably rare in aboriginal or indigenous populations—in "the savage races," as the report put it. Although whether this was because the cancers weren't being diagnosed, or whether these people didn't live long enough to get cancer, or didn't go to these British doctors when they did, could also not be established. (Maybe they lacked what Joslin and Reginald Fitz had suggested about diabetics in the United States in 1898: the "wholesome tendency...to place themselves under careful medical supervision.")
The report concluded that it would "serve no useful purpose at present" to pursue the question further. But the question would not go away. In 1910 and again in 1915, researchers reported the results of surveys of Bureau of Indian Affairs physicians attending to Native American populations throughout the Midwestern and Western states. Both surveys concluded that cancer diagnoses and deaths among Native Americans served by these physicians were remarkably low, even though the Native Americans were apparently living at least as long as, if not longer than, the local whites. This relative absence of cancer, particularly breast cancer, was still the case more than half a century later, when Indian Health Service physicians began to survey medical records diligently among these Native American populations.
When the American Cancer Society was founded in 1913 as the American Society for the Control of Cancer, it, too, carried out a systematic investigation with an expert committee led by Frederick Hoffman, formerly the chief statistician for Prudential Insurance. Hoffman published his seven-hundred-plus-page report _Mortality from Cancer Throughout the World_ in 1915, concluding that far too many "qualified medical observers" were making this same observation—the relative absence of cancer in aboriginal and indigenous populations—and doing so in far too many locations around the globe to allow it to be explained away.
"There are no known reasons why cancer should not occasionally occur among any race or people, even though it be of the lowest degree of savagery or barbarism," wrote Hoffman. "Granting the practical difficulties of determining with accuracy the causes of death among non-civilized races, it is nevertheless a safe assumption that the large number of medical missionaries and other trained medical observers, living for years among native races throughout the world, would long ago have provided a more substantial basis of fact regarding the frequency of occurrence of malignant disease among the so-called 'uncivilized' races, if cancer were met with among them to anything like the degree common to practically all civilized countries."
Hoffman's report also concluded that cancer was that rare disease for which prevalence and mortality seemed to be steadily increasing—"one of the few diseases actually and persistently on the increase in practically all of the countries and large cities for which trustworthy data are obtainable." Hoffman and his colleagues estimated that cancer mortality in the United States had been increasing steadily by 2.5 percent per year. As with diabetes, this observation of increasing prevalence would be accompanied by a vigorous debate about whether or not those increases could be explained solely by the aging of the population, by new diagnostic techniques, by an increased tendency to attribute a death to cancer rather than old age or some other disease, or whether it was really the incidence and prevalence of cancer itself that was increasing.
Far more recent reports have concluded that it was, at least in part, the latter. "By the 1930s," as a 1997 report by the World Cancer Research Fund and American Institute of Cancer Research explained, "it was apparent that age-adjusted death rates from cancer were rising in the USA." This means that the likelihood of any particular sixty-year-old, for instance, dying from cancer was increasing, even if there were, indeed, more sixty-years-olds with each passing year. Some of this, of course, was due to the dramatic increase in lung cancers that in turn was a product of the epidemic of cigarette smoking that was aided and abetted by sugar. But this was true for cancers not related to smoking as well.
As for the evidence that cancer was a Western disease, this, too, continued to accumulate and remained a common observation through the 1930s. Among those who made it was Albert Schweitzer, who won the Nobel Peace Prize in 1952 for his missionary work. Schweitzer began working at a hospital in the equatorial lowlands of West Africa in 1913 and was, he later said, "astonished to encounter no cases of cancer" among the thousands of native patients he saw each year. However, as "the natives [took to] living more and more after the manner of the whites," he wrote, cancer in his patient population became ever more frequent.
After the Second World War, these observations are less common in the literature, but they don't vanish. In the 1950s, John Higginson, an American physician trained in England, surveyed cancer prevalence in native African populations and reported that it was still remarkably low compared with what was being reported in the United States and Europe. This led him to the conclusion that _most_ human cancers are caused primarily by some aspect of diet and lifestyle. Because of this research and its implications, Higginson became, in 1965, the founding director of the World Health Organization's International Agency for Research on Cancer (IARC). In 1964, the WHO was suggesting that some proportion of human cancers, perhaps most, are "potentially preventable."
As late as 1952, malignant cancer among the Inuit was still deemed sufficiently rare that physicians working in northern Canada, as in Africa earlier in the century, would publish single-case reports in medical journals when they did diagnose a case. In 1984, Canadian physicians published an analysis of thirty years of cancer incidence among the Inuit in the western and central Arctic. Lung and cervical cancer had shown a "striking increase" over that time period, they reported, but there were still "conspicuous deficits" in breast-cancer rates. They could not find a single case of breast cancer in an Inuit patient before 1966; they could find only two cases between 1967 and 1980. Since then, breast-cancer prevalence has steadily increased among the Inuit, although it's still significantly lower than in other North American ethnic groups.
From the 1950s onward, popular thinking on the link between Western lifestyles and cancer focused on industrialization and carcinogens in the environment—something Higginson himself argued against in the 1980s, noting that "only a very small part of the total cancer burden" could be laid on industrial chemicals. When cancer epidemiologists did systematic reviews of the data, they continued to conclude, as Higginson had, that some significant percentage of cancers had to be lifestyle- or diet-induced. Breast cancer may be the best example. Though it has never been the scourge among Japanese women living in Japan that it is among women in America, it takes only two generations in the United States before Japanese-Americans experience the same breast-cancer rates as any other ethnic group. This implies that something about the American lifestyle or diet is a cause of breast cancer, although it doesn't tell us what that something is.*5
In 1981, when the Oxford University researchers Richard Peto and Sir Richard Doll (knighted for his work linking cigarettes to lung cancer in the 1950s) published what was then the seminal article on cancer epidemiology, they estimated that perhaps three out of every four cases of cancer in the United States might be preventable with appropriate changes in diet and lifestyle. Diet, they argued, seemed to play the largest role. According to Peto and Doll's analysis, at least 10 percent of all cancers, and perhaps as much as 70 percent, were caused by something that we were eating.
The link between cancer and Westernization had taken on a new form by the early years of this century: the critical observation that obesity and diabetes both associate with an increased risk of cancer. The potential of such an association had been discussed in the medical literature as far back as the late nineteenth century—"the coincidence of diabetes and neoplasms [i.e., malignant tumors]...does not appear to be rare," as one 1889 article in the _British Medical Journal_ phrased it—but it wasn't until the early years of this century that cancer researchers began to pay it serious attention.
In 2003, epidemiologists from the Centers for Disease Control, led by Eugenia Calle, published an analysis in _The New England Journal of Medicine_ reporting that cancer mortality in the United States was clearly associated with obesity and overweight. The heaviest men and women, they reported, were 50 and 60 percent more likely, respectively, to die from cancer than the lean. This increased risk of death held true for a host of common cancers—esophageal, colorectal, liver, gallbladder, pancreatic, and kidney cancers, as well as, in women, cancers of the breast, uterus, cervix, and ovary. In 2004, the CDC followed up with an analysis linking cancer to diabetes, particularly pancreatic, colorectal, liver, bladder, and breast cancers. Cancer researchers trying to make sense of this association would later say that something about cancer seems to thrive on the metabolic environment of the obese and the diabetic.
One conspicuous clue as to what that something might be was that the same association was seen with people who weren't obese and diabetic (or at least not yet) but suffered only from metabolic syndrome and thus were insulin-resistant. The higher their levels of circulating insulin, and that of a related hormone known as insulin-like growth factor, the greater the likelihood that they would get cancer. This link between cancer and insulin was evident with anti-diabetes drugs as well. In 2005, Scottish researchers reported that diabetic patients who took a drug called metformin, which works to reduce insulin resistance and therefore lower circulating levels of insulin, also had a significantly reduced risk of cancer compared with diabetics on other medications. That association has been confirmed multiple times, and has led researchers to test whether metformin acts as an anti-cancer drug, preventing or inhibiting cancer's recurrence in randomized controlled trials. These observations also served to focus the attention of cancer researchers further on the possibility that insulin and insulin-like growth factor are cancer promoters, and thus that abnormally elevated levels of insulin—caused by insulin resistance, for instance—would increase our cancer risk.
This was another area of research that had emerged in the 1960s, with laboratory work by some of the leading cancer researchers—including Howard Temin, who would later win the Nobel Prize—demonstrating that cancer cells require insulin to propagate; at least they do so outside the human body, growing as cell cultures in the laboratory. This would turn out to be the case for breast-cancer cells, even though the normal breast cells from which these malignant cells emerged lacked insulin receptors and lacked the necessary machinery within the cells to respond to insulin signaling. Nevertheless, as the University of Toronto cancer researcher Vuk Stambolic would later describe it, these breast-cancer cells seemed to be "addicted to" insulin, and when weaned off it in the laboratory they responded by dying. This kind of phenomenon was seen also in cancers of adrenal and liver cells. As one 1976 report put it, insulin "intensely stimulated cell proliferation in certain tumors"; another, by researchers at the National Cancer Institute, described one particular line of breast-cancer cells as "exquisitely sensitive to insulin." By then, researchers had established that malignant breast tumors had receptors to insulin, which were absent in healthy breast tissue, and that the more they had, the more insulin-sensitive they were.
Insulin-like growth factor (IGF) was discovered only in the 1950s; as its name implies, it has a structure very similar to that of insulin and its effect on cells can mimic that of insulin. But IGF is secreted in response to growth hormone, rather than carbohydrate or protein consumption, as insulin is. It's also secreted in response to insulin itself. Tumor cells appear to have two to three times the amount of IGF receptors as normal cells, and researchers believe that functioning IGF receptors are necessary for the growth of cancer cells. The consensus among researchers studying the role of insulin and IGF in cancer is that these hormones supply both the fuel necessary for tumors to divide and multiply, and provide the signals necessary to the tumors to keep doing so. The more insulin and IGF in the circulation, the more cancer cells are driven to multiply and tumors to grow.
The science on the link between insulin and IGF and cancer now has been well worked out. A consensus has been forming, led by some of the most respected cancer researchers—in particular Lewis Cantley, who runs the cancer research program at Weill Cornell Medical College, and Craig Thompson, president of the Memorial Sloan Kettering Cancer Center, both in New York City. These researchers believe that cancer is as much a metabolic disease as a "proliferative" disease, and that for cancer cells to procreate, they have to rewire their metabolic programs—how they fuel themselves—to drive their unfettered growth. Further evidence to support this view is that the major genetic mutations that have been discovered over the years as seemingly responsible for a host of different cancers seem to play critical roles, not just in the proliferation of cells but in regulating the metabolism of the cells.
From this perspective of cancer as a metabolic disease, insulin and IGF promote the cancer process through a series of steps. First, insulin resistance and elevated levels of insulin trigger an increased uptake of blood sugar (glucose) as fuel for precancerous cells. These cells then begin producing energy through a mechanism known as aerobic glycolysis that is similar to what bacteria do in oxygen-poor environments. (This phenomenon is known as the Warburg effect and was discovered in the 1920s by the German biochemist and later Nobel Laureate Otto Warburg, although its importance in the cancer process was not embraced until recently.) Once cancer cells make this conversion, they burn enormous amounts of glucose as fuel, providing them, apparently, with the necessary raw materials to proliferate.
By metabolizing glucose at such a rapid rate, as Thompson suggests, these cancer cells generate relatively enormous amounts of compounds known technically as "reactive oxygen species" and less technically as "free radicals," and these, in turn, have the ability to mutate the DNA in the cell nucleus. The more glucose a cell metabolizes and the faster it does so, the more free radicals are generated to damage DNA, explains Thompson. And the more DNA damage, the more mutations are generated, and the more likely it is that one of those mutations will bestow on the cells the ability to proliferate without being held in check by the cellular processes that work to prevent this pathological process in healthy cells. The result is a feed-forward acceleration of tumor growth. While this is happening, the insulin and IGF in the circulation both work to signal the cell to keep proliferating, and to inhibit the mechanism (technically known as apoptosis, or cell suicide) that would otherwise kick in to shut it down.
These researchers can imagine two ways in which insulin and IGF are involved in the initiation of the cancer process based on the understanding that has emerged in the last decade.
One is for mutations to occur in the DNA of our cells—by bad luck, in effect—which work to increase the strength of the signal that insulin and IGF send to cells and thus make the cell take up more glucose and start on the road to cancer. Because this doesn't actually require insulin resistance and high levels of insulin in the bloodstream, these cancers, to borrow a term from the diabetes literature, would be non-insulin-dependent. They would grow and propagate even when insulin levels are low and the host (i.e., the person in the process of getting cancer) is insulin-sensitive.
But the other way to initiate the cancer process, according to these researchers, is to increase the levels of insulin and blood sugar in the circulation itself. Insulin resistance would do that. Thus whatever is causing insulin resistance would be promoting the transformation of healthy cells into malignant, metastatic cells by increasing insulin secretion and elevating blood sugar and telling the cells to take up increasingly more glucose for fuel.
This leads those like Cantley and Thompson directly back to sugar. As Cantley has said, sugar "scares" him, for precisely this reason. If the sugars we consume—sucrose and HFCS specifically—cause insulin resistance, then they are prime suspects for causing cancer as well, or at the very least promoting its growth. Even if the details of the mechanism should turn out to be wrong, the association between obesity, diabetes, and cancer, and the specific association between insulin, IGF, and cancer, suggests that whatever is causing insulin resistance is increasing the likelihood that we will get cancer. If it's sugar that causes insulin resistance, it's hard to avoid the conclusion that sugar causes cancer, radical as this may seem, and even though this suggestion is rarely if ever voiced publicly.
By now, the message should be clear: if insulin is involved in a disease process, then insulin resistance—i.e., metabolic syndrome—is likely to make it worse, and perhaps even initiate the disease process to begin with. This directly implicates sugar as a potential cause, a dietary trigger of the disease.
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Dementia has a long history, and we're unlikely ever to answer the question of whether it is more common now than it once was. The risk of getting Alzheimer's disease roughly doubles every five years past the age of sixty—or at least it does in modern Western societies—and so, the longer a population lives, the greater the burden or prevalence of Alzheimer's. Since we happen to be living considerably longer than our ancestors, our risk is increasing.
The pathological signature of Alzheimer's disease was only officially recognized in the early years of the twentieth century—the association of a rapidly deteriorating dementia with the distinctive accumulation in the brain of what are called amyloid plaques and neurofibrillary tangles. As historians of medicine have noted, however, the plaques and tangles had been previously identified. But Alois Alzheimer happened to have personal experience with the relatively young demented patient in whose postmortem brain he observed these phenomena in 1906. Alzheimer's name was then attached eponymously to the disease, not necessarily because it was a new or rare disease (although it might have been), but because the head of the institute at which Alzheimer was doing his research apparently wanted to claim that it was. Although several studies have compared the prevalence of Alzheimer's disease in various populations and suggested that it might be a product of Western diets and lifestyles, this evidence is not nearly as clear is it is with diabetes or even cancer.
Alzheimer's, like cancer, is associated with type 2 diabetes, an observation that began to emerge from studies in the mid-1990s of eight hundred elderly residents of Hisayama, Japan; of seven thousand senior citizens in Rotterdam, the Netherlands; and of fifteen hundred type 2 diabetics in Rochester, Minnesota. These observations have been confirmed repeatedly since. They suggest that type 2 diabetics have from one and a half to two times the risk of Alzheimer's dementia of nondiabetics, suggesting in turn, as the Rotterdam investigators did in 1999, that "direct or indirect effects of insulin could contribute to the risk of dementia." Waist circumference is also associated with Alzheimer's risk—the thicker your waist, the greater your risk—as is Body Mass Index itself, although only in midlife, not afterward. Getting fatter (as many of us do) in our thirties and forties is associated with an increased risk. Several studies have shown that higher insulin levels—hyperinsulinemia—are associated with increased risk. Hypertension is also associated with increased risk of Alzheimer's.
Over the years, researchers have suggested numerous possibilities to explain these associations, covering the entire range of metabolic and hormonal disorders that accompany type 2 diabetes. Perhaps the high blood sugar (glycemia) is responsible for the increased risk of Alzheimer's disease; the higher the blood sugar, the greater the oxidative stress in the brain, and the greater the production of what are called advanced glycation end products, AGEs. These AGEs are associated with the accumulation of plaques and tangles and may have a causative role. Maybe it's the hypertension itself. Maybe the inflammation that seems to accompany obesity is responsible, and thus the "inflammatory" molecules that overstuffed fat cells will secrete.
Researchers have now unraveled a host of mechanisms by which insulin plays a role in the brain that could go awry with insulin resistance in ways that might either cause or exacerbate the Alzheimer's process. This thinking has led some researchers to think of Alzheimer's as type 3 diabetes, because of the possibility that it is intimately related to insulin signaling and insulin resistance. In a 2014 review article, C. Ronald Kahn, a former director of the Joslin Diabetes Center, and two colleagues from Harvard Medical School enumerated the multiple ways identified so far in which insulin signaling in the brain "is vital in the fine-tuning of brain activity." They then discussed the many mechanisms by which dysregulation of this insulin signaling can lead to both cognitive and mood disorders and to Alzheimer's disease. These include direct impairment of the function of neurons and what is called "synaptogenesis" (the formation of synapses—i.e., connections—between neurons, which goes on throughout our lives and is critical to healthy brain functioning), as well as mechanisms that work more directly to increase the rate at which plaques and tangles accumulate in the brain, or decrease the rate at which the brain can clear away these pathological phenomena. All of this is still speculative, but there's another major factor involved in the association of type 2 diabetes and Alzheimer's that is considerably less so.
Alzheimer's disease is by no means the only possible cause of dementia, nor is it the only one strongly associated with age and with type 2 diabetes. Both type 2 diabetes and hypertension clearly increase our risk of cerebrovascular disease and stroke—a blockage in the blood vessels in the brain (hence a "cerebrovascular accident")—which cuts off the blood supply to a portion of the brain. The result is the death of brain tissue (an "infarct" or a "microinfarct") and, depending on the location and extent of the damage, dementia. This is what is known technically as vascular dementia. When confronted with a patient suffering from dementia, physicians may likely diagnose vascular dementia, based on the observation that the dementia itself followed closely on the heels of a stroke and was not the kind of gradual decline seen typically in Alzheimer's. But this is an oversimplification of the process.
Among the seminal findings in dementia research over the past twenty years is that we all tend to accumulate plaques and tangles in the brain as we age, as well as some degree of vascular damage, whether we manifest dementia or not. The plaques and tangles remain the classic pathological signatures of Alzheimer's disease, but the more vascular damage that accumulates—the infarcts and microinfarcts—the lower the threshold for dementia to appear. This was first observed in a seminal study of nuns in the Sisters of Notre Dame congregation that was published in 1997 by University of Kentucky researchers, and it has been confirmed in studies since then. These studies conclude that for any given amount and distribution of plaques and tangles in the brain, the more vascular damage that is also present, the more likely we are to appear demented and to be diagnosed on autopsy as having had Alzheimer's disease, simply because the physician making the diagnosis will be more aware of the dementia. Depending on a host of factors, genetics being one of them, this will happen to some of us faster than others. When we cross some threshold of damage, dementia begins to manifest itself. If we're diabetic and hypertensive, which also means we're insulin-resistant, we're going to have more vascular damage and so reach that threshold of damage sooner.
This will happen whether or not insulin or insulin resistance is involved directly in the Alzheimer's disease process. And, once again, it implies that if sugar causes the insulin resistance, and thus the type 2 diabetes and the hypertension, then sugar also increases the likelihood that dementia is in our future.
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Here's another way to think about the idea that a cluster of chronic Western diseases associate with insulin resistance, metabolic syndrome, obesity, and diabetes and hence sugar consumption: Diabetes, though a discrete diagnosis by our doctors, is not a discrete phenomenon in which bad things suddenly start happening that didn't happen before. It's part of a continuum from health to disease that is defined in large part by the worsening of the metabolic abnormalities—the homeostatic disruption in regulatory systems—that we've been discussing and that are associated with insulin resistance, if not caused by it, and so part and parcel of metabolic syndrome.
As we become ever more insulin-resistant and glucose-intolerant, as our blood sugar gets higher along with our insulin levels, as our blood pressure elevates and we get ever fatter, we are more likely to be diagnosed as diabetic and manifest the diseases and conditions that associate with diabetes. These include not just heart disease, gout, cancer, Alzheimer's, and the cluster of Western diseases that Burkitt and Trowell included in their provisional list, but all the conditions typically perceived as complications of diabetes: blood-vessel (vascular) complications that lead to strokes, dementia, and kidney disease; retinopathy (blindness) and cataracts; neuropathies (nerve disorders); plaque deposits in the arteries of the heart (leading to heart attacks) or the legs and feet (leading to amputations); accumulation of advanced glycation end products, AGEs, in the collagen of our skin that can make diabetics look prematurely old, and that in joints, arteries, and the heart and lungs can cause the loss of elasticity as we age. It's this premature aging of the skin, arteries, and joints that has led some diabetes researchers to think of the disease as a form of accelerated aging. But increasing our risk of contracting all these other chronic conditions means we're also likely to get these ailments at ever-younger ages and thus, effectively, age faster.
A host of other pathological phenomena also associate with metabolic syndrome and insulin resistance. Researchers have typically studied these from the perspective that they are somehow caused by getting fatter, by eating too much or exercising too little, or maybe even by eating too much fat. These phenomena work to trigger hyperinsulinemia and insulin resistance. Fat, as we've discussed, accumulates in our livers and muscle cells, a process these researchers refer to as lipotoxicity. Stress hormones (cortisol, for instance) increase in the circulation; inflammation increases, as signified by the increase in our circulation of inflammatory molecules (secreted by fat cells). More reactive oxygen species (free radicals) are generated, and so oxidative stress increases. The mitochondria in our cells become dysfunctional. For virtually all of these, as the researchers will acknowledge if they're being suitably skeptical, "the direction of the relationship is still unclear: it may be a cause or consequence of insulin resistance." All of this is happening coincident with the development of insulin resistance and metabolic syndrome, and all of it gets worse as we become fatter and more diabetic. All of this has pathological effects throughout our bodies. All of this is triggered by something in our diet and lifestyle, which is what we ultimately have to explain.
Another issue that has recently added still another layer of complication to the science is the role played in obesity and diabetes by the bacteria in our guts, known as the gut microbiota or microbiome. New technologies will lead inevitably to new areas of research, new observations, and new discoveries. The ability to sequence the genomes of these bacterial species has opened up a new frontier of research, just as the ability to measure blood pressure, cholesterol, or insulin sensitivity did for earlier generations of researchers. The microbiome research, because it's brand-new, is at a very preliminary stage.
Still, as the new new thing (to borrow a phrase from the journalist Michael Lewis) in obesity and diabetes research, gut bacteria get an inordinate amount of attention, particularly from the media, though we may not know for decades what to make of the observations that ensue—what is signal and what is noise. Most of the work so far has been done in laboratory mice and rats, and the relevance to human life (or even to other laboratory animals) is unclear. The observations that come from human studies and the very few human experiments are still impossible to interpret reliably. Certain alterations in this gut microbiome associate with obesity, metabolic syndrome, and diabetes, but, as the researchers will acknowledge, "it remains to be determined whether these are the results of altered glucose metabolism and insulin resistance or contribute to their development."
Since the 1950s, if not earlier, researchers have known that the foods we eat and the form in which they come—indigestible fiber, refined grains and sugar, and all the rest—will influence which species of gut bacteria thrive and which don't. That in turn will affect the digestibility of the fat, protein, and carbohydrates in the rest of our food and the effect on blood levels of cholesterol and triglycerides, if nothing else.
Ultimately, what we have to keep in mind as we read the latest articles on recent developments in the science is the critical observations that so desperately have to be explained: If specific changes in the bacterial species that populate our digestive tract associate with obesity and diabetes, this suggests that these changes are yet another effect of the same underlying cause. And the most likely suspect driving any related pathological changes in these bacterial populations would once again be the radical increases in sugar consumption that come with Western lifestyles. "It would be an extraordinary coincidence," as Peter Cleave wrote and we've already quoted, "if these refined carbohydrates, which are known to wreak such havoc on the teeth, did not also have profound repercussions on other parts of the alimentary canal during their passage along it, and on other parts of the body after absorption from the canal."
—
Nutrition researchers and public-health authorities have typically been of two minds about the hypothesis that a single nutrient might be to blame for this spectrum of chronic disease states that associates with insulin resistance, metabolic syndrome, obesity, and type 2 diabetes, or that a single phenomenon might be responsible.
On the one hand, as we've said, they've been willing to blame the victims, at least those who are overweight or obese, for eating too much and exercising too little, and the food industry for making too much food available and for manipulating the taste with sugar, salt, and fat to the point that we just can't eat in the necessary moderation. They've also entertained the possibility that dietary fat and particularly saturated fat plays a uniquely causal role. But their tests of this dietary fat hypothesis have mostly failed to support it.
Since the 1970s, though, they've considered it quackery to suggest that sugar is responsible. Since then, well over half a million articles have been published in the peer-reviewed medical literature on the subjects of obesity and/or diabetes, while the prevalence of those diseases in our society has inexorably climbed. The implication is that if this were a simple problem we surely would have solved it by now, so it must be multifactorial and complex—two words that are invoked so consistently to explain the genesis of these diseases that we have to question whether the terms imply an explanation or a simple lack of understanding of the problem.
The way we fund science in nutrition and chronic disease research is also partly responsible for this thinking. The confluence of diet and chronic disease is not a scientific discipline in which all or many of the researchers band together to answer a few critically important questions, although I would argue that it should be. The National Institutes of Health and other research agencies fund thousands or tens of thousands of researchers to answer thousands or tens of thousands of small questions, and the hope is that out of these pieces a coherent picture will emerge. Instead, what we have is a cacophony and the assumption that if so many researchers are studying so many different pieces of the puzzle, it must be a very complex problem.
More recently, journalistic authorities on the subject of food and health have also expressed their displeasure at "one nutrient" explanations for our ills. They perceive such explanations as overly simplistic, if not a kind of idealistic wishful thinking. This leads in turn to the notion that the industrialization of the food industry and the processing of most modern foods yield so many potentially deleterious changes that making sense of them all is beyond the realm of science to establish, and therefore we should, more or less, stop trying. As the University of California, Berkeley, authority Michael Pollan has so memorably put it, we should "eat food. Not too much. Mostly plants." If we do this, we will get as close as we reasonably can to a healthy diet.
But science is about explaining what we observe in nature and doing so with the simplest possible explanation—as Newton suggested, with the simplest explanation that is both true and sufficient. The process of science is then about the conflict between the desire to believe a simple explanation—particularly our simple explanation—and the skepticism required to establish reliably whether it does or does not explain what we observe.
Here we're back to those few observations that are indisputable and that we have to explain. In the second half of the nineteenth century in Western populations, and far more recently in others, obesity and type 2 diabetes emerged, eventually to become the dominant diseases of modern times. Insulin resistance characterizes both these disorders. And those who are insulin-resistant, who suffer from obesity and type 2 diabetes, are at higher risk of a host of other chronic diseases—the Western diseases, as Burkitt and Trowell described them—and these diseases, too, are associated with insulin resistance.
How do we explain these observations? What has changed that could cause the emergence of these diseases worldwide and the insulin resistance that is associated with so many of them? What changes in our diets and our lifestyles can explain these changes in disease patterns? Is a simple hypothesis sufficient to do it? Is it that we're all simply eating too much and exercising too little, which is the one simple answer that the nutritional establishment will embrace in the face of so much evidence to the contrary? Another simple answer, and a more likely one, is sugar.
* * *
*1 During World War II, according to Trowell, the British government sent a team of nutritionists to the region to learn why local Africans recruited into the British Army could not gain sufficient weight to meet army entrance requirements. "Hundreds of x-rays," Trowell wrote, "were taken of African intestines in an effort to solve the mystery that lay in the fact that everyone knew how to fatten a chicken for the pot, but no one knew how to make Africans...put on flesh and fat for battle. It remained a mystery."
*2 Part of this gout wave may also have been caused by lead contamination in the fortified wines—port, for instance—being consumed at the time.
*3 In the 1960s, as the salt hypothesis took hold, researchers studying the rise of blood pressure with Westernization among nomadic tribes in Kenya and Uganda and South Pacific Islanders first identified sugar and maybe white flour as the obvious culprits, because they were the conspicuous additions to the Westernized diets. However, the researchers switched their focus to salt when they realized that investigators in the United States were convinced that salt was the problem.
*4 Later to be called the Imperial Cancer Research Fund and, today, Cancer Research UK.
*5 Not surprisingly, very similar patterns have been reported in other Western diseases as well—heart disease, for instance, as the epidemiologists Michael Marmot and Leonard Syme, then of the University of California, Berkeley, documented in 1976.
# EPILOGUE
# HOW LITTLE IS STILL TOO MUCH?
It's impossible to say. In 1986, when the FDA concluded that most experts considered sugar safe (at least at the annual level of forty-two pounds per capita that the FDA administrators decided we were then consuming), and when the relevant research communities settled on caloric imbalance as the cause of obesity and saturated fat as the dietary cause of heart disease, the clinical trials necessary to begin to answer such a question were never pursued.
The traditional response to the how-little-is-too-much question is that we should eat sugar in moderation—not eat too much of it. But this is a tautology. We only know we're consuming too much when we're getting fatter or manifesting other symptoms of insulin resistance and metabolic syndrome. At that point, the assumption is that we can dial it back a little and be fine—drink one or two sugary beverages a day instead of three, or, if we're parenting, allow our children ice cream on weekends only, say, rather than as a daily treat. But if it takes years or decades, or even generations, for us to get to the point where we manifest symptoms of metabolic syndrome, it's quite possible that even these apparently moderate amounts of sugar will turn out to be too much to reverse the situation and return us to health. And if the symptom or complication of metabolic syndrome and insulin resistance that manifests first is something other than getting fatter—cancer, for instance—we're truly out of luck.
The authorities (or self-appointed authorities) who argue for moderation in our eating habits tend to be those who are relatively lean and healthy; they define moderation as what works for them. This assumes that the same approach and amount will have the same beneficial effect on all of us (and that it will continue to work for them as well). If it doesn't, of course, if we fail to remain lean and healthy or our children fail to do so, the assumption that, naturally again, follows from this perspective is that we've failed in our assessment of moderation—we ate too much sugar or our children did.
To understand this tautological logic better, imagine a situation in which cigarette smokers who don't get lung cancer (or heart disease or emphysema) assume de facto that those smokers who do are those who smoke "too much." They'd certainly be right, but it still wouldn't tell us what constitutes a healthy level of smoking, or whether such a thing as smoking in moderation even exists. How many cigarettes could be smoked without doing at least some harm to our health, and could thus constitute smoking in moderation? If we say none, we may, indeed, be right, but now we've redefined how we're willing to work with the concept of moderation. The same logic may also apply to sugar. If it takes twenty years of either smoking cigarettes or consuming sugar for the consequences to appear, how can we know whether we've smoked or consumed too much before it's too late? Isn't it more reasonable to decide early in life (or early in parenting) that not too much is as little as possible?
Recall the thinking of Priscilla White, who went to work in 1924 with Elliott Joslin at his diabetes clinic in Boston and oversaw the treatment of the clinic's pediatric cases. "No child can grow up without a scoop of ice cream once a week," White had said, although the translation of this belief into clinical practice would require that the children who got their weekly scoop also had to inject more insulin over the course of their lives than children whose parents and doctors might have taken a stricter approach. Had White known (as she couldn't at the time) that eating a weekly scoop of ice cream _and_ taking more insulin in response would make children suffer greater complications from their diabetes and die earlier than those who abstained from the ice cream, would that have influenced her thinking? I'd bet that it would have; I'd also bet that she would have wanted to know the increase in disease burden and decrease in longevity per scoop of ice cream consumed, if such a thing were possible—as would the parents—before deciding whether a scoop a week was "too much" for these children. And if these children never ate ice cream, would they miss it any more than would a child who never takes up the habit of smoking miss the opportunity as an adult to indulge occasionally in a cigarette?
Any discussion of how little sugar is too much also has to account for the possibility that sugar is a drug and perhaps addictive. Even if "people just act like it is," as Charles C. Mann has written, this suggests the possibility that having the opportunity to consume at least some sugar (or ice cream) is only meaningful in a world in which substantial sugar consumption is the norm and virtually unavoidable and everyone does it. Trying to consume sugar in moderation, however it's defined, in such a world is likely to be no more successful for some of us than trying to smoke cigarettes in moderation—just a few cigarettes a day, rather than a pack. Whether or not we can avoid any meaningful chronic effects by doing so, we may not be capable of managing our habits, or managing our habits might become the dominant theme in our lives (just as rationing sweets for our children can seem to be a dominant theme in parenting). Some of us certainly find it easier to consume no sugar than to consume a little—no dessert at all, rather than a spoonful or two before pushing the plate to the side. If sugar consumption may be a slippery slope, then advocating moderation is not a meaningful concept.
We can also try to define "too much" from a population perspective—perhaps too broadly, too myopically. George Campbell's estimate from the 1960s of seventy pounds of sugar per capita prior to the appearance of a diabetes epidemic may have been reasonable, and the assumption of the 1986 FDA report that forty-two pounds per capita is a safe amount may also have been, but the appearance of a diabetes epidemic and of diabetes itself are two different things. If the fuse of the diabetes epidemic is lit a generation or more before the epidemic explodes, if the predisposition to become insulin-resistant, obese, and diabetic is passed down and amplified from mother to child in the womb, then it becomes far more difficult to establish at what level of sugar consumption a population, let alone an individual, remains healthy, or becomes healthy again if they're not. What appears to be a population threshold of seventy pounds per capita yearly might actually be a threshold of thirty pounds a generation or two or three earlier. Once we've crossed the threshold and are on our way to becoming an obese and diabetic population, it's likely that we have become different physiologically, that the children in a population that has been consuming a significant amount of sugar for generations have been programmed differently to respond to a sugar-rich environment from those who were born earlier. There may be no going back, or not without drastic changes in our diet. The existing research provides no way to know.
In my own mind, I keep returning to a few observations—unscientific as they may be—that make me question the validity of any definition of moderation in the context of sugar consumption. One was the suggestion by Hindu physicians more than two thousand years ago that sugar consumption could promote both nutrition _and_ corpulence and, as Frederick Allen noted, that diabetes might be brought on by eating sugar, partly because of the sweet smell of the urine and partly because diabetes then seemed to be a disease exclusively of the affluent, who alone could afford to indulge in sugar and flour. ("This definite incrimination of the principal carbohydrate foods," as Allen had written, "is, therefore, free from preconceived chemical ideas, and is based, if not on pure accident, on pure clinical observation.")
Then there was Thomas Willis in the 1670s, the first physician in Europe to note the sweet taste and smell of diabetic urine, despite a long tradition among European physicians at the time of tasting urine as a diagnostic technique. Why hadn't physicians noticed until then, primitive as the art of diagnosis might have been? Willis's identification of diabetes and the sweetness of the urine happens to coincide both with the first flow of sugar into England from its Caribbean colonies, and with the first use of sugar to sweeten tea, which was now being imported into England from China.
Other observations that resonate with me when I wrestle with the concept of moderation include one of Frederick Slare's comments in 1715 in his "Vindication of Sugars Against the Charges of Dr. Willis." At a time when sugar was just beginning to make its transition in England from Sidney Mintz's "luxury of kings into the kingly luxury," Slare noted that women who cared about their figures but were "inclining to be too fat" might want to avoid sugar, because it "may dispose them to be fatter than they desire to be." In a similar vein, the French lawyer-turned-gastronome Jean Anthelme Brillat-Savarin suggested in 1825 in _The Physiology of Taste,_ perhaps the most famous book ever written about food, that obesity was caused by the consumption of starches and bread ("fecula" or "farinaceous foods," he called them) and that this fattening process occurs "more quickly and surely" when such foods are consumed with sugar. In the 1860s, the Portuguese physician Abel Jordão commented that sugar was likely to be a fattening agent, in turn prompting Charles Brigham at Harvard to observe that young women of his era, worried about the "skeleton-like appearance which their shoulders and arms present when exposed," had taken to consuming sugar water to put on some fat and appear more womanly.
In all these cases, even the affluent would likely have been consuming less sugar than Campbell's seventy-pound estimate or the FDA's forty-two. When Slare made his observation in 1715, the English were consuming, on average, perhaps five pounds of sugar a year.
Combine these observations with the research implicating high blood sugar and insulin resistance in the intrauterine environment—the influence of metabolic programming or imprinting on the generation to come—and it suggests that our consumption of sugar over the centuries may have changed the species. Transform an environment so dramatically—as sugar has transformed what we eat and drink in ours—and the species in that environment will be transformed as well. It suggests that the response of individuals today to any amount of sugar is vastly different from what it would have been centuries ago. Perhaps we can tolerate less, perhaps more; we can only speculate. Nor can we say how sugar consumption in a population over generations changes the pattern of chronic diseases that appear and work to shorten lives, and how that differs, as Denis Burkitt would have noted, in different populations with different genetics.
Imagine, for instance, a thought experiment: A population of individuals who have never consumed refined sugar in any quantity, other than what they eat naturally in fruits and vegetables. This population is split in two and then followed for generations. One population has access to refined sugar and high-fructose corn syrup and consumes them in ever-increasing quantities, and the other continues its relatively sugar-free existence. Both populations have access to the same advances in medical care and public health as the generations roll by. Do they both end up with the same spectrum of chronic diseases—similar levels of heart disease, diabetes, cancer, and dementia? And if the sugar-eating population, as I'm suggesting, has the far greater burden of chronic disease, and it is then taken off sugar, how many generations would have to go by before the two populations were again equivalent? Would they ever be?
That experiment can exist only in our imagination—in real life, all populations were put on the sugar-rich diet. Hence, we don't know what "normal" or "healthy" would have looked like in a sugar-free or even low-sugar world. We don't know what our species would have become. Would we get fat as we get older? Would our LDL cholesterol and triglycerides and blood pressure increase with age? Would we become ever more glucose-intolerant and resistant to the action of insulin? How long would we typically live? What diseases would ultimately kill us? These questions cannot be answered.
Imagining such an experiment also helps us understand why future research might never be able to resolve these questions definitively. This speaks to the point I raised earlier, acknowledging that the evidence against sugar is not definitive, compelling though I may personally find it to be. Let's say we randomly assigned individuals in our population to eat a modern diet with or without sugar in it. Since virtually all processed foods have sugar added or, like most breads, are made with sugar, the population that is asked to avoid sugar would simultaneously be avoiding virtually all processed foods as well. They would dramatically reduce their consumption of what Michael Pollan has memorably called "foodlike substances," and if they were healthier, there would now be a host of possible reasons why. Maybe they ate fewer refined grains of any type, less gluten, fewer trans fats, preservatives, or artificial flavorings? We would have no practical way to know for sure.
We could try to reformulate all these foods so that they are made without sugar, but then they won't taste the same—unless, of course, we replace the sugar with artificial sweeteners. Our population randomized to consume as little sugar as possible is likely to lose weight, but we won't know if it happened because they ate less sugar, or fewer calories of all sorts. Indeed, virtually all diet advice suffers from this same complication: whether you're trying to avoid gluten, trans fats, saturated fats, or refined carbohydrates of all types, or just trying to cut calories—eat less and eat healthy—an end result of this advice is that you're often avoiding processed foods containing sugar and a host of other ingredients. If we benefit, we cannot say exactly why. It is too complicated.* Diet advice that recommends we eat whole foods and avoid processed foods (foodlike substances) removes virtually all refined sugars by definition; diet advice to avoid sugar means, by definition, that we avoid virtually all processed foods.
Artificial sweeteners (noncaloric sweeteners, as the USDA calls them) as a replacement for sugar muddy these waters even more. Much of the anxiety about these sweeteners was generated in the 1960s and 1970s by the research, partly funded by the sugar industry, as we've seen, that led to the banning of cyclamates as a possible carcinogen, and the suggestion that saccharin could cause cancer (at least in rats, at extraordinarily high doses). Though this particular anxiety has tapered off with time, it has been replaced by the suggestion that maybe these artificial sweeteners can cause metabolic syndrome, and thus obesity and diabetes.
This conjecture comes primarily from epidemiological studies that show an association between the use of artificial sweeteners and obesity and diabetes. But whether this means artificial sweeteners _cause_ obesity and diabetes is, again, impossible to say. It is likely that people who are predisposed to gain weight and become diabetic are also the people who use artificial sweeteners instead of sugar. The latest review articles on the subject of possible dangers from artificial sweeteners suggest that the evidence is, indeed, far short of definitive. Though the possibility can't be ruled out that consuming artificial sweeteners will lead to increases in morbidity and mortality, it seems unlikely.
As Philip Handler, head of the National Academies of Sciences, suggested in 1975, or as President Teddy Roosevelt did in 1907, what we want to know is whether using artificial sweeteners over a lifetime—or even a few years or decades—is better or worse for us than however much sugar we would have consumed instead. It's hard for me to imagine that sugar would have been the healthier choice. But the research can say no more _definitively_ about this question than it can about the long-term effects of consuming sugar. Laboratory research has identified mechanisms by which artificial sweeteners _might_ trigger physiological responses in the body similar to those triggered by sugar. We have sweet-taste receptors in our guts and digestive tracts, as well as in our mouths, for instance, and so the same molecules that trigger these and fool the brain into thinking we're consuming sugar might fool the body as well. If it does, though, there's little evidence that it results in deleterious effects on food intake, metabolic syndrome, and body weight of the kind observed with sugar itself. If the goal is to get off sugar, then replacing it with artificial sweeteners is one way to do it. Whether consuming artificial sweeteners for years or decades brings on its own noxious effects, or prevents us from benefiting fully from a sugar-free diet, is something that the existing research cannot say.
The research community can certainly do a much better job than it has in the past of testing all these questions. But we may have a very long wait before the public-health authorities fund such studies and give us the definitive answers we seek. What do we do until then?
Ultimately and obviously, the question of how much is too much becomes a personal decision, just as we all decide as adults what level of alcohol, caffeine, or cigarettes we'll ingest. I've argued here that enough evidence exists for us to consider sugar very likely to be a toxic substance, and to make an informed decision about how best to balance the likely risks with the benefits. To know what those benefits are, though, it helps to see how life feels without sugar. Former cigarette smokers (of which I am one) will tell you that it was impossible for them to grasp intellectually or emotionally what life would be like without cigarettes until they quit; that through weeks or months or even years, it was a constant struggle. Then, one day, they reached a point at which they couldn't imagine smoking a cigarette and couldn't imagine why they had ever smoked, let alone found it desirable.
A similar experience is likely to be true of sugar—but until we try to live without it, until we try to sustain that effort for more than days, or just a few weeks, we'll never know.
* * *
* The diet that many public-health authorities believe is the healthiest is known as DASH—Dietary Approaches to Stop Hypertension. The authors of the first study on DASH described it as "rich in fruits, vegetables, and low-fat dairy foods and with reduced saturated fat and total fat." A primary goal of this dietary prescription is to provide significant potassium, magnesium, and calcium, with the assumption that this in turn will lower blood pressure. But it also prohibits sugar, sweets, and sugary beverages other than fruit juices. Its benefits may come as much from that restriction as any other.
# ACKNOWLEDGMENTS
_The Case Against Sugar_ is my third book on nutrition and chronic disease. It is as much a product as the earlier two of my reporting on the subject from the late 1990s onward. I remain grateful and indebted to the many hundreds of researchers and public-health authorities who graciously gave of their time to be interviewed, and to the editors, readers, and research assistants who helped shape those earlier projects and make them possible.
This book had its genesis on January 23, 2008, when I received an e-mail from Lynn Rogut, then deputy director of the Robert Wood Johnson Foundation Investigator Awards in Health Policy Research program. Lynn's e-mail suggested that I apply for one of the program's very generous grants, which I very quickly did. My proposal laid out the basis of this book, and becoming a recipient of an Investigator Award in Health Policy Research from RWJF made it possible. To all those at the RWJF program, I am deeply grateful, and particularly to David Mechanic, Lynn Rogut and Cynthia Church at Rutgers, who oversaw the program during the three years of my grant. I am also indebted to the University of California, Berkeley, and the late (and very much missed) Pat Buffler, and her colleagues Amber Sanchez and Theresa Saunders at the School of Public Health, who administered the grant and gave me an academic base for my research.
Chapter 8, "Defending Sugar," began its existence as the article "Sweet Little Lies" in the November/December 2012 issue of _Mother Jones._ That article was a joint venture with Cristin Kearns, who first introduced herself to me in February 2011, after a talk I gave at a Denver independent bookstore. Cristin was then a working dentist, but she told me how she had taken it upon herself to investigate the sugar industry and had discovered a cache of confidential Sugar Association, Inc., documents exposing its public-relations strategy in the 1970s. Those documents became the basis of the _Mother Jones_ article and now Chapter 8 as well. Cristin's investigative skills, writing, and critical thinking were indispensable to both. (The story can be read online at: http://www.motherjones.com/environment/2012/10/former-dentist-sugar-industry-lies.) I also have to thank the staff at _Mother Jones_ who shepherded the article through to publication—particularly Mike Mechanic (son of David), Maya Dusenberry, Maddie Oatman, Elizabeth Gettleman, and Cathy Rodgers.
The arguments that ultimately constitute the case against sugar had a first public run in April 2011 in a _New York Times Magazine_ cover article entitled "Is Sugar Toxic?" I'm grateful to Hugo Lindgren, Vera Titunik, David Ferguson, and the magazine's staff (circa 2011) for helping me make those arguments fit for public consumption.
I'd like to thank Clarke Read and Maya Dusenberry (again) for their extensive help with research for this book, and Nathan Riley, Devon Simpson, and Ethan Litman, who also contributed their research skills. I'm grateful to Dan Palenchar and my old and dear friend Scott Schneid for doing what they could to help me get the facts straight. Mark Friedman, Michael Rosenbaum, and Robert Kaplan took the time to read this book in draft and help me get my thoughts straight, and for that I'm equally grateful. Any errors that remain, of course, are my responsibility alone. I'd like to thank Jeffrey Mifflin, archivist at Massachusetts General Hospital in Boston, and Stacey Peeples, curator–lead archivist at Pennsylvania Hospital in Philadelphia, for their generous assistance in providing diabetes inpatient data from their hospitals going well back into the nineteenth century.
I'm grateful to my agent, Kris Dahl at ICM, for what is now three decades of unwavering support. And I couldn't be more beholden to my editor, Jonathan Segal at Knopf, who has supported my nutrition writing from the beginning and supported me as a writer in the process. He's the kind of editor that every writer dreams of having. I'd also like to thank, at Knopf, the editorial assistant Julia Ringo, publicist Jordan Rodman, production manager Claire Ong, and text designer Maggie Hinders. And special thanks to production editor Victoria Pearson.
All three of my books on nutrition and chronic disease are pleas ultimately for better nutrition science, and for the rigorous trials necessary to test critical assumptions about a healthful diet that have been publicly embraced over the years as dogma. Laura and John Arnold and their colleagues at the Laura and John Arnold Foundation have embraced this belief that better and more critical nutrition research is necessary for the health of the nation, and have been willing to act upon it philanthropically. For that I will always be grateful. I'd also like to thank all my colleagues over the years at the Nutrition Science Initiative for their support and friendship, and for making it possible to fund and facilitate what we consider the first stage of necessary studies.
If my bias against sugar isn't blindingly clear by now, then I'll establish it beyond doubt by saying that I am deeply grateful as well to those researchers and physicians who had the temerity to take a stand against sugar, knowing that at least some proportion of their professional colleagues would criticize them for doing so. Peter Cleave and John Yudkin played critical roles, as I discuss in the book, and should be thanked by all for doing so. Robert Lustig at the University of California, San Francisco, has recently taken up Yudkin's torch and been singularly effective at forcing the public and scientific discussions on sugar and health. Richard Johnson at the University of Colorado continues to do unique, and what may be vitally important, research, and I fear I didn't give it nearly the treatment and discussion it deserves. For narrative reasons, William Dufty's contribution to this ever-evolving controversy—the massively best-selling _Sugar Blues,_ first published in 1975—is not mentioned in these pages, but he has to be acknowledged and thanked nonetheless. I would also like to thank and acknowledge Connie Bennett, Nancy Appleton, Ann Louise Gittleman, and the numerous other nutritionists, dietitians, and physician-authors who have publicly taken up this cause.
Finally, my wife, Sloane Tanen, has ultimately made this book possible with her love and support and her humor, not to mention her cheerful willingness, weekend after weekend, year after year, to take our boys to friends' houses and sporting events (while occasionally humming "Cat's in the Cradle") as their father withdrew to his office once again to work on a book or tilt at a windmill. To those boys, Nick and Harry, as always, go my eternal thanks, for reminding me why I do this, and keeping their sense of humor in the process.
# NOTES
_Epigraphs._ "We are, beyond question": Anon. 1857.
"I am not prepared": Chaudhuri and Esterl 2016.
AUTHOR'S NOTE
A third of all adults: CDC 2016b.
One in seven is diabetic: Menke et al. 2015.
Die of cancer: ACS 2016.
INTRODUCTION: WHY DIABETES?
_Epigraph._ "Mary H—an unmarried woman": Quoted in Feudtner 2003: 45.
The patient was Mary Higgins: Ibid.: 45–48. See also Wright 1990: 325.
"hundreds of volumes": Fitz and Joslin 1898.
"wholesome tendency": Ibid.
Joslin published an article: Joslin 1921.
Fifty years ago...today: NIDDK 2012.
Double worldwide since: WHO 2015.
Back...to the nineteenth century: Helmchen and Henderson 2004.
Sushruta, a Hindu physician: Tattersall 2009: 10.
"The patient does not survive": Aretaeus 1837: 1–3.
"observ[ing] an extensive range": Rollo 1798.
Mortality records from Philadelphia: Vaughan 1818.
_Footnote._ E-mail, Jeffrey Mifflin, archivist, Massachusetts General Hospital, Jan. 15, 2014.
"rarer diseases...seven years' practice...The truth": Saundby 1891: 1, 26, 34.
Of the thirty-five thousand patients: Osler 1892: 296.
Next eight years: Osler 1901: 418.
Mortality statistics: Osler 1909: 409.
an epidemic of diabetes: Yearly diabetes admissions at Pennsylvania Hospital were provided by Stacey Peeples, curator–lead archivist, Pennsylvania Hospital, in an e-mail on March 12, 2009.
In Copenhagen: Joslin 1934.
400 percent increase: Emerson and Larimore 1924.
Rapidly becoming a common disease: Joslin 1934.
One in every seven to eight: Menke et al. 2015.
Another _30 percent_ _:_ Gregg et al. 2014.
Almost two million Americans: CDC 2014b.
Patients admitted to VA hospitals: VHA 2011.
Die at greatly increased rates: ADA 2014.
A dozen _classes_ _:_ Khardori 2015.
Thirty billion dollars: ADA 2013.
"Diabetes is in all cases": Saundby 1901.
"The incidence of diabetic morbidity": Wilder 1940: 38.
"appalling increase": Joslin 1950.
"one of the most important human problems": West 1978: ix.
China at the turn of the twentieth century: Saundby 1908; Reed 1916.
In the 1980s...the latest estimates: Xu et al. 2013.
Among Inuit through the 1960s: Sagild et al. 1966; Schaefer 1968.
"Eight Alaskan Eskimos": Mouratoff et al. 1967.
By the 1970s: Mouratoff and Scott 1973.
In recent studies: Jørgensen et al. 2012.
In Native American tribes and First Nations Peoples: Young et al. 2000.
Sandy Lake: Abraham 2011.
Data in Native American populations: West 1974.
Navajo from the 1950s: Sugarman et al. 1990.
Similar patterns: West 1978; Zimmet et al. 2001; IDF 2015.
"Some had been nomadic hunters": West 1974.
"Rises and falls": Emerson and Larimore 1924.
The sugar industry hired pollsters: National Analysts 1974: 33.
"You need an insulin shot": Bruce and Crawford 1995: 213.
"plays an etiological role": McGandy and Mayer 1973.
Researchers and clinicians: See, for instance, NAS 1975.
"The fundamental cause": WHO 2015.
"we eat too damn much": _Today_ show 1976.
Attempts to prevent diabetes: See, for instance, DePue et al. 2010; Mau et al. 2010.
An 800 percent increase: CDC 2014a.
Healthy Weight Commitment Foundation: Starling 2009.
"not about demonizing": _PBS NewsHour_ 2010.
One in four Americans: NIDDK 2014b.
A conservative estimate: The CDC estimates the direct and indirect costs for heart disease and stroke at $315 billion each year, cancer at $157 billion, diabetes at $245 billion, and obesity (in 2008) at $147 billion (CDC 2016a). The Rand Corporation has estimated the total monetary cost of dementia, including Alzheimer's, at between $157 and $215 billion (Hurd et al. 2013).
Alzheimer's as type 3 diabetes: See, for instance, Guthrie 2007.
"We are to admit": See https://en.wikiquote.org/wiki/Isaac_Newton.
"Everything should be": See https://en.wikiquote.org/wiki/Albert_Einstein.
"multifactorial, complex disorders" or "multidimensional diseases": See, for instance, NIDDK 2011: 117–38.
At least a tenth of all cases of lung cancer: ALA 2014: 5.
"all wars combined": West 1978: ix.
Heavy smokers had twenty to thirty times: See, for instance, Doll and Hill 1964.
This confusion still exists: See, for instance, Reynolds 2014; Seidenberg 2015.
_Footnote._ Ventura et al. 2011.
HFCS was the cause: See, for instance, Bray et al. 2004; Pollan 2002.
"the flashpoint": Interview, Marion Nestle, Jan. 5, 2011.
Corn Refiners Association petitioned: Wells 2014.
FDA denied the Corn Refiners' petition: Landa 2012.
"not the single hint": Tappy and Lê 2010.
Per capita consumption numbers cited by government: See, for instance, Putnam and Haley 2003. USDA
reports that 114 pounds of sugar: See Table 49 and Table 50 at http://www.ers.usda.gov/data-products/sugar-and-sweeteners-yearbook-tables
Food and Drug Administration report: Glinsmann et al. 1986.
"Limitations on accurately": USDA 2016.
Americans consumed _only_ _:_ See Table 51 and Table 52 at http://www.ers.usda.gov/data-products/sugar-and-sweeteners-yearbook-tables.
"We perceive it": quoted in Strom 2012.
CHAPTER 1: DRUG OR FOOD?
_Epigraphs._ "The sweet shop": Dahl 1984: 33.
"Imagine a moment": Pollan 2001: 18.
"a near invulnerability": Mintz 1985: 99.
"an innocent moment": Richardson 2002: 292–93.
Sugar-intolerant Canadian Inuit: Ellestad-Sayad et al. 1978.
Equivalent of 360 eggs: Deerr 1950: 529.
"The depression proved": Ripperger 1934.
"whether [sugar] is actually": Mann 2011: 289.
"That sugars, particularly": Mintz 1985: 100.
"drug foods": Ibid.: 99.
Sugar was used to sweeten liquors: Courtwright 2001: 29.
"sublimated essence": Quoted in Pendergrast 1993: 194.
Single most widely distributed: Ibid.: 439.
Morphine addiction and "Like Coca": Quoted in ibid.: 24–25.
"marriage of tobacco and sugar": Weiss 1950: 2.
"eighteenth-century equivalent": Ferguson 2002: 13.
"some compensation": Mann 2011: 372.
"In nutritional terms": Barker et al. 1970.
"an ideal substance": Mintz 1985: 186.
"the perfect pleasure": Wilde 1908: 106.
"greedily suck down": Slare 1715: 8.
"a marked relaxation": Steiner 1977.
Why humans evolved a sweet tooth: See, for instance, Bramen 2010.
The world's greatest sugar consumers...lacked any succulent fruit: Mintz 1991.
holds for Australians: Anon. 1928b.
"distress vocalizations": Blass 1987.
Sugar will allow adults: Gardner 1901.
More effective than breast milk: Ors et al. 1999.
Cats don't, for instance: Kare 1975.
Cattle, on the other hand: Anon. 1886.
Agronomists reported: Plice 1952.
"false palatableness": Anon. 1884.
The actual research literature: See, for instance, Avena et al. 2008; Schmidt 2015.
Serge Ahmed has reported: Ahmed 2012.
"There is little doubt": Quoted in Anon. 1909.
The Big Book: AA 2001: 133–34.
"tremendous increase": Anon. 1919a.
"wreckage of the liquor business": Anon. 1920.
"due to prohibition...never heard of a man": Anon. 1925b.
From the 1600s...quadrupled again: Deerr 1950: 490–91, 532.
Sixteen-fold: Woloson 2002: 187.
"development of the sugar appetite": Anon. 1909.
too damn much: _Today_ show 1976.
CHAPTER 2: THE FIRST TEN THOUSAND YEARS
_Epigraph._ "M. Delacroix": Brillat-Savarin 1986: 104.
"English Man's Fly": Warner 2011: 169–70.
Native Americans using maple syrup: Root and de Rochemont 1976: 40–41.
"yields a sugar": Warner 2011: 162.
Sorghum...had a run: Galloway 1989: 2–3.
"kindled an enthusiasm": Warner 2011: 147.
Anthropologists believe: On the history of sugar and sugarcane, see, for instance, Prinsen Geerligs 2010; Deerr 1949; Deerr 1950; Aykroyd 1967; Mintz 1985; Richardson 2002 (17 percent sugar: 69); Abbott 2007.
Creation myths: Cohen 2013.
"a series of liquid-solid operations": Mintz 1985: 22.
Would state in its defense: See, for instance, Stare 1976b.
The only pure chemical substance: Mintz 1985: 22.
Sugar is extraordinarily useful: Pennington and Baker 1990.
"I must remove": Deerr 1949: 68.
A thousand pounds...Ramadan feasts: Ibid.: 92.
"sucking enthusiastically": Mintz 1985: 28.
"a most precious product": Phillips 1985: 93.
Italian city-states: Prinsen Geerligs 2010.
Kitchen expenditures of Henry II and Edward I: Mintz 1985: 82.
"to no avail": Aykroyd 1967: 26.
"eaten with the end in mind": Mintz 1985: 99.
"good for almost every part": Walvin 1997: 99.
"who kept it exclusively...out of gluttony...No food refuses": Montanari 1994: 120–21.
"Sugar spoils no dish": Braudel 1992: 191.
"swinging machetes": Mann 2011: 139.
Sugar and slavery went hand in hand: Because the relationship was so intimate, this history is told at length in both the histories of sugar and the histories of slavery. Of particular use to me was Phillips 1985.
Columbus who first brought sugar: Deerr 1949: 115–23.
Portuguese colonists in Brazil: Ibid.: 104.
"the whole of Christendom": Ibid.: 138.
"better to be tossed out": Huetz de Lemps 1999: 385.
The British: Deerr 1949 (Jamestown: 148; Barbados and Jamaica: 158–66; number of slaves on Barbados: 166; _footnote:_ 106–8).
Twelve and a half million Africans: This estimate is from slavevoyages.org, and considered the most authoritative estimate available.
A fifth of all British imports: Ferguson 2002: 61.
"second addiction": Proctor 2011: 49.
Sugar was an ideal target of taxation: For this and the history of taxation, see Mintz 1985: 188–95; Strong 1954: 87–107.
"from which they could obtain slaves": Burrows and Wallace 1999: 72.
By 1810...1860: Deerr 1950: 462.
"without which the West Indian plantations": Burrows and Wallace 1999: 120.
"molasses was an essential ingredient": Mintz 1991.
"luxury of kings": Mintz 1985: 96.
"the delight of childhood": Anon. 1873.
More than half a billion: Moore 1890.
Development of the beet-sugar industry: Deerr 1950 ("To scientific ability": 475; "into the Thames": 478).
More than 15 percent: Woloson 2002: 31.
U.S. Department of Agriculture: Warner 2011 ("be numbered": 91).
_Footnote._ Ibid.: 19.
By the 1920s: This comparison is based on Anon.
In the 1820s, 1921a, assuming Deerr's statistics (Deerr 1950: 462) that at least ten refineries were operating in New York City.
The manner in which we consumed it: Mintz 1985: 129–47.
Mark Twain wrote of his youth: Twain 2010: 2.
Sugar was added by the bakers: Hess and Hess 2000: 57–60.
Sugar content greater than 10 percent: Pennington and Baker 1990: 132.
Candy: Woloson 2002: 33–40 ("display of grown-up prestige...a venue for the children": 33).
Centennial Exposition: Richardson 2002: 327.
By 1903: Anon. 1903.
Chocolate: Woloson 2002: 144–50.
Chocolate staples: CandyFavorites.com, at http://www.candyfavorites.com/shop/history-american-candy.php.
Ice cream: Quinzio 2009: 75–102.
"not only a new treat": Woloson 2002: 88.
Ice-cream sundae: This and the other inventions are in Quinzio 2009: 127, 173, 174, 175.
_Footnote._ Ernest Hamwi: Quinzio 2009: 159; Pendergrast 1993: 13.
Coca-Cola: This history comes primarily from Pendergrast 1993 ("the magnificent competitors": 463; "I don't know anything": 89; and "a valuable Brain Tonic": 29).
Pepsi-Cola came along: Stoddard 1997 (syrup sales increased: 26–28).
Cuban and American industries: Babst 1940: 57–59.
"The people of Europe": Anon. 1921b.
Three billion bottles: Anon. 1919b.
CHAPTER 3: THE MARRIAGE OF TOBACCO AND SUGAR
_Epigraph._ "Such an investigation": Weiss 1950: 2.
Lung cancer: For figures on annual deaths from lung cancer, see Proctor 2011: 57.
"This business of sugar": Proctor 2011: 33.
"Were it not for sugar": Weiss 1950: 2.
Camel was the best-selling cigarette: Ibid.: 6.
"When the smoke is inhaled": Garner 1946: 436.
Could have made cigarettes that were harder to inhale: Proctor 2011: 34.
"flue-curing may well be": Proctor 2011: 34.
"the closest parallel": Weiss 1950: 18.
German researchers noted: Proctor 2011: 34.
"objectionable properties": Garner 1946: 442.
"candied up": Proctor 2011: 31.
_Footnote_ _:_ Tilley 1972: 512.
"Sugar enhances": Weiss 1950: 31.
"the perverted tastes": Ibid.: 514.
Act of "necessity": Weiss 1950: 5.
Fifty million pounds of sugar: Tilley 1972: 622–23.
_Footnote_ _:_ Weiss 1950: 39.
"This [caramelization] process": Ibid.: 45.
"Consumer acceptance": Talhout et al. 2006.
"acid buffering capacity": Elson et al. 1972.
"This spectacular development": Weiss 1950: 64–65.
CHAPTER 4: A PECULIAR EVIL
"In hard times": Courtwright 2001: 98.
"The peculiar evil": Orwell 1958: 32.
"depression-proof": See, for instance, Krauss 1947 on the soft-drink industry.
Sixteen pounds _higher_ _:_ Ripperger 1934.
Coca-Cola thrived, as did Pepsi: Pendergrast 1993 (225 percent: 174; "breakfasting on Coca-Cola": 174).
"price inelastic": Marks and Maskus 1993.
Cycles invariably begin: Borrell and Duncan 1993; Hannah and Spence 1996: 46–67.
"frantic and abnormal": Babst 1940: 23.
"the unhealthy economics": Anon. 1945a.
China, for instance: Anon. 1931.
Sugar Act: Schmitz and Christian 1993; Walter 1974; Babst 1940.
"the most powerful": Belair 1937.
"benefit payments": Swift 1937.
By 1935: Quinzio 2009: 177.
Coca-Cola and Pepsi: Pendergrast 1993: 176–77.
Sales nearly quadrupled: Krauss 1947.
Seventy pounds: White 1945.
"worst sugar famine": Williams 1945.
"It would not seem unreasonable": White 1945.
"our warriors": Flanagan 1943.
A hundred million pounds: Anon. 1944b.
"underestimate the importance": Anon. 1944a.
"fighting food value...to correct popular misinformation": Anon. 1944b.
Pepsi circumvented: Stoddard 1997: 95–98.
Coca-Cola: Pendergrast 1993 ("friends and customers...sampling and expansion": 212; _footnote:_ 210; "serve those two billion...When we think of Communism": 236).
Coca-Cola on the cover in 1950: Ibid.: 232.
Pepsi quickly catching up: Stoddard 1997: 12–131.
Nixon with Khrushchev: Pendergrast 1997: 269.
Ice-cream consumption alone doubled: Quinzio 2009: 200.
Canned breakfast juices: Hamilton 2009.
"crowning achievement...perhaps a defining moment": Lovegren 2012: 213.
Gallons of fruit juice a year: ERS 2015.
Breakfast cereals: Bruce and Crawford 1995.
Kellogg and Post: Ibid.: 10–59 ("The causes of indigestion": 17).
"he felt that sugar": Ibid.: 50–51.
"America's sweet tooth": Ibid.: 214.
"Sickened by the sugary excess": Ibid.: 103.
"turn into bricks": Ibid.: 106.
Post then began the trend: Ibid. ("trading off sugar carbohydrates...the nutritional value": 106; "a charitable organization": 108).
Kellogg's set out: Ibid. ("it was their salvation": 109; "all this sweetness...a dietary flop": 111).
"possible dietary effects": Ibid.: 111.
six hundred million dollars: Ibid.: 240.
Candylike nature: Ibid. ("It tastes like maple sugar": 158; "like a chocolate milk shake": 155; "Eating any of the cereals": 261).
CHAPTER 5: THE EARLY (BAD) SCIENCE
_Epigraphs._ "In spite of the doctors": Anon. 1856.
"Most people know": Willaman 1928.
Blaming sugar for a host of ills: See, for instance, Emerson and Larimore 1924 (diabetes); Thorne 1914 (cancer); Dix 1904 (rheumatism); Anon. 1909 (gallstones, jaundice, liver disease, inflammation, gaseous indigestion and sleeplessness); Anon. 1928a (ulcers and intestinal diseases); Lawrie 1928 ("nervous instability"); Anon. 1910 ("a degenerate people").
"No other element": Gibson 1917.
Science of nutrition: On the history of nutrition and the roots of modern nutrition, see, for instance, Lusk 1933; Rose 1929.
"The amount of information": Atwater 1888.
The radioimmunoassay and the modern era of endocrinology: Karolinska Institute 1977.
Medicine and science had little connection: See Flexner 1910; Ludmerer 1988 (Bowditch: 37); Shryock 1979; Rosenberg 1987.
"Scientists are not so much": Krebs 1967.
"promotes nutrition _and_ [my italics] corpulency": Deerr 1949: 46.
"The pissing evil": Willis 1679.
"wonderfully sweet...an ill manner of living": Ibid.
_Footnote._ "We meet with examples": Willis 1679.
An exaggeration: Robert Tattersall, personal e-mail, July 1, 2013.
"disapprove[d] [of] things": Willis 1685: 372.
"frighten the Credulous": Slare 1715: 22.
To "defraud" infants: Ibid.: 8.
"near Sixty-seven...I write without Spectacles...were bitter enemies": Ibid.: 63.
_Footnote._ "That which preserves": Ibid.: 59.
"the worst of the Skum": Ibid.: 19.
Less than five pounds per capita: Hannah and Spence 1996: 10.
"fine proportions...inclining to be too fat...so very high a Nourisher": Ibid.: E4.
"scarcely anything": Moseley 1799: 157; "Give a negro infant...old, scabby, wasted...": Ibid.: 144.
Abel Jordão suggested: Jordão's lectures and article were summarized in two reviews in _The American Journal of Medicine_ _:_ Jordão 1866; Jordão 1867 ("a robust adipose constitution").
"On this same principle": Brigham 1868.
"without any waste": Gardner 1901.
"nutritive value": Higgins 1916.
"unexpected stimulating properties": Gardner 1901.
Parisian cab companies: Ibid.
"At great elevations": Anon. 1926.
"The results were conclusively": Gardner 1901.
"sugar training...did not become 'stale' ": Ibid.
"pound of peppermints...preposterous": Anon. 1926.
_Footnote._ Anon. 1924.
"an overdose of insulin": Kohn et al. 1925.
"The most curious thing": Anon. 1925a.
"would seem to be a food": Abel 1915: 30.
"the popular prejudice": Gardner 1901.
"one of the most valuable articles": Gardner 1901.
"it may with benefit": Anon. 1887.
"growing world-wide abstinence": Anon. 1929.
"splendid alternative": Proctor 2011: 61.
"The consumption of sugar": Allen 1913: 146.
"large quantities": Ibid.: 148–49.
"open to accusations against sugar": Ibid.: 146.
"diabetes in the tropics": Charles 1907.
"not the slightest shadow": Allen 1913: 147.
"Unless the unknown cause": Ibid.: 147–48.
"If he is a poor laborer": Ibid.: 152.
Metropolitan Life: Anon. 1923.
New York State: Emerson and Larimore 1924.
His textbook: Joslin 1916.
_Footnote._ Kahn et al. 2005.
"No child can grow up": Feudtner 2003: 133.
The value of sugar for athletes: Anon. 1925d.
_Footnote._ Anon. 1925d.
"An orange is less temptation": Joslin 1923: 74.
"Indeed, a high percentage": Joslin 1917: 59.
_Footnote._ Snapper 1960: 374.
Blamed diabetes on the automobile: Anon. 1925c.
"an excess of fat": Joslin 1927.
"While there is a popular conception": Long 1927.
Diet relatively rich in carbohydrates: Himsworth 1931b ("Sugar is what must be given"); Himsworth 1931a.
Himsworth would later report: Himsworth 1949a (diabetes rates had risen); Himsworth 1949b ("It would thus appear").
_Footnote._ Himsworth 1935. Inuit on Baffin Island: Heinbecker 1928.
"Fisherfolk": Mitchell 1930.
Joslin would describe...Himsworth in turn: See, for instance, White and Joslin 1959 ("painstakingly accumulated": 70); Himsworth 1935; Joslin 1934; Mills 1930; Joslin 1928: 165.
As late as 1963: Insull et al. 1968.
Himsworth himself rejected it: Himsworth 1949a.
Subject of whether or not sugar consumption: Marble et al., eds., 1971.
CHAPTER 6: THE GIFT THAT KEEPS ON GIVING
_Epigraphs._ "Diabetes...is largely a penalty": Joslin 1921.
"18 CALORIES!": Bart 1962.
No profound revelations to be gleaned: See, for instance, FAO n.d.
"Which is LESS FATTENING?": Domino Sugar 1953.
"the ingestion of a quantity": von Noorden 1907: 693.
Louis Newburgh: Newburgh and Johnston 1930a ("All obese persons...perverted appetite...lessened outflow"); Newburgh and Johnston 1930b ("various human weaknesses").
"the whole problem of weight": Anon. 1939.
_Footnote._ "To attribute obesity": Mayer 1968: 7.
"That which the body needs": von Bergmann and Stroebe 1927.
Bauer confirmed the obvious: Bauer 1929.
"equivalent to that of height": Friedman 2004.
"a good or poor appetite": Newburgh 1942. Joslin, apparently, believed the same: Wilder and Wilbur 1938: 312.
Bauer had spent his professional career: Anon. 1979.
"The genes responsible": Bauer 1940. (The best source in English for Bauer's observations on obesity is Bauer 1941.)
this "well known phenomenon": Stockard 1929.
"Probably she does not know": Newburgh 1942.
"The energy conception": Grafe 1933: 148.
Bauer took up Bergmann's thinking: Silver and Bauer 1931; Bauer 1940; Bauer 1941 ("a malignant tumor...a sort of anarchy").
"deserves attentive consideration": Wilder and Wilbur 1938: 312.
"more or less fully accepted": Rony 1940: 173–74.
The primary German textbook: Bahner 1955.
"The work of Newburgh...Newburgh answered that": Anon. 1955c.
Animal models: See, for instance, Lee and Schaffer 1934; Hetherington and Ranson 1939; Hetherington and Ranson 1942; Brooks 1946; Brooks and Lambert 1946; Mayer 1953b; Alonso and Maren 1955; Levitsky et al. 1976; Mrosovsky 1976; Greenwood et al. 1981: Oscai et al. 1984 (high-fat diets); Sclafani 1987 (high-sugar diets); Cohen et al. 2002; Bluher et al. 2003.
"is also probably present": Cahill 1978.
It was the invention of Rosalyn Yalow: Yalow and Berson 1960.
"a revolution": Karolinska Institute 1977.
Answers began coming: Berson and Yalow 1965.
"the negative stimulus...lipogenic": Ibid.
A second revelation: Ibid.
Falta and Himsworth: For a good review of their work on insulin resistance, see Gale 2013.
"We generally accept": Berson and Yalow 1965.
By assuming that hyperinsulinemia and insulin resistance: See, for instance, NIDDK 2014a.
"It is a medical fact": Borders 1965.
"knock down reports": Anon. 1956.
"that are spent as energy...Sugar is neither": Sugar Information, Inc., 1956.
"Sugar Bowled Over": Anon. 1955b.
"shift blame for obesity": O'Connor 2015.
"fringe view": Snowden 2015.
"champions of energy balance": GEBN 2015b.
The GEBN Web site noted: GEBN 2015a.
CHAPTER 7: BIG SUGAR
_Epigraph._ "If...every American": Anon. 1955a.
"cut-throat competition": Barnard 1928.
To build up the immune system: Sugar Institute 1931b.
Enhancement of iced beverages: Sugar Institute 1931a.
"Recent scientific investigations": Sugar Institute 1930.
"repressive methods": Anon. 1932.
Supreme Court, which ruled: Anon. 1936b.
Sugar Institute was dissolved: Anon. 1936a.
Surprising number of Americans: Levenstein 1993: 53–68 ("of all foods": 68).
_"For Health..."_ _:_ at https://research.archives.gov/id/514288.
"food faddists...sugarcoating the bitter...a heavy barrage...HOW MUCH SUGAR": Sugar industry document: Lamborn 1942.
Council on Foods and Nutrition report: CFN 1942.
"Don't complain": Anon. 1942a.
"Coffee without sugar today": Lamborn 1942.
"A suggested program": Ibid.
Three million dollars in research: Anon. 1951a.
SRF/SAI grants went to...prominent researchers: Anon. 1945b.
First award went to MIT: Anon. 1943.
President of MIT would later say: Anon. 1942b.
Among the many other researchers: See, for instance, Hockett 1947.
_Footnote._ Hockett: Sourcewatch, at http://www.sourcewatch.org/index.php/Robert_Casad_Hockett.
Cavities and tooth decay had been linked to sugar: Aykroyd 1967: 117–26; Mintz 1985 ("a defect the English": 134; "rotteth the teeth": 105).
Then it began to explode: Suddick and Harris 1990.
"startlingly high proportion": Drummond and Wilbraham 1994: 387.
"You would have to look": Orwell 1958: 33.
Price...published seminal study: Price 1939.
"dental caries was not": Fosdick 1952.
"a nice place to live": Ibid.
By the 1930s: See, for instance, Anon. 1934.
University of Iowa and Harvard: Anon. 1945b.
By 1950: Kearns et al. 2015.
According to the SAI's annual report: Kearns et al. 2015.
"most of the present counsel": Smith 1952.
"stands little chance": Anon. 1951a.
"prompt brushing after every meal": Smith 1952.
"Millions of Americans...America's No. 1 health problem": Anon. 1953.
"the great American dieting neurosis": Walker 1959.
Cases of "low-calorie" soft drinks had been sold: Walker 1959.
American Sugar Refining Company...campaign: Anon. 1951b.
Sugar Association took over: Anon. 1954.
_Footnote._ Ewen 1998 ("Sultan of Sell").
Physicians at Harvard: Williams et al. 1948.
Cornell: Reader et al. 1952.
Stanford: Cutting 1943.
The occasional medical textbook: Greene, ed., 1951: 348.
"neither a 'reducing food' ": Sugar Information, Inc., 1956.
Idea of Jean Mayer: Mayer 1953a.
Funded by...the Sugar Association: Cheek, ed., 1974: 100–103.
Refuted in experiments: See, for instance, Bernstein and Grossman 1956.
"satisfies the appetite faster...takes the edge off": Sugar Information, Inc., 1956.
"Q. How can sugar help": Sugar Information, Inc., 1957.
This competitive advantage: See House Committee 1970: 6; Cray 1969.
Saccharin had been discovered: Priebe and Kauffman 1980; Cohen 2006 ("first time in history": 96); Warner 2011: 181–207.
Roosevelt...argument...with Wiley: Cohen 2006: 96–7 ("thought he was eating sugar").
He had begun his career: Warner 2011: 92–93.
"anybody who says": Cohen 2006.
"bearing out an old aphorism": Handler 1975.
Not how the FDA saw it: Warner 2011: 187–89.
Cyclamates did not have: Ibid.: 195–207.
FDA required the same labeling: Ibid.: 197.
Coke and Pepsi released: Nagle 1963.
Began doubling yearly: Nuccio 1964.
Analysts were predicting: Nagle 1965.
Sugar industry responded: Anon. 1964.
"If it's wrong": Ibid.
Ways to diversify their products: Frost 1965.
None of these held the promise: Hickson 1975: 24–25.
"find new arguments": Hickson 1962 "If anyone can undersell": Cray 1969.
"Delaney clause": U.S. Congress 1958 amendment ("No additive shall": 1786).
Between 1963 and 1969: Kelly 1969.
FDA published...concluded that there was little to fear: Warner 2011: 200.
WARF researchers would publish: Nees and Derse 1965.
"mental disturbance": House Committee 1970: 23.
"had an understandable interest": House Committee 1970: 23–24.
Researchers funded by Abbott Laboratories: Warner 2011: 201–2.
"you'd drown before": Pendergrast 1993: 290.
FDA administrators had originally hoped: Warner 2011: 202; House Committee 1970: 24.
"one of its primary missions": NAS 1975: 219.
"supreme scientific politician": DGF 1972.
"in excess of the amount": Lyons 1977.
"It's humanly impossible": Rhein and Marion 1977: 58.
FDA succumbed to...a warning label: Priebe and Kauffman 1980; Warner 2011: 203–4.
Considers neither cyclamates nor saccharin to be carcinogenic: NCI 2009.
Surge in diet-soda sales that failed to last: Timberlake 1983; Anon. 2016; interview, Manny Goldman, consumer products consultant, March 21, 2002.
CHAPTER 8: DEFENDING SUGAR
_Epigraphs._ "If we are looking": Yudkin 1963.
"So the real question": NAS 1975: 96.
Tatem spoke...to Chicago Nutrition Association: Tatem 1976c ("purest and most economical...opportunists dedicated...promoters and quacks...calculatedly enlist...neatly apply...wade through").
In Scottsdale, Arizona: Tatem 1976a ("enemies of sugar...persuasive purveyors...successfully misled..."sugar, once accepted").
"the limited bill": Mayer 1976.
"scientific farce": Tatem 1976c.
"We have moved to the defensive": Ibid.
"common food ingredients": USFDA 1958.
"one of the offshoots...establish the facts": Tatem 1976c.
In 1948, the American Heart Association: Anon. 1948a; Anon. 1948b; Davies 1950; Moore 1983: 77.
Russian researchers had famously: Anitschkow and Chalatow 1913.
Keys had a conflict of interest: SRF 1945: 16.
Combative and ruthless: See, for instance, Blackburn n.d.
"uncompromising stands": Page et al. 1957.
"best scientific evidence": AHA 1961.
Keys was on the cover of _Time_ _:_ Anon. 1961.
Suggested that eating less saturated fat would shorten our lives: Frantz et al. 1989.
"suggestive" evidence: Hooper et al. 2015.
"infants, children, adolescents": Inter-Society Commission 1970.
_Footnote._ "We never saw the results": Interview, I. D. Frantz, Jr., Dec. 9, 2003.
"an unproved hypothesis": Dawber 1978.
Fat consumption may have increased: Taubes 2007: 10–13.
"We now eat in two weeks": Yudkin 1963.
Cohen had spent the previous decade: Cohen 1963.
"The quantity of sugar": Cohen et al. 1961.
"absolutely staggered by the difference": Campbell's testimony in Select Committee 1973: 208–18.
Campbell focused his research: Campbell 1963; Cleave and Campbell 1966 ("a veritable explosion...almost certainly": 25).
_Footnote._ Ibid.
"a _starvation wage_...enormously fat": Select Committee 1973: 213.
Urban and rural Zulu populations: Campbell 1963 ("a remarkably constant period").
Cleave was an outsider: On his background, see Wellcome Library, "Cleave, 'Peter' (1906–1983)." At http://www.aim25.ac.uk/cgi-bin/search2?coll_id=4602&inst_id=20.
Cleave had been arguing...since 1940: Cleave 1940.
"Law of Adaptation": Cleave and Campbell 1966 ("an adequate period": 1).
"Such processes": Cleave 1956.
"A person can take down": Cleave 1975: 8.
"Assume that what strains": Ibid.: 84.
Jacques Monod would later credit: Monod 1965.
"anatomically, physiologically, and biochemically": Yudkin 1963.
Attention away from cholesterol: See, for instance, Sniderman et al. 2011.
Yale and Rockefeller researchers: Albrink et al. 1962; Albrink 1963; Albrink 1965.
Rockefeller researchers were reporting: Ahrens 1957; Ahrens, Hirsch, et al. 1957; Ahrens, Insull, et al. 1957; Ahrens et al. 1961.
Yudkin tested his sugar hypothesis: See, for instance, Szanto and Yudkin 1969; Yudkin et al. 1969; Bender et al. 1972; Yudkin 1986: 94–103.
_Footnote._ Anderson et al. 1963; Grande et al. 1974.
Cardiologists and the American Heart Association thought: See, for instance, Anon. 1989.
"The refining of sugar": Dickson 1964.
Sugar Association first became concerned: Hickson 1962.
"Castro Situation": Hass 1960.
"top priority": Kelly 1969.
"What's at Stake in Sugar Research": Kelly 1969.
"educating health professionals": Sugar Association, Inc., at http://www.sugar.org/about-us/.
Yudkin had implicitly attacked Keys: Yudkin 1957.
Keys returned the favor: Keys 1971.
"adequate to explain": Ibid.
"alone in his contentions": Keys and Keys 1975: 58.
"quite a bit of loathing": Interview, Richard Bruckerdorfer, Feb. 12, 2004.
During the Korean War: See, for instance, Mayer and Goldberg 1986; Enos et al. 1953.
French traditionally consumed far less sugar: Huetz de Lemps 1999.
"Sweetness does not seem": Mintz 1985: 190.
"does not have widespread support": Brody 1977.
"Although there is strong evidence": Masironi 1970.
Truswell, who believed and argued publicly: Truswell 1977.
Ended his research career: Interviews, Richard Ahrens, Dec. 7, 2002; Donald Naismith, Dec. 11, 2002; Richard Bruckendorfer, Jan. 29, 2003, and Feb. 12, 2004; and Michael Yudkin, Feb. 13, 2004.
Popular polemic against sugar: Yudkin 1972a; Yudkin 1972b.
"Sugar—The Question Is": Warren 1972.
A Senate subcommittee: Select Committee 1973.
The testimony came from: Select Committee 1973 ("The only question": 256; "and they die": 155).
"The research and findings": Hillebrand, ed., 1974: 56.
"From the dietary point of view": Ibid.: 61.
"All those present": Urbinati 1975.
Reconvened in Montreal: ISRF 1975 ("the impact of consumer advocates": 6).
Recommendations of Errol Marliss: ISRF 1976.
"the effort to unite the world": SAI 1977b.
"establish with the broadest possible": SAI 1976.
Point one was the: Ibid.
"eminent and objective": Tatem 1975.
"two strikingly polar attitudes": Blackburn 1975.
"sugar critics": Tatem 1976b.
Grande, Connor: Deutsch 1975.
Edwin Bierman: His role in shaping the ADA's nutrition guidelines came about first via a paper on high-carbohydrate, low-fat diets for diabetics published in 1971, with John Brunzell as a collaborator (Brunzell et al. 1971), and then through his chairing of the ADA's Committee on Food and Nutrition that same year, which was the first to begin liberalizing the recommended carbohydrate content of the diabetic diet (ADA 1971).
Involved in setting the diabetes research agenda: National Commission 1976: 81–105 ("argued eloquently": 96; "A review of all": 97).
"no known biological basis": Bierman 1979. Bierman's review chapter on carbohydrates and sugar was in a committee report of the American Society of Clinical Nutrition, which was then used by administrators at the USDA to establish the first "Dietary Guidelines for Americans," released a year later.
Thirty research articles and reviews between 1952 and 1956: Cheek ed., 1974: 100–103.
"lead gift": Stare 1987: 175.
not even "remotely true": Whelan and Stare 1983: 194.
His department received funding: Stare 1987: 175–76.
Tobacco-industry documents reveal: See http://legacy.library.ucsf.edu/tid/qhn96b00/pdf for a description of the study, describing the conclusion before it was conducted—that body type could be blamed for heart disease rather than smoking. See http://legacy.library.ucsf.edu/tid/eam96b00/pdf for Stare's request of funds for this study.
A martini at night: Hess 1978.
"and may be hazardous": Stare 1976a.
Sugar Association repeatedly turned to Stare: SAI 1975d.
"Sugar in the Diet of Man": Stare, ed., 1975.
Grande wrote the chapter: Grande 1975.
Bierman co-wrote: Bierman and Nelson 1975.
Twenty-five thousand copies: Darrow and Forrestal 1979: 739.
Included in their press packets..."falsely maligned": SAI 1975a: 2.
"Scientists Dispel Sugar Fears": SAI 1975b.
Funded entirely by the sugar industry...confidential memo: SAI 1975c.
"Professors on the Take": Rosenthal et al. 1976.
"A lot of the public": Hess 1978.
FDA would launch: On the history of the GRAS reviews, see USFDA 2015.
Seventy-two "comprehensive reports": LSRO 1977.
"Avoidance of even an appearance": Siu et al. 1977: 2530.
Irving...longtime member and chairman: ISRF 1969.
Fomen had received sugar-industry funding: Cheek, ed., 1974: 4.
"credible evidence...if sucrose was to be declared": Siu et al. 1977: 2534, 2535.
"urgent request...identify pertinent": Bollenbeck 1976.
"conflicting results": LSRO 1975: 7.
Cited fourteen such studies: These were references 30 and 46–58. Reference 56 was Grande's chapter; 46, 50, and 51 were from his laboratory; and 47 was funded by the sugar industry.
"suggest that long term consumption": This concerned reference 10.
Four contradictory reports: References 94–97: of those, 95 and 96 are studies from Bierman's laboratory, and reference 97 is his chapter with Nelson.
The revised version of the SCOGS review: LSRO 1976: 13–14.
"It is not possible": Ibid.: 14.
"contribut[ing] information": Ibid.: 29.
"proud of the credit": SAI 1977c: 2.
Reiser...and colleagues submitted: Ibid.: 30.
"abundant evidence": Reiser and Szepesi 1978.
"loudly proclaim[ing]": LSRO 1977: 2553.
"should be memorized": SAI 1977c: 2.
_Footnote._ "limitations of experimental design": Ibid.
"Sugar is Safe!": SAI 1977e.
_Footnote._ PRSA 1976.
Funding research on diabetes: SAI 1978: 13–43 ("prove of therapeutic value": 21).
"maintain research": SAI 1977d: 34.
Two researchers who received: Interviews, Ron Arky, Feb. 2, 2012; Paul Robertson, Jan. 6, 2012.
"would self destruct": SAI 1977a: 4.
"first comprehensive statement": Select Committee 1977.
"hammered away": SAI 1977a: 4.
"The weight given": McGovern 1977.
Hegsted later said: Interview, Mark Hegsted, March 30, 1999.
"Contrary to widespread opinion": USDA and HEW 1980.
Stated unambiguously: USDA and HEW 1985.
Come out of the USDA's own Carbohdyrate Nutrition Laboratory: Reiser et al. 1986 ("modest"); Reiser and Hallfrisch 1987.
"no conclusive evidence": Glinsmann et al. 1986: S15.
_Surgeon General's Report_ _:_ US HHS 1988 (linking sugar to chronic disease: 111).
_Diet and Health_ _:_ NRC 1989: 273–79.
Institute of Medicine: IOM 2005: 295–324.
"disproportionate consumption": Koop 1988.
Sugar Association...still misquoting: See http://www.sugar.org/sugar-your-diet/what-does-the-science-say/.
"when sugars are consumed": Glinsmann et al. 1986: S15.
Any substance could be harmful: Interview, Walter Glinsmann, Feb. 7, 2011.
Forty-two pounds of sugar per person: Glinsmann et al. 1986: S150–S216.
"played no causal role": COMA 1989: 43.
CHAPTER 9: WHAT THEY DIDN'T KNOW
_Epigraph._ "I wish there were some formal courses": Thomas 1985.
"The method of science": Popper 1979: 81.
Hundred thousand subjects: Review Panel 1969, and US HEW 1971.
Quarter-billion dollars in two trials: MRFIT Research Group 1982; LRC Program 1984a; LRC Program 1984b.
"It's an imperfect world": Interview, Basil Rifkind, Aug. 6, 1999.
Massive public-relations campaign: See Taubes 2007: 58–61.
The authorities involved had little doubt: Marshall 1990.
Women's Health Initiative: Prentice et al. 2006 (breast cancer); Howard, Van Horn, et al. 2006 (heart disease and stroke); Howard, Manson, et al. 2006 (weight); Beresford et al. 2006 (colorectal cancer).
Chose _not_ to perceive: See, for instance, NHLBI Communication Office 2006, Buzdar 2006, and WHO press release: http://www.who.int/nmh/media/Response_statement_16_feb_06F.pdf.
"the disproportionate consumption": Koop 1988.
The Cochrane Collaboration: Hooper et al. 2012.
"We're all being pushed": Interview, William Harlan, Jan. 24, 1999.
_Footnote._ Bacon 1994: 57.
Yudkin discussed this conflict: Yudkin 1971.
"strain specific": Bender and Damji 1971.
"just as great a mistake": Yudkin 1971.
A more nuanced perspective: On the biochemistry of sucrose and fructose, see, for instance, Shafrir 1991.
"unfettered by cellular controls": Lyssiotis and Cantley 2013.
"the most lipogenic": Interview, Walter Glinsmann, April 11, 2002.
"the remarkable hepatic": Shafrir 1991.
In human studies: See, for instance, Kraybill 1975, citing, among other studies, Roberts 1973.
Young women...relatively resistant: See, for instance, Nikkilä 1974.
_Footnote._ "shows a tendency": Higgins 1916.
Manifest...glucose intolerance: See, for instance, Bender and Damji 1971.
Cohen and his Israeli colleagues reported: Cohen et al. 1974.
_Footnote._ Interview, Walter Glinsmann, Feb. 7, 2011.
Researchers at Oxford University: Jenkins et al. 1981.
"for diabetics to be denied": Bantle et al. 1983.
Position of the American Diabetes Association: Vinik et al. 1987.
When 150 pounds of sugar sold: For sugar availability numbers, see the USDA Web site http://www.ers.usda.gov/topics/crops/sugar-sweeteners/background/.
American Heart Association was recommending: Anon. 1995.
Referred to their product as "fructose": See, for instance, Anon. 1996: 16–18.
HFCS we were now consuming: For a good discussion of the role of HFCS in the food supply, see Duffey and Popkin 2008.
_Footnote._ "Invert sugar": Cantor 1975: 29.
Insulin resistance and..."metabolic syndrome": See, for instance, Reaven 1988; Després et al. 1996; NHLBI 2015.
Seventy-five million adult Americans: Ervin 2009.
Reaven discussed the emerging science: Kolata 1987.
Reaven gave the prestigious Banting Lecture: Reaven 1988.
Large numbers of LDL particles: See, for instance, Hulthe et al. 2000.
Uric acid...chronic inflammation: See, for instance, Coutinho et al. 2007.
What causes the insulin resistance?: Taubes 2009.
"a marvelous model": Interview, Gerald Reaven, Dec. 9, 2010.
"ingested the contents": Zelman 1950.
First case reports: Ludwig et al. 1980 (in adults); Kinugasa et al. 1984 (in children).
One in every ten adolescents: Welsh et al. 2013.
Seventy-five million adults: NIDDK 2014b.
Established certain findings unambiguously: See, for instance, Tappy and Lê 2010.
Researchers say the metabolic effects: Interviews, Khosrow Adeli, Nov. 30, 2010; Luc Tappy, Dec. 2, 2010; Michael Paglisotti, Jan. 3, 2011; Claire Hollenbeck, Jan. 4, 2011; Peter Havel, Feb. 12, 2011.
"insulin resistance and many features": Bremer et al. 2011.
"fascinated by the very peculiar metabolism": Interview, Luc Tappy, Dec. 2, 2010.
When the subjects lose weight: See, for instance, Rippe and Angelopoulos 2015.
Dedicated an entire issue: Nov. 1993.
"Further studies are clearly needed": Tappy and Jéquier 1993.
"clearly a need for intervention": Tappy and Lê 2010.
Fewer than a dozen clinical trials: From search on clinicaltrials.gov for "sucrose OR fructose AND United States."
CHAPTER 10: THE IF/THEN PROBLEM: I
_Epigraph._ "It is sometimes disheartening": Justice 1994.
Joslin traveled to Arizona: Joslin 1940.
One moment the Native American population seemed to be healthy: Justice 1994; interviews, David Pettitt, March 27, 2003; Peter Bennett, March 24, 2005; James Justice, April 7, 2005.
The Pima: For their history, see Russell 1975 ("The marvel is": 33); Smith et al. 1994 ("years of famine": 409): Taubes 2007: 235–39.
"largely bypassed": Price et al. 1993.
"critical juncture with modernity": Weidman 2012.
During the war years: Bernstein 1991 ("accelerated the detribalization process": 89).
Aleš Hrdlička commented: Hrdlička 1908: 156–57.
"exhibit a degree of obesity": Russell 1975: 66.
"everything obtainable": Hrdlička 1906.
"markedly flesh-producing": Russell 1975: 66.
Hrdlička had also weighed and measured: Hrdlička 1908: 347–48.
In 1938...early 1940s...and 1949: Justice 1994.
Surveys done in the 1930s: Joslin 1940.
As late as 1947: Sugarman, Hickey, et al. 1990.
By the early 1950s: Kraus and Jones 1954 ("widespread poverty": 25; "That this obesity": 118).
Survey of inpatient records: Cohen 1954.
In 1954–55: Parks and Waskow 1961.
A disease they believed: Interview, Peter Bennett, March 24, 2005.
Over nine hundred Pima: Lawrence et al. 1966.
Reporting the results of the survey: Miller et al. 1965.
Bennett, Burch, and their colleagues were confirming: Genuth et al. 1967; Bennett et al. 1971.
Studying the Papago and other local tribes: Justice 1994.
Clearly documented in the Navajo: Gohdes 1986.
Childhood obesity and type 2 diabetes: Sugarman, White, et al. 1990; Sugarman, Hickey, et al. 1990.
"shocked" by "the amount of suffering": Interview, Eric Ravussin, Feb. 22, 2005.
"As more thorough examinations": Justice 1994.
"fantastic opportunity": Interview, Peter Bennett, March 24, 2005.
Hrdlička had commented: Hrdlička 1906.
Similar to what rural Americans elsewhere: Darby et al. 1956.
"large amount of soft drinks": Hesse 1959.
USDA had initiated: Justice 1994.
"Even though evidence": Byers 1992.
"ration their children's sweets": Richardson 2002: 292–93.
Prior to the discovery of insulin: Feudtner 2003: 150.
prognosis for the mother "horrible": Joslin 1923: 649.
By the 1940s: Tattersall 2009: 94.
"they would then be fine": Interview, David Pettitt, March 27, 2003.
_More than half_ of the children: Pettitt et al. 1983.
45 percent of the children: Pettitt et al. 1988.
"The baby is not diabetic": Interview, Boyd Metzger, Oct. 30, 2006.
Jorge Pedersen: On his hypothesis and its implications, see Catalano and Hauguel–De Mouzon 2010.
a "vicious cycle": Dabelea et al. 2000.
Alarming rise of diabetes internationally: Felita et al. 2006.
"general attitude of the medical profession": Allen 1913: 146.
Calls it a "myth": ADA 2015.
We can "save money": ADA 2014.
Accepts the role of fat accumulation: Geibel 2010.
"It is unknown": Pettitt et al. 1988.
CHAPTER 11: THE IF/THEN PROBLEM: II
_Epigraph._ Provisional List of Western Diseases: Trowell and Burkitt 1981: xv.
"one of the world's best-known": Auerbach 1974.
"It proved obnoxious": Trowell and Burkitt 1981: xvi.
"where the conditions of life": Chamberlain 1903.
"pattern and pathogenesis": Higginson 1997.
"Never before": Trowell 1981: 4.
Trowell and his colleagues experienced: Galton 1976 ("ancient Egyptians": 63).
_Footnote._ "Hundreds of x-rays": Galton 1976: 63.
First diagnosis of coronary heart disease: Trowell and Singh 1956.
"full of obese Africans": Trowell 1975.
"The incidence and variety of diseases": Trowell and Burkitt 1981: xiv.
"In relatively stable populations": Burkitt 1975.
"significance of relationships": Burkitt 1975.
"Before the spirochaete": Ibid.
"an extraordinary coincidence": Cleave 1975: 24.
"We are to admit": See https://en.wikiquote.org/wiki/Isaac_Newton.
The highest prevalence of diabetes: IDF 2013: 33; IDF 2015: 95. In the sixth edition of the IDF diabetes atlas, published in 2013, the prevalence of diabetes in Tokelau in adults (age twenty and older) is reported to be at 37.5 percent. In the seventh edition, the prevalence of "adult diabetes," apparently estimated for the whole population—those above and below the age of twenty—is given as 30 percent, still the world's highest.
More than two-thirds were obese: WHO Global Database on Body Mass Index, at http://apps.who.int/bmi/index.jsp.
Tokelau Island Migrant Study: Wessen et al., eds., 1992; Huntsman and Hooper 1996 (see pp. 1–20 for details of study; subsisted on a diet: 286–94); Wessen 2001.
Through the mid-1960s: Harding et al. 1986.
More than 50 percent of the calories: Prior et al. 1974.
Medical records of the islanders: Tuia 2001; Wessen et al., eds., 1992: 13.
A few had gout: Prior et al. 1987.
Women were diabetic: Østbye et al. 1989.
Change to a more Western dietary pattern: Wessen et al., eds., 1992: 288–89.
Changes for the Tokelauans who immigrated: Ibid.: 291–96; Harding et al. 1986.
Sugar consumption skyrocketed: Prior et al. 1978.
Diabetes prevalence shot: Østbye et al. 1989.
Gout also increased: Prior et al. 1987.
Obesity, unsurprisingly, also increased: Wessen et al., eds., 1992: 299.
Foods and drinks delivered: Rush and Pearce 2013.
Different dietary and lifestyle triggers: Wessen et al., eds., 1992: 383–88 ("different set of relevant variables": 384).
Egyptian mummies from: Newcombe 2013: 2.
Recent surveys suggest: See, for instance, Zhu et al. 2011.
Walking on one's eyeballs: Porter and Rousseau 1998: 3.
"a most regrettable circumstance": Bauer and Klemperer 1947.
a nearly vegetarian diet: Hydrick and Fox 1984.
"because of their ineffectiveness": Ibid.
incidence of gout in vegetarians: Bauer and Klemperer 1947 ("much higher than is generally assumed," and "largely vegetarians and teetotalers").
Eating _more_ protein: Hydrick and Fox 1984.
In primitive populations: See, for instance, Benedek 1993; Trowell 1947.
Disease was so rare in East Africa: Benedek 1993; Beighton et al. 1977.
"one large gouty family": Rose 1975.
Higher rates of atherosclerosis and hypertension: Bauer and Klemperer 1947; Reaven 1997.
Diabetes is also commonly associated with gout: See, for instance, Buchanan 1972; Whitehouse and Cleary 1966.
In 1951, Harvard researchers: Gertler et al. 1951.
Investigators first linked hyperuricemia: Reiser 1987; Reaven 1997.
"gout wave": Wyngaarden and Kelley, eds., 1976: ix.
"a luxury of kings": Mintz 1985: 96. For a good history of gout and how it spread, see Porter and Rousseau 1998.
Finnish researchers, who referred: Perheentupa and Raivio 1967.
When fructose is metabolized in the liver: See, for instance, Mayes 1993; Hydrick and Fox 1984.
"a fairly common cause of gout": Seegmiller et al. 1990.
"Since serum-uric-acid levels": Perheentupa and Raivio 1967.
"fructose can accelerate": Hydrick and Fox 1984.
High-fructose diets in healthy individuals: Mayes 1993.
The major players had left the field: Interviews, Irving Fox, May 18, 2004; Peter Mayes, May 26, 2004; Thomas Benedek, June 14, 2004; James Seegmiller, August 5, 2004; William Kelley, Aug. 6, 2004.
"sugars" and "sweets" as among the recommended foods: See, for instance, Fam 2002; Emmerson 1996.
Richard Johnson, a kidney specialist: See, for instance, Johnson et al. 2007; Feig et al. 2008.
Hypertension is yet another example: Kotchen 2011.
"a saving process": Warfield 1920: 106.
"claims would have to be paid": Symonds 1923.
After another twenty years: For reviews of the early literature on hypertension and isolated populations, see Kean and Hammill 1949; Lowenstein 1954.
In the Philippines: Discussed in Shattuck 1937.
Among Zuni Indians: Fleming 1924.
Inuit in Greenland and Labrador: Thomas 1928.
Native tribes in Kenya: Donnison 1929 ("This contrast").
Bedouin tribes in Syria: Hudson and Young 1931 ("the conspicuous hypotension").
The Yucatán and Guatemala: Shattuck 1937.
Among Kuna Indians: Kean 1944 ("a striking finding").
By the 1960s: Trowell 1981.
Two tribes of Brazil Indians: Lowenstein 1961.
In fifty-two communities: Intersalt 1988.
Salt was not just: See also Page et al. 1974.
_Footnote._ Kenya and Uganda: Shaper 1967; Shaper et al. 1969. South Pacific Islanders: Prior et al. 1964; Prior 1971.
"As soon as we think": Schulz 2010: 310.
Salt/hypertension hypothesis: For systematic reviews of the evidence, see He et al. 2013; Graudal et al. 2011.
"deadly white powder": Jacobson 1978.
Carl von Voit suggested: In Rony 1940: 154.
Confirmed this observation: Benedict et al. 1919: 195.
By 1933: Atchley et al. 1933.
Insulin was being implicated: A good review is DeFronzo 1981 ("insulin, working through sodium").
"Antidiuresis associated with": Miller and Bogdonoff 1954.
Landsberg...discovered: Landsberg 1986; Landsberg 2001.
Richard Johnson's work: Johnson et al. 2007.
Salt sensitivity is an elusive: See, for instance, Lastra et al. 2010; Luzardo et al. 2015.
Caused in rats: Johnson et al. 2002.
Salt sensitivity is caused by insulin resistance: Yatabe et al. 2010; Laffer and Elijovich 2013.
"like insanity": Tanchou 1844: 263.
Cancer Research Fund: Dukes 1964.
"all matters connected": Anon. 1902.
"placed in formalin": Elgin 1906.
Letters and specimens began to arrive: See, for instance, Anon. 1906.
"There is a general unanimity": Moffat 1904.
The fund's...published its third report: Bashford 1908a.
"almost universal endeavor": Bashford 1908b: 9.
"wholesome tendency": Fitz and Joslin 1898.
"serve no useful purpose": Bashford 1908b.
1910 and then again in 1915: Levin 1910; Hoffman 1915: 151.
Half a century later: Thomas 1979; Sorem 1985; Bleed et al. 1992; interview, James Justice, April 7, 2005.
Hoffman published his: Hoffman 1915 ("qualified medical observers": 147).
"There are no known reasons": Ibid.
"one of the few diseases": Ibid.: 4.
"By the 1930s": WCRF and AICR 1997: 36.
"astonished to encounter...the natives": Schweitzer 1957.
John Higginson: His studies are reviewed in Higginson 1981 and Higginson 1997.
"potentially preventable": Doll and Peto 1981.
Single-case reports in medical journals: Brown et al. 1952.
Canadian physicians published an analysis: Hildes and Schaefer 1984.
"only a very small part": Higginson 1983.
Japanese women: See, for instance, Buell 1973; Ziegler et al. 1993.
_Footnote._ Marmot and Syme 1976.
Seminal article on: Doll and Peto 1981.
"the coincidence of diabetes": Anon. 1889.
From the Centers for Disease Control: Calle et al. 2003.
Linking cancer to diabetes: Coughlin et al. 2004.
Cancer seems to thrive: see Taubes 2012.
Link between cancer and insulin: Giovannucci 1995; Kaaks 1996; Burroughs et al. 1999; Kaaks and Lukanova 2001; LeRoith and Roberts 2003; Pollak et al. 2004. More recent reviews include Taubes 2012; Poloz and Stambolic 2015.
Scottish researchers reported: Evans et al. 2005.
Association confirmed multiple times: Noto et al. 2012.
Researchers—including Howard Temin: Temin 1967; Temin 1968.
"addicted to" insulin: Taubes 2012.
"intensely stimulated cell": Heusen et al. 1967.
"exquisitely sensitive to insulin": Osborne et al. 1976.
As much a metabolic as "proliferative": See, for instance, Coller 2014; Bowers et al. 2015.
The Warburg effect: Vander Heiden et al. 2009.
Free radicals...mutate DNA: Interview, Craig Thompson, Feb. 1, 2011.
As Cantley has said: Interview, Lewis Cantley, Feb. 1, 2011.
Alzheimer's disease was only officially recognized: Ingram 2015: 24–29.
Residents of Hisayama, Japan: Yoshitake et al. 1995.
Rotterdam, the Netherlands: Ott et al. 1996.
Rochester, Minnesota: Leibson et al. 1997.
"direct or indirect": Ott et al. 1999.
Several studies have shown: See, for instance, Li et al. 2015.
High blood sugar...AGEs: See, for instance, Umegaki 2014.
Alzheimer's as type 3 diabetes: See, for instance, Guthrie 2007.
"is vital in the fine-tuning": Kleinridders et al. 2014.
Seminal study of nuns: Snowdon et al. 1997. For more recent confirmation of these results, see, for instance, Vermeer et al. 2003; Schneider et al. 2007.
"the direction of the relationship": Castro et al. 2014.
"it remains to be determined": Barlow et al. 2015.
Since the 1950s: Ahrens 1957.
"It would be an extraordinary coincidence": Cleave 1975: 24.
We should "eat food": Pollan 2008: 1.
EPILOGUE: HOW LITTLE IS STILL TOO MUCH?
"No child can grow up": Feudtner 2003: 133.
"people just act like it is": Mann 2011: 289.
"This definite incrimination": Allen 1913: 147.
"inclining to be too fat": Slare 1915: E4.
"more quickly and surely": Brillat-Savarin 1986: 240.
"skeleton-like appearance": Brigham 1868.
"foodlike substances": Pollan 2008: 1.
Artificial sweeteners...metabolic syndrome: See, for instance, Bruyère et al. 2015.
_Footnote._ Diet known as DASH: Appel et al. 1997.
Sweet-taste receptors in our guts: Fernstrom et al. 2012.
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# A NOTE ABOUT THE AUTHOR
Gary Taubes is the author of _Why We Get Fat_ and _Good Calories, Bad Calories._ He is a former staff writer for _Discover_ and a correspondent for the journal _Science._ His writing has appeared in _The New York Times Magazine, The Atlantic,_ and _Esquire,_ and has been included in numerous "Best of" anthologies, including _The Best of the Best American Science Writing_ (2010). He has received three Science in Society Journalism Awards from the National Association of Science Writers. He is the recipient of a Robert Wood Johnson Foundation Investigator Award in Health Policy Research and a cofounder of the Nutrition Science Initiative (NuSI). He lives in Oakland, California.
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## Contents
1. Cover
2. Other Titles
3. Title Page
4. Copyright
5. Dedication
6. Epigraph
7. Contents
8. Author's Note
9. Introduction: Why Diabetes?
10. Chapter 1 - Drug or Food?
11. Chapter 2 - The First Ten Thousand Years
12. Chapter 3 - The Marriage of Tobacco and Sugar
13. Chapter 4 - A Peculiar Evil
14. Chapter 5 - The Early (Bad) Science
15. Chapter 6 - The Gift That Keeps On Giving
16. Chapter 7 - Big Sugar
17. Chapter 8 - Defending Sugar
18. Chapter 9 - What They Didn't Know
19. Chapter 10 - The If/Then Problem: I
20. Chapter 11 - The If/Then Problem: II
21. Epilogue: How Little Is Still Too Much?
22. Acknowledgments
23. Notes
24. Bibliography
25. A Note About the Author
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1. Cover
2. Cover
3. Title Page
4. Table of Contents
5. Start
|
{
"redpajama_set_name": "RedPajamaBook"
}
| 4,720
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Tag: Jagath Jayasuriya
Sri Lanka's displaced people Part 3
This was posted on August 26th, 2009
When I first moved to Sri Lanka from Ireland some seven years ago, a friend wrote to me asking if I missed the Cork rain. I replied that indeed I did… I missed its moderation. My first impression was that the rainy season in my new home lasted 13 months every year. I realise now that I was being hyperbolic but this is the first August that torrential rain has not been coming through my roof. A few years ago, there was one occasion when I woke up at about three in the morning to watch my slippers floating past me on the tide.
I am not being flippant here, merely trying to feel some empathy for those in the IDP camps in the north. How would I feel being in a tent in such weather? I spent a weekend in a tent in a sea of mud at the Glastonbury festival but I knew when it would end and there was the compensation of seeing Johnny Cash, Jackson Browne and Dwight Yoakam, among others, perform.
The monsoon season in Sri Lanka used to be predictable and everyone knows that it entails torrential downpours and floods of red mud. People die. It was expected in the north and fears were raised about the effects on those living in the camps.
There have been floods at Menik Farm already, before the real monsoon arrived. "If only three or four hours of rain cause this much chaos, only imagine what a full monsoon can cause," said David White, country director for Oxfam.
Disaster Management Minister Rishard Bathiudeen (who has been an inmate of an IDP camp himself because of ethnic cleansing of Muslims carried out by the LTTE) said the recent breakdown of the sewage and drainage system at displaced people's camps because of flooding could not be blamed on the government. Mr. Bathiudeen said it was the fault of the UN agencies, which constructed the drainage system and set up flood preventive measures. "So how can you blame the Government for the blockage in the drainage systems and the overflow of sewage during the floods," he said. Mr. Bathiudeen said only about 400 refugees in "˜Zone 4' were affected by the flood and the matter was dealt with as soon as it was reported to the authorities. He said the refugees were provided with meals, accommodation, and healthcare facilities.
P S M Charles, the Government Agent in Vavuniya, said 60 families had to be temporarily moved to a higher location within the camp but that the situation was under control. Charles said that on the first day after the rain, cooked meals were provided for 21,000 people. "We have now managed the situation. Extra tents were distributed among the affected people. The drainage system was also cleaned". By the second day, things were brought under control and cooked meals had to be provided for only 500 people and people were again able to cook for themselves.
Mavai Senathirajah MP, the general secretary of the Tamil National Alliance (TNA) the parliamentary voice of the LTTE, told Parliament that people were undergoing immense mental strain because of living conditions in the camps. "There is a horrible situation there. The country will experience the north-eastern monsoon rains next month, and the situation will deteriorate further then. The camp site is impassable for vehicles too. We will not be surprised if the people confront the military. We sound a warning of this".
A blogger unsympathetic to the Tamil cause remarked: " Don't be panic! Tomorrow sun shines! Those IDPs are used to monsoon rains in Sri Lanka. They used to spend the night in the jungles during last 30 years under LTTE. Nobody complained to anybody. Now everybody complains to everybody."
Why are people being held in camps?
Whatever about the reality of conditions: Why is the government keeping people in these camps? Why are they not being allowed to return to their homes?
The government says it will take at least six months to make the areas from which they fled habitable again. The LTTE littered the area with land mines. The UN requires a 99.6% clearance rate before resettlement and that is a slow and expensive job. Houses need to be rebuilt and other facilities provided. The war has crippled the north and east for more than 30 years. The LTTE controlled the area but neglected the infrastructure.
Critics respond to that by saying that the government found the resources to build a new airfield so why can't they move more quickly to re-house the IDPs?
Some cynics have suggested that preparations are being made for the tourist industry to steal land belonging to the IDPS. According to Naomi Klein similar things happened after the tsunami.
Access and security
Apart from the need to clear mines and rebuild infrastructure the government says the camps are necessary to weed out LTTE cadres who escaped with the refugees. Rohini Hensman has written: "The IDPs came out cursing the Tigers and positively inclined towards the government forces which had helped them to escape, but with every day that they remain in detention, their hostility to the government will grow". She argues that the LTTE's military capability has been destroyed, its top leadership wiped out; for a group that was identified completely with its supreme leader Prabakharan, and was defined by its military prowess, this means that it is finished.
Recently-retired Chief Justice Sarath N. Silva has been regarded by some Sri Lankans as a check on the potentially despotic inclinations of the executive branch. He warned that the camps could lay the groundwork for a new war, since comparable discrimination against and persecution of Tamil civilians played a major role in starting the war which has just ended. He said the situation insults the soldiers who risked and in many cases lost their lives to free the civilians from the LTTE, and makes a mockery of celebrations of the end of the war.
On the other hand, Interhamwe infiltration and intimidation was a serious problem in the Rwandan camps in Goma. There have been recent reports of LTTE posters appearing in the Sri Lankan IDP camps. Some commentators have expressed fears of "little tribes of people going underground and fighting guerrilla war". These commentators believe that it is realistic for a government to consider that small groups could wreak havoc with random explosions in cities crippling the economy and compromising the safety of ordinary people.
Disaster Management and Human Rights Minister Mahinda Samarasinghe told Parliament that some LTTE cadres had infiltrated the refugees and until they were filtered out, the displaced people would be kept within the camps. He said that the government was determined to provide shelter, water, sanitation, food, healthcare, education and other ancillary services for these people. The Minister said that he was particularly concerned that human rights were adequately catered for.
A group of volunteers visting the camps who were quoted by the Tamil journalist DB Jeyaraj on his blog suggested the LTTE suspects in the camps were treated somewhat better than others: "œThe LTTE detainees are housed in different locations. There are separate camps for boys and girls. There are around 9000 plus boys and 2000 plus girls. They are looked after quite well except when they protest or appear to get aggressive… The problem is that they need regular supplies and that they idle the whole day."
There are many stories of LTTE soldiers escaping after bribing army, police or health personnel. Vavuniya District Tamil National Alliance MP, (the TNA were the mouthpiece in parliament for the LTTE) S Kishor, said he was aware that around 50,000 IDPs have escaped from the camps by paying money to police and army personnel. The Army is finding large stores of weapons, ammunition and explosives hidden by the LTTE in their former controlled areas and expects to recover more. Defence supremo, Gotabhaya Rajapaksa, warned that this could be a part of a strategy to revive the LTTE.
Many of us living in Sri Lanka feared that, despite the defeat of the LTTE, children traveling to school on buses, people buying food in markets would continue to be maimed and killed. A friend who has often been vehement in her criticism of President Rajapaksa conceded: "œI thank the President for finishing off the LTTE who did nothing for the Tamils here. They represented the Tamils overseas. I thank the President because we do not hear of any deaths anymore due to bombs. What a relief that is to those of us who live here."
A recent visit to the camps by the President's eldest son prompted heated exchanges in parliament. The Marxist JVP asked why opposition MPs are still not allowed access to the camps, accusing the government of trying to hide something. However, international and local humanitarian aid organizations have access to the camps to conduct their humanitarian work.
John Holmes, United Nations Under-Secretary-General for Humanitarian Affairs and Emergency Relief Coordinator, briefed journalists in Geneva following a mid-year review conference with Member States on the status of the 2009 consolidated humanitarian appeals. He said that the biggest problem in the Sri Lankan camps was not access, but the lack of freedom of movement of those in the camps. They should be able to move about even now, despite security concerns, so that these were IDP camps and not internment camps.
Adnan Khan, country director the World Food Programme (WFP), said: "Food supplies have never been affected by access restrictions." He said that they were now able to move more freely within the camps.
The government says it will take at least six months to make the areas from which IDPs fled habitable again. The LTTE littered the area with land mines. India has already sent de-mining experts and the UK government has promised GBP 500,000 to the Mines Advisory Group.
Houses need to be rebuilt and other facilities provided. The LTTE controlled the area but neglected the infrastructure. The government plans to resettle, by the end of the year, at least 80% of those in the camps and to rehabilitate over 10,000 ex-LTTE cadres and thousands of families which had direct contacts with the LTTE.
The UNHCR described a previous re-settlement of 2,231 to seven villages in the Musali division, in the southern part of Mannar district, which at one time was controlled by the LTTE. "The Government has applied good practices in IDP return…The process was carried out in safety and dignity."
On 9 June, 2,120 Tamils and Muslims were re-settled. At the end of June, some 9,000 people 60 years old or above, were allowed to leave the camps and join their relatives. On 5 August, 1,100 people boarded 70 buses to return to Jaffna, Batticaloa, Trincomalee and Ampara in areas where de-mining, reconstruction of roads, supply of electricity and water were already completed. "I'm happy to go back to my own house. "I never thought that we would be able to resettle in such a short period," P. Sundaralingam told Reuters in Jaffna.
Recently-appointed head of the army Lieutenant General Jagath Jayasuriya (I met him at a Christmas buffet at the Bandarawela Hotel some years ago, before he reached his current exalted position "" I believe he is related to my wife by marriage) said that the removal of high security zones in the Vavuniya area would facilitate the resettlement of civilians displaced during the war.
He said that Army engineers had been deployed to clear mines and other explosive devices. He said the Army was spearheading a two-pronged development programme in the Northern and Eastern Provinces. 'People visiting Vavuniya could now see the difference as the Army had taken steps to relax security measures that had been in place for years', the Commander said.
Jayasuriya said his main priority was speeding up de-mining efforts across 8,000 sq km so people could be resettled as soon as possible. He declined to give a time-frame. "I want to take engineering battalions that were in an infantry role to do de-mining. Right now there are 300 soldiers working with four non-governmental organisations to clear the mines."
Jayasuriya has sent 400 more for training and is aiming to purchase demining machinery. Sri Lanka has given assurances that everything possible would be done to resettle the majority of the displaced by end of this year.
Chief of Defence Staff General Sarath Fonseka said: "We have the men and the material to meet any requirement," he said, adding that the Army was also playing a major role in restoring the northern railway track. He said that the Army would have an important part to play in resettling the displaced and that the Army had contributed 36 million rupees to meet the urgent needs of children in the north.
He also said that those who had been critical of the Sri Lankan government had conveniently forgotten that the security forces spearheaded by the Army rescued 300,000 people held at gun point by the LTTE. Fonseka said allegations that over 20,000 civilians had perished in the final battle in and around Nanthikadal lagoon, were propaganda.
He ridiculed attempts to portray welfare centres set up in the north as detention camps. He said that the international community couldn't find fault with Sri Lankan political and military leadership for taking on the LTTE. "What we did was right and we knew exactly what we were doing and there is absolutely no scope for an international inquiry," he said.
Fonseka's calls to add 100,000 troops after the war perturbed Western diplomats who wanted Sri Lanka to prioritise post-war redevelopment and not further militarisation, especially as it was seeking an International Monetary Fund (IMF) loan at that time.
Jayasuriya takes a softer line: ""A little increase may be required. An increase of police or Special Task Force (police paramilitaries) would be much more beneficial. I think 20,000-50,000 would be fine. I think the government does not want to increase the budget. To hold and consolidate what we captured, you need more troops than you do to fight."
Sanjana Hattotuwa wrote in The Sunday Leader: "As a Southerner and a Sinhala Buddhist, I am ashamed of what we have become, and how we silently countenance, nay justify, this significant post-war violence against fellow Tamil citizens. We were silent patriots during war, because we thought they were all terrorists. We are silent patriots after war, because we think they must still be terrorists. Menik Camp is a litmus test of our real commitment to peace. We do not need more support to strengthen it. We need resources and the political will urgently to dismantle it."
Canadian minister, Bev Oda, was encouraged by what she saw in the camps. "This is not an ideal situation… I would say that in partnership with international organisations, the government of Sri Lanka is making very good efforts to meet the basic needs."
The Tamil journalist, now resident in Canada, DB Jeyaraj has written: "I ask readers not to engage in ethnic-orientated recrimination about the IDP plight. Please see a humanitarian tragedy as human beings and not as ethnic beings."
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
}
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Q: Forwarding arguments with auto in C++20? In C++20, is the following function not ill-formed:
void f(auto&&... args) { /*...*/ }
and, if not ill-formed, is there a way to forward arguments in the body (without modifying the signature) in exactly the same fashion as the following function:
template<typename... Args>
void f(Args&&... args) {
g(std::forward<Args>(args)...);
}
If so, what should replace the use of Args as the template argument to std::forward?
A: You can do it with the help of decltype.
void f(auto&&... args) {
g(std::forward<decltype(args)>(args)...);
}
When being passed lvalues, decltype(args) yields type T&, std::forward would forward them as lvalues. When being passed rvalues, decltype(args) yields type T&&, std::forward would forward them as rvalues. Note that it's a little different with the template version, in which T is specified as template argument for std::forward; the effect (i.e. forwarding as rvalues) is the same for both cases.
|
{
"redpajama_set_name": "RedPajamaStackExchange"
}
| 9,127
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Q: email in asp.net
Possible Duplicate:
sending to an email with contact form asp.net
How to send email from ASP.NET page using C# as for forget password, password will be automatically emailed to the alternate id. I need how is it possible to send email from ASP.NET page using C#.
A: There is no shortage of articles and tutorials on this.
Side note: Being able to email the user their password implies that you're storing their password in plain text. Please, please don't do that. Passwords should be stored in an encrypted form. If the user forgets their password, email them a temporary link for them to reset their password.
A: You could use the SmtpClient class to send an email in a .NET application.
A: What you are suggesting sounds like a security risk. It is inadvisable to send a password through email, since this assumes your are storing the plain text password somewhere. Since you should only know the salted hash of the password, you probably want to make the user reset their password instead.
I suppose if you still have some reason to send an email you can check out an extensive tutorial here to start. Seriously though, You can compromise all of your users security if you are not hashing there passwords, and even more so if you are emailing them out.
A: The short answer is, as stated above (+1'd btw), to use the SmtpClient class.
However, it's dangerous to go emailing passwords around. As a rule of thumb:
*
*Don't send passwords in clear text
*Don't store passwords in clear text
When storing a password (if you don't have some framework that does all this for you)
*
*Create a salt
*Append the salt to the password
*Hash the resulting string
*Store the salt and resulting hash
*Discard the password
*When authenticating, add the salt to
the newly provided password, hash the
resulting string, and compare to your
stored hash
If a user has forgotten their password, send that user an email containing a one-time use, time-sensitive (expires in 1 hour?), unique-link to reset his/her password. It's also a good practice to require the user to manually provide his/her account name or other identifying criteria on the password-reset form.
|
{
"redpajama_set_name": "RedPajamaStackExchange"
}
| 4,934
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import React, { Component } from 'react';
import ListItem from '@material-ui/core/ListItem';
import ListItemAvatar from '@material-ui/core/ListItemAvatar';
import ListItemText from '@material-ui/core/ListItemText';
import ListItemSecondaryAction from '@material-ui/core/ListItemSecondaryAction';
import Menu from '@material-ui/core/Menu';
import MenuItem from '@material-ui/core/MenuItem';
import Avatar from '@material-ui/core/Avatar';
class SettingsCategoryListItem extends Component {
state = {
open: false
}
handleRequestClose = () => {
this.setState({ open: false });
}
handleClickListItem = event => {
this.setState({ open: true, anchorEl: event.currentTarget });
};
handleMenuItemClick = (event, index, value) => {
this.setState({ open: false });
this.props.onOptionsClick(event, index, value);
};
getValues() {
const { values, options } = this.props;
if (options && !values) {
return options.map(option => option.toLowerCase());
}
return values;
}
getSelectedItem() {
const { options, value } = this.props;
const values = this.getValues();
if (values) {
return options[values.indexOf(value)] || 'Unknown';
}
return value;
}
render() {
const { icon, text, value, action, options, onClick } = this.props;
const values = this.getValues();
return (
<div>
<ListItem
button={!!onClick || !!options}
onClick={onClick || this.handleClickListItem}
>
<ListItemAvatar>
<Avatar>
{icon}
</Avatar>
</ListItemAvatar>
<ListItemText
primary={text}
secondary={this.getSelectedItem()}
/>
{action &&
<ListItemSecondaryAction>
{action}
</ListItemSecondaryAction>}
</ListItem>
{options &&
<Menu
anchorEl={this.state.anchorEl}
open={this.state.open}
onRequestClose={this.handleRequestClose}
>
{options.map((option, index) =>
(<MenuItem
key={option}
selected={values[index] === value}
onClick={event => this.handleMenuItemClick(event, index, values[index] || option)}
>
{option}
</MenuItem>),
)}
</Menu>}
</div>
);
}
}
export default SettingsCategoryListItem;
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 7,658
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package org.innovateuk.ifs.horizon.repository;
import org.innovateuk.ifs.horizon.domain.ApplicationHorizonWorkProgramme;
import org.springframework.data.repository.CrudRepository;
import java.util.List;
public interface ApplicationHorizonWorkProgrammeRepository extends CrudRepository<ApplicationHorizonWorkProgramme, Long> {
List<ApplicationHorizonWorkProgramme> findByApplicationId(long applicationId);
void deleteAllByApplicationId(long application);
}
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 1,339
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\section{Introduction}
\subsection{Introduction of a pairing problem}
Various systems and applications require to combine multiple elements into an array of pairs, including information or communication technologies. The process of partitioning the set of $N$ elements into $N/2$ disjoint sets with exactly 2 elements each is called "Pairing" in this paper. An example is found in non-orthogonal multiple access (NOMA) in the latest wireless communication systems \cite{NOMA,NOMA2,NOMA3,NOMA4,NOMA5,NOMA6}. In NOMA, multiple terminals share a common frequency band simultaneously, which greatly improves the frequency utilization efficiency. The key process here is user pairing: the base station allocates higher and lower transmission power for communications to the terminals located far and near the base station, respectively. The terminals then conduct
successive interference cancellation (SIC) calculations to extract the original signal.
Therefore, determining the combination of user pairing that maximizes the total data rate of all users is critical. However, to the best of the authors' knowledge, optimal pairing algorithms which can work with a large number of users or terminals have not been proposed, even though various pairing algorithms have been proposed in previous studies\cite{NOMA7,NOMA8}. When the number of users $N=10$, the total number of possible pairings is 945. With $N=100$, the total number becomes in the order of $10^{78}$, which is a double factorial scaling as introduced in Sect. III. Therefore, an efficient pairing strategy is indispensable.
The importance of pairing is also observed in other situations and applications, such as college admission \cite{college}, economics \cite{economics} and donor exchange\cite{donor} among others\cite{air,team}.
In this paper, we demonstrate a fast pairing algorithm consisting of an efficient recognition of compatibilities among elements as well as an efficient determination of the pairing that yields high total compatibility. Here, compatibility quantifies the performance of a given pair and total compatibility is the summation of compatibilities of all pairs for a pairing, where we also call the given set of pairs among all elements a pairing. The optimal pairing should maximize the total compatibility of the system.
However, in general, obtaining the globally maximal total compatibility would require an exhaustive search of all pairings. Therefore, a heuristic algorithm is needed to obtain an approximately maximal total compatibility. This study highlights the following two aspects in discussing the pairing problem.
The first point is the time duration required to obtain information about the compatibilities of the system, which we call \textit{observation time} hereafter. In the absence of prior information about compatibilities, multiple observations are required to infer the compatibility between all elements.
Furthermore, we presuppose that we cannot directly measure individual compatibility among elements; only the total compatibility of a certain pairing is observable.
The fewer observations, the shorter the overall time required for pairing. More generally, the objective of an algorithm for compatibility observation is to guess as accurately as possible the real compatibilities in as few steps as possible, which is schematically illustrated in Fig. \ref{overview}(a). In this paper, we demonstrate that by exploiting the inherent structural properties of the pairing problem, which we call exchange rules, the number of observations needed for acquiring all compatibilities is significantly reduced.
The second point is the efficient derivation of the optimal pairing based on the information on compatibility; we call the required time for this process \textit{combining time} in this paper.
Even if complete information about the compatibilities is available, it may take a considerable amount of time to find the optimal pairing because of the huge number of possible pairings, as schematically represented in Fig. \ref{overview}(b). In this paper, we transform the derivation of optimal pairing into a traveling salesman problem (TSP). TSP is a widely known combinatorial optimization problem to find the shortest pathway in a graph $G(V, E)$ for a salesman while visiting all vertices $V$ via edges $E$. In addition to the compatibility information, we append two more layers to account for the requirement of the pairing problem; we call the re-formulated pairing problem the Pairing-TSP. Notably, the resulting graph is not fully connected. Once the situation is represented by a TSP problem, we can benefit from a variety of heuristic algorithms in the literature to efficiently solve the combinatorial explosion issue.
Furthermore, this paper proposes a novel heuristic algorithm that is different from conventional algorithms and suitable for pairing problems.
Regarding the second point discussed above, a related problem is maximum weight matching (MWM). In MWM, the goal is to select edges from a weighted graph $G(V, E)$ so that any two selected edges do not share common vertices while maximizing the sum of the weights of the selected edges. This is a combinatorial optimization problem. The pairing problem discussed in this study is a particular case of MWM where the graph is complete and the number of vertices is even. Several efficient algorithms have been proposed for solving MWM. For example, Gabow\cite{MWM} proposed an algorithm with a computation time of $|E||V|+|V|^2\log{|V|}$, Cygan \textit{et al}.\cite{RMWM} developed a randomized algorithms with a computation time of $L|V|^\omega$ for graphs with integer weights ($\omega<2.373$ is the exponent of $N \times N$ matrix multiplication\cite{omega} and $L$ is the maximum integer edge weight), while Duan \textit{et al}. \cite{AMWM} worked on an algorithm achieving an approximation ratio of $(1-\epsilon)M$, with computation time of $|E|\epsilon^{-1}\log{\epsilon^{-1}}$ for arbitrary weights and $|E|\epsilon^{-1}\log{N}$ for integer weights ($\epsilon$ is a positive arbitrary value and $M$ is the maximum value). Here, $|V|=N, |E|=N(N-1)/2$.
In our paper, we approach the problem from a different perspective and present new methods for the pairing problem. In particular, we formulate it as a TSP problem. Additionally, MWM literature does not consider any approach to obtain compatibility information to the best of our knowledge, which is the main aspect of the observation phase in our manuscript.
\begin{figure}[h]
\centering
\includegraphics[width=8cm]{overview.pdf}
\caption{Efficient pairing in unknown environments. There are two phases. (a) The first is the \textit{observation phase} to grasp the compatibility among elements. (b) The second is the \textit{combining phase} to find a pairing yielding high compatibility.}
\label{overview}
\end{figure}
\subsection{Overview of this paper}
With a view to the efficient realization of optimal pairing, the present study demonstrates an efficient observation strategy to measure the compatibilities among the entities on the basis of limited information. Furthermore, based on the insight that the optimal pairing problem is transformed into a TSP problem in a three-layer graph structure, we demonstrate heuristic algorithms to find a high-performance pairing that can be applied even when the number of elements is large.
This paper is organized as follows. First, we formulate the pairing problem in Sect. II. Second, for the observation phase, in Sect. III, we show the minimum number of observations needed to infer the complete set of compatibilities and propose an observation algorithm with a computational complexity of the square of the number of elements. Sect. IV examines the combining phase, where we introduce how to convert the pairing problem to a TSP and propose an algorithm for solving the resulting Pairing-TSP. In Sect. V, we numerically evaluate the performances of the combining phase algorithms. Sect. VI concludes the paper.
\section{Objective function and constraints}
Here we assume that the number of elements is an even natural integer $N$, while the index of each element is a natural number between 1 and $N$. We define the set of all users $\mathbb{U}$ as follows;
\begin{equation*}
\mathbb{U}=\{i | 1\leq i \leq N\}.
\end{equation*}
Then, we define the set of all possible pairs for $\mathbb{U}$ as $\mathbb{D}$:
\begin{equation*}
\mathbb{D}=\{\{i,j\}| 1\leq i < j \leq N\}\\
\end{equation*}
The compatibility between the elements $i$ and $j$ is denoted by $C_{i,j}$. The reward function $f$ of a pair is given by its compatibility.
\begin{equation*}
f(\{i,j\})=C_{i,j}.\\
\end{equation*}
We define pairing $S$ as follows;
\begin{eqnarray*}
&&\forall d \in S, d\in \mathbb{D}\\
&&\bigcup S = \mathbb{U}\\
&&A,B\in S, A\neq B\Rightarrow A\cap B = \emptyset
\end{eqnarray*}
Then, $C_{\rm{sum}}({S})$, which is called "the total compatibility of pairing $S$" hereafter is defined as follows;
\begin{equation*}
C_{\rm{sum}}(S)=\sum_{d\in S}f(d).
\end{equation*}
And we define the set of all pairings $\mathbb{S}=\{S\}$. The pairing problem discussed in this study is formulated as follows;
\begin{eqnarray*}
&&\textrm{max:}\,C_{\rm{sum}}(S)\\
&&\textrm{subject\,to:}\,S \in \mathbb{S}.
\end{eqnarray*}
\section{Observation Phase}
\subsection{Exchange Rule}
As discussed in the Introduction, we assume that each $C_{i,j}$ cannot be directly observed, but $C_{\rm{sum}}(S)$ is observable. By observing such $C_{\rm{sum}}(S)$ values with different pairings $S$, we can recognize all $C_{i,j}$ values.
The number of all available pairings is $(N-1)!!$, meaning that the number of necessary observations is at most $(N-1)!!$. Here, the number denoted by $n!!$ is the double factorial of an odd number $n$ defined by $n(n-2)(n-4) \cdots 3 \cdot 1$. Therefore, the total number of possible pairings dramatically increases when $N$ becomes large, indicating the importance of efficiently recognizing compatibilities with as few observations as possible.
In the following, we prove that the total compatibility $C_{\rm{sum}}(S)$ of all possible pairings can be calculated based on a limited number of observations, leading to a significant reduction of the required observations.
To improve the readability of the following discussion, we define the {\it exchange rule} as:
\begin{equation}
[i,j,k,l]\equiv (C_{i,k}+C_{j,l})-(C_{i,j}+C_{k,l}).
\end{equation}
This exchange rule describes the amount of change in the total compatibility between a pairing $S$ containing $\{i, j\}$ and $\{k, l\}$ and a pairing $S$ containing $\{i, k\}$ and $\{j, l\}$.
Therefore, each exchange rule can be calculated from two observations. For example, to find $[1,2,3,4]$ in $N=8$, we can observe $C_{1,2}+C_{3,4}+C_{5,6}+C_{7,8}$ and $C_{1,3}+C_{2,4}+C_{5,6}+C_{7,8}$ and calculate the difference.
For a large $N$, there are many sets of pairings corresponding to any given exchange rule, such that finding one exchange rule will give the amount of change between multiple sets simultaneously. For example, $[1,2,3,4]$ mentioned above is also the difference between $C_{1,2}+C_{3,4}+C_{5,7}+C_{6,8}$ and $C_{1,3}+C_{2,4}+C_{5,7}+C_{6,8}$.
\subsection{Observation Algorithm}
In this part we propose a simple algorithm with observation time in $\mathcal{O}(N^2)$. As an example, we will use the $C_{i,j}$ setting shown in Table \ref{first_setting} to illustrate the proposed observation algorithm.
As discussed earlier, we assume that each compatibility ($C_{i,j}$) cannot be observed directly. It will prove beneficial to not calculate the original set of compatabilities $C_{i,j}$ directly, but to use a derived set of compatiabilities denoted by $\tilde{C}_{i,j}$ and $\tilde{C}_{\rm{sum}}(S)$ with the two following properties: for a given pairing, $C_{\rm{sum}}(S)=\tilde{C}_{\rm{sum}}(S)$, and some $\tilde{C}_{i,j}$ are always equal to 0. If such properties hold, we could calculate any total compatibility via $\tilde{C}_{i,j}$ with a reduced number of observations, instead of via $C_{i,j}$.
Indeed, we found that such $\tilde{C}_{i,j}$ exists and can be defined as the following;
\begin{equation}
\tilde{C}_{i,j}=
\begin{cases}
0,\, \text{if $i=1$ or $j=1$,}\\
C_{i,j}-C_{1,i}-C_{1,j}+\frac{2}{N-2}\sum_{k=2}^{N}C_{1,k},\,\text{otherwise.}\nonumber
\end{cases}
\end{equation}
In this definition, we found that the number of non-zero $\tilde{C}_{i,j}(i>j)$ elements is $(N-1)(N-2)/2$, which is smaller than the number of $C_{i,j}(i>j)$ elements. That is, this definition reduces the number of non-zero elements.
When we denote a pairing as $S$, from the definition of $\tilde{C}_{i,j}$ we can write;
\begin{eqnarray*}
&&\tilde{C}_{\rm{sum}}(S)\\
&=&\sum_{\{i,j\}\in S}\tilde{C}_{i,j}\\
&=&\tilde{C}_{1,l}+\sum_{\{i,j\}\in S\setminus \{1,l\}}\tilde{C}_{i,j}\\
&=&\sum_{\{i,j\}\in S\setminus \{1,l\}}\tilde{C}_{i,j}\\
&=&\sum_{\{i,j\}\in S\setminus \{1,l\}}\left(C_{i,j}-C_{1,i}-C_{1,j}+\frac{2}{N-2}\sum_{k=2}^{N}C_{1,k}\right)\\
&=&\sum_{\{i,j\}\in S\setminus \{1,l\}}C_{i,j}-\sum_{2\leq k \leq N, k\neq l} C_{1,k}+\sum_{k=2}^{N}C_{1,k}\\
&=&\sum_{\{i,j\}\in S\setminus \{1,l\}}C_{i,j}+C_{1,l}\\
&=&\sum_{\{i,j\}\in S}C_{i,j}\\
&=&C_{\rm{sum}}(S).
\end{eqnarray*}
The above equations prove that $C_{\rm{sum}}(S)$ and $\tilde{C}_{\rm{sum}}(S)$ are equal for any pairing $S$.\\
\indent As a consequence, any exchange rule can be written using either $C_{i,j}$ or $\tilde{C}_{i,j}$ while providing the same value. Thanks to this property and $\tilde{C}_{1,j}=0$ for any $j$, the computation can be greatly simplified. For example, if we compute the value of the exchange rule $[1,i,j,k]$ for $\tilde{C}_{i,j}$, we can transform the equation as follows;
\begin{eqnarray}
[1,i,j,k]&=&(\tilde{C}_{1,j}+\tilde{C}_{i,k})-(\tilde{C}_{1,i}+\tilde{C}_{j,k})\nonumber\\
&=&\tilde{C}_{i,k}-\tilde{C}_{j,k}.\nonumber
\end{eqnarray}
That is, we can obtain the difference between the two elements ($\tilde{C}_{i,k}$ and $\tilde{C}_{j,k}$) from a single exchange rule.\\
\indent In the proposed observation algorithm, the following values (Eqs. (2), (3), and (4)) are obtained from observations;
\begin{equation}
[1,j,3,2]\,(4\leq j \leq N),
\end{equation}
\begin{equation}
[1,i,2,j]\,(4\leq j \leq N, 3\leq i\leq j-1),
\end{equation}
\begin{equation}
\sum_{i=1}^{N/2}C_{2i-1,2i}.
\end{equation}
By definition, following equations hold;
\begin{eqnarray}
[1,j,3,2]&=&(\tilde{C}_{1,3}+\tilde{C}_{2,j})-(\tilde{C}_{1,j}+\tilde{C}_{2,3}) \nonumber \\
&=&\tilde{C}_{2,j}-\tilde{C}_{2,3},
\end{eqnarray}
\begin{eqnarray}
[1,i,2,j]&=&(\tilde{C}_{1,2}+\tilde{C}_{i,j})-(\tilde{C}_{1,i}+\tilde{C}_{2,j}) \nonumber \\
&=&\tilde{C}_{i,j}-\tilde{C}_{2,j}.
\end{eqnarray}
\begin{table}[h]
\centering
\caption{The original $C_{i,j}$ setting}
\includegraphics[width=5cm]{first_setting.pdf}
\label{first_setting}
\end{table}
\begin{table}[h]
\caption{(a) The change in the horizontal direction $i=2$ (solid arrow), and the change in the vertical direction $i$ (dotted arrow). (b) $\tilde{C}_{i,j}$ calculated by observation.}
\centering
\includegraphics[width=8cm]{second_setting.pdf}
\label{second_setting}
\end{table}
Eq. (5) represents the changes along the horizontal direction $i = 2$, and Eq. (6) represents the changes in the vertical directions $i$ (in Table \ref{second_setting}(a)).
Let $C_{2,3}$ be given by $x$, $\tilde{C}_{i,j}$ is represented using Eqs. (5), and (6).
Then, by using Eq. (4), $x$ is determined, and subsequently all $\tilde{C}_{i,j}$ values are determined as summarized in Table \ref{second_setting}(b).
Number of observations needed for Eqs. (2), (3), (4) are $2(N-3), (N-2)(N-3)$, and 1, respectively, because each exchange rule value can be calculated by only two observations. It follows that the observation number by the proposed algorithm is $\mathcal{O}(N^2)$.
\subsection{Minimum Number of Observations}
We proved the following theorem;
\\
\begin{theorem}
The minimum number of observations required to know the entire set of compatibilities $\tilde{C}$ is $(N-1)(N-2)/2$ when the number of elements is $N$ ($N\geq 4$).
\end{theorem}
This theorem is based on the idea that if there are $x$ total linearly independent pairings, then the required number of observations is $x$. This algorithm is proved by the following explanation. First, by design, the set of $\tilde{C}_{i,j}$ preserves the total compatibility $C_{\rm{sum}}(S)$ obtained from $C_{i,j}$ for all pairings, and the number of independent $\tilde{C}_{i,j}(\neq0)$ is $(N-1)(N-2)/2$. Therefore, the minimum number of observations is at most $(N-1)(N-2)/2$. Second, the values indicated in Eqs. (2), (3), and (4) represent $(N-1)(N-2)/2$ linearly independent observables, such that the minimum number of observations is at least $(N-1)(N-2)/2$. For these reasons, the minimum number of observations required to know the complete set of compatibilities is $(N-1)(N-2)/2$ when the number of elements is $N$ ($N\geq 4$).
\section{Combining Algorithm}
Based on $\tilde{C}_{i,j}$ obtained by the observation algorithm, we can compute the total compatibility $C_{\rm{sum}}(S)$ of all possible pairings $S$.
However, as discussed in the Introduction, the number of pairings scales up very quickly as a function of $N$.
In this section we re-formulate the pairing problem into a Traveling Salesman Problem (TSP) to realize an efficient combining algorithm.
\subsection{Traveling Salesman Problem}
TSP concerns finding the route that minimizes the total cost of traveling to a given set of locations, with the cost between each two locations being given. The salesman starts his or her tour from a starting node and visits all other nodes exactly once before returning to the starting node. The complexity of the TSP stems from the large number of possible routes which scales up very quickly with the number of nodes, such that a brute-force solving considering all possible routes is too costly in general.
\subsection{Solving Pairing Problem as a TSP: Pairing-TSP}
\begin{figure}[h]
\centering
\includegraphics[width=8cm]{NOMATSP.pdf}
\caption{The path of the traveling salesman problem in the three-layer graph structure (Pairing-TSP) corresponds to the pairing problem. An example case with the number of elements ($N$) being 6 is illustrated. The first and second layers have $N$ nodes, and the third layer has $N/2$ nodes. All nodes in the first layer are connected with each other. All nodes in the second layer are connected to a different node in the first layer and all nodes in the third layer. By constructing such a three-layer graph structure, the solution to the corresponding TSP problem provides the pairing yielding high compatibility.}
\label{NOMATSP}
\end{figure}
In this study, we transform the problem of heuristically finding the pairing with a large total compatibility into a TSP with a three-layer network structure, which is schematically shown in Fig. \ref{NOMATSP}.
We call the re-formulated problem \textit{Pairing-TSP}.
In this Pairing-TSP, we arrange the first and the second layers to have $N$ nodes, while the third layer is configured with $N/2$ nodes.
Let the $N$ nodes of the first and the second layers be indexed with natural numbers ranging from 1 to $N$.
In the first layer, the cost of the route between the nodes $i$ and $j$ are given by $-C_{i,j}$.
There is a one-to-one correspondence between the nodes in the first layer and the nodes in the second layer; in other words, there is a unique link between each node $i$ in the first layer and the corresponding node $i$ in the second layer. As the other links between the first and second layers are not permitted, the Pairing-TSP results in a non-complete graph.
Finally, the third layer consists of $N/2$ nodes indexed between $1$ and $N/2$, $N$ being even. Here, the nodes in the second layer and the nodes in the third layer are fully connected. That is, the node $i$ in the second layer is connected with nodes $j$ ($j=1, \cdots, N/2$) in the third layer. Note that the cost of all routes except intra-first-layer links is set to zero. Nevertheless, remember that the salesman must visit all nodes in the second and the third layer too, not just the first layer.
Now we demonstrate that the solution of such Pairing-TSP corresponds to the solution of pairing by noticing the following two inherent constraints.
\begin{figure}[h]
\centering
\includegraphics[width=8cm]{NOMATSPex_all.pdf}
\caption{A solution to the TSP problem in the three-layer graph structure corresponds to a pairing. This can be explained via forbidden routes illustrated in the following two examples. (a) A route that goes from the third layer to the third layer by passing through the second layer cannot be included in the TSP solution. (b) A route that visits three nodes of the first layer consecutively cannot be included in the TSP solution.}
\label{NOMATSPex_all}
\end{figure}
First, consider a route that goes from a node in the third layer to a node in the second layer and then goes back to the third layer, as shown by the red lines in Fig. \ref{NOMATSPex_all}(a). Such a route fragment cannot be included in the solution of TSP. Each node in the third layer can be connected to at most 2 nodes in the second layer. Therefore, if different nodes in the third layer are connected to the same node in the second layer, there will be at least one node in the second layer that cannot be connected to the third layer. With these reasons, a route fragment such as the red lines in Fig. \ref{NOMATSPex_all}(a) is forbidden.
Secondly, the case of the thick red lines in Fig. \ref{NOMATSPex_all}(b) of three consecutive connections in the first layer cannot be included in the solution of TSP. The reason is if such connections exist, then there has to be the configuration of Fig. \ref{NOMATSPex_all}(a) somewhere. Therefore, by construction, the salesman never visits three consecutive nodes in the first layer; instead, after visiting two nodes in the first layer, the salesman always moves to the second layer.
Finally, in the solution of Pairing-TSP, the salesman will visit two nodes in the first layer consecutively via visiting the second and the third layer. When the connection between the nodes $i$ and $j$ in the first layer is included in the solution of Pairing-TSP, we consider that elements of $i$ and $j$ are paired.
Since the summation of the cost along the route of a solution of Pairing-TSP and the total compatibility of the corresponding pairing are opposite in sign, minimizing the cost of Pairing-TSP is equivalent to maximizing the total compatibility $C_{\rm{sum}}(S)$ by appropriate pairing construction. For those reasons, we can guarantee the correspondence between the original pairing problem and Pairing-TSP.
\subsection{Pairing-Nearest Neighbor Method (PNN)}
In solving Pairing-TSP, we propose two algorithms on the basis of existing algorithms for the general TSP.
\begin{figure}[h]
\begin{algorithm}[H]
\caption{Pairing-Nearest Neighbor Method (PNN)}
\label{alg1}
\begin{algorithmic}[1]
\REQUIRE Array indexes start at 1
\STATE \textbf{input}: $C$ ($C$ is the $N \times N$ compatibility matrix, whose element $C[i][j]$ stores compatibility $C_{i,j}$)
\STATE $q$ ($q$ stores the nodes the salesman visits, and $q[x]$ denotes the node which salesman visits $x$th)
\STATE $s \leftarrow$ start point in the first layer
\STATE $q[1] \leftarrow s$
\STATE $q[\frac{5}{2}N] \leftarrow$ adjacent node of $s$ in the second layer
\STATE $t \leftarrow 1$
\WHILE{$t \leq \frac{5}{2}N-2$}
\IF{$t \mod 5 = 1$}
\STATE $s \leftarrow$ nearest adjacent node $j\notin q$ of $s$ in the first layer (If there are multiple nearest adjacent nodes, the salesman chooses $s$ with the same probability in them)
\ELSIF{$t \mod 5 = 2$}
\STATE $s \leftarrow$ adjacent node of $s$ in the second layer
\ELSIF{$t \mod 5 = 3$}
\STATE $s \leftarrow$ adjacent node $j\notin q$ of $s$ in the third layer chosen with the same probabilities
\ELSIF{$t \mod 5 = 4$}
\STATE $s \leftarrow$ adjacent node $j\notin q$ of $s$ in the second layer chosen with the same probabilities
\ELSIF{$t \mod 5 = 0$}
\STATE $s \leftarrow$ adjacent node of $s$ in the first layer
\ENDIF
\STATE $t \leftarrow t+1$
\STATE $q[t] \leftarrow s$
\ENDWHILE
\RETURN $q$
\end{algorithmic}
\end{algorithm}
\end{figure}
The first one is what we call the pairing-nearest neighbor method, which is referred to as PNN in short hereafter. PNN is a modification of the nearest neighbor method, which is an algorithm to visit the nearest unvisited node from the current node~\cite{NN}. As discussed in Sect. IV.B., a solution of Pairing-TSP does not allow three or more consecutive node visits in the first layer, the salesman needs to go to the second, the third, and the second layer before coming back to the first layer again. If there are multiple least-cost routes to the next node, they are assumed to be chosen randomly with equal probability. This algorithm can obtain an estimated solution with a computational complexity of $\mathcal{O}(N^2)$.
A pseudo-code of PNN is summarized in Algorithm 1. Herein, $q$ denotes the route of the salesman, and $t$ represents the time step of the salesman. Note that there are in total $5N/2$ vertices through which the salesman travels. Lines 4 and 5 specify the start and the end node, respectively. The time step $t$ suggests where the salesman is in the three-layer structure as well as his/her directions to the downward or upward of the layers. There are five kinds of possible movement of the salesman; (1) Move from the 1st layer to the 1st layer. (2) Move from the 1st layer to the 2nd layer. (3) Move from the 2nd layer to the 3rd layer. (4) Move from the 3rd layer to the 2nd layer. (5) Move from the 2nd layer to the 1st layer. In all cases, the destination is chosen only from the unvisited nodes. In this manner, duplicate visits to any node are avoided.
\subsection{Pairing 2-opt Method (P2-opt)}
The second algorithm is what we call the pairing 2-opt method referred to as P2-opt hereafter, which is a modification of the 2-opt method \cite{2opt} to update the initial solution derived by PNN.
\begin{figure}[h]
\centering
\includegraphics[width=7.5cm]{p2opt_image.pdf}
\caption{Example of P2-opt reconnection when $N=6$. The red numbers overlaid in the connections indicate the cost of connections. At each check, two pairs (or two connections) are considered while all other pairings (or connections) remain the same. Here we consider the pairing combination of $\{\{1,2\}\{3,4\}\{5,6\}\}$. We first examine reconnections concerning $\{1,2\}$ and $\{3,4\}$. In this situation, we check the three alternative pairings or connections $\{\{1,2\},\{3,4\}\}$, $\{\{1,3\},\{2,4\}\}$, and $\{\{1,4\},\{2,3\}\}$. Since $\{\{1,2\},\{3,4\}\}$ is the smallest cost route, the reconnections are not applied. Second, we examine reconnections concerning $\{1,2\}$ and $\{5,6\}$. In this case, we check three alternatives $\{\{1,2\},\{5,6\}\}$, $\{\{1,5\},\{2,6\}\}$, and $\{\{1,6\},\{2,5\}\}$. The reconnection is not adapted again because $\{\{1,2\},\{5,6\}\}$ is the smallest cost route. Third, reconnections about $\{3,4\}$ and $\{5,6\}$ are investigated. The three alternatives are $\{\{3,4\},\{5,6\}\}$, $\{\{3,5\},\{4,6\}\}$, and $\{\{3,6\},\{4,5\}\}$. Here the reconnection to $\{\{3,5\},\{4,6\}\}$ is applied since it yields the minimum cost route. In this case, the number of checks (NOC) is three.}
\label{p2opt_image}
\end{figure}
\begin{figure}[h]
\begin{algorithm}[H]
\caption{Pairing 2-opt Method (P2-opt)}
\label{alg2}
\begin{algorithmic}[1]
\REQUIRE Array indexes start at 1
\STATE \textbf{input}: $S$ ($S$ stores which nodes are paired; $S[2k-1]$ and $S[2k]$ are paired for each positive integer $k \leq N$)
\STATE \textbf{input}: $C$ ($C$ is the $N \times N$ compatibility matrix, whose element $C[i][j]$ stores compatibility $C_{i,j}$)
\STATE \textbf{input}: $l$ (exchange limit)
\STATE $t \leftarrow 0$
\WHILE{$t \leq l $}
\FOR{$i=1$ to $\frac{N}{2}-1$}
\FOR{$j=i+1$ to $\frac{N}{2}$}
\STATE $a\leftarrow C[S[2i-1]][S[2i]]+C[S[2j-1]][S[2j]]$
\STATE $b\leftarrow C[S[2i-1]][S[2j]]+C[S[2j-1]][S[2i]]$
\STATE $c\leftarrow C[S[2i-1]][S[2j-1]]+C[S[2j]][S[2i]]$
\IF{$b=\rm{max}(a,b,c)$}
\STATE $x\leftarrow S[2i]$
\STATE $S[2i]\leftarrow S[2j]$
\STATE $S[2j]\leftarrow x$
\STATE $t \leftarrow t+1$
\STATE break all for-loops
\ELSIF{$c=\rm{max}(a,b,c)$}
\STATE $x\leftarrow S[2i]$
\STATE $S[2i]\leftarrow S[2j-1]$
\STATE $S[2j-1]\leftarrow x$
\STATE $t \leftarrow t+1$
\STATE break all for-loops
\ENDIF
\IF{$i=\frac{N}{2}-1$ and $j=\frac{N}{2}$}
\RETURN $S$
\ENDIF
\ENDFOR
\ENDFOR
\ENDWHILE
\RETURN $S$
\end{algorithmic}
\end{algorithm}
\end{figure}
The original 2-opt method compares the original and one alternative route and updates the current solution by reconnecting some of the nodes so that the total cost decreases \cite{2opt}. Conversely, in Pairing-TSP, there are three ($\{\{i,j\},\{k,l\}\},\{\{i,k\},\{j,l\}\},\{\{i,l\},\{k,j\}\}$) possible combinations for 2 given pairs of 4 nodes. Therefore, the proposed P2-opt compares the costs of three routes. If the compatibility is not improved by recombining any of the pairs, the algorithm terminates. Fig. \ref{p2opt_image} illustrates the reconnection procedure of the proposed P2-opt with an example of pairing when $N = 6$. A pseudo-code of P2-opt is shown in Algorithm 2. The three alternatives are represented by lines 8 to 10. In P2-opt, the rewiring is considered only on the first layer among these three alternatives. This rewiring never introduces duplicate visits. Note that the connections involving the 2nd and 3rd layers have zero cost for the salesman. Therefore, any rewired route in the first layer, which is a pairing $S$, provides a certain route for the salesman in the three-layer graph structure.
\section{Simulation}
\subsection{Problem Setting}
We constructed the compatibility set $C_{i,j}$ by generating uniform random numbers between 0 and 10000. A total of 100 different $C_{i,j}$ sets were generated for each setting, and the average over different settings was examined. Note that each set of compatibilities $C_{i,j}$ is reconstructed here following the observation algorithm based on the construction of $\tilde{C}_{i,j}$ described in Sect. III. We want to compare the performance of PNN versus random pairing, evaluate how much P2-opt can improve a solution found by PNN through additional rewiring steps, and how the performance gain depends on the number of rewirings as introduced in Sect. IV.
\subsection{Performance Indicator for the Derived Pairing}
Let $C_{\rm{sum}}(S)$ be the total compatibility that corresponds to the pairing $S$ derived through the combining algorithm. The larger $C_{\rm{sum}}(S)$ and the closer it is to the global maximum, the better it is.
To quantify the performance of the combining algorithm in terms of how far $C_{\rm{sum}}(S)$ is from the maximum, we define $P$ as a performance indicator with the following formula:
\begin{equation}
P(S)=\frac{C_{\rm{sum}}(S)-\frac{N}{2}C_{\rm{min}}}{\frac{N}{2}C_{\rm{max}}-\frac{N}{2}C_{\rm{min}}}
\label{eq:definition_p}
\end{equation}
where $N$ is the number of nodes in the first layer, $C_{\rm{max}}$ is the upper limit value of $C_{i,j}$, and $C_{\rm{min}}$ is the lower limit value of $C_{i,j}$. In this simulation, $C_{\rm{max}}=10000$ and $C_{\rm{min}}=0$. $P$ ranges from 0 to 1 and represents the relative distance of the current pairing from the theoretical minimum or maximum possible values for $C_{\rm{sum}}(S)$, 0 being for the absolute worst and 1 for the absolute best pairing, respectively.
\subsection{Performance of PNN and P2-opt}
We conducted a performance comparison between (a) No-Strategy, (b) PNN, (c) PNN and P2-opt as a function of the number of elements $N$ from 100 to 1000, as summarized in Fig. \ref{Performance}. Herein the exchange limit $l$ was fixed to be 600. "No-Strategy" indicates random selection of the route in the first layer. "PNN and P2-opt" means that we get an initial solution by PNN and update solution by P2-opt.
The performance of No-Strategy is roughly 0.5 regardless of $N$, as expected by the definition of $P$ in Eq. \eqref{eq:definition_p}. The pairing of the proposed strategies, PNN and P2-opt, reaches a performance index greater than 0.9. Furthermore, we can confirm that P2-opt processing enhanced the solution of PNN. Furthermore, the standard deviation tends to be smaller for (c) PNN and P2-opt, (b) PNN, and (a) No-strategy, in that order. Regarding the relationship between the number of elements $N$ and performance, the performance of both (b) PNN and (c) PNN and P2-opt improves as the number of elements increases. The standard deviation tends to decrease for all three methods as the number of elements increases.
\begin{figure}[h]
\centering
\includegraphics[width=8cm]{performance_rev.pdf}
\caption{Performance comparison by the index $P$ among (a) No-Strategy, (b) PNN, and (c) PNN and P2-opt methods as a function of the number of elements $N$. We can observe that PNN greatly improves the performance, and P2-opt provides additional enhancements.}
\label{Performance}
\end{figure}
\subsection{Effect of P2-opt}
As described in Sect. IV.D., P2-opt aims at reducing the total cost of a TSP route by locally exchanging connections. To examine the effect of such an exchange, here we set an upper limit to the number of exchanges in P2-opt, which we define by the P2-opt exchange limit denoted by $l$.
Fig. \ref{p_parameters} shows the evolution of $P$ as a function of $l$ for different element numbers $N$ from 100 to 1000 in intervals of 100, each point representing the average among 100 different compatibility sets. This result highlights two trends: first, $P$ saturates beyond a certain limit $l$; second, as $N$ increases, increasing $l$ improves the performance until a new saturation level. Indeed, when $N=100$, the performance reached its maximum value with $l=100$, whereas $P$ monotonically increases until $l=600$ when $N=1000$. These observations demonstrate that a sufficient exchange limit exists depending on the number of first-layer nodes of the given problem.
\begin{figure}[h]
\centering
\includegraphics[width=8.4cm]{p_parameters.pdf}
\caption{Performance evaluation of the proposed P2-opt algorithm, i.e. rewiring of connections in the first layer of the Pairing-TSP. The performance ($P$) increases as a function of exchange limit ($l$) in the P2-opt algorithm. The colors indicate the different numbers of elements ranging from 100 to 1000.}
\label{p_parameters}
\end{figure}
\subsection{Number of checks of P2-opt}
In the P2-opt algorithm, two pairs of the current pairing are compared at every turn, and the nodes are reconnected accordingly if the rewiring improves the total compatibility (Fig. \ref{p2opt_image}). Here, the order in which the pairs are checked is round-robin, meaning that each time the pairs are reconnected, they are rechecked from the beginning. Therefore, there is a possibility of double-checking, meaning that certain reconnections are re-calculated. That is to say, there is a room for further accelerating the algorithm in reducing the number of checks.
In the meantime, the computation cost of the P2-opt algorithm represents how often compatible pairs are compared, which we call the \textit{number of checks} (NOC). The circular marks and their associated error bars in Fig. \ref{count} represent the mean and the standard deviation of the NOC, respectively, when the number of elements $N$ ranges from 100 to 2000 in intervals of 100. For each $N$, 100 different compatibility sets were examined. The exchange limit $l$ was given by 600 regardless of $N$. However, when P2-opt achieves the local maximum pairing and the algorithm terminates, then the total number of exchanges is actually less than $l$. \\
\begin{figure}[h]
\centering
\includegraphics[width=8.4cm]{count_rev.pdf}
\caption{Evaluation of the computational cost in P2-opt. A total number of checks (NOC), which quantifies how often compatible pairs are compared, is evaluated as a function of the number of elements ($N$). 100 different compatibility sets were examined for each $N$. The graph shows the average and standard deviation.}
\label{count}
\end{figure}
\begin{figure}[h]
\centering
\includegraphics[width=8cm]{p_parameters_count_rev.pdf}
\caption{Analysis of the underlying mechanism of P2-opt. The number of actually conducted checks per exchange loop is evaluated as the progress of the algorithm. Here, the exchange limit ($l$) is set as 600. For each $N$, the graph shows the average value over 100 different compatibility sets.}
\label{p_parameters_count}
\end{figure}
\indent From Fig. \ref{count}, we can observe several trends. Clearly, the NOC increases as the number of elements increases. However, the slope flattens when the number of elements is greater than approximately 1200. Furthermore, the standard deviation gets larger when the number of elements goes beyond 1200.\\
\indent To examine the inherent mechanisms behind such tendencies, we analyzed the time evolution of the NOC per exchange loop. The curves in Fig. \ref{p_parameters_count} represent the evolution over exchange loops of the NOC regarding compatibility settings whose number of elements ranges from 100 to 1200 in intervals of 100, averaged over 100 different compatibility sets for each setting. The P2-opt exchange limit $l$ was fixed at 600. From Fig. \ref{p_parameters_count}, we observe that the average NOC initially increases as number of exchange loops elapses. Initially, any rewiring may improve the total compatibility; hence the NOC per exchange loop is small. As the number of exchanges increases, rewiring may not necessarily improve the total compatibility because the calculated route may already be in a good solution. Therefore, the NOC until actual rewiring happens increases. Beyond a certain point, the calculated route has a relatively low cost; therefore, the NOC grows until P2-opt has converged, but becomes 0 once P2-opt has converged. In Fig. \ref{p_parameters_count}, 100 trials were simulated for each $N$ and averaged over, such that the NOC gradually decreased after some point because the number of converged trials steadily increased.
Indeed, in the case of $N = 500$, the NOC becomes almost zero when exchange loop is 300.
Similarly, in the case of $N=1000$, the NOC becomes very small when the total number of exchanges is 600. In the case of $N=1200$, however, the NOC is large, approximately $8 \times 10^{4}$ when the total number of exchanges is 600. That is to say, the search for a better solution may be insufficient. Such an observation is consistent with the change of the slope in Fig. \ref{count} induced at $N = 1200$. In other words, when $N$ is small, the variance is small because a sufficiently low-cost route solution has been obtained, whereas when $N$ is greater than 1000, the $l$ is insufficient, and so the variance becomes large, and the slope of the graph against $N$ is slow.
\subsection{Comparison of computational costs}
In this section, we discuss the computational complexity of each method. First, the total number of possible pairings is $(N-1)!!$. Therefore, the computational complexity by enumeration is $(N-1)!!$, and the number of observations required is also $(N-1)!!$. On the other hand, the number of observations needed for the proposed observation algorithm is $\mathcal{O}(N^2)$, and the computational complexity of the proposed combining algorithm is $\mathcal{O}(N^2)$ for PNN and at most $\mathcal{O}(lN^2)$ for P2-opt.
\section{Conclusion}
In this study, we propose an algorithm for efficiently and heuristically determining a pairing that provides large total compatibility among entities, which lies in a process at the heart of some of the latest information and communications technologies such as non-orthogonal multiple access (NOMA) in wireless networks, matching problems in economics, among others. We identify two main phases to optimize the pairing: observation and combination. One of the main hypotheses of this study is that one can only observe the total compatibility for any given one pairing. In the meantime, the number of all possible pairing pairings grows as $(N-1)!!$, where $N$ is the number of entities. Therefore, efficient strategies to measure the compatibility among elements are essential. We demonstrate that the minimum number of observations to know the complete set of all compatibilities is smaller than the total number of combinations of this set. This finding does not depend on the combining phase. Also, by exploiting the exchange relationships inherent in the problem, we propose an efficient algorithm scaling as $\mathcal{O}(N^2)$ to observe all compatibilities among elements.
In the combining phase, we demonstrate that the derivation of the best pairing is equivalent to solving a traveling salesman problem (TSP) in a three-layer graph structure, which we name Pairing-TSP. We propose two heuristic approaches to efficiently resolve Pairing-TSP: the pairing-nearest neighbor (PNN) and the pairing 2-opt (P2-opt) methods, both of which exploit unique characters inherent in the architecture of Pairing-TSP. Numerical simulations confirm the principles of the algorithms.
In summing up, the present study first proposed an algorithm to estimate the compatibility among elements only via the total compatibility with minimal observations. Then, through the insight that the pairing problem is equivalent to solving a special class of TSPs, we demonstrate heuristic methods to accomplish pairing efficiently. We consider that the contents herein contribute to achieving more efficient pairing than conventional methods, especially for the case of a large number of users in NOMA systems, as well as other pairing applications.
We expect our findings to be applicable also to social systems such as social networking services and education.
\section{Effect of Initial Node in PNN}
In the PNN, traveling starts from a node in the first layer. Here we examined the effect of the starting node on the resultant pairing performance. More specifically, we analyzed the standard deviation of the performance indicator $P$ defined in Sect. V.B. while changing the starting node through all $N$ nodes in the first layer. In the simulations, $N$ was given from 100 to 1000 with a 100 interval, while 100 types of compatibilities were prepared for each given $N$. We calculated standard deviations for $N$ initial nodes for each of the 100 compatibility sets. Then, we averaged all 100 standard deviations for each $N$.
\begin{figure}[h]
\centering
\includegraphics[width=8.4cm]{initial_dependency.pdf}
\caption{The standard deviation of the performance for each method as a function of $N$ when the initial point is changed. $N$ is set from 100 to 1000 and we prepare 100 types of compatibilities for each $N$.}
\label{initial_dependency}
\end{figure}
The red, green, and blue circular marks in Fig. \ref{initial_dependency} show the standard deviation of the performance indicator $P$ as a function of the number of elements $N$ when the pairing attribution was conducted with completely random strategy (or No-Strategy), PNN, and PNN and P2-opt, respectively. We can observe that the standard deviation decreases as the number of elements increases for all methods. In particular, the dependence of the performance on the initial node of PNN and P2-opt is smaller than that of No-Strategy and PNN.
Since the maximum standard deviation is smaller than $0.015$ when $N=100$ in the case of PNN and PNN and P2-opt, we can conclude that the initial node selection in PNN has a negligible effect on the resultant pairing quality.
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\section{Introduction}
Recent subarcsecond Hubble Space Telescope (HST) \& Chandra
observations of the inner Crab
Nebula have yielded evidence of dynamic
activity in close proximity to the pulsar
with various shocks and `wisps' evolving
in terms of position, morphology and luminosity over timescales
of days to weeks, implying local velocities of order 0.7c
(Hester et al. 1996; Weisskopf et al. 2000).
Observations in the radio using the Very Large Array (VLA) show
evidence for similar time-varying morphological
changes within the nebula but at scales of order 1" (Bietenholz et al. 2001).
Such multiwavelength
observations challenge our understanding of these \\
pulsar/plerion/supernova remnant (SNR) associations.
Considering the Crab Nebula, the estimated current
rate of particle injection derived via nebular
X-ray luminosity differs markedly from the
historical average rate determined from the radio
emitting particles (Arons, 1998; Atoyan, 1999).
The nebula's emission may be modelled as
a function of the particle injection spectrum
related to the spin down energy of the pulsar,
yet the exact processes which link the thermalising
pulsar wind to the observed synchrotron emission
are not clear (Reynolds \& Chevalier, 1984), neither
is our understanding of the particle acceleration
processes within the pulsar wind in the first place
(Gallant \& Arons, 1994; Lou, 1993).
Another `young' pulsar/SNR/X-ray plerion association that
provides a working laboratory with which to test our
understanding of such interactions following on from the
Crab is that of the young radio, X-ray
and $\gamma$-ray pulsar PSR B1951+32 associated
with the CTB 80 SNR.
Early radio and
X-ray observations noted a central plerion/spectrally flat
region to the SW of the SNR, within which PSR B1951+32 was
detected, located within a concentration of nebular
emission towards one edge of the flat spectral region
(e.g. Strom et al. 1984). The association
is valid based on this clear interaction between
pulsar and remnant, with similar pulsar canonical
age (107 kyr) and dynamically derived SNR age
(9.6 $\times$ 10$^{4}$d$_{2.5kpc}$).
Strom (1987) performed a detailed survey
of this central flat region with the VLA at various
frequencies and baselines, all yielding maps with
resolutions $\sim$ 1", and
recent surveys using the WSRT at 6 cm
(Strom \& Stappers, 2000) have
indicated considerable complexity within the spectrally flat
core. Strom was the first to comment on the `hot spot',
located to the SW of the pulsar, suggesting that it
was likely a consequence of the pulsar wind interacting
with the remnant and creating a `wisp' like structure
similar to that observed in close proximity to the
Crab pulsar.
In contrast to the young Crab, it appears that the older
PSR B1951+32 has caught up with its expanding remnant,
resulting in the observed complex multiwavelength emission.
As such, it represents an extremely interesting stage
in the life cycle of a pulsar, when the neutron star
penetrates and interacts with the remnant/swept up ISM region.
Precisely what radiation gets emitted, and where, will define the
constraints to any subsequent modelling efforts.
Moon et al. (2004) have recently reported an optical/X-ray
analysis of the system using archival HST and Chandra data,
in addition to new ground based optical and IR observations.
The Chandra data clearly shows a cometary pulsar wind nebula
which appears to be confined by a bow shock produced by the
high velocity motion of the pulsar, which corresponds to Strom's
previously defined radio `hot spot'. Optical/IR photometry have also indicated the presence
of a synchrotron 'knot', as originally reported by Hester (2000)
embedded within the cometary head observed by Chandra.
Previous
attempts to isolate putative optical counterparts to PSR B1951+32
have been concentrated around this structure, which is believed
to be closely related to the pulsar - thus far two candidates
have been proposed which are within the VLA error ellipse (Butler
et al. 2002). Moon et al. (2004), based on their analysis, argue that
only one is likely, and even then it is generally agreed that
the `point source' involved may well be a background star or
non-uniformity in the knot itself.
The key to resolving many of the outstanding aspects of the
the system's multiwavelength geometry is a rigorous astrometric
reference frame.
In this short letter we report a 16 hour L band observation
with the MERLIN radio interferometer.
Both objects were resolved at a resolution
of 150 mas, and despite the relatively low signal to noise of the extended
emission associated with the shock front, we have been able
to re-examine existing multiwavelength data using the MERLIN
data as the astrometric reference.
\section{Observations \& Data Analysis}
On January 19th 2002, a 16 hour L-band MERLIN\footnote{MERLIN, a UK National
Facility operated by the University of Manchester at Jodrell Bank
Observatory on behalf of PPARC}
observation (without the Lovell Telescope) was performed
on the central spectrally `flat' region centred on PSR B1951+32.
The phase calibrator used was 1951+355, whose position
is tied into the ICRF, with a positional accuracy
of $<$ 0.5 mas.
The correlator was configured to operate at 1658 MHz
with a total bandwidth of 16 MHz on 32 channels.
The data was processed and analysed within the AIPS
evironment.
Initial maps
showed contamination from a bright off-axis radio source.
This was identified as MG3 J195211+3248 ($\alpha ~ \sim$ 19:52:15.7811,
$\delta ~ \sim$ 32:49:36.299), a symmetric
double radio galaxy, with a measured flux of $\sim$ 80 mJy.
Its contribution was subsequently CLEANed out.
\subsection{Imaging the Pulsar and Environs}
The pulsar is clearly evident in figure 1, and its position as obtained
during this observation with MERLIN is determined to be
$\alpha$ $\sim$ 19:52:58.204 ($\pm$0.002$\arcsec$), $\delta$ $\sim$ +32:52:40.531 ($\pm$0.025$\arcsec$) (2452294 JD).
PSR B1951+32 was detected as a point source in this observation,
and there was no evidence for scatter-broadening.
There is also a significant ($\sim$ 4.5 $\sigma$) detection of
a structure within the anticipated `hot spot' some 3" SW
of the pulsar, of approximate
dimensions 2.5" $\times$ 0.75", with the pulsar's motion approximately
bisecting the observed emission.
Despite being relatively weak in
terms of signal to noise, we note that this `bead-like' arc of emission
corresponds with lower-resolution data obtained with the VLA\footnote{The National Radio
Astronomy Observatory is a facility of the National Science Foundation operated under
cooperative agreement by Associated Universities, Inc.}
We estimate that an excess flux density
of $\sim$ 2.84 mJy along the narrow (1-2 beams in width) linear
feature on top of the larger ($\sim$ 1") structure.
This is similar to our determination of $\sim$ 2.59 mJy of
excess flux relative to the shell from the complementary VLA data.
Whilst the errors of these measurements is likely to be larger
than their difference, this suggests that the shock structure is
not over resolved in the MERLIN observations, and that the
actual emission region is spatially limited.
Thus, whilst we are confident that MERLIN has resolved fine-structure
within the `hot spot' observed previously, although given the low signal to
noise ratio, one must be cautious to avoid over-analysing the MERLIN data.
\subsection{The Optical Synchrotron Knot}
The optical knot, first identified by Hester (2000) in the original
HST F547M observations, can now be placed in its correct astrometric
context given this MERLIN dataset. To do this, we must astrometrically calibrate the
HST image to a significantly better degree than what is
provided via the GSC. This is done by referencing the HST
data to the 2MASS Point Source Catalog. The limiting astrometric accuracy of
the latter is $\sim$ 100-150 mas (1 sigma) relative to the Hipparcos/Tycho
coordinate system, which realizes the ICRS for optical data.
The image was astrometrically calibrated to the ICRS via the
following fitting process. 40 stars common to both the WFPC2
and the 2MASS Point Source Catalog were identified, the former
extracted as pixel coordinates using DAOPHOT and were then corrected for
the known geometric distortions. These
pixel coordinates are each internally accurate to $<<$100 mas,
since the stars have a PSF FWHM of $\sim$125 mas.
The initial matching was based on the pipeline World Coordinate
System (WCS) of the HST image. The first fit showed that this
WCS was approx. 500 mas systematically in error. A second matching and
fitting iteration was performed, 2nd-order CCMAP fits used a 2-sigma rejection
cutoff to remove input stars of lower astrometric fidelity.
The final iteration resulted in 9 of the 40 input stars being
rejected and 31 stars surviving to define the fit for a new WCS
solution, with a final fit rms of 105 mas in RA and 101 mas in Dec.
This refined WCS was then written into the header of the HST
image.
Comparison with the MERLIN astrometry is thus performed purely
by reference to this WCS. Therefore, we stress that the
radio-optical comparison is in no way dependent on any dubious
procedure such as trying to tie together one or more features
which might appear to be in common to the HST and MERLIN images.
Their respective calibrations to the ICRS were performed via
completely independent and robust means, and are anchored
within the WCS schema.
In figure 2 we overlay the 2MASS
corrected HST image on our L band MERLIN map, using the
WCS header information in both cases. Hester's knot is
apparent in the field centre. Morphologically, the knot resembles a teardrop-like
structure, of dimensions 0.8" $\times$ 1.3". We also
show the position of the radio pulsar and
the shock front. Astrometric integration of the
MERLIN data yields an overall accuracy in registering the optical to the
radio frame of $\sim$ 105 mas.
Within the combined astrometric errors as defined by
the WCS solutions, this alignment makes a powerful case
for the pulsar and Hester's nebula to be associated.
The pulsar is located at the lower south-west extent of the optical
knot region. Knowing the approximate direction of the pulsar's motion, this
suggests that the knot's observed optical emission is a consequence of shocked
pulsar wind material and/or shocked nebular material during the transit
of PSR B1951+32.
Ram pressure balance between
relativistic pulsar winds and the ambient medium may be represented
as $\rho_{a} \nu^{2}_{\rm psr} \sim \dot{E}/4 \pi \Omega c r^{2}_{s}$,
with $\rho_{a}$ the ambient medium density, $\dot{E}$ the pulsar's
spin-down energy, the $4 \pi \Omega$ term the solid angle of the
pulsar wind flow and $r_{s}$ the stagnation radius - $c$ being the
speed of light. Typically in these treatments, the ram balance
implies equipartition of particle and magnetic field pressure at the
shock front, and this allows one to express the local magnetic field
as $B_{eq}(\mu G) \sim 50(n_{H}/{\rm cm^{3}})^{1/2} (v_{psr}/100 {\rm km s^{-1}}))$,
or equivalently $B_{eq}(\mu G) \sim 200 \Omega^{-1/2} (\dot{E}/10^{36}
{\rm erg s^{-1})}^{1/2}(r_{s}/0.01 {\rm pc}^{-1})$
with $n_{H}$ the hydrogen number density.
The recent VLA observations
of Migliazzo et al. (2002) have determined $v_{psr}$ = 240 km s$^{-1}$.
Chandra data imply $r_{s}$ = 0.03 pc (or 3" at 2 kpc)
and $\dot{E}$ = 3.7 $\times$ 10$^{36}$ ergs s$^{-1}$.
Assuming $\Omega$ $<$ 1, Moon et al. (2004) argue that $B_{eq}$ $>$ 100 $\mu$G.
These authors indicate that this result correlates with earlier Hester \& Kulkarni (1989)
results of a pre-shock $n_{H}$ of 50 cm$^{-3}$ and $B_{eq}$ $\sim$ 600 $\mu$G.
Moon et al. (2004) then argue that if one assumes $B$ $>$ 100 $\mu$G in the X-ray
nebula, then the synchrotron cooling time of these X-ray photons is
$t_{\rm sync} \sim 40 E^{-1/2}_{\rm keV} (B/100 \mu G)^{-3/2}$ or $<$ 40 yrs.
Given the nebula's spatial extent along the pulsar's axis of motion
of $\sim$ 20", and PSR B1951+32's proper motion of
$\sim$ 25 mas/yr, this points towards the nebulae being constantly replenished
by the pulsar wind, certainly in X-rays.
Optically, the knot's length
of $\approx$ 1.3" and the pulsar's proper motion suggest
a lifetime of $\sim$ 50 years.
Assuming the knot's emission is a consequence of `cooling' synchrotron
particles, one can use this crossing time as the cooling time, and the energy of these
optical photons to constrain the previous equation to yield a value for
$B_{eq}$, which comes to $\sim$ 600 $\mu$G,
not inconsistent with the previous studies.
However, this analysis suggests that the
observed optical emission is entirely explicable as synchrotron emission
from the pulsar wind particles left behind after passage of the pulsar -
without the requirement of particle replenishment by the same pulsar
wind. Moon et al. 2004 used particle replenishment
to justify their analysis of the Chandra data.
For replenishment to be valid (Kaspi et al. 2001), the
freshly shocked wind particles must be continuously fed `backwards'
with a velocity that is high enough given their cooling times.
Given the estimated cooling times and dimensions of the optical knot,
an X-ray knot associated with it would have a particle cooling time
of $\sim$ 0.3 to 9 years, with corresponding particle flow velocities
of $\sim$ 185 - 260 to km s$^{-1}$ (optical) and 1.5 $\times$ 10$^{3}$ to 5 $\times$
10$^{4}$ km s$^{-1}$ (X-ray).
An alternative interpretation is that the observed optical
synchrotron knot is a consequence of quasi-stationary
shock structures in the pulsar wind outflow behind the
pulsar (Lou 1998). At
various spin latitudes, reverse fast MHD shocks can appear
quasistationary when their propagation speeds relative to
the pulsar wind are comparable to the relativistic outflow.
The most likely source of disturbances which explain why
these wisps and knots appear where they are observed are
slightly inhomogeneous wind streams
emanating from the rapidly spinning pulsar. A slower wind
stream will eventually be caught up by a faster wind stream
to trigger forward and reverse fast MHD shock waves in the
distant pulsar wind.
Enhanced synchrotron emission is expected from these knots
due to the pitch-angle scattering of MHD shock-energised
relativistic particles. There are various mechanisms available
to energise particles to high energies from plasma turbulence,
from both the forward and reverse fast relativistic MHD shocks
themselves as well as magnetic reconnection in the pulsar wind.
Collectively, they strongly suggest the likelihood of a dynamic
component to this optical knot.
Considering that PSR B1951+32 possesses
an estimated transverse velocity of $\sim$ 240 km s$^{-1}$, a counter knot may be
`smothered' by the bow shock formed by the pulsar's passage
towards the SW of the remnant. At the bow shock
itself injected particles from the pulsar wind are advected behind the pulsar
while some of the particles diffuse across the bow shock and into the shell
of the SNR thereby rejuvenating the shells emission (van der Swaluw et al. 2002,
Shull et. al 1989), which we see to the south-west of this remnant.
Therefore the MHD wind streams may be advected away before they have an
opportunity to interact, and therefore do not form a knot in the scenario
proposed by Lou (1998).
Taking into account recent simulations (Buccaniti 2002, Gaensler et al. 2004),
the knot seems to lie in the subsonic region that exists behind the pulsar and it
is surrounded by the supersonic region created by the back flowing material from
the bow-shock. At the interface between these two regions there may exist shearing
forces which may explain the asymmetry of the optical knot which is evident in
figure 2.
\subsection{Implications for Proposed Optical Counterparts to PSR B1951+32}
There are strong grounds for the detection of an optical counterpart
to PSR B1951+32, based on empirically derived relationships between other known
optical pulsars (Shearer \& Golden, 2001), and also on the fact the
pulsar is a known X-ray and putative $\gamma$-ray pulsar. A previous
analysis of this same HST data by Butler et al. (2002) suggested two
potential optical counterparts which were coincident with the best
reported VLA astrometry at that time - one a clear point source to the
SW of the knot, the other embedded within the knot towards its upper
NW edge. Moon et al. (2004) state that the former counterpart does not
satisfy more rigorous astrometry, and propose that the latter is
the only remaining candidate, albeit with the reasonable caveat that
this latter source may be a background star or a transient localised
emission region within the knot - a point also made by Butler et al. (2002).
Our MERLIN astrometry rules out
any association between it and the pulsar. However, it is reasonable
to consider the possibility that the proposed counterpart is (was?) a non-uniformity within
the synchrotron nebula. This would in turn support the idea that the
optical structure we observe is a direct consequence of the pulsar
wind outflow, and again argues the case for the knot to be a
dynamically evolving structure.
\section{Conclusions}
We report the first high resolution radio observation of the inner
PSR B1951+32 plerion using MERLIN at L band.We have resolved both the pulsar
and apparent fine structure within the `hot spot' identified at lower
resolution and believed to be a consequence of the pulsar wind interacting
with swept up ISM/SNR material.
We have used our MERLIN data to register the astrometrically corrected
archival HST observations of the field. Combined, these data indicate
that the previously identified optical `knot' of synchrotron emission
extends behind the pulsar, along a line that bisects the shock front emission.
The dimensions of the optical knot and the VLA determined
proper motion argue for a synchrotron cooling time that is consistent with particle
replenishment from the pulsar wind.
The formation of the knot can also be attributed
to the mechanisms outlined in Lou (1998) with the interaction of MHD wind streams,
whilst the knot's luminosity can be maintained by particle injection from the pulsar wind.
Variations in the knot's luminosity and morphology are anticipated
as successive quasi-periodic disturbances emanate
from the pulsar. This being so it argues
for a fundamentally dynamical nature to the observed synchrotron knot
which may only be really discernible using future HST or ground-based
adaptive optics observations.
Finally, the MERLIN data definitively rules out the putative optical counterparts to
PSR B1951+32 suggested by Butler et al. (2002) and Moon et al. (2004),
and provides an unambiguous error box with which to assist future
high time resolution searches.
\section*{Acknowledgments}
John Cunniffe is thanked for his counsel in certain aspects of the manuscript.
The authors gratefully acknowledge the support of Enterprise Ireland under
grant award SC/2001/0322. SB acknowledges support of an EU Marie Curie
Fellowship whilst at the Jodrell Bank Training Site for Radio
Astronomy which is funded by the EC. The authors are very happy to
acknowledge support of PPARC in the UK and the NRAO in the US
for access to MERLIN and the VLA respectively.
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{{Taxobox
| name = Fungiidae
| fossil_range =
| image = Fungia fungites, Layang-Layang.jpg
| image_caption = Gombakorall (Fungia fungites)
| regnum = Állatok (Animalia)
| phylum = Csalánozók (Cnidaria)
| classis = Virágállatok (Anthozoa)
| subclassis = Hatosztatú virágállatok (Hexacorallia)
| ordo = Kőkorallok (Scleractinia)
| ordo_authority = Bourne, 1900
| familia = Fungiidae
| familia_authority = Dana, 1846
| synonyms = *| wikispecies = Fungiidae
| wikicommonscat = Fungiidae
}}
A Fungiidae a virágállatok (Anthozoa) osztályába és a kőkorallok (Scleractinia) rendjébe tartozó család.
A WoRMS adatai szerint 53 elfogadott faj tartozik ebbe a korallcsaládba.
Rendszerezés
A családba az alábbi 15 nem tartozik:Cantharellus Hoeksema & Best, 1984 - 3 fajCtenactis Verrill, 1864 - 3 fajCycloseris Milne Edwards & Haime, 1849 - 14 fajDanafungia Wells, 1966 - 2 fajFungia Lamarck, 1801 - 1 faj; típusnemHalomitra Dana, 1846 - 2 fajHeliofungia Wells, 1966 - 2 fajHerpolitha Eschscholtz, 1825 - 1 fajLithophyllon Rehberg, 1892 - 6 fajLobactis Verrill, 1864 - 1 fajPleuractis Verrill, 1864 - 7 fajPodabacia Milne Edwards & Haime, 1849 - 5 fajPolyphyllia Blainville, 1830 - 2 fajSandalolitha Quelch, 1884 - 3 fajZoopilus Dana, 1846 - 1 faj
Az alábbi taxon, csak nomen dubium, azaz "kétséges név" szinten szerepel:Diafungia Duncan, 1884
Források
Fungiidae Dana, 1846 WoRMS
Dana, J.D. 1846. United States Exploring Expedition during the years 1838-1842. Zoophytes 7: 1-740. Lea and Blanchard, Philadelphia., available online at http://www.sil.si.edu/digitalcollections/usexex/navigation/ScientificText/USExEx19_08select.cfm
2009: Attached mushroom corals (Scleractinia: Fungiidae) in sediment-stressed reef conditions at Singapore, including a new species and a new record. The Raffles Bulletin of Zoology'' Suppl. 22: 81-90. Full article: .
Csalánozócsaládok
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Volleyball England is the national governing body for indoor volleyball, sitting volleyball and beach volleyball in England. It selects the national teams and coordinates several national competitions, including the National Volleyball League, National Cup, Student Cup and Sitting Volleyball competitions. For beach volleyball it partners with the UK Beach Tour (UKBT) to deliver tournaments across the UK and a national ranking system for players. Volleyball England also coordinates national junior development squads via the Volleyball England Talent Pathway, and organises the training and assessment of referees and coaches. It is a member body of the FIVB and has its offices at SportPark, Loughborough University, Loughborough, Leicestershire. Volleyball England works closely with, and is supported by, the Volleyball England Foundation, which is a charity providing financial support to volleyball development projects. It also partners with the governing bodies for volleyball from the other UK Home Nations to form the British Volleyball Federation.
Volleyball England is the trading name for the English Volleyball Association Limited, which was formed in 1972.
National Volleyball Centre
With £3.5million of funding from both the UK Government and the UK National Lottery in the run-up to London 2012, in 2007 Volleyball England signed an agreement to accommodate the National Volleyball Centre within the Kettering Conference Centre. Made possible with a grant from Kettering Borough Council, Northamptonshire Enterprise Ltd, and the East Midlands Development Agency, the four-year agreement came into place on the opening of the centre in November 2010.
The facility houses both National Volleyball Centre, as well as home of Volleyball England's national men's and women's volleyball squads, and several national competitions.
National Volleyball League
NVL organisation
The National Volleyball League (NVL) is an indoor volleyball league, split into men's and women's competitions, each with 4 levels. In season 2018–19, the top three levels are the same for men and women: National Super League, Division 1 and Division 2 (North & South). Men's Division 3 is divided into North, Central and South. Women's Division 3 is divided into North, Central, South-East and South-West.
The latest information on National Volleyball League participants and ranking can be found in the National Volleyball League Tables on the Volleyball England website The information below is a snapshot showing the numbers of teams in each division for the 2018–19 season, though this varies from year to year:
NVL History
In the past, men's volleyball in England has been dominated by London Malory, led by Canadian coach Jefferson Williams. In recent years, IBB Polonia London have been the most successful team winning 3 of the last 4 editions.
Women's volleyball in England has also been dominated by London Malory in the past, again led by Jefferson Williams. However, in 2008, the University of London Union (ULU) women's team defeated London Malory in the Cup quarter-finals and left them out of the Final for the first time in 13 years. The student side, which competes in the London Premier League and is led by coach Mark Kontopoulos, then defeated Wessex-Team Bath in the semi-finals and London Polonia in the Final to become the first ever non-national league team to win the National Cup. In recent years, women's volleyball has been dominated by northern sides with Team Northumbria winning the title five times in a row from 2012 to 2016, followed by Team Durham's two consecutive titles in 2017 and 2018. In 2019, Tendring VC Ladies won their first National league championship to bring the trophy to Essex.
References
External links
Volleyball England
UK Beach Tour
Volleyball England Foundation
England
Organisations based in Leicestershire
Loughborough Sport
Volleyball
England
Volleyball organizations
Volleyball
|
{
"redpajama_set_name": "RedPajamaWikipedia"
}
| 7,068
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Le théâtre d'art dramatique régional de Donetsk, en ukrainien est un théâtre d'Ukraine situé à Marioupol, ville sur la mer d'Azov dans l'oblast de Donetsk. Ancien hôtel, ancien théâtre actuellement maison de la jeunesse.
Architecture
Construit en un style russe en brique sur trois étages avec des fenêtres ouvragées. Hôtel Continental il est aussi connu comme Maison Tomaso. Il a abrité une imprimerie des frères Goldrin et une centrale électrique en 1898 pour l'usage de l'hôtel par M. Tomaso. Une extension de 1910 permet l'ouverture du théâtre Continental et d'un restaurant au premier étage. Il est alors le centre de la vie culturelle de la ville.
Activités
En 1920 il est nationalisé et devient le quartier général de la flotte de la mer Noire (NAMORSY). En 1929 il est cédé comme Palais du Travail et des Ouvriers.
Théâtre
Il est ensuite centre théâtral de l'usine Azovstal, dirigé par Igor Nalchaldzi.
Maison de la jeunesse
Vide depuis plusieurs années, le Palais de la jeunesse ouvre en 2010.
Liens externes
Références
Salle de théâtre en Ukraine
Patrimoine classé d'Ukraine
Architecture à Marioupol
|
{
"redpajama_set_name": "RedPajamaWikipedia"
}
| 7,851
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<?php
namespace Respect\Validation\Exceptions\SubdivisionCode;
use Respect\Validation\Exceptions\SubdivisionCodeException;
/**
* Exception class for Austria subdivision code.
*
* ISO 3166-1 alpha-2: AT
*/
class AtSubdivisionCodeException extends SubdivisionCodeException
{
public static $defaultTemplates = [
self::MODE_DEFAULT => [
self::STANDARD => '{{name}} must be a subdivision code of Austria',
],
self::MODE_NEGATIVE => [
self::STANDARD => '{{name}} must not be a subdivision code of Austria',
],
];
}
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 2,997
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DM: Let's talk about Shallowww, your online clothing store! Where do you find your design inspirations?
SB: We are actually three people working at Shallowww. I just designed the first sweater, the Internet one which turned fast into a best seller. Then we decided to create a brand out of it. Our inspiration comes from the Internet and its semiology. Our aim is to translate the 2.0 aesthetic and the digital imagination that surround us to textile production. We ironically play with the cold essence of technology making warm sweaters and apparel.
Shallowww Clothing only distributes online and diffuses its products like memes that is pretty consistent. The collection is limited and printed on demand, respecting ethical and local production standards. We only produce in Spain and Italy.
SB: I read that article and I loved it! We are expanding our symbols research to other alphabets and codes, we are fascinated by our generation trend to take religious symbols and contemporary logos and mix them all together, just caring about how they look and not about what they mean. The funny thing is that the Arabic word on the long sleeve shirt means Logotype but we didn't tell it on the website and we got a lot of emails from people afraid of what it says. It was a nice experiment.
DM: Why do you think this Arabic typography is so appealing right now amongst the Tumblr teenagers? Why did you decide to use it?
SB: Well I think its maybe because of artists like M.I.A, Fatima Al Qadiri or Slavs and Tatars, I was actually preparing a Vj Set for Fatima Al Qadiri when I began to make stuff with Arabics symbols. Trends grow and raise trough images feed nowadays, just think about how social network have changed in the last few years and how Instagram or Tumblr work. Now we just look at images, we get on touch with them trough fast feeds and we get fed up fast with visual inputs. We just look at the signifier but we have no time go to trough the signified, we recognize something as cool because we have seen it before, its a sort of digital memory game. We could define this trends as visual isotopies, basically forms that our brain recognize as redundant and begin to like, I think this is the reason why Tumblr has influenced our imagination that hard.
DM: How do you feel about tumblr trends? Do you think they affect the mainstream fashion world? How do you think the Internet and the digital are going to change fashion?
SB: They already changed fashion world. Jeremy Scott was just the first one who copied what internet artists have been doing during the last years five years and there are loads of brands that like Shallowww are inspired by this baroque 2.0 aestethic. Also art and fashion distribution have changed a lot during the last years, you can make an artwork and diffuse it like a meme all over the world and the same with a sweater or a t-shirt.
DM: Your also create very surrealistic installations. Can you tell us a bit about Caravanart?
SB: Caravanart was an amazing experience. We visited three different cities and had the chance to interact with three completely different landscapes and crowds. Talking about images feeds thay had big influence on my work. I remember that I had a sort of visual obsession for mylar sun shades when I was in Zaragoza, I made this internet reasearch http://advancedimagesearch.tumblr.com/page/12 and then I got one to in a shop. I worked mixing digital video and objects I found in the derelict places I visited.
DM: Your work seems to be quite focused on creating digital textures. We can see it your installations but also in your videos such as One-minute suit, or in the artwork you produced for your own fanzine called "awkward surface". What is the inspiration for these textures? What kind of software do you use? How do you create them?
SB: I create them with Photoshop mostly, I generally take pictures or video frames and then Photoshop them to get digital/analog textures. Nature and surfaces are my main inspiration. I use water, stones and minerals.
DM: There is an 80's/90's kind of feel in your work. Does a particular art movement in time inspire you? Memphis Milano maybe?
SB: Definitely. I'm a such a big fan of Sottsass, Mendini and Du Pasquier. A couple of years ago I made a tribute to their work for the Reggio Emilio Museum "Spazio Gerra". Memphis has a strong influence on my work when it comes to textures and patterns.
DM: Barriobajero is the project you're doing with your boyfriend, Ricardo Juarez. What is this project about?
SB: Barriobajero is an art platform and experimental creative collective established in early 2010. We're dedicated to curating, art direction, design, events and consulting services like fashion stylism. We are currently based in Stockholm, working as resident curators at Revenue S:T 79, a new studio/gallery space/club/ we recently opened in the city center. Our other ongoing projects include Shallowww and the self-publishing event series Stacks.
DM: Artists we should know about?
DM: What are the 3 favourite books/ fanzines/ magazines that you possess?
|
{
"redpajama_set_name": "RedPajamaC4"
}
| 3,160
|
Open up to a world of ideas for classic and contemporary windows, doors and skylights. Bring brightness, efficiency, and personality to your home, while learning your options regarding window placement, structural concerns, weatherproofing, and working with professionals. Shed some light on your planning and remodeling projects with Ideas For Great Windows & Doors.
|
{
"redpajama_set_name": "RedPajamaC4"
}
| 4,115
|
Part of HuffPost Politics. ©2021 Verizon Media. All rights reserved.
Filibuster Deal Averts 'Nuclear Option' As Senators Reach Tentative Agreement
By Michael McAuliff and Sam Stein
WASHINGTON -- The Senate began stepping back from the "nuclear" brink Tuesday as leaders were said to be close to cutting a deal to approve seven of President Barack Obama's long-blocked nominees.
The deal, which was negotiated primarily between Senate Majority Leader Harry Reid (D-Nev.) and Sen. John McCain (R-Ariz.), was described by a Senate Democratic aide as one in which the Republican Party will allow votes to confirm the seven executive nominees, provided that Obama replaces his two nominees to the National Labor Relations Board with two other names. Those nominees would have a commitment "in writing" from GOP leadership to get a vote, the Democratic aide said.
As an indication that the deal will hold, the Senate voted 71 to 29 Tuesday morning, with 17 Republicans in support, to end the filibuster on Richard Cordray's nomination to lead the Consumer Financial Protection Bureau.
Getting replacements for the NLRB nominees is, more or less, a face-saving measure for the GOP leadership. Republicans had argued that the nominees, Sharon Block and Richard Griffin, were irrevocably tainted because Obama elevated them as recess appointments, which were ruled unconstitutional by the U.S. Court of Appeals for the D.C. Circuit. Democrats countered that such taint would have been wiped away had Block and Griffin received a clean vote by the Senate.
When asked about such claims, a top Republican Senate aide remained unsatisfied, arguing that to consider their nominations at this point would be to "codify" the president's ability to make "recess appointments illegally."
Having the president submit two new names was a way around the impasse. The Senate must confirm the new NLRB nominees by Aug. 27 or the body would be made effectively inoperable, as it would lack a quorum to conduct business. Since the Senate is due to recess at the start of next month, the deadline is even tighter.
Under the proposed deal between the two parties, which the Democratic aide cautioned was "not final yet" as of 11:00 a.m., Reid would also retain the right to consider rules reform in the future. There are "no conditions or restrictions on future action whatsoever," the aide said. Another aide confirmed that position.
The outlines of the deal started to emerge Monday night after senators emerged from a remarkable three and a half hour private session in the Old Senate Chamber, with many Republicans telling reporters the last issue for them was the NLRB nominees.
But by Tuesday morning, a Democratic source said that Sen. John McCain (R-Ariz.) had gathered enough GOP support to push ahead, and Reid confirmed on the Senate floor during his opening remarks that the two sides were close. He especially singled out McCain for praise.
"I hope that everyone learned the lesson last night that it sure helps to sit down and talk to each other," Reid said, allowing that there were still a couple of details to nail down.
Indeed, a Democratic aide said Reid had stopped talking to Minority Leader Mitch McConnell (R-Ky.) in favor of the Arizonan, who was also one of the bipartisan senators who forestalled a GOP push to exercise the nuclear option in 2005.
Although the GOP position represents something of a capitulation, Reid was careful not to gloat.
"This is not a time to flex muscles," Reid said before hailing McCain's assistance.
Response from White House press secretary Jay Carney was also measured, as Carney declined to weigh in on the tentative Senate deal, despite it representing a huge win for the administration.
"Any agreement that there might be between senators has yet to be formally announced, so we will not get ahead of such an announcement if and when it comes," Carney said during his daily briefing.
White House chief of staff Denis McDonough met with Reid's staff on Monday as negotiations were underway, but Carney insisted that McDonough was not involved in any Senate deal-making and was only there to help answer questions. He gave a nod to McCain to helping usher through a final agreement.
McCain deserves "significant credit" for his work to bring both sides together, Carney said.
After the procedural vote to invoke cloture on Cordray -- essentially breaking the filibuster of his nomination -- the Senate is expected to move to debate passage of his nomination. Similar steps will follow on the other six nominees, with each cloture vote along the way being an opportunity to test the strength of the new deal.
Jennifer Bendery contributed reporting.
This article has been updated to include the vote totals on cloture for Cordray's nomination and comments from White House press secretary Jay Carney.
Do you have information you want to share with HuffPost? Here's how.
Great Political Names
Michael McAuliff
Senior Congressional Reporter, HuffPost
Sam Stein
Senior Politics Editor, HuffPost
Barack Obama Richard Cordray Mitch McConnell Politics U.S. Congress
Bruce Poliquin
Republican Rep. Bruce Poliquin (R-Maine) speaks at a news conference, Wednesday, Nov. 5, 2014, at the Oakland House of Pizza in Oakland, Maine. (AP Photo/Robert F. Bukaty)
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
}
| 4,619
|
Q: How do I check what requests SOAPpy did? I need to know what requests SOAPpy did. Does anyone know how to do this?
A: SOAPpy has a configuration object that you can use to set different properties. To see the requests you can use dumpSOAPOut or dumpSOAPIn or even a general debug option.
For a SOAP proxy you set it like this:
proxy = SOAPProxy(...)
proxy.config.dumpSOAPOut = 1
proxy.config.dumpSOAPIn = 1
proxy.config.debug = 1
.. for a WSDL proxy you can use it like:
client = WSDL.Proxy(...)
client.soapproxy.config.dumpSOAPOut = 1
client.soapproxy.config.dumpSOAPIn = 1
client.soapproxy.config.debug = 1
See here some extra options you can set on the config: http://soappy.ooz.ie/p/config.html
|
{
"redpajama_set_name": "RedPajamaStackExchange"
}
| 8,951
|
Home » EVANGELIST - Ad Mortem Festinamus (2020) MCD
EVANGELIST - Ad Mortem Festinamus (2020) MCD
Brand: Nine
Product Code: MCD
In times of doom, EVANGELIST returns with songs of death and destruction. The band was first started in the spring of 2008, with inspiration mainly coming from the obscure epic metal scene in the US, epic doom metal pioneers and metal classics in general. Major lyrical inspiration came from the twisted minds of R.E. Howard, H.P. Lovecraft, history, religion and spirituality of the ages gone by.
Their debut album, IN PARTIBUS INFIDELIUM, was recorded between 2009 and 2011 and released in June 2011 by PsycheDOOMelic Records. Their sophomore record, DOOMINICANES, was recorded between 2012 and 2013 and released in May 2013 by Doomentia Records. In October 2014, a collaboration with CAPILLA ARDIENTE troops was revealed in the form of the infamous CAPILLA ARDIENTE/EVANGELIST 12" split on which EVANGELIST delivered their own version of MAYHEM'S classic "Freezing Moon". In December 2018, after a short hiatus, their third album, DEUS VULT, was released by Nine Records.
Almost one year later, recording sessions began on two new songs, as well as a rendition of one of MANILLA ROAD'S finest tracks, MYSTIFICATION. These three songs will be paired with another three tracks recorded during the DEUS VULT recording sessions, and will ultimately be released as an EP, entitled AD MORTEM FESTINAMUS. It will be released on both CD and vinyl by Nine Records in December 2020.
1. Perceval
2. Anubis (On the Onyx Throne of Death)
3. The Puritan
4. Pale Lady of Mercy
5. Towards the End
6. Mystification (Manilla Road cover)
Label Nine
MPN NINE013
Box Jewel case
EVANGELIST - Doominicanes (2013) CD
EVANGELIST - In Partibus Infidelium (2011) CD
EVANGELIST - Deus Vult (2018) CD
EVANGELIST - Ad Mortem Festinamus (2020) T-Shirt
EVANGELIST - Ad Mortem Festinamus (2020) MLP
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
}
| 1,807
|
ISLAMABAD — The Taliban insurgency announced Wednesday it has cleared Afghanistan's northern Jowzjan province of Islamic State, claiming residual IS fighters have fled and surrendered to government forces in the area.
The latest suspected IS attack took place Tuesday in Nangarhar's capital, Jalalabad.
The coordinated suicide attack killed 15 people and wounded 15 others. The assailants targeted the office of refugee and repatriation in the city when a big meeting of relevant aid agencies was under way.
These crimes of Daesh in Skikda in Algeria in Iraq and in the world and these wars in Iraq in Syria in Yemen to satisfy satan if the terrorists Daesh and Boko Haram in Algeria in Iraq in Syria in Afghanistan in Nigeria and in the world do not pose their weapons and the UN does not end these wars on August 2, 2018 ALLAH puts an end to satan by a cataclysm if the end of the world August 2018 to non-Muslims to convert to Islam to avoid hell.
Ces crimes de Daech a Skikda en Algérie en Irak et dans le monde et ces guerres en Irak en Syrie en Yémen pour satisfaire satan si les terroristes Daech et Boko Haram en Algérie en Irak en Syrie en Afghanistan en Nigeria et dans le monde ne posent par leurs armes et l'Onu ne met pas fin a ces guerres le 2 Août 2018 ALLAH met fin a satan par un cataclysme si la fin du monde Août 2018 aux non musulmans de se convertir a l'islam pour éviter l'enfer.
|
{
"redpajama_set_name": "RedPajamaC4"
}
| 6,779
|
Speeding up energy storage with pseudocapacitors
Scientists at Germany's Helmholtz Zentrum Berlin have made a discovery they say could greatly increase the energy storage capacity of titanium-based 'MXene' pseudocapacitors, ultimately leading to faster-charging batteries. The group found adding urea molecules between MXene layers increased the material's storage capacity by up to 56%.
March 4, 2020 Mark Hutchins
EV batteries
The new material was examined at the BESSY synchotron in Berlin.
Stefan Hintz/Flickr
From pv magazine International.
MXenes, a class of two-dimensional material first discovered in 2011, is an emerging area of interest among energy storage scientists.
Though the investigation of MXene materials is still in its early days, in the energy storage field such materials have shown the potential to act as "pseudo capacitors", combining the large energy storage capacities of lithium-ion batteries with the speedy charge and discharge times associated with supercapacitors.
Scientists at Helmholtz Zentrum Berlin (HZB) investigated titanium carbide-based MXene Ti3C2Tx at the BESSY synchrotron facility in Berlin using soft X‑ray absorption spectroscopy to analyze samples of the material in a vacuum and in a water solution. The analysis showed intercalating urea molecules into the MXene brought about significant changes to the material's electrochemical properties.
The results were reported in the paper Enhancement of Ti3C2 MXene Pseudocapacitance after Urea Intercalation Studied by Soft X-ray Absorption Spectroscopy, published in The Journal of Physical Chemistry C.
The MXene materials which included urea molecules exhibited an area capacity of 11 millifarads/cm², which the HZB said is 56% higher than that demonstrated by the pristine MXene samples. The increase was attributed to changes in the surface chemistry brought about by the presence of urea.
"We could also observe the oxidation state of the Ti [titanium] atoms on the Ti3C2Tx MXene surfaces by using X-PEEM [an experimental station at the synchrotron facility]," said Ameer Al-Temimy, lead author of the paper. "This oxidation state was higher with the presence of urea, which may facilitate to store more energy."
Mark Hutchins
Mark Hutchins joined pv magazine in September 2016 as production editor of the monthly global title. Mark also works online reporting on upstream technology and markets, as well as newly emerging solar regions.
More articles from Mark Hutchins
|
{
"redpajama_set_name": "RedPajamaCommonCrawl"
}
| 6,914
|
Q: Can't pass a callback function's pointer as argument As a C++ programming beginner, I'm stuck at what it seems to be a simple issue. I can't pass a callback function pointer as argument. The midiInOpen function wants a DWORD_PTR type value for the third argument, and obviously this doesn't work :
#include <fcntl.h>
#include <io.h>
#include <iostream>
#include <windows.h>
#include <mmsystem.h>
using namespace std;
void CALLBACK traiterMidiIn(HMIDIIN hMidiIn, UINT wMsg, DWORD_PTR dwInstance, DWORD_PTR dwParam1, DWORD_PTR dwParam2) {
std::wcout << "wMsg:" << wMsg << std::endl;
std::wcout << "dwParam1:" << dwParam1 << std::endl;
std::wcout << "dwParam2:" << dwParam2 << std::endl;
}
int main() {
// Set the console to unicode mode
_setmode(_fileno(stdout), _O_U16TEXT);
// Declare variables
BYTE byResultat;
UINT uiNumDevice;
MIDIINCAPS midiincaps;
HMIDIIN hmidiin;
// Initialize variables
uiNumDevice = 0;
// Open MIDI port
byResultat = midiInOpen(&hmidiin, uiNumDevice, &traiterMidiIn, 0, CALLBACK_FUNCTION);
return 0;
}
I think this is related to member/non-member/static functions, but examples about them are still too difficult to apprehend for my weak skills yet.
The error generated :
l'argument de type "void (__stdcall *)(HMIDIIN hMidiIn, UINT wMsg, DWORD_PTR dwInstance, DWORD_PTR dwParam1, DWORD_PTR dwParam2)" est incompatible avec le paramètre de type "DWORD_PTR"
|
{
"redpajama_set_name": "RedPajamaStackExchange"
}
| 9,528
|
import { Component, View } from 'angular2/angular2';
import { CounterService } from '../../services';
const template: string = require('./counter.html');
@Component({
selector: 'counter',
properties: [
'counter'
]
})
@View({
template: template
})
export class Counter {
counter: number;
constructor(private counterService: CounterService) {
this.counter = this.counter || 0;
}
increment() {
this.counter++;
this.counterService.addCount(this.counter);
}
}
|
{
"redpajama_set_name": "RedPajamaGithub"
}
| 8,187
|
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