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{"url":"https:\/\/www.work4estes.com\/gynae-problems-ufqgxru\/xutht7a.php?3cec9a=op-amp-diode-limiter","text":"No comments: Post a comment. Let\u2019s take the value of R 2 as 1k\u03a9. We know that the base-emitter voltage (Vbe) of transistor T2 is 0.7 volts and the allowed maximum current is 0.5 amps. Op-amp is ideal too. Circuit de serrage de diode OP-Amp. Although the circuit does not have a power supply the Positive voltage swing (Vomp) and Negative voltage swing (Vomn) are parameters that make the output bounded so the circuit oscillates as expected. VOLTAGE LIMITERS (OP AMP COMPARATOR WITH ONE ZENER AND ONE DIODE) Posted by Unknown at 21:10. Let's say that we have a negative voltage limiter that has a negative limit of zero volts. Can you figure out what's the output of the circuit below: Note: For clarity, I put the input clamp diodes outside of the Op. Using two back-to-back Zener diodes, the limiter will now limit full cycle symmetrically. Figure 4-8B.\u2014Series-negative limiter with positive bins. The working principle of the circuit is such that, the peak of the input waveform is followed and stored in terms of voltage in the capacitor. Email This BlogThis! As I've drawn here. 4.27(a), is appropriately referred to as a \u201csuperdiode.\u201d 4.6 Limiting and Clamping Circuits In this section, we shall present additional nonlinear circuit applications of diodes. With D2 conducting, R F ... We discussed the applications and functionality of a straightforward op-amp-based limiter, and we looked at a simple design example. 0. But the op-amp still sees this difference. 4-9 Figure 4-8A.\u2014Series-negative limiter with positive bins. Rf A1 U1 REG1117 REG1117 1 Adj 2 3 R C2 2 D2 IREG Load U2 Adj 1 2 3 R C3 3 D3 +VS System IREG \u2013VS 50\u00b5A CBYPASS CBYPASS VOUT VOUT. \"Initial conditions\" is set to \"User defined\". Since the output of the op amp will swing between +12 V and 0 V, it is not compatible with TTL computer systems, which expect voltage levels of 5 V and 0. The operational amplifier (or op-amp) is biased by resistors R1 and R2 to half the supply voltage. The value of the series resistor can be calculated so that the voltage across it rises to 0.6 volts (the turn on voltage for a silicon diode) when the maximum current is reached. The aux sends on my audio interface can drive about 8.18 V peak. Diodes D1 and D2 are the same and have a 0,7V drop when they conduct. (Because allow refund within 2 hr of purchase. For the zener . I ran a test of the Nachbaur Diode Limiter as a passive outboard effect. What\u2026 (**) The Material Declaration forms available on st.com may be generic documents based on the most commonly used package within a package family. - The op-amp is used to get the Av = -10 gain thus $$\\frac{R_{f}}{R_{1}} = -10$$ I realize that R2 thru R5 are used to scale down the gain back to -1 \u2026 Working Principle . Diodes, or JFETs operated in the triode region, are commonly employed to implement the controlled-resist- ance element. It consists of a diode and capacitor along with an op-amp as shown above. One will be an open circuit while the other will be a short circuit. In the diagram, the input signal is not allowed to rise above 0.7 V or to drop below --0.7 V. This circuit is also called a limiter and is typically used to provide protection to a large amplifier such as a high gain op-amp circuit, as shown. I have a circuit where the last componenent is a non-inverting summing op-amp which should produce a voltage between 0 and 1V. Newer Post Older Post Home. It\u2019s an especially tricky problem when you\u2019re measuring a material\u2019s dielectric prop-erties. Une fois cette tension atteinte, le transistor Q 17 entre en conduction, limitant ainsi le courant de base du transistor Q 14 et donc, le courant de sortie. Wien Bridge sine wave oscillator using diodes for amplitude limiting, gain adjustment is through a potentiometer. The figure shows an op-amp clamp circuit with a non-zero reference clamping voltage. In the end, I realized Fred's circuit would not be suitable due to the high input voltage swing required to really make it effective. IMPORTANT NOTICE Texas Instruments and its subsidiaries (TI) reserve the right to make changes to their products or to \u2026 If this were just a diode, then we'd observe the usual 0.65-ish volt drop of the diode. Its gain is around 100, which helps in buffering the audio signal. At the point where Vout is 0.65V less than Vin, there is still a difference between the op-amp's inputs, and consequently it will drive the output even higher, seeking equilibrium where the two inputs are the same voltage. 1: Circuit diagram of the audio noise limiter. Rather, it has diode clippers to ground after the output of the op-amp, as does the RAT. The series-negative limiter with positive bias is different in only one aspect from the series-positive limiter with bias (figure 4-5) discussed earlier. Visit Stack Exchange. 6V op-amp voltage regulator. Although the op amp still operates in open-loop at the point where the input swings from positive to negative or vice versa, the range is limited by the diode and the load resistor. BUT MANY FEATURE ADDED MORETHEN FREE VERSION \u2b50 Terms And Conditions \u2b50 \ufe0f Within Purchase Of 2 Hr Send Us Purchase Recipt Otherwise We could not Procced For Refund. The combination of diode and op amp, shown in the dotted box in Fig. The difference is that the diode is reversed and the output is of the opposite polarity. The maximum allowable current is 0.5 amps. DIODE-CONNECTED FET PROTECTS OP AMPS Providing input-overload protection for sensitive measure-ment circuits proves difficult when you must not degrade the circuits\u2019 performance in the process. Both the noise and the audio signal are fed to the inverting input of A1 (pin 2) in IC1 via capacitor C3. The circuit does not require any complex component in order to determine the peak of the input waveform. Let's look at the relationship between halfway rectifiers and limiters. This state occurs when diode D1 is on, and this state occurs when diode D2 is on. I breadboarded a 4-stage version like this: Resistors were selected using my spreadsheet to have a final knee voltage of 8 V, and a final attenuation 10 (gain of 0.1). Therefore, DC will only show up across R2 during the negative part of the incoming AC cycle. Stack Exchange network consists of 176 Q&A communities including Stack Overflow, the largest, most trusted online community for developers to learn, share their knowledge, and build their careers. However, the MXR Distortion+ (and its very close sibling the DOD250) does not use diode clippers in the op-amp feedback loop. otherwise they could not refund so its refund policy) \ufe0f Without Order Recipt We could not Procced For Refund. Therefore, resistor R and the Zener diode, clamp the output voltage to 5.1 V, and therefore act as limiters. The following figure shows a Zener diode feedback limiter. Current Limiter for Voltage Regulator with transistor and Zener diode. Eventually the voltage across the diode will reach ~0.6 V, and the diode will begin to conduct. Pour une tension base-\u00e9metteur maximum de 0,6 V on obtient une limitation du courant de sortie \u00e0 25 mA. For the basic Op Amp Limiter circuit you can refer to here . In op-amp clipper circuits a rectifier diode may be used to clip off a certain portion of the input signal to obtain a desired o\/p waveform. The output of an op amp is connected through a diode to a main input terminal which may be connected between a power source and one end of a load resistor. Refer to the voltage reference circuit to set the resistance R 1. Some parts\u2019 data sheets show the presence of the input diodes, but others don\u2019t. The op-amp in the circuit is not ideal but a virtual model. I want to show you here is the problem when your Op has differential input clamp diodes. An Op Amp & Diode Ladder Clipper My recent series of posts about Fred Nachbaur's \u201cDogzilla\u201d diode limiter was written because I was considering using a variant of that circuit in a forthcoming project. - The diodes will always be in opposite bias. Thus, in this example, the output signal is restricted to 4.096 V to 0 V out. \"Initial voltage\" (IC) for Cfsp is enabled. Je travaille sur la mise \u00e0 jour de nos produits, mais il existe un certain nombre de contraintes.TL; DR Je ne peux pas changer les \u00e9l\u00e9ments qui faciliteraient la t\u00e2che. The op-amp in the circuit is not ideal but a virtual model. 4.6.1 Limiter Circuits Figure 4.28 shows the general transfer characteristic of a limiter circuit. The Pro Version Is Not A Free Its Paid Version. LIMITING AN OP AMP By Richard Kulavik \u00aeAPPLICATION ... A Diode is Used to Prevent Reverse Bias Operation of the REG1117. ... 1- We want to design a Voltage Regulator with current limiter. Below are the audible results. With a single diode and a resistor, the limiter will limit the half cycle of a signal to it\u2019s forward bias and and the other half cycle to its reverse breakdown voltage. In this circuit these diodes would prevent the output signal from going more than 1 diode drop below the positive clamp voltage or 1 diode drop above the negative clamp voltage. The additional diode prevents the op amp's output from swinging to the negative supply rail. Stack Exchange Network. Elle se fait par l'interm\u00e9diaire de A diode clamping circuit may be used to limit the output voltage to a particular range. Hi all! DA108S1 - DIODE ARRAY of 8 diodes, DA108S1RL, STMicroelectronics. When the input voltage is positive, the output voltage is equal to the input voltage. Share to Twitter Share to Facebook Share to Pinterest. A second op amp (U2) performs the complementary negative clipping function, preventing the signal from going below ground. The low level linearity is also improved. Zener Diode Signal Limiter Zener diode has been commonly used as signal limiter. Although the circuit does not have a power supply the Positive voltage swing (Vomp) and Negative voltage swing (Vomn) are parameters that make the output bounded so the circuit oscillates as expected. The output of an op amp is connected through a diode to a main input terminal which may be connected between a power source and one end of a load resistor. Deciding whether a given op amp has these diodes can require some detective work. When off (reverse biased) the diode is an open circuit. La limitation du courant traversant Q 20 reprend le m\u00eame principe que celle du transistor Q 14. For the time being, we ignore them in the circuit and focus on calculating the switching levels. Design for an op-amp voltage regulator circuit to drive a load of 6V,1.2W from an Input supply of 12V with a \u00b12V ripple voltage, using a 3V zener diode. A circuit which performs regulator or limiter functions at current and voltage levels below the operating ranges of conventional zener diodes. Nevertheless, a Zener diode in the feedback network of an op-amp will accomplish a limiting function by clipping the input waveforms and by limiting to a given region. There is no need to take into account the forward volt drop of the diode (which is necessary in the preceding simple circuits as this adds to the reference voltage). During the negative half of the input swing, however, D1 is forward biased, so current will flow through it and through R2. The diode works as an ideal diode (switch) because when on, the voltage drop across the diode is divided by the open loop gain of the op-amp. Fig. The D2 diode prevents the op amp's output from swinging to the negative supply rail. The circuit of this diode current limiter for a linear power supply is particularly simple, and accordingly the electronic circuit design is also very straightforward. 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Par l'interm\u00e9diaire de Zener diode has been commonly used as signal limiter D2 diode prevents the amp...\n\nSeaworld San Diego Rides, Hurricane Junior Golf Tour Reviews, New Britain Museum Of American Art Directions, Hsn Clearance Jewelry Today, Ansul Supplier In Malaysia, Chord Terserah Chordindonesia, Italian Restaurants Naples Fl, Tone Of A Noiseless Patient Spider, Coastlands Hotel Umhlanga Contact Number,","date":"2021-04-15 11:09:15","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\": 1, \"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\": 0.44338223338127136, \"perplexity\": 3420.591953287064}, \"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-2021-17\/segments\/1618038084765.46\/warc\/CC-MAIN-20210415095505-20210415125505-00141.warc.gz\"}"} | null | null |
Il K-159 è stato un sottomarino a propulsione nucleare della Voenno-morskoj flot appartenente alla classe November. Radiato dal servizio il 30 maggio 1989, rimase all'ancora presso la base navale di Greminkha sino al 2003, quando fu preso a rimorchio per raggiungere il cantiere navale di al fine di essere demolito. Affondò durante il trasferimento il 30 agosto 2003, 2,4 miglia nautiche dalla punta nord-occidentale dell'isola di Kildin, con la morte di nove membri dell'equipaggio Durante il suo servizio il K-159 ha effettuato 9 crociere operative, percorrendo un totale di 212.618 miglia nautiche in 25.364 ore di navigazione.
Storia
Il sottomarino d'attacco a propulsione nucleare K-159 apparteneva alla serie 627A della classe November della Voenno-morskoj flot, composta da 13 unità costruite tra gli anni cinquanta e anni sessanta del XX secolo. Fu impostato presso lo scalo di alaggio n.42 del cantiere navale n.402 di Severodvinsk il 9 settembre 1957, e varato il 31 maggio 1959.
Le prove in mare di accettazione si svolsero tra l'11 settembre e il 9 ottobre 1963, e l'unità entrò in servizio il 4 novembre 1963, assegnato alla 3ª Divisione sottomarini della Flotta del Nord con sede a Zapadnaja Lica. Il primo comandante del sottomarino K-159 fu il capitano di secondo rango B. Sinev.
Completato l'addestramento al combattimento nel 1964 il K-159 salpò per raggiungere il Mare Mediterraneo oltrepassando lo stretto di Gibilterra in immersione navigando sotto una nave di passaggio. Nel febbraio 1965 il battello compì una crociera nell'Oceano Atlantico, navigando al largo della costa orientale degli Stati Uniti d'America.
Mentre era in navigazione il 2 marzo 1965 fu scoperta in mare una microperdita nei tubi di raffreddamento del condensatore del turboriduttore principale sul lato sinistro, che portò alla necessità di rientrare alla base.
Tra il 18 giugno e il 7 luglio 1965 il K-159 partecipò all'esercitazione della Flotta del Nord denominata "Pechora", svoltasi nel Nord Atlantico e nel Mare di Norvegia, avendo compiti di ricerca degli SSBN statunitensi e delle forze antisommergibili della NATO, venendo però scoperto dai velivoli antisommergibile in pattugliamento.
Tra il 30 dicembre 1966 e il 5 novembre 1968 il K-159 eseguì lavori di riparazione, comprendenti anche la sostituzione dei generatori di vapore, presso il cantiere "Zvezdochka". Al termine delle riparazioni fu trasferito in servizio presso il 17° DSPL sito nella baia di Gremikha (Ostrovnoj). Tra il 28 giugno e il 31 agosto 1969 partecipò alla grande esercitazione congiunta "Anchar", comprendente navi delle tre flotte sovietiche, tenutasi nei Caraibi. Tra il 1970 e il 1972 fu eseguita la ricarica dei reattori nucleari.
Tra il 1981 e il 1984 il "K-159" eseguì quattro crociera di navigazione operativa, per un totale di 138 giorni di navigazione. Tra il 1985 e il 1988, il sottomarino ha svolto i compiti di addestramento al combattimento sia in mare che alla base.
Il 14 marzo 1989 fu ridenominato B-159, ma già il 30 maggio venne dismesso dai ruoli della marina.
Dal 1989 al 2003 il K-159 fu tenuto in deposito nella baia di Gremikha, formando da solo la 285ª Divisione sottomarini. Il battello fu lasciato all'ancoraggio senza nessuna manutenzione con lo scafo che andava deteriorandosi sempre di più, e con il combustibile nucleare presente a bordo.
Nel corso del 2003, in seguito allo stanziamento di circa 200 milioni di dollari da parte di cinque paesi esteri, ne venne decisa la sua demolizione da effettuarsi presso il cantiere navale Nerpa di Snežnogorsk. Anticipando il ricevimento dei fondi, l'ammiraglio Gennadij Suchov, comandante della Flotta del Nord, decise di far rimorchiare tutti i 16 sottomarini presenti a Gremikha nei cantieri dove doveva essere effettuata la loro demolizione. Il K-159 fu la tredicesima unità a lasciare l'ancoraggio di Gremikha. Essendo lo scafo del K-159 arrugginito in più punti, ad esso furono saldati diversi grandi serbatoi galleggianti vuoti per consentire il trasferimento del sottomarino. Questi serbatoi, fabbricati negli anni quaranta del XX secolo, non erano impermeabili e la loro manutenzione era equivalente a quella dei sottomarini.
Il 28 agosto 2003 il K-159 partì a rimorchio per raggiungere Poljarnyj, con un equipaggio ridotto che assicurava il mantenimento della pressione dell'aria all'interno dei galleggianti, e pompare fuori l'acqua che entrava dalle falle presenti nello scafo. Nelle prime ore del 30 agosto una burrasca staccò i due galleggianti di prora, mettendo il sottomarino in condizioni critiche di galleggiabilità. Il comando della Flotta del Nord fu avvisato alle 1:20. Alle 3 del mattino il K-159 era affondato nel mare di Barents a 2,4 miglia nautiche dalla punta nord-occidentale dell'isola di Kildin, su un fondale di 238 metri, trascinando con sé nove membri dell'equipaggio e 800 chilogrammi di combustibile nucleare esaurito che emetteva circa 20 petabecquerel (600 kilocurie). Delle dieci persone presenti a bordo sopravvisse solo il tenente anziano Maxim Tsibulsky, che riuscì a lanciarsi in mare prima dell'affondamento e fu poi recuperato dal rimorchiatore SB-406, insieme ai corpi di altri due membri dell'equipaggio. Dopo l'incidente il governo russo e i vertici della marina decisero di recuperare il relitto del K-159, che fu tenuto sotto controllo per rilevare eventuali perdite di radiazioni.
Nell'agosto 2011 la società statale per l'energia atomica Rosatom sollevò la questione del recupero del K-159, con una decisione definitiva da prendersi entro il 2012. Nel settembre 2014, scienziati russi e norvegesi hanno esaminato il relitto del K-159 e con l'ausilio di un veicolo telecomandato fu realizzato un video subacqueo, che mostrava il sottomarino sepolto sul fondo del Mare di Barents. L'analisi rapida dei campioni prelevati dimostrò che i livelli di radiazione non erano pericolosi.
Note
Annotazioni
Fonti
Bibliografia
Periodici
Voci correlate
K-8
K-27
Naufragi di sottomarini nucleari
Altri progetti
Collegamenti esterni
Naufragi e incidenti marittimi
Catastrofi nel 1970 | {
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L'artisanat traditionnel du cuivre au Mexique remonte à la période préhispanique, essentiellement limitée à l'ancien empire Purépecha, dans les actuels états de Michoacán et de Jalisco. La raison en est que c'est le seul endroit où du cuivre peut être trouvé à la surface. Après la conquête espagnole de l'empire aztèque, les Espagnols prennent le contrôle de la production de cuivre, introduisant des techniques européennes mais nécessitant encore une main-d'œuvre autochtone. Le travail du cuivre, comme d'autres métiers, est principalement organisé à Michoacán sous Vasco de Quiroga. On ne sait pas quand la ville de Santa Clara del Cobre commence à se spécialiser dans la production d'articles en cuivre, mais elle est bien établie au milieu du . L'extraction du cuivre reste centrée sur le Michoacán pendant la période coloniale, mais l'essentiel de la production est abandonné au . Après la révolution mexicaine, les forgerons de Santa Clara se contentent de travailler avec de la ferraille, fabriquant des pots, des assiettes, des casseroles et d'autres récipients. Aujourd'hui, le village abrite des centaines de forgerons, qui travaillent de manière peu différente de celle de la période coloniale, et accueille chaque année la (foire du cuivre) en août.
Période préhispanique
Le travail du cuivre est pratiqué dans le centre du Mexique depuis la période préhispanique. Cependant, ce n'est pas la première région des Amériques à commencer à travailler avec ce métal. Les premières preuves de travail du cuivre se trouvent dans ce qui est maintenant le Midwest des États-Unis, car le métal y est trouvé assez facilement à la surface sans exploitation minière. L'emplacement suivant se trouve dans les zones côtières occidentales de l'Amérique du Sud et dans certaines régions d' Amérique centrale, où il n'est pas souvent mélangé avec de l'or. Le travail du cuivre se développe plus tard en Mésoamérique en raison du manque de cuivre en surface et de l'absence de contact avec les cultures de cuivre au nord ou au sud.
La seule région de la Mésoamérique qui développe le travail du cuivre avant l'arrivée des Espagnols se trouve dans l'ouest du Mexique, dans les États actuels de Jalisco et de Michoacán, principalement dans l'empire Purépecha. La plupart des travaux sur cuivre préhispaniques ont lieu dans les municipalités actuelles de , , , Tacámbaro et Turicato, et un pourcentage de cette production est payé en hommage à la capitale, Tzintzuntzan. Il est prouvé qu'au moins une partie de ce cuivre et d'autres minéraux sont extraits de mines à ciel ouvert ou de tunnels. Les Purépecha mettent au point des techniques d'extraction du cuivre de la roche ainsi que des techniques de mise en forme. Le travail du métal est suffisamment avancé pour qu'il soit utilisé à la fois pour des objets utilitaires, ornementaux et religieux. Les Purépecha fabriquent plusieurs objets en métal, notamment des haches, des boîtes, des hameçons, des couteaux, des petites cloches, des colliers, des bracelets et des boucles d'oreilles Le cuivre est d'abord travaillé à l'aide de marteaux, à froid, mais comme il perd de son élasticité, il est découvert qu'il est nécessaire de le chauffer pour le reconditionner. La création d'objets par moulage n'est pas courante pour le cuivre mais est utilisée pour fabriquer de petits objets délicats tels que des cloches.
Période coloniale
Pendant et après la Conquête, le travail du métal par les indigènes est perturbé. Beaucoup de villages de la région de Pátzcuaro sont abandonnés en grande partie à cause des exactions commises par le conquistador Nuño de Guzmán. Les Espagnols prennent rapidement pris conscience des gisements de cuivre de cette région et de la capacité des autochtones à les exploiter. Comme ils sont nécessaires pour exploiter cette richesse, les Espagnols œuvrent pour les ramener dans la région et les installer dans des communautés sédentaires sous leur contrôle. Vasco de Quiroga amène divers types d'artisans d'Espagne dans la région de Pátzcuaro pour développer l'économie de la région. Santa Clara est fondée par le frère Francisco de Villafuerte et placée sous la protection directe de la Couronne espagnole. Sa fondation est plus tard attribuée à Vasco de Quiroga, probablement en raison de son travail d'instauration de la forge du cuivre. Les Espagnols introduisent les techniques de fonderie européennes et organisent le travail en ateliers familiaux, transmis de génération en génération, et qui restent en vigueur à ce jour. Au cours de la période coloniale, le cuivre est principalement utilisé pour la fabrication d'armes et d'ustensiles de cuisine. On ne sait pas quand Santa Clara commence à se spécialiser dans le travail du cuivre, car une grande partie de ses archives sont perdues en raison de divers incendies au cours de son histoire. Le plus ancien document survivant date de 1748 et note que le travail du métal est bien développé.
Au cours de la période coloniale, l'extraction du cuivre est la plus répandue à Michoacán, poursuivant le développement du métal commencé par les Purépecha. Les principales zones d'extraction comprennent Tlalpujahua, Tzintzutzan, , Santa Clara del Cobre et Ozumatlán. Le cuivre travaillé au début de la période coloniale vient de mines dans un rayon de , et est ensuite purifié dans la ville. À l'origine, c'est à Santa Clara même, mais plus tard, les documents indiquent que le cuivre travaillé provient d'Inguarán et d'Opopeo. La fusion du cuivre dans la région prend fin au milieu du , alors que les mines sont abandonnées.
Lorsque l'exploitation minière au Mexique cesse pendant et juste après la guerre d'indépendance du Mexique, le travail du cuivre survit au Michoacán. Son importance diminue et s'estompe au cours de l'histoire tumultueuse du Mexique au , avec la toute dernière extraction de cuivre se terminant à la fin de ce même siècle. Le Mexique a encore d'importantes réserves de cuivre, principalement sous forme de sulfures, qui ne sont pas exploitées à cause des coûts.
Le travail du cuivre à Santa Clara aujourd'hui
Santa Clara del Cobre est l'endroit où le cuivre traditionnel utilisé au Mexique survit. Au moins travaillent dans plus de dans la municipalité. La plupart des ateliers de la ville fonctionnent à peu près comme avant, bénéficiant de diverses exemptions de la législation fédérale du travail et d'allégements fiscaux destinés à préserver le métier. Les ateliers sont toujours indépendants et appartiennent à des familles avec différents membres chargés des différentes tâches telles que la finance, la production et la vente. Les ateliers sont des zones couvertes de toiles avec peu ou pas de murs. Cela permet une protection contre la pluie mais aussi une ventilation, en particulier autour de la forge. Ces ateliers contiennent une grande variété d'outils, dont beaucoup sont créés par les artisans eux-mêmes.
Après la révolution mexicaine, toutes les activités d'extraction et de fusion résiduelles dans la région ont cessé, ne laissant plus que l'exploitation du cuivre ou des déchets de cuivre déjà extraits. Le cuivre provient de déchets industriels, y compris de vieux moteurs électriques et de câbles, provenant de dépotoirs et de compagnies de téléphone et d'électricité. Le processus commence par l'élimination des impuretés de la ferraille, puis en plaçant les pièces de cuivre pur au centre de la forge pour qu'elles soient fondues ensemble. Le matériau est recouvert de briquettes de pin pour produire un feu d'une température intense et uniforme. La température est élevée avec l'utilisation d'un soufflet, qui peut toujours être actionné à la main. Le métal fondu n'est pas coulé dans des moules mais moulé par le lit de cendres entouré de roches. L'utilisation de forges chauffées au bois réduit jusqu'à soixante-dix pour cent les forêts environnantes.
La quantité de cuivre nécessaire pour une pièce donnée est soigneusement calculée avant le début des travaux. Le processus de base consiste à marteler, amincir, façonner, couper, blanchir, polir et décorer, en particulier par gaufrage. Pour commencer le travail, le bloc ou les morceaux sont chauffés au rouge. Le premier tour de martelage consiste généralement à aplatir la pièce en un cercle qui est généralement effectué par un groupe d'hommes brandissant des marteaux. Des marteaux plus petits sont utilisés pour affiner la pièce et pour que les flancs se recourbent pour former un récipient. Le travail doit être précis car il est presque impossible de corriger les erreurs de mise en forme sans recommencer. Cela est particulièrement vrai pour les très petites pièces. Parfois, la forme de base comprend des têtes ou des pieds d'animaux servant de poignées ou de stabilisants pour le pot. De nombreux types d'outils sont utilisés, dont beaucoup sont fabriqués dans le même atelier que les pièces en cuivre. Ils comprennent des ciseaux, des pinces, des paires de ciseaux, des cisailles, des poinçons, des maillets, diverses enclumes et marteaux qui sont utilisés pour façonner et embosser les pièces. Les techniques modernes peuvent réduire de soixante dix pour cent les efforts d'amincissement du métal, mais la plupart des ateliers le font toujours à l'ancienne. Une fois la forme de base obtenue, les travaux de décoration et de finition commencent. Le gaufrage, également appelé repoussé, est un type de décoration de la forme de base d'un vase ou d'une autre pièce. Il consiste à marteler la pièce de l'intérieur pour pousser la forme vers l'extérieur. Une fois cette forme créée, des détails sont ajoutés par burinage et gravure. Cette dernière peut être effectuée avec un acide ou avec un burin. Pour donner aux pièces une brillance supplémentaire, elles sont traitées avec de l'acide sulfurique, du savon, de l'eau et de la laine d'acier.
La plupart du travail consiste à faire des casseroles, des pots, des assiettes, des bocaux, des vases, des cendriers, des cloches, des tasses, des alambics, des braseros et des foyers. Certains bijoux sont fabriqués mais ce n'est pas l'objectif principal. Presque tous les objets sont martelés à partir d'une seule pièce ou d'un seul bloc de cuivre, y compris des détails tels que des poignées et des figures décoratives façonnées avec le corps principal. Cela élimine le besoin de soudure.
Artisans de cuivre notoires
La famille Punzo Ángel est bien connue à Santa Clara del Cobre pour son travail sur le cuivre. Deux des forgerons les plus actifs de la famille, Abdón et Ignacio, organisent de grands ateliers actifs et forment leurs enfants aux techniques qu'ils ont apprises de leur père. Ils créent principalement des pièces volumineuses aux designs novateurs, souvent détaillés. Ils travaillent également l'argent. Tous deux ont reçu un grand nombre de remerciements et de récompenses pour leur travail.
Jesús Pérez Ornelas est considéré comme le maître de la gravure et du sgraffite sur cuivre en raison de ses dessins et de la qualité des finitions. Il travaille à l'étranger et passe une grande partie de son temps à enseigner ses techniques de martelage du cuivre. Ses œuvres sont généralement recouvertes de motifs gravés comprenant des frettes, des animaux, des losanges, des fleurs.
Feria del Cobre
La première a lieu à Santa Clara en , à l'occasion de la fête du saint patron du village, Sainte-Claire. La foire expose des centaines de pièces de cuivre martelé d'environ , des démonstrations de techniques de travail du cuivre et plus encore. L'événement principal est le (Concours national du cuivre martelé). Il comprend quatre catégories: les (maîtres), les (les jeunes), les (les nouveaux talents) et les (les enfants) avec plus de . L'événement attire plus de en 2010. La foire a chaque année depuis 1965.
Références
Bibliographie
Artisanat
Cuivre
Art au Mexique
Artisanat au Mexique | {
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} | 1,606 |
Fulmarus és un gènere d'ocells marins de la família dels procel·làrids (Procellariidae). Amb el nom comú de fulmars, són aus d'hàbits pelàgics, amb dues espècies, una pròpia dels oceans boreals i altra antàrtics.
Llistat d'espècies
Se n'han descrit dues espècies dins aquest gènere:
Fulmarus glacialis - Fulmar boreal.
Fulmarus glacialoides - Fulmar austral.
Referències
Procel·làrids | {
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} | 4,467 |
Balungao Pangasinan Philippines
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Balungao is one of the eastern municipalities of Pangasinan Province which is situated approximately 120 40′ to 120 44′ 30″ east longitude and 15 47′ to 15 50′ north latitude. The municipality is bounded by the municipality of Sta. Maria on the north, by the municipality of Cuyapo, Nueva Ecija on the south, by the municipality of Umingan on the east, and on the western side by the municipality of Rosales. The municipality is about 10 kilometers east of the Manila-North Road reckoning from Carmen, Rosales and about 25 kilometers southeast of Urdaneta. It is approximately 91 kilometers away from San Fernando, La Union, the regional center; 50 kilometers away from Dagupan City; 65 kilometers away from Lingayen, the provincial capital; 72 kilometers away from Baguio City, the country's Summer Capital; and approximately 286 kilometers from Metro Manila, the country's capital.
The municipality is accessible by land. The chief means of public transportation in the area are public utility jeepneys and tricycles.
The municipality has a total land area coverage of 9,380 hectares comprising 1.75 percent of the total land area of Pangasinan. Poblacion which is considered as the only urban barangay by NSO has an approximate land area of300.16 hectares equivalent to 3.20 percent of the municipal area. The remaining 9,079.84 hectares comprises the rural area. consisting of 19 barangays.
The municipality is relatively uneven in physical features. The relief ranges from level to mountainous. The undulating to low volcanic hills are found in the barangays of Esmeralda, Mabini, and San Andres. The other barangays are level to nearly level. Its highest portion is found in Mt. Balungao with an elevation of 382 meters above sea level. It also the said area has the steepest slope of 30 to 50 percent.
Surface run-off water drains towards major creeks which are subsidiaries of the Agno River. These creeks which traverse the different areas of the municipality usually swell up to three times their sizes during the rainy season, and are valuable means of irrigation sources. Owing to its good soils, Balungao has a good vegetative cover such as palay, vegetables, rootcrops and fruit trees.
Balungao falls under the First Type of climate in the country characterized by two prominent seasons; the wet and dry season. Wet season occurs during the months of May to October while dry season lasts from the November to April.
Humidity and Wind Direction
In 1989 to 1993, the municipality had a relative humidity of 80.87 percent per month in the minimum. In 1993, August was registered as having the highest relative humidity with 90 percent while the month of March registered the lowest. Balungao is shielded from the northeasterly winds by the Mountain Ranges forming part of the Cordillera Mountain. However, it is vulnerable to typhoons or cyclones because it is exposed to the southwest monsoon. Wind prevailing force in the town is put at 002 to 004 minute per second.
There are five soil types found in Balungao, namely: San Fabian Series, Bantog Series, Guingua Series, San Manuel Series, and the Annam Complex. One or a combination of the said soil types can be found in a barangay, as observed in a survey conducted in the twenty barangays. San Manuel Series present in the municipality is the Silt Loam Type with grayish brown to pale brown surface and brownish gray to light brown with streaks of yellowish brown subsoil. The substratum of this soil type is yellowish brown to light reddish brown, friable and fine sand to medium sand. This type is suited to lowland rice, sugarcane, corn, rootcrops, vegetables, and some fruit trees. It can be cultivated safely and extensively to crops with ordinary good farming practices. It has the most widely adaptable uses and can be farmed easily, well-drained and not subject to frequent overflows. A Clay Loam Type or San Fabian soil series covers barangays Kita- Kita, Poblacion, Pugaro, San Aurelio, Angayan Sur, Esmeralda and San Andres. This type of soil has surface soil of dark brown to dark gray, has gravels and its subsoil is grayish brown. Its substratum is light gray to yellowish gray and fine textured. Rice, corn, camote, bananas, vegetables and some fruit trees are suitable for this type of soil. It is moderately good land and can be used regularly for crop cultivation in good rotation but needs intensive care conservation treatments.
The Bantog Soil Series present in the town has a surface of brown, finely textured and slightly sticky clay loam. The subsoil is dark brown, heavy clay loam to clay. The substratum is light brown to light reddish brown clay and sticky without concretions. The principal crop in this type of soil is rice. This can be cultivated safely using easily applied conservation practices. The land is flat and the main problem is drainage because of poor soil permeability or shallow water table, which, therefore, requires simple drainage. It is also subject to occasional overflow resulting to occasional damage of crops.
The Guingua Series in the municipality has a surface soil of brown, reddish or light brown friable and loose structure silt loam to fine sandy with reddish brown streaks. The subsoil is dark brown; light brown to light reddish brown, loose and friable to slightly compact silty clay loam. Crops like corn, sugarcane, camote, mango, and vegetables can be cultivated in this soil type. This can be cultivated safely and with ordinary farming practices. It has the most widely adaptable uses and can be farmed easily. It is level to nearly level land with deep, productive, easily worked soils, well drained and not subject to frequent damaging overflows.
The Annam Complex soil type is generally described as: surface soil is grayish brown to pale brown, loose friable silt loam; subsoil is brownish gray to light with streaks of yellowish brown, friable granular silt loam. Low land rice, sugarcane, corn, rootcrops, vegetables and some fruits are suited for this type. This can also be cultivated safely and extensively to crops with ordinary farming practices and produces high yield as it is well drained and not subject to frequent floodings.
The municipality has three types of land capability, namely: Class A, Class Bw and Class Cc. Soils belonging to San Manuel series, Guingua Series and Annam Complex belong to Class A; soils under the Bantog series belong to Class Bw; and San Fabian Series belong to Class Cc. Class A is described as very good land which can be cultivated safely requiring only simple but good farm management practices. Class Bw is a good land which could be cultivated safely requiring simple conservation practices, and Class Cc can be cultivated safely requiring a good rotation but needs intensive conservation treatments
Of the total land area of Balungao, 1,041.865 hectares is classified as forest and the rest is alienable and disposable. Of the forest area, 761.52 hectares or 73.09 percent is public forest and 280.345 hectares or 26.91 percent is unclassified public forest.
In the area, a small parcel of Mt. Balungao, approximately 1,041.865 hectares or about 11.11% of the total land area of Balungao was released by the Bureau of Forest Development as forest reservation. Nonetheless, contrary to what is expected of a forest, only boho and bamboos and some undergrowth cover the specified area. Of the total 1041.865 hectares, only 761.52 hectares is the actually classified forest reservation, distributed as follows: 50 hectares for reforestation projects; 133.78 cogonal land; and 577.54 hectares for integrated social forestry projects.
The municipality is blessed with non-metallic mineral in the form of red clay, which is used for making pots, bricks and other products. The volume of said mineral is not yet determined. The mineral is found in Barangay Kita-Kita and Poblacion.
In the Municipality, surface waters are strategically located to be tapped for purposes of irrigation. The Banila River traversing barangays Capulaan, San Aurelio 3rd, Angayan Norte, Rajal and San Leon. Matablang River flowing along Mauban, Rajal, and Esmeralda. The Andulan creek along San Marcelino and San Julian. Pilo creek along San Raymundo and Angayan Norte. Borobor creek in San Miguel; Totonoguen creek along Capulaan, San Miguel and San Raymundo; Cabalancian creek along Poblacion and Kita-Kita; Manamikdak creek along Pugaro, San Aurelio 1 st, San Aurelio 2nd, Maasin creek still along San Aurelio 1 st, San Aurelio 2nd, Pugaro, San Marcelino, San Julian & Capulaan; Catil-Iaongan creek in Kita-Kita and the Ambuetel creek & Lagasit river flowing along the vicinity of San Joaquin. These bodies ofwater could be utilized in irrigating crop farms but the foreseen problem is the absence of motorized device with complete accessories to channel water from the source to the crop farms. Distance wise, and as to sufficiency of water, these sources would not be enough for irrigation purposes especially in the absence of rainfall where drying up is to be anticipated. Nonetheless, as was surveyed, there were for barangays spotted to be potential irrigable locations. The presence of shallow tube wells installed in barangays San Marcelino, San Julian, San Raymundo, and Capulaan, at least 50 hectares each barangay would be irrigated which could be planted to rice and corn.
Ceremonial Lighting and Fireworks Display
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DOT: Pangasinan now No. 1 tourist destination in Ilocos
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BLESSING AND INAUGURATION OF THE NEW SENIOR CITIZEN BUILDING
Mel: Really awesome fireworks display! Good job to the organizer...
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Q: How do you log in from work using your personal account while you are already logged into Google? I have a personal Stackoverflow account with points and stuff. I want to log in with that. I normally authenticate with Google.
My work uses Google apps and I have a Google work address.
How do I log into (other) Stack sights using my personal Google account?
When I click the Google authentication, it asks if I want to log in using my work email. I want to keep them separate.
I saw 'More Options' and another Google icon, and it asked
Enter your Google Profile username:
But when I entered my personal Google login email, which is not Gmail, it gave this error:
Unable to log in with your OpenID provider:
No OpenID endpoint found.
A: If you add another login to your list of Google accounts, you should be able to select the account you want to use for OpenID authentication when you click the "log in with Google" option:
…which will give you your list of available accounts:
To add a new account, you can click your avatar on any Google page (or the new tab page of Chrome):
This should allow you to remain logged in to your company's Google account for company-related stuff, while still being able to access your personal Stack Overflow account.
The other option is to simply use your work account as an OpenID login for your existing Stack Exchange account, which is covered in the help center topic on managing logins.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 8,199 |
ChineseMicroNews
Ent.
The father of Pinyin is 112 years old: God has forgotten me
Chinese phonetic alphabet God plan government
renminwang· 2017-01-13 08:40:10
" original title: 112 year old Zhou Youguang Happy birthday: God confused, I forget the
he is a famous linguist, philologist, economist, proficient in Chinese and English, France and Japan in four languages. Specializing in early economic, nearly 50 years old "befuddles", involved in the design of the Chinese phonetic alphabet, known as "the father of Chinese pinyin". Age is not a problem, the key is whether you insist that he is proof. Today is Mr. Zhou Youguang's 112 birthday. Bless the week old! [details]
figure linguist Zhou Youguang birthday attack led the establishment of the Pinyin system of
Zhou Youguang Zhou Youguang, formerly known as Zhou Yaoping, was born in January 13, 1906 in Jiangsu, Changzhou, mainly engaged in the early economic and financial work done, Professor of economics, 1955 began a full-time engaged in language research, and in charge of drafting "scheme for the Chinese phonetic alphabet". Under his leadership, the Chinese phonetic system was established. Now he is still publishing, 100 years later, Zhou Youguang has also published "hundred years old" new release "Wen Chao set" such as the number of new.
"the tide of history almost all of your plans to break the"
Zhou ancestral home in Yixing, grandfather of official run industry, started spinning, weaving factories and other industry in Changzhou. Daoguangnianjian the Taiping army, the soldiers pay for all the week, grandfather to the defenders, after the fall of Changzhou, himself, Zhou's house rich into ukraine.
Zhou Youguang was ten years old, the family moved to Suzhou, into the new school was set up the initial reading. In 1918, the Changzhou senior high school (Jiangsu provincial high school matriculation, fifth) after a year of middle school, and later with the linguist Lv Shuxiang as students. In 1923, Zhou Youguang graduated from high school, although the outstanding, but was the only choice of the free tuition The family is in straitened circumstances., the normal school, but not on the Shanghai senior high school entrance examination of Saint John University, after relatives funding, Zhou Youguang put together a 200 yuan of tuition and enrollment.
1925, Shanghai, Zhou Youguang "thirtieth tragedy" change into the Guanghua university to study. After graduating from college, he and his wife Zhang Yi and to study in japan. Due to the admiration of the Japanese Marx economist Kawakami, leaving the original study of University of Tokyo,, Kyoto University.
Zhou Youguang young experience is not smooth, and even a vague "dislocation".
graduated from the University, this can be the same with other students to be diplomats, but he chose to study economics; Saint John University, Guanghua university graduates have to study in the United States, he went to Japan for economic reasons; the thought of the famous economist Kawakami of Kyoto University in Japan to study economics, Kawakami was arrested, Zhou Youguang had to specialize in Japanese; good could enjoy living abroad, he resolutely chose to return to the original research; the economy has been achievements, he was appointed to study the language of light; Zhou grew to accept the "traditional" education, but most of the "modern" knowledge. In the face of such a "dislocation" of life, he is very calm: "life is difficult to follow your plan, because the wave of history almost broke your plan. "
" we are 'running water' love "
1933 April 30th, Zhou Youguang and Zhang Yi and marriage. Nearly 70 years later, two people have been to each other.
Zhou Youguang in his "hundred years of oral", also talked about eight years of love for the process of two years. He said, and his wife is "slowly, natural development, not like 'impact' love, 'we love water, love is not the strong wind and big waves".
Zhou Youguang will be eight this year is divided into three stages: the first stage, very common exchanges, mainly in Suzhou; the second stage, to Shanghai began to make friends, but not is love; third stage is the love stage. Zhou Youguang said, "when she (Zhang Yunhe) to the University of Hangzhou Jiang Jie Du, I teach in Hangzhou. In Hangzhou for some time, is the love stage".
about the marriage of two people, there is a saying quite popular, that is, after marriage never quarreled". In this regard, Zhou Youguang had admitted in an interview, in fact, we quarrel".
"we quarrel loudly abuse, will not let the nanny heard, did not make a couple of hours, usually noisy over 32 sentences. One more thing, we don't fight for two people, but because of other people's problems. It is true that our marriage is very harmonious. To Beijing, until my wife died, we drink tea at 10 every morning, and sometimes coffee. When drinking tea, coffee, two of us toast brow, which of course is a bit more fun, is an expression of our mutual respect. "
in his later years, Zhou Youguang and his wife Zhang Yi and co authored the prose collection" affectionate person is not old ". The so-called Co, is actually written by the book, positive and negative mutual cover, Zhang Yunhe's article pages horizontally, left turn; Zhou Youguang's article is vertical, right over the pages.
experienced the economic structure of the era of
after the marriage of Zhou Youguang and his wife went to Japan to study. In 1935, Zhou Youguang gave up the Japanese school to return to Shanghai, taught at the Bank of Shanghai Guanghua University, and part-time, also participated in the Anti Japanese national salvation association. After the outbreak of the war of resistance against Japan in 1937, the bank is doing the work of Zhou Youguang followed the Republic of China
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"redpajama_set_name": "RedPajamaCommonCrawl"
} | 9,793 |
{"url":"https:\/\/zbmath.org\/?q=an:1112.60086","text":"## Recurrence and transience of excited random walks on $$\\mathbb Z^d$$ and strips.(English)Zbl\u00a01112.60086\n\nSummary: We investigate excited random walks on $$\\mathbb Z^d$$, $$d\\geq 1,$$ and on planar strips $$\\mathbb Z\\times\\{0,1,\\dots,L-1\\}$$ which have a drift in a given direction. The strength of the drift may depend on a random i.i.d. environment and on the local time of the walk. We give exact criteria for recurrence and transience, thus generalizing results by I. Benjamini and D. B. Wilson [Electron. Commun. Probab. 8, 86\u201392 (2003; Zbl\u00a01060.60043)] for once-excited random walk on $$\\mathbb Z^d$$ and by the author [Probab. Theory Relat. Fields 133, No. 1, 98\u2013122 (2005; Zbl\u00a01076.60088)] for multi-excited random walk on $$\\mathbb Z$$.\n\n### MSC:\n\n 60K35 Interacting random processes; statistical mechanics type models; percolation theory 60G50 Sums of independent random variables; random walks 60K37 Processes in random environments\n\n### Citations:\n\nZbl 1060.60043; Zbl 1076.60088\nFull Text:","date":"2022-05-28 04:32:56","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\": 1, \"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\": 0.6958669424057007, \"perplexity\": 1790.2364265491808}, \"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-2022-21\/segments\/1652663012542.85\/warc\/CC-MAIN-20220528031224-20220528061224-00482.warc.gz\"}"} | null | null |
Sigefroi de Bellême ou Sifroi est un évêque du Mans de 960 à 995. Il est issu de la famille de Bellême.
Il succède à l'évêque Mainard, frère de Raoul III de Beaumont-au-Maine. Il aurait acheté sa charge à défaut d'avoir une quelconque éducation ecclésiastique.
Notes et références
Articles liés
Famille de Bellême
Liste des évêques du Mans
Date de naissance non renseignée (Xe siècle)
Date de décès non renseignée (XIe siècle)
Évêque du Xe siècle
Évêque du Mans
Personnalité du haut Moyen Âge par nom | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 7,338 |
Q: c# NetworkStream BeginRead seemingly overwriting byte For some program, I want to send data over from a python program to a c# program. I put all of my data into a list in python and send it over after converting to bytes (packing them as doubles, so I have 8 bytes per number I am sending over). Having some understanding of how sockets and TCP streams work, the very first number in the list is the amount of bytes that the rest of the list takes up. Hence, the first 8 bytes of my stream tell me how many bytes I need to read to get all other data.
However, when I call BeginRead and it calls the callback, it has read 8 bytes less than I asked it to read. For instance, those first 8 bytes tell me there is 116432 bytes to read, but when I call EndRead it returns 116424.
Okay, so what? There's eight bytes missing, this amounts to one double being lost. This is a problem in and of itself, but I even figured out where this double has gone.
In python, at a specific point (while it is still doubles) in my data, I see I am sending this: "...,1961.0, 0.0128, 2033.0, 0.0442, 2034.0,..." when I inspect that same point in c# (after converting my bytes back to doubles), I see this: "..,1961.0, 2033.0002, 0.0442,2034.0,...".
To me, it seems clear that somehow these 8 bytes got mashed together into one, fusing the two number (bit-wise maybe?) together somehow. I have also noticed that the index of where this occurs in the byte data is roughly at the 64k-65k mark. So I'm suspecting that with 64kbytes being the max packet size of TCP packets, the stream has some kind of hiccup there and overwrites one part of my buffer without clearing it, leading to some literal mix up? Does anybody have any idea how I could fix this problem or what mistake I made that is causing this to happen?
I will paste the two relevant functions here.
private void Listen(int port)
{
try
{
// Perform a blocking call to accept requests.
// You could also user server.AcceptSocket() here.
var client = _server.AcceptTcpClient();
// Get a stream object for reading and writing
var stream = client.GetStream();
var pLength = new byte[8];
// Loop to receive all the data sent by the client.
while(_running)
{
if(!stream.DataAvailable && stream.Read(pLength, 0, 8) <= 0)
continue;
var nOfBytes = (int) BitConverter.ToDouble(pLength, 0);
pLength = new byte[8];
if (nOfBytes <= 0)
{
continue;
}
var localBytes = new byte[nOfBytes];
var scriptData = new ScriptData(stream, localBytes);
stream.BeginRead(localBytes, 0, nOfBytes, new AsyncCallback(GotAllBytes), scriptData);
}
// Shutdown and end connection
client.Close();
}
catch (SocketException e)
{
_errorBool = true;
_errorString = "Port: " + port + "\n" + e.Message + e.StackTrace;
}
finally
{
// Stop listening for new clients.
_server.Stop();
}
}
private void GotAllBytes(IAsyncResult result)
{
var scriptData = (ScriptData)result.AsyncState;
if (OnlinePaused)
{
scriptData.Stream.EndRead(result);
return;
}
var bytesRead = scriptData.Stream.EndRead(result);
_rawDataQueue.Enqueue(scriptData.Buffer.ToList());
}
Thanks for reading, I hope you can help out.
A: Thanks to Jeroen Mostert in the comments of the original question, this problem has been resolved by not working async but instead implementing a BinaryReader.
private void Listen(int port)
{
try
{
// Perform a blocking call to accept requests.
// You could also user server.AcceptSocket() here.
var client = _server.AcceptTcpClient();
// Get a stream object for reading and writing
var stream = client.GetStream();
var pLength = new byte[8];
// Loop to receive all the data sent by the client.
while(_running)
{
if(!stream.DataAvailable && stream.Read(pLength, 0, 8) <= 0)
continue;
var nOfBytes = (int) BitConverter.ToDouble(pLength, 0);
pLength = new byte[8];
if (nOfBytes <= 0)
{
continue;
}
var localBytes = new byte[nOfBytes];
var reader = new BinaryReader(stream);
ProcessData(reader);
}
// Shutdown and end connection
client.Close();
}
catch (SocketException e)
{
_errorBool = true;
_errorString = "Port: " + port + "\n" + e.Message + e.StackTrace;
}
finally
{
// Stop listening for new clients.
_server.Stop();
}
}
Thank you for everybody who was trying to help.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 1,402 |
Turnbull appoints Simon Hackett, others to NBN board
news Communications Minister Malcolm Turnbull today announced that he had appointed three senior executives, including Simon Hackett, Internode founder and doyen of Australia's broadband industry, to be non-executive directors sitting on the board of the National Broadband Network Company.
In a statement issued this morning, Turnbull said as part of the Government's continuing National Broadband Network reforms, three directors with extensive relevant industry experience had been appointed to the NBN Co Board.
"The three new non-executive directors are Patrick Flannigan, Simon Hackett, and Justin Milne," wrote Turnbull. "They further enhance the board's capabilities and expertise to provide appropriate oversight and guidance to this vitally important national project."
NBN Co executive chairman Ziggy Switkowski said: "This is a period of transition for the company and it will be a great asset to have a new board that brings decades of combined experience in the industry."
The trio will join current NBN Co board members Ziggy Switkowski, Alison Lansley and Kerry Schott. Switkowski was appointed by Turnbull in early October as NBN Co's new executive chairman, temporarily replacing the company's retiring chief executive Mike Quigley until a replacement can be found. Lansley and Schott are holdovers from the previous NBN Co board under the previous Labor Federal Government. Most of that board was asked to resign by Turnbull shortly after he took office.
The appointment of Hackett to NBN Co's board follows a minor social media campaign on the issue created by Delimiter, which had argued that the Internode founder's skills, temperament, experience and ongoing interest in the NBN project made him a perfect candidate for the refreshed NBN board under the Coalition.
Hackett graduated with a Bachelor of Science degree from the University of Adelaide in 1986. He then worked at the university and became a part of the team that created the Australian Academic and Research network (AARNet), the first emergence of the Internet in Australia.
In 1991 he founded Internode, an Internet Service Provider, and then in 1997 he founded its sister company Agile, a licensed telecommunications carrier. Over the next 20 years the company group deployed its own network to deliver ADSL2+, optical fibre, microwave, and fixed wireless Internet services around Australia to residential and business customers. Internode was one of the first companies to connect customers to the NBN in 2010.
The group was sold to iiNet Limited in early 2012, when it had around 180,000 broadband customers nationally. Simon joined the board of iiNet in August 2012. Hackett has been an opinion leader in the national broadband debate for many years. He is a fellow of the Australian Institute of Company Directors and a fellow of the Australian Computer Society. Hackett will resign his position on the board of iiNet at the end of this month to focus on his role with NBN Co, according to Turnbull.
Aside from his qualifications for a role at NBN Co, Hackett has also been one of the most vocal analysts of the NBN over the past several years since the project was founded in April 2009, and has proved uncannily accurate at predicting the future dynamics of the project.
As early as December 2010, Hackett warned that the ACCC's Points of Interconnect decision with relation to the NBN would cause massive headaches for smaller ISPs and a dramatic consolidation of the industry. The executive turned out to be right. In September 2011, Hackett warned that if the Coalition won the 2013 election and changed NBN Co's model, there would be a much greater impetus for other ISPs to deploy their own fibre, which is precisely what is happening currently with TPG.
In October 2011 Hackett called for ownership of Telstra's copper to be transferred to NBN Co as part of its deal with the telco, arguing future Federal Governments may want to use the infrastructure to build hybrid fibre to the node networks. This precise model is being discussed by Telstra and NBN Co right now.
In all of these cases, Hackett argued against conventional wisdom espoused by the previous Labor Government, the competition regulator (the ACCC) or NBN Co itself — and turned out to be accurate in his predictions about the future of the NBN project.
And even though Hackett has formally relinquished ownership of the company he founded and led to national prevalence, Internode, the executive still maintains one of the most prescient voices in the industry. In July this year, Hackett outlined a series of measures by which NBN Co could cut its costs and bring its pricy FTTP rollout more in line with the Coalition's FTTN-based alternative. NBN Co will be examining precisely this situation in its current strategic review of its operations, to be presented to Turnbull for examination.
Some issues remain around Hackett's involvement with the NBN. The executive currently holds a substantial tranche of iiNet shares, stemming from iiNet's acquisition of Internode. This could be seen as a conflict of interest for his position at NBN Co, given that iiNet is a substantial NBN Co customer. However, it could also be argued that Hackett's position gives him a solid position to represent the interests of retail ISPs on NBN Co's board.
Other directors
The other two directors appointed by Turnbull are similarly high-profile.
Milne first rose to prominence in Australia's technology sector as he joined Microsoft in 1995 as managing director of MSN, the company's first entry into the internet portal business, which he helped establish and develop in the Australian market. In 1999, Justin joined OzEmail as Head of Data Casting and was later appointed chief executive officer, in a role which saw him work directly with Turnbull, who was an early investor in OzEmail and helped in its public listing.
In 2002, Milne joined Telstra as managing director of Telstra's BigPond ISP division and was later promoted to the role of group managing director, responsible for Bigpond and Telstra Media. Milne ran Telstra's Bigpond business as it was transitioning from dial-up to delivering broadband services, increasing its customer base from 200,000 users to 2.5 million. During his time at Bigpond he also delivered and launched the first wireless broadband products in Australia and Milne was also involved in purchasing and operating new media businesses in China for Telstra. He resigned from Telstra in 2010 and is currently a non-executive director of Tabcorp, Members Equity Bank, NetComm Wireless, Basketball Australia and the Leichhardt Rowing Club.
Milne has previously been reported to have been a Turnbull pick for NBN Co's board. However, the executive's potential involvement in the NBN has come under strong criticism due to the fact that Milne has had a close personal connection with Turnbull in the past.
The third new director, Patrick Flannigan, will re-join NBN Co after a previous stint at the company. A construction engineer by trade, Flannigan joined Skilled Engineering in July 1990 and was promoted to executive general manager of the company in 1998, which included responsibilities for the Telstra and Optus HFC rollouts. He established his own business, Integrated Maintenance Services in 2000. Flannigan co-founded ASX-listed infrastructure provider Service Stream in 2003, where he was the chief executive from 2003 to 2009.
He joined NBN Co as the company's head of construction in 2009, where he managed the company's network construction and relationships with major contractors. However, the executive quit NBN Co in April 2011 under a cloud; just days after negotiations broke down between the fledgling fibre monopoly and some 14 construction firms about the construction of the nation-wide network.
Since leaving NBN Co, Patrick founded Utility Services Group, and is currently chief executive officer and managing director of the company, which employs approximately 2,000 people nationally, servicing linear infrastructure in the electricity, gas, water and telecommunications sectors. Patrick is a director of the Australian Grand Prix Corporation and has a business degree from Victoria University, is a fellow of the Australian Institute of Company Directors and a fellow of the Australian Institute of Management.
I think it's fairly clear what I think about the appointment of Simon Hackett to NBN Co's board. After all, I founded a petition to get him appointed, as well as writing an extensive article for Delimiter 2.0 (subscriber content) in late September on the issue. I wrote:
"As with journalists, the role of board directors is not to say comforting things to people in powerful positions. The role of directors is to bring all their skills to the board table and speak all the truth that they know, no matter how uncomfortable, for the benefit of the organisation they represent and its stakeholders. They are wise, disciplined, outspoken counsellors that aim to stop good organisations going off the rails.
It'd be hard to find a better description than this for Simon Hackett, who's been a wise counsellor to Australia's telco industry for several decades. And if the Coalition is going to stack NBN Co's board with past Telstra executives, it'd be nice to see a little energy and variety added to the mix — for example, someone who has spent the past couple of decades wrestling Telstra to get better broadband outcomes for all Australians.
Give Simon Hackett a call, Minister Turnbull. I positively guarantee you won't be disappointed. The only thing the Coalition might need to be concerned about is that Hackett might eventually end up running the whole show. But then, that outcome has worked out fantastically for Australia in the past."
I can live with the other appointees. There are doubts about Milne, and Flannigan has already had one stint at NBN Co. Both also have substantial conflicts of interest in sitting on NBN Co's board (as does Hackett himself, with his iiNet shares) However, the appointment of Hackett to NBN Co's board is a legendary move which will instantly buy Malcolm Turnbull back a swathe of credibility with both consumers and Australia's telecommunications industry. I suspect the Minister is very aware of that fact. You only need to look at the reaction to Hackett's appointment on social media today to see how popular Hackett's appointment to NBN Co's board will be.
I've published an article on Delimiter 2.0 (subscriber content) on the areas I think Hackett should focus on in his new role at NBN Co. A sample paragraph from behind the paywall:
"Not for nothing (and not just for their similar choice of facial hair and elegant glasses either) has your writer previously compared Hackett to Gordon Freeman, the stubborn protagonist of Valve's seminal video game Half-Life 2. Hackett has Freeman's drive, energy, and very likely his engineering skills with a crowbar. For the NBN, Hackett has long been the right man in the wrong place. His appointment this morning perhaps places him where he can be most useful to the project."
Image credit: Internode
Petition: Get Simon Hackett onto NBN Co's board
Why Simon Hackett should be on the NBN board
Simon Hackett quits Internode for iiNet board
Poison words: Turnbull + NBN board go to war
NBN Board: Turnbull not taking his own advice
best-of-the-week
justin milne
nbn co board
patrick flannigan
ziggy switkowski
Soth 12/11/2013 at 11:52 am
Damn you're quick :)
Renai LeMay 12/11/2013 at 12:05 pm
A decade of practice :)
Jorgen Smith 12/11/2013 at 12:05 pm
Speaking as an Internode customer of a decade at least, I've followed Hackett during this time and find him a strong voice of reason, intellect and sanity. I'm completely stoked to hear him being appointed as NBN board member. Congratulations, Simon – and Australia!
Soth 12/11/2013 at 12:09 pm
I agree, congratulations Simon, here's to the future.
haha yeah 12/11/2013 at 12:33 pm
Yup. No better person to have on your side selling Coalition FTTN plan than Simon Hackett :-) Instant kudos :-)
Alex 12/11/2013 at 1:05 pm
So, as we thought… you aren't at all interested in reviews, CBA's etc to determine what's best for all Aussies, after all…
You just want whoever possible, to sell the Coalition's plan..!
Thanks for the frank admission to Delimiter's worst kept secret :/
Ryan 12/11/2013 at 12:11 pm
Is it time for celebration yet?
This should also give a larger degree of transparency to the project.
Mathew 12/11/2013 at 2:11 pm
Not quite time for celebration, but is probably the best piece of news for Internet access in Australia for a long time, possibly as far back as Internode installing ADSL2+ DSLAMs in exchanges.
Geoff 12/11/2013 at 12:14 pm
Given Simon is a Non Exec Director and large shareholder of one of the most successful NBN RSPs it sure is an interesting situation. He will be a great voice to have on the board but let's not pretend he is a unbiased Internet evangelist who just want the bits to be free man.
Lionel 12/11/2013 at 12:38 pm
I'd have to disagree with you there. Of all people I think Simon can seperate what's good for the Australian public from what is good for his ISP. It has always amazed me how he would put the customer before Internode profitability. I really respect him for some of the decisions he has made in the past. I couldn't say the same for some other ISP owners, but Simon has always had great integrity.
Geoff 13/11/2013 at 9:09 am
Looks like he has resigned from the iiNet board, so evidently there were some concerns.
Brendan 12/11/2013 at 4:58 pm
As apposed to all the other board members whom have other affiliations?
I'm sorry — which other Board Member is the single largest shareholder in a leading telco? That's like saying I'm "conflicted" if I own ten shares in Network Ten and putting me on par with Gina, Lachlan and Jamie. Ludicrous.
Alex 13/11/2013 at 8:08 am
Sorry or not, it appears that even Malcolm isn't concerned otherwise Simon wouldn't have been appointed, meaning it's, well, just you who is making an issue and an issue regarding only one member and not the others (gee two sets of rules again, who'd have ever thunk it eh?)…
So does this mean your complete Telstra allegiance is even more important to you than your Coalition allegiance?
Shannon Pace 12/11/2013 at 12:21 pm
anyone care to start a betting pool on how long it takes for simon to get the s**ts with dealing with the other incompetent knobs around him?
i give it 6 months…
DZR 12/11/2013 at 1:07 pm
He's been engaging with Whirlpool users for years now – him getting the "s**ts" won't be an issue.
Charles 12/11/2013 at 1:25 pm
Brilliant reply :)
Shannon Pace 12/11/2013 at 1:44 pm
gold… :)
Duke 13/11/2013 at 5:48 am
Jees, talk about self congratulatory elitists, and this forum is, like, so superior to Whirpool dudes… yeah, right… grow up…
Shannon Pace 13/11/2013 at 8:59 am
you obviously haven't been on whirlpool very long.
it used to be a great collection of forums, but now is just filled with trolls and rude individuals.
and comparing these comments pages with the whirlpool forums is like comparing apples with oranges….
Celebration? You're still not getting FTTP. ;)
Trolls going to troll.
We are celebrating that there is someone with half a brain on the board of members now, someone who can speak their mind and someone from my knowledge isn't interested in Telstra shares.
If Zig got his PhD in Nuke PhyX with only "half a brain", he's smarter than I thought!
AJ 12/11/2013 at 12:58 pm
Did you learn to spell from video games?
In any case how does a PhD in Nuclear Physics give you the qualifications to run a Telecommunications company?
Soth 12/11/2013 at 2:07 pm
Because Lasers!
Nicholas 13/11/2013 at 10:38 am
lol, omg teh laz0rs!
Maybe not. But at least now there is one person involved with some integrity. Til now all appointments have been off yes men like yourself.
Harimau 12/11/2013 at 1:23 pm
But wouldn't it be great if you were wrong, and we did get FTTP?
Fibroid 12/11/2013 at 5:08 pm
The only outcome with integrity is not a Labor like FTTP rollout, in fact if it did mimic the Labor plan it would not have any integrity.
Woolfe 12/11/2013 at 5:37 pm
Yawn… lose the political rhetoric, no one cares anymore
Indeed Woolfe…
But yet he fully supports FttN… priceless, lol!
@Woolfe
'… lose the political rhetoric, no one cares anymore'
But Coalition bashing political rhetoric is fair game?
You are not using those words correctly. You may wish to revisit that.
Fibroid 13/11/2013 at 10:18 am
Woolfe 13/11/2013 at 11:25 am
What coalition bashing?
Most I am seeing is people talk about are FTTP and FTTN. Aside from the one off's who I mostly ignore anyway.
Lately the comments have been about whether or not there is conflict of interests in the board layout. Which there clearly is. Telstra has an inordinate apparent interest in the board at this point.
@ Fibroid…
"in fact if it did mimic the Labor plan it would not have any integrity."
Oh of course let me guess one word starts with L ends with abor…
Wow that's the second of the usual suspects to admit their cyclopic motive today. Must be out of the closet day is it?
"integrity". Are you kidding me? That's the best you can come up with?
That's the very definition of "clutching at straws".
You are hilarious. I actually laughed out loud. Nice one, buddy.
Fibroid 13/11/2013 at 9:41 am
So going into a election with a well known published NBN policy, you then win that election, then after the election you decide to go with a virtual mirror of the previous NBN policy, has nothing to do with integrity?
Nothing to do with integrity, and all to do with common sense, yes. You're the kind of person with strong brand loyalty, I can tell. It doesn't matter if another brand has the better product, you'll stick with the brand you know, and try to convince yourself that it's better.
PeterA 12/11/2013 at 12:46 pm
Had me checking the date for a minute there, but turns out it isn't even the 1st of any month.
Maybe Hackett worked at Telstra in Tech Support or something before all his other resume line items.
Snark aside; its a good thing, but a little odd. Hopefully he makes a good contribution. (reducing POI's would be great – but all the other Telstra hires might step on that one).
Adam 12/11/2013 at 1:16 pm
Curious why you think it is 'odd'?
(Serious question, I actually don't understand why you would use that word)
I can't speak for Peter but I found it 'odd' too, considering that the rest of the appointments to date generally fall under the umbrella of cronies and yes-men.
I don't hold much hope, and I hold more than a little cynicism. I'm certainly not an instant convert.
After all, Simon might have the right views, but he has just the one voice on the Board. I also have a suspicion that this is a clever political move by Turnbull to shoot down the accusations of cronyism, and it has appeared to work. "Here is a contrary view. You see, we're technologically agnostic."
But in terms of hope, it could be a way out for Malcolm on his apparent pre-election commitment to FTTN when he realises that it's technically and economically infeasible. It could be just different enough from Labor's approach to satisfy his boss Abbott. All politicians want to leave politics well-regarded, they all want to be remembered as having built something, or achieved something; but Turnbull, if he proceeds with FTTN, is simply the demolition-man: No one believes that FTTN is a long-term solution, not even Turnbull himself. The question is whether the bandwidth requirements outstrip FTTN or whether the copper deteriorates to disutility first.
The cynicism does outweigh the hope though.
waterytowers 12/11/2013 at 2:39 pm
I think Hackett was probably appointed because he is all for FTTB as an alternative for apartments. So we are still going to get a FTTN rollout. Nothing is changing folks, nothing to celebrate here, move along. He is also alone in a group of cronnies, so he will not have much of a say.
So the Colaition who won Government want to implement the Coalition NBN policy they released in April after all, and which they had as their pre election policy, wow that is a surprise.
Many here think we are still in the 'expert panel ' phase of 2009 under a Labor Government, time to move on into 2013-2014.
Lionel 12/11/2013 at 5:03 pm
Yes, because politicians brain fart policies are the correct way to implement multi billion dollar projects. Why bother with experts when you have ideology.
Were there ever a brain fart policy it was the Labor NBN plan, it was literally written on a single piece of paper during a plane ride.
Actually, Fibroid, the only one who thinks this, is you.
Everyone (almost) else has moved on. There's been an election – as you say the labor policy is now irrelevant – so why do you keep raising an irrelevant point as a response?
Join us, in the future. Where the relevance is.
+1 Brendan…
Unfortunately the foot soldiers aren't allowed to join us here in the now… because the present they are told to support which is simply a copy/paste of the past (i.e. the same FttN topology they ironically opposed back in 2007 when the "others" suggested it and they even referred to as fraudband back then) now in 2013 has so few plusses it easier for them to just keep negatively and incorrectly, harping on about the real and superior previous NBN…
In other words they haven't adjusted to being in government as yet…LOL
Who opposed FTTN back in 2007, who is 'they', what are you on about?
(You and) your ilk. Maybe what is in parentheses applies, but we'd have to trawl through the archives to find out.
Lol, you don't even know who opposed FttN in 2007…?
Better add another screen.
So that's a no then , both of you have nothing.
Alex 13/11/2013 at 10:48 am
And the childihness continues… *rolls eyes*
It's all there…
http://delimiter.com.au/2013/11/12/turnbull-appoints-simon-hackett-others-nbn-board/#comment-629349
Go on tell us you your self supported Labor's FttN in 2007?
You want to redo that link, that one is 100% conjecture.
Money where one's mouth is then…Fibroid.
As you infer you supported (or rather reject that you didn't support) Labor's FttN in 2007, please supply one link (just one) which shows you openly supporting Labor's FttN in 2007 (note not Telstra's previous frivolous FttN talk, of course you supported that).
I'm sure as a dyed-in-the wool Telstra and Coalition fanboi, you were torn between two lovers re: the party and their silly OPEL plan (there we agree)… but just one obvious link saying Labor's plan is the way to go in 2007.
Good luck, you'll need it, because like unicorns, we both know such a beast doesn't exist…
Odds on the inevitable and typical Fibroid disappearing act, about…. now?
@Alex
So that's a no then , both of you (still) have nothing.
No link eh… thought not.
One might cheekily suggest Fibroid = the missing link :)
I love your childish tenacity though… when there's no questions asked of you you childishly nit pick, exactly as you are doing now.
And although I find it odd, I also love the blind loyalty to the cause, by never denouncing the Coalition or FttN (yes FttN both you and the party opposed in 2007…LOL)….
All I have to do is ask a hot question to make you disappear, so I won't, let's see to what age commenting style you will retreat… I'd suggest you're at about 8 – 10 years old, ATM…
I look forward to the link to prove your claims…
Oh come on, now, Fibroid. Liberal footsoldiers like yourself described the FTTN NBN policy that Labor took to the 2007 election six years ago as "fraudband". Now, Liberal footsoldiers like yourself support the FTTN policy. Why? Not because it's a good idea – everyone, six years on, is now in agreement that FTTN is truly fraudband – but because you support the Coalition and everything they do. You would defend them to the last.
@Brendan
'Everyone (almost) else has moved on. There's been an election – as you say the labor policy is now irrelevant – so why do you keep raising an irrelevant point as a response? '
So you are getting behind the Coalition NBN policy then, sorry I thought from the content of your and others posts you were still pushing Labor FTTP NBN policy, with no change whatever to the subject matter and the Coalition NBN policy bashing strategy, and it continued on as if an election never happened.
It's great you have now decided the Labor policy is irrelevant and you have moved on.
I believe most of us are pushing to improve the problems in the Governments plan.
Those problems specifically being the long term cost of using a technology that has been superseded. The cost of the underlying infrastructure that said technology uses. And of course the problem of ensuring that we can get the best solution for the long term benefit of the nation.
Technologically, socially, and economically the Government plan of primarily FTTN is flawed.
'Technologically, socially, and economically the Government plan of primarily FTTN is flawed.'
Not that any one has explained in any one of those three categories let lone all three why it is flawed, apparently just saying it is more than sufficient, and don't expect any further facts to back it up.
They have all been explained time and time again…
At which point you inevitably deflect by oddly mentioning moving goal posts, tap dancing or abracadabra you just disappear. All to avoid the bleedin' obvious.
Seriously, deny it all you like, but we've all seen it time and time again and laugh at each occasion because more often than not, we now lay odds on which tack you'll use to avoid the facts and get it pretty much every time…LOL
So because you are unable (or rather I'd suggest more likely, not allowed) to actually accept the facts, doesn't mean the facts don't exist… Closing eyes and fingers in ears only blots out the facts… they are (sadly for you but gladly for all fair dinkum Aussies) still there.
'They have all been explained time and time again…'
Everywhere!
Okay, Fibroid, let's entertain the underlying premise of your argument:
Let's say that the Coalition's policy of opt-out internet filtering wasn't discovered during the election campaign, and they carried it forward to today. By your logic, the Coalition were voted in, so we shouldn't fight it and should just accept the filter policy sitting down. By your logic, the Coalition were voted in, so they can do no wrong.
Do you see the problem here? Governments aren't about winners and losers, and trying to win – or at least they shouldn't be. That's politics. The political phase and electioneering are over though. Governments are about trying to get the best outcomes for their constituents – or at least they should be. Do you disagree with my assessment of what governments should and shouldn't be?
Your example is flawed in the extreme, the internet filter policy was withdrawn before it was even released, I am not aware the Coalition withdrew their NBN policy that was released in April, well before the election, if you have have evidence they did please tell us about it.
Well if it's full steam ahead with their policy as you suggest, why are they doing "3 reviews"?
Which has nothing to do with the subject of policy withdrawal BEFORE an election.
Err Fibroid, if as you suggest they are belligerently going to implement it as per their BEFORE (in big shouty letters…) election policy anyway, why have wasteful reviews… just do it.
Because hellooo, OBVIOUSLY (also in big shouty letters) these reviews may actually suggest altering such a stupid… using obsolete copper which belongs to a private company, based FttN policy… I.e. altering their BEFORE (yes biggies again) election policy…!
You know, the government's policy you defend and love 24/7, which is the exact same topology you and the Coalition opposed and hated in 2007… *unbelievable*
Good try but another own goal, the actual reviews are part of Coalition NBN policy not separate from it, it is on the bottom of Page 12 where they actually stated they would initiate three reviews if elected.
So guess what happened, they got elected and they are doing three reviews.
That's lovely, but it doesn't address my question to you… So close off all the screens and answer my questions in your words not the party's…
So again…
Q1. If the government are going to implement their FttN policy regardless, why have 3 reviews?
Bonus question…
Q2. Where does the promised CBA fit in with… rolling out FttN as per pre-election come what may…?
They cannot say we will conduct reviews, CBA's etc to determine the best avenue … BUT we will rollout FttN regardless of the outcomes…
No one is that silly?
These are the obvious points you ignore.
There seems only one reason. Turnbull's stacked the review to go with what he wants. He needs the reviews to blame shift. In 5-10 years time when it becomes evident to even a Lib fanboi that FTTN is a dead end waste of money, he has an out.
Because the Coalition are not going to implement 'their FTTN policy regardless', they are your words not theirs, if you look at the Coalition policy under the heading NBN Co strategic review there are two key points in reference to FTTN :
"The estimated cost and time to complete the NBN if variations are made to the current plan, such as FTTN in established (brownfield) areas as proposed by the Coalition."
"The economic viability of NBN Co under alternative strategies"
Doesn't sound anything like a commitment to 'implement FTTN regardless' to me.
Alex 13/11/2013 at 10:26 pm
Oh… so after telling us (perhaps not in these exact words Mr Pedantic) the Coalition won the election, which included their brownfields FttN instead of FttP broadband policy and being so it is that policy they (having a mandate) will implement…
You now typically contradict yourself/back-flip and say FttN won't be implemented regardless…?
Q. for the umpteenth time. Just as you did with the previous government, will you bag the present government if any of their policies announced pre-election are altered post election?
A simple yes or no will suffice…
You deliberately failed to address the argument. If the Coalition released Policy X, doesn't matter what Policy X is, how terrible Policy X is, you would accept it, you would defend it, because they won the election, and you would truly believe it would be in your best interests. Because it doesn't matter what the Coalition does, to you they can do no wrong. It doesn't matter what Labor does, they are the Enemy, and they can do no right.
Fibroid,
So are you saying, if the policy was not contested that, post election you would not oppose mandatory filtering because it was a party policy?
Think carefully now. I'm asking you to confirm whether you would belligerently defend filtering in exactly the same way you've defending FTTN – all because it was coalition policy prior to an election.
Whether or not it was, post election is actually beside the point. Because you constantly refer to pre-election policy. Remember, filter was an actual policy. It existed. That Malcom had it struck is entirely because of the backlash – claiming a misunderstanding.
So. Again. I ask would you be defending it like you've defending other pre-election policies? I think we both know you would be.
Just like FTTN now is fantastic, but was 'fraudband' when Labor first called for input.
\breath
\sigh
\relief
Thank goodness Malcolm is listening to some things said by the public (and indie press, of course)
Fat Pat 12/11/2013 at 1:29 pm
Just as long as he doesn't try and push his stupid idea of a single ethernet port NTD, he'll do fine.
Let's hope he can turn Turnull around and deliver a LOT more fibre…..
Jay 12/11/2013 at 1:46 pm
Would you prefer FTTN to ISP supplied NTD? Anything that can make the coalition comfortable with more FTTP is a good thing in my opinion.
You know, if a single ethernet port was the down-side … I'll take it.
> Just as long as he doesn't try and push his stupid idea of a single ethernet port NTD, he'll do fine.
If you look at the use cases then a single ethernet port NTD is a good idea to save money. Simon is on the record as saying a four port NTD could be provided on demand.
> Let's hope he can turn Turnull around and deliver a LOT more fibre…..
If you want more fibre at faster speeds then the only way to do that is to cut costs and with no justification you've just excluded one of the quickest ways to cut costs.
Oh for heavens sake, what would the savings be? Probably a few bucks only – this has been discussed in extremis.
By removing the multi-port NTD you remove the ability of the NBN to be a ubiquitous broadband communications medium and make it what we have now – a single-mode access that locks us into one RSP. This will keep prices high and prevent the ability of other companies to be able to deliver another service via the one device (IP-TV, Pay TV, Government Services, etc).
The 4 port NTD is the thing that delivers the ubiquity and competition that will deliver cheaper broadband – which is precisely why some in the industry (and their shills) are opposed to it!
Hey, look at it this way. Would you rather a fibre connection where you or the ISP provide the NTD, or FTTN (where you provide the VDSL modem anyway)?
If it makes them happy politically to say they are saving by not providing a full NTD, so be it. They will need to at least provide a simple NTD with phone port only, on demand, for those who never want BB but want to keep their phone.
Considering the minimum wholesale cost of one port on the NTD is $30 do you really think a user would choose to have 4 services delivered at a cost of $120 a month when any service you can think of could be delivered via a single ISP (you could easily have internode as your ISP and Foxtel as your paytv and government ehealth services etc.. as well all delivered over the internode connection)
I can really only see multi-port NTDs used by businesses for redundancy purposes and as simon has said they can be provide as requested. To have a truck roll just to install the NTD is incredibly wasteful when the vast majority of users would not want to waste an extra $30 a month (+markup) for something that could've been done on their single connection.
Optic Fibre isn't "plug and play". Accept that please. THAT has also been discussed endlessly on WP. If you have FTTP, you will have a truck roll.
IF you want FTTN, then you can self-install to your heart's content – go for it
I can see a whole world where the ability to use all 4 ports on an NTD will keep the RSP's honest (sorry Don Chipp). We need to get away from the old way of thinking – and a government owned NBN providing wholesale-only ubiquitous broadband access will allow us to start on this new journey.
However, with the "savings" being a matter of a few bucks, then I would personally be happy to spring for the difference.
I believe that 7T came up with a breakdown of the various costs, and the NTD was priced around $130 IIRC
I think the idea is that NBN Co saves the installation and NTD cost, and it gets passed on to the RSP who would send out their own technicians to install the device(?), who would pass the cost on to their customers. But there is obviously the issue of the ease of changing provider. I don't understand enough about the technology, so I'm just spitballing here, but would assuming that the customer owns the port/NTD, plus a legally-upheld standard among devices, ease that issue somewhat?
But I am more in favour of the current 4-port NTD personally.
The big issue with a single-port NTD is that it makes it hard to move from one RSP to another in any sort of a hurry. By having a spare port you can move to anew RSP instantaneoulsy. This will keep the RSP's on their toes – and is probably the big reason why Simon pushed that barrow.
It "empowers the consumer" in a way that "free enterprise" hates!
Would it be feasible to have just 2 ports on the "basic device" then? Or is that basically just downsizing the 4-port NTD with little in the way of savings?
I wouldn't have thought it would make any difference to go from 4 ports to two (or just one) the money needed for the development has been spent, the unit is in production. They don't need to spend *any* more money to deliver the product. They would only require more money to nobble the device down to two or one ports – pointless in other words.
I'll defer to others, but the savings would be tiny, and would only allow anti-competitive behaviour to flourish
Well, there are the technicians' install costs, not just the cost of the equipment, to consider – if we were to let the RSP do the installation that is (which is Simon's suggestion, I believe). If you could recall where the cost-breakdown done by 7T is for me, I'd like to have a look at that.
Also, I was under the impression that Simon's single-port idea was to be a far simpler device. I was wondering whether that simple single-port device could be changed to a simple dual-port device, or if in fact you'd have to have a complex NTD like we have now (in which case, why bother? A working design exists.)
Why is it not plug and play? Simon Hackett seems to think it is. He even says that there are low cost commercially available GPON routers on the market. What is different about plugging a fibre patch lead in vs a copper patch lead?
Because the Network Boundary Point is the NTD. Your router plugs into the ethernet port of the NTD. You could also plug a PC straight nto the NTD, negating the need for a router in certain circumstances
You have issues with safety and service agreements when customers play with fibre leads – it isn't as easy as may be thought. What if there's a bit of dirt on the face of the patch lead. When the NBN sends a tech out to fix the inevitable fault, the customer is going to be rather upset when they get billed for the service call from their "free install" NTD wouldn't you think?
What about the drongo who looks "down" the fibre and burn his eyesight out?
There are other problems with customers playing with network equipment as well, surely it's better to let the network operator look after the gear?
It's not better if it leads to billions being wasted to install something which looks like a complete mess. And it's certainly not better if the only option is ISP supplied NTD with FTTP vs ISP supplied NTD with FTTN. I'd choose FTTP every time.
Where do these "billions" you speak of come from?
The NTD delivery is actually quite elegant and simple to use – and allows the use of multiple services. I am, of course, referring to the lastest version install with the one inside box. the original installs were indeed a complete mess!
An RSP supplied single port NTD will perpetuate the stranglehold on each customer that they currently have.
There will be NO savings, as the customer will be required to pay for the (RSP supplied) NTD (whether through a plan or up front matters not) and it WILL require a truck-roll to install it.
Since NBN last reported on install costs that they were below their projections, you can hardly argue that they will be then expecting the costs to be greater – and with NBN now being expected to "negotiate" with Telstra to buy the copper, we will all end up paying for Abbott & Turnbulls' Fraudbad Folly!
What do the new NBN boxes look like? I have only ever seen the following:
-Battery backup box
-NTD
-Fibre wall outlet
-router
It looks like this: http://tasmaniantimes.com/images/articles/03da4faf2b6a7373997784f96190832f.jpg
The battery backup box is next to useless as it only keeps PSTN alive. It would be possible for consumer routers to be manufactured that all in one could do the job of the battery backup box / ntd /router and it would provide backup internet and wireless as well. That's 3 devices into 1. Way neater and I don't see any issues with self install. I also don't see why the same device couldn't be used with different isps just as we do now with ADSL routers.
nonny-moose 12/11/2013 at 9:03 pm
jay i believe there was a firmware rollout in the last month or two that makes the battery backup also good for IP – had a power outage here in Qld with storms the other week; the NTD kicked into battery mode and continued serving pages; no worries. mind you having a UPS for the router also helps, but as long as you can supply power to the network consuming devices you can continue right on as you were the instant before power outage. much more useful than only the UNI-V (which im not using atm anyways).
aiui the new setup is fibre patch on wall to NTD to router or direct PC link. no battery backup box installed with NTD unless requested.
@Jay:
Gallery: what an NBN fibre installation looks like
@jay: Outdated, though, apparently (7 months ago). I didn't know about the battery backup thing.
Does anyone have any pictures of what a current install looks like?
> I can see a whole world where the ability to use all 4 ports on an NTD will keep the RSP's honest (sorry Don Chipp). We need to get away from the old way of thinking – and a government owned NBN providing wholesale-only ubiquitous broadband access will allow us to start on this new journey.
The gold plated NTD is a good example of Labor's waste. As of April 2013, 47% of NBN fibre connections were 12Mbps. Just how many of those people do you think would using more than 1 port? Why would you use more than 1 port when for $15 extra (retail) you would have more than 4 times the speed? To suggest that most people will use more than one port is almost as laughable as expecting most people will have 1Gbps connections on the NBN under Labor's plan
> However, with the "savings" being a matter of a few bucks, then I would personally be happy to spring for the difference.
Simon's comments in ways to cut costs suggested it would be more than just a few dollars. For argument's sake lets say it was $30 extra for 9 million connections. Only an extra $27 million (plus 15 years of interest payments). Simon is also perfectly happy for you to pay the extra money for a 4 port NTD if you require it.
The thing is, as Fat Pat pointed out, the unit has been designed and is in production already. Call it Labor waste if you like – whatever – it would certainly be waste if you stopped using it. The actual per unit cost isn't that high, so the savings there aren't that high. And who gets the savings anyway? Under the original plan, the user pays (but the cost is spread out in monthly bills for several decades). If the RSP rolls it out, the RSP will just pass the cost on to the user anyway. They're just more likely to be stuck on a contract or pay a larger connection fee.
You calculated $270 million (you made a typo) by multiplying $30 by 9 million homes, plus interest. Divide that again by the number of users. Divide that by the number of years it will take to repay the investment, divide that by 12 (the number of months in a year), and you get the extra monthly cost to the user. I'd be interested to see what you come up with.
Mathew 14/11/2013 at 12:00 am
> The actual per unit cost isn't that high, so the savings there aren't that high
Are there any figures on the cost per unit? I vaguely remember suggestions the cost per unit could be as high as $600.
Suggestions that it would cost as much as $600-700 were laughed down.
Better suggestions were in the vicinity of $100-150.
Someone who works for a vendor suggests the cost would be at most $150 for a 100Mbit capable device, and $170 for a gigabit capable device.
http://delimiter.com.au/2013/09/30/rethinking-nbn-hacketts-just-getting-started/#comment-625655
But the cost alone is only part of the equation.
You have to look at the relative cost of a simpler structure (e.g. single-port, no fancy electronics and firmware) – is it much different? How much would it cost?
Assuming the difference is about $100, that extra cost is spread out over 15 years or so, so, what, 55c (real, not nominal) per month for a significantly better piece of kit.
Then you have to consider what benefits it actually confers – there's legacy handset support (though I wouldn't mind dropping the UNI-V ports personally) and let people supply their own battery backups (the battery backups are optional now though anyway), the ability to easily and smoothly switch ISP with zero downtime by simply switching the port you plug your router or PC into makes the competitive environment that much better and keeps ISPs from locking people into their service because of the inconvenience of switching ISP. Having the redundancy is valuable.
Then you have to consider in the case where the RSP supplies their units, that consumers would have to pay the FULL cost of deployment anyway (truck roll, technician time, and unit cost) either up-front or hidden in their monthly fees and contracts, with profit thrown in for the RSP, and without the benefit of economies of scale.
Probably the simplest design that meets the aforementioned outcomes would have 2 data ports, and would be supplied by NBN Co; and in most cases that would be just perfect (it would even suit those who want separate home and business connections for example). But once again, the question is, how much money is even saved between a 2-port data-only device, and the current 2+4 port NTD?
I'm not convinced either way on this one. I can certainly see the appeal of multiple ports on an NTD of a single standard though. If a single port makes the NBN roll-out significantly *faster* (i.e. the resources dedicated to the NTD install can be transferred to fibre drops elsewhere), then I can get behind it, though I'd probably still request the standard NTD myself. If it's only cheaper, then I think that the benefit of multiple ports, battery back-up, a standard device, etc outweigh the price considerations, considering the NBN is meant to repay its own investment anyway.
So anyway, Mathew, you don't still support FTTN do you?
And I'm still waiting for a comprehensive case for purely-CVC-based charging (with no AVC charge). I'm not closed to the idea.
> So anyway, Mathew, you don't still support FTTN do you?
I've never been a fan of FTTN, but the reality that under Labor's plan, FTTN would deliver the same or better result than FTTP for around half of Australia.
> And I'm still waiting for a comprehensive case for purely-CVC-based charging (with no AVC charge). I'm not closed to the idea.
I think there should be a nominal charge for AVC. Why not work on the numbers yourself? I'd be curious to see what assumptions you make.
> I've never been a fan of FTTN, but the reality that under Labor's plan, FTTN would deliver the same or better result than FTTP for around half of Australia.
No, Mathew, that is NOT the reality. Under Labor's plan, at least half would be much better off, and at most half would be at least a little better off with FTTP than otherwise. Anyone who, today, uses a basic service (or only a phone), would still be better off with fibre. Anyone who, today, uses broadband, would be much better off with fibre.
There is no evidence or justification for the idea that "FTTN would deliver the same or better result than FTTP for half of Australia", and that is a factually incorrect statement. Please retract it.
>> And I'm still waiting for a comprehensive case for purely-CVC-based charging (with no AVC charge). I'm not closed to the idea.
> I think there should be a nominal charge for AVC. Why not work on the numbers yourself? I'd be curious to see what assumptions you make.
You should put forward your case, as you are the one making the assertion. Unless you don't have one?
> No, Mathew, that is NOT the reality. Under Labor's plan, at least half would be much better off, and at most half would be at least a little better off with FTTP than otherwise. Anyone who, today, uses a basic service (or only a phone), would still be better off with fibre. Anyone who, today, uses broadband, would be much better off with fibre.
You've overstated the case that half would be much better off. Lets look at the numbers from Labor's NBNCo Corporate Plan:
* Only 70% of premises passed by fibre will connect
* ~50% will connect at 12Mbps (quarter the speed offered by FTTN in 2019)
* Based on this 35% may be better off with FTTP
* Greenfields will still receive FTTP (~22%), so that reduces it down to 28%.
From the 28% who might be worse off, you then need to exclude:
* Those who won't notice a real difference between 50 and 100Mbps
* Those who purchase fibre on demand (at ~$3000 the investment is quickly returned compared to Labor's $150/month in AVC)
I'll leave you to suggest some estimates for those numbers, but the reality is that Labor's incompetence means FTTN is not as bad an option as it should be.
> There is no evidence or justification for the idea that "FTTN would deliver the same or better result than FTTP for half of Australia", and that is a factually incorrect statement. Please retract it.
Now that I've provided the evidence, will you issue a retraction?
As for an example of people worse off under Labor's NBN plan?
* My parents currently have a 16Mbps ADSL2+ connection. As they are on a pension they would opt for cheapest option so would end up with a slower connection
* Labor planned to bypass towns of under 1000 premises and push those communities onto wireless while maintaining the copper phone lines. Those communities should be better served by FTTN, especially as most premises are with a 1km of the exchange.
We waited and as expected, here it is…
TrevorX 13/11/2013 at 6:17 pm
God Mathew, WTH is wrong with you? How much do your parents currently pay for their ADSL2+ Internet service + phone line? $60/month in total or thereabouts? Entry level FTTP NBN plans at 12mbps are half that. Add a phone service for $10/month and they're still $20/month better off. They could be $10/month better off on 25mbps, or for the same money they'll be on 50mbps.
Now please explain how your poor parents will be worse off under FTTP? Not how they will be worse off in comparison to your fictional ideal NBN where $30/month gets you 1gbps fibre.
Mathew 14/11/2013 at 10:35 pm
> How much do your parents currently pay for their ADSL2+ Internet service + phone line? $60/month in total or thereabouts?
There current ADSL plan is $59.95 (including nodephone)
> Entry level FTTP NBN plans at 12mbps are half that. Add a phone service for $10/month and they're still $20/month better off. They could be $10/month better off on 25mbps, or for the same money they'll be on 50mbps.
Internode, so cheapest NBN plan is $49.95 + $5 for Nodephone. So potentially $5/month better off financially for the loss of 4Mbps in speed.
> Now please explain how your poor parents will be worse off under FTTP? Not how they will be worse off in comparison to your fictional ideal NBN where $30/month gets you 1gbps fibre.
1. The 12Mbps plan price points are discounted and reliant on NBNCo being able to raise ARPU from under $30/month to over $100/month
2. The fibre would be capable of running 1Gbps by simply changing a software setting. Their low quota would limit their impact on the network, so it wouldn't be noticeable.
If the NBN is going to be subsidised by charging power users more, I'd rather that the charges where weighted towards data rather than speed, because this has more chance of people experiencing the real benefits of the NBN. The selfish advantage is that when I visit, I just need to give Dad $20 for the extra data block consumed by the kids watching videos, rather than a complicated speed upgrade / downgrade process.
Mathew, how one-eyed are you?
> You've overstated the case that half would be much better off. Lets look at the numbers from Labor's NBNCo Corporate Plan:
Actually it's:
* 100% of premises in the fixed-line footprint will be passed by fibre under FTTP, including 22% Greenfields – only the Greenfields will be passed by fibre under the Coalition's FTTN-focused plan
* 78% of premises are Brownfields
* Only 70% of ALL premises passed by fibre will connect
* Therefore, 30% of ALL premises will be no better off under FTTP or FTTN (as they do not use fixed-line internet)
* less than 50% of those will require 12Mbps (1/2 the speed offered by FTTN in 2016^, or 1/83 the speed offered by FTTP in 2021)
^ only 90% of the fixed-line footprint will have get an upgrade to a minimum of 50Mbps under FTTN, therefore we retain a minimum of 25Mbps if we are considering the lot
* more than 50% of those will connect at higher speeds better than ADSL's maximum and FTTN's guarantee – in other words, more than 35% of all premises would be much better off
* based on this, less than 35% of all premises will require 12Mbps – they will still be a little better off under FTTP, because of the reliability of the service, the stability, the latency, and its lower prices, and better services driven by competition – they would still only require a 12Mbps service under FTTN but will gain no advantage in reliability, stability and latency; even if they are part of the Greenfields, they will still only require 12Mbps and order that service.
You have conflated "what is delivered" with "what is required" in several instances, and with several inconsistencies. I have corrected those errors.
> I'll leave you to suggest some estimates for those numbers, but the reality is that Labor's incompetence means FTTN is not as bad an option as it should be.
You keep talking about "the reality" but it's clear that it's just some logically-inconsistent fantasy of yours.
How you could in one moment talk about 1Gbps-for-all, and then in the next, push the idea that FTTN is a good idea, and somehow in your mind a better idea than FTTP: It's a complete farce.
And you still have not provided a case for your 1Gbps-for-all-scenario, which I await eagerly.
I don't know why I keep responding to you when you are so infuriatingly selective and misrepresentative of information. You also have a clear problem with avoiding the questions being asked. I guess I just have an issue with leaving your poorly-substantiated assertions unanswered.
Also, upload speeds.
> Mathew, how one-eyed are you?
Clearly less than you. I'm going to keep this short and point out only your most obvious and clearly wrong statements.
> Actually it's:
> * 100% of premises in the fixed-line footprint will be passed by fibre under FTTP, including 22% Greenfields – only the Greenfields will be passed by fibre under the Coalition's FTTN-focused plan
WRONG. Labor's FTTP plan was to connect 93% of premises with fibre. In my post I clearly pointed out that towns that currently have ADSL would not have received FTTP under Labor's plan.
> based on this, less than 35% of all premises will require 12Mbps – they will still be a little better off under FTTP, because of the reliability of the service, the stability, the latency, and its lower prices, and better services driven by competition
Competition is likely to still exist with FTTN and wireless providers put an upper limit on what can be charged. A shorter distance to the node will increase stability and latency. If less money is spent then prices are likely to be cheaper. Secondly if people are choosing the basic service, then they are unlikely to care about tiny improvements so this is irrelevant.
>> I'll leave you to suggest some estimates for those numbers, but the reality is that Labor's incompetence means FTTN is not as bad an option as it should be.
> You keep talking about "the reality" but it's clear that it's just some logically-inconsistent fantasy of yours.
I've never said that FTTN is a good idea. I've merely said that Labor's incompetence means that FTTN is a valid option when looking at the end-user experience for the majority. This means two things: Labor's NBN would never have delivered the benefits they promised and Labor had very little understanding of what they were attempting to achieve.
> And you still have not provided a case for your 1Gbps-for-all-scenario, which I await eagerly.
I've explained numerous times that it is data that places more load on the network and that rebalancing the wholesale rates (which will occur over time anyway) will deliver a better outcome for all Australians.
> I don't know why I keep responding to you when you are so infuriatingly selective and misrepresentative of information. You also have a clear problem with avoiding the questions being asked. I guess I just have an issue with leaving your poorly-substantiated assertions unanswered.
I've focused on the end-user experience rather than the technology being used. My poorly substantiated assertions are mostly based on information in the NBNCo Corporate Plan, where as you have made factually wrong statements.
>> Mathew, how one-eyed are you?
> Clearly less than you. I'm going to keep this short and point out only your most obvious and clearly wrong statements.
In other words, you're going to be selective with your information, selective with what you choose to reply to, and not actually address the entire thing in full. True to form, Mathew. I expected no different, but still, what a disappointment.
>> Actually it's:
> WRONG. Labor's FTTP plan was to connect 93% of premises with fibre. In my post I clearly pointed out that towns that currently have ADSL would not have received FTTP under Labor's plan.
Your failure to read does you no credit. I said quite clearly, "in the fixed-line footprint"
>> based on this, less than 35% of all premises will require 12Mbps – they will still be a little better off under FTTP, because of the reliability of the service, the stability, the latency, and its lower prices, and better services driven by competition
> Competition is likely to still exist with FTTN and wireless providers put an upper limit on what can be charged. A shorter distance to the node will increase stability and latency. If less money is spent then prices are likely to be cheaper.
I never claimed otherwise.
> Secondly if people are choosing the basic service, then they are unlikely to care about tiny improvements so this is irrelevant.
Not irrelevant at all. "unlikely" Pure unsubstantiated conjecture. "tiny improvements" Massive improvements; this depends on each user's own perspective. The fact is you can't pick and choose here. Do they or do they not receive a better service? They do. Your assertion that FTTN can be better is utterly false.
>>> I'll leave you to suggest some estimates for those numbers, but the reality is that Labor's incompetence means FTTN is not as bad an option as it should be.
>> You keep talking about "the reality" but it's clear that it's just some logically-inconsistent fantasy of yours.
> I've never said that FTTN is a good idea.
You have fully supported FTTN, but this likely because it was Coalition policy, not because it was a good idea. In fact, I suspect that you don't care about real outcomes, you only wish to fight for the Coalition and against whatever Labor has ever touched. Evidence for this is, despite your supposed belief in 1Gbps-for-all, you will settle and even fight for FTTN.
> I've merely said that Labor's incompetence means that FTTN is a valid option when looking at the end-user experience for the majority. This means two things: Labor's NBN would never have delivered the benefits they promised and Labor had very little understanding of what they were attempting to achieve.
Your claims are unsubstantiated, and nothing but pure conjecture. I have continually asked for you to substantiate your claims, and you have failed to do so.
>> And you still have not provided a case for your 1Gbps-for-all-scenario, which I await eagerly.
> I've explained numerous times that it is data that places more load on the network and that rebalancing the wholesale rates (which will occur over time anyway) will deliver a better outcome for all Australians.
Show me the numbers. Show me your assumptions. Show me graphs even, I'm a visual learner.
>> I don't know why I keep responding to you when you are so infuriatingly selective and misrepresentative of information. You also have a clear problem with avoiding the questions being asked. I guess I just have an issue with leaving your poorly-substantiated assertions unanswered.
> I've focused on the end-user experience rather than the technology being used. My poorly substantiated assertions are mostly based on information in the NBNCo Corporate Plan, where as you have made factually wrong statements.
I have made no factually wrong statements in this thread. Your focus on the end-user experience is actually AGAINST the end-user experience, not FOR the end-user experience, and that's where your problem lies.
> Your failure to read does you no credit. I said quite clearly, "in the fixed-line footprint"
In the fixed-line footprint, I take to be where copper currently runs, not where Labor planned to connect fibre.
> Not irrelevant at all. "unlikely" Pure unsubstantiated conjecture. "tiny improvements" Massive improvements; this depends on each user's own perspective.
The perspective we are talking about is the 50% who have opted for 12Mbps. These people are unlikely to be demanding users and therefore a difference in performance would need to be significant and larger than other influences (e.g. websites under load, slow DNS, network congestion, etc.)
> I have made no factually wrong statements in this thread. Your focus on the end-user experience is actually AGAINST the end-user experience, not FOR the end-user experience, and that's where your problem lies.
The last time builders cut through my copper cable, I used an Optus 3G dongle and I was pleasantly surprised that at 3Mbps for the most part the performance was not noticeably different or more unstable than my 11Mbps ADSL connection. Considering that I spent 90% of the time connected via VPNs with sessions open to servers, instability would have been noticed.
I'll make the point again that for the at least 50%, I seriously doubt they would notice the difference between 12Mbps ADSL and 12Mbps FTTP when browsing facebook. Sure a gamer playing a FPS with ping statistics would, but they are unlikely to be in the 50% connected at 12Mbps.
What you need to show is significant, noticeably improvements.
Harimau 15/11/2013 at 11:28 am
>> Your failure to read does you no credit. I said quite clearly, "in the fixed-line footprint"
> In the fixed-line footprint, I take to be where copper currently runs, not where Labor planned to connect fibre.
And you are wrong.
>> Not irrelevant at all. "unlikely" Pure unsubstantiated conjecture. "tiny improvements" Massive improvements; this depends on each user's own perspective.
> The perspective we are talking about is the 50% who have opted for 12Mbps. These people are unlikely to be demanding users and therefore a difference in performance would need to be significant and larger than other influences (e.g. websites under load, slow DNS, network congestion, etc.)
That's not what we were talking about. You try to downplay the significance, and I counter it. It's a simple disagreement. You think I'm wrong (because it suits your argument), and I think you're wrong (because it is true, but also because it suits my argument). We will never agree on this, and you will never be objectively correct. The less than 50% who opt for the basic service do benefit a little or a lot (depending on what their connection is like now) and it is certainly not "irrelevant". This person switched from his poor connection (unspecified) to an NBN fixed wireless connection: presumably, he is on the lowest speed plan, and yet he talks about how revolutionary it is for him. Are you going to completely reject and deny his experience? The fact is, 12Mbps is close to or better than the national mean, mode and median averages. The fact is, fibre provides far greater reliability, stability and latency improvements, among other improvements, over the copper. The fact is, the NBN is offered for far better prices. That's my evidence. What you have is a simple assertion "no, they don't benefit" in favour of your argument.
>> I have made no factually wrong statements in this thread. Your focus on the end-user experience is actually AGAINST the end-user experience, not FOR the end-user experience, and that's where your problem lies.
> The last time builders cut through my copper cable, I used an Optus 3G dongle and I was pleasantly surprised that at 3Mbps for the most part the performance was not noticeably different or more unstable than my 11Mbps ADSL connection. Considering that I spent 90% of the time connected via VPNs with sessions open to servers, instability would have been noticed.
Thank you for your anecdote. I would suggest that you are an outlier. I'm not sure why you think you want 1Gbps when you barely max out 3Mbps. And if your 3Mbps wireless connection was as good as your 11Mbps ADSL connection, that suggests that your copper connection was quite poor, providing further anecdotal evidence against the viability of FTTN.
> I'll make the point again that for the at least 50%, I seriously doubt they would notice the difference between 12Mbps ADSL and 12Mbps FTTP when browsing facebook. Sure a gamer playing a FPS with ping statistics would, but they are unlikely to be in the 50% connected at 12Mbps.
When you reduce the argument to "browsing facebook" you are being disingenuous and unrealistic. Even today, people on ADSL do far more than just "browse facebook". Even if all they did was "browse facebook", they'd also use services like youtube and facebook's own embedded videos, requiring the full extent of the 12Mbps connection. They would certainly notice a difference. Besides, it is far more likely that most of these people who only "browse facebook" would be part of the 30% who don't sign up to the NBN at all, not part of the less than 35% who sign up for the basic NBN service.
Stop pushing this argument. You have nothing more than your own assertions to support it.
> What you need to show is significant, noticeably improvements.
What you need is to not cherry-pick parts of the comment, so that you can avoid parts that are unfavourable, and instead reply to the lot. Ignoring the argument doesn't make it go away, it just demonstrates your irrational belligerence.
Denis C 12/11/2013 at 3:14 pm
Colour me cynical but…
The one thing I've learned from Turnbull is that
"Turnbull does NOTHING that's not in Turnbull's best interest".
Whilst "on the surface" this is great news, I'll be holding off the party for a bit yet.
After all, even shark infested waters can look good for swimming..on the surface.
Cameron 12/11/2013 at 8:30 pm
It occurs to me that if Malcolm had finally seen the [monocromatic] light then there would be no better appointment.
I suspect if anyone could, it would be Hackett that has the ability to mount a highly compelling argument for more fibre that even Tony Abbott couldn't refute with access to all the data.
haha yeah 12/11/2013 at 9:00 pm
And what is that compelling argument? In all his blog posts and Commsday talks, I still haven't seen one.
I am sure Hackett's company doesn't have a problem with FTTN at all.
"Yet with FttP on the wane as the Coalition's policy kicked in, iiNet was re-emphasising its commitment to VDSL2 – and hoped that Telstra would do the same."
http://www.zdnet.com/telstra-must-fix-dilapidated-copper-for-libs-fttn-nbn-iinet-7000021893/
Thanks Alex for the link from another discussion.
GongGav 13/11/2013 at 10:46 am
You (and fibroid) remind me of a story I read yesterday. White supremist, pushing his agenda to have his town be whites only, was shown proof that he was descended from Saharan africans. 14% to be precise.
His response was to declare the evidence as non-scientific, and justify it as "statistical noise". It didnt fit his mentality to accept that he had negroid blood in his system, and by his own definition couldnt live in his town. The look on his face was priceless.
You're not much different. Put as much proof in front of you as is humanly possible, and you fob it off as statistical noise. There will be some minor point or so that, in your mind at least, renders the rest of the information as useless. Yet when it goes the other way and people prove your points invalid, its just "labor fanbois" or some other tag that are just showing their bias, or desire to download their porn faster, or some other bullshit excuse.
FttN is a colossal waste of money, and serves no significant beneficial purpose to Australia. But you dont have it in you to even debate the point, or even consider that you could be wrong. Which actually amuses the rest of us most of the time.
Fibroid 13/11/2013 at 12:32 pm
@GongGav
'put as much proof in front of you as is humanly possible, and you fob it off as statistical noise.'
What proof exactly? – if you remove conjecture and tin foil hat conspiracy theory it really doesn't leave much, so what PROOF are you referring to, proof of what?
' There will be some minor point or so that, in your mind at least, renders the rest of the information as useless.'
There you again, conjecture is not information.
'FttN is a colossal waste of money'
Conjecture.
' and serves no significant beneficial purpose to Australia'
' But you dont have it in you to even debate the point, or even consider that you could be wrong. Which actually amuses the rest of us most of the time.'
What point do you want to debate here, leaving out conjecture as a debating point, which is a exercise in debating nothing, what point is left ?
GongGav 13/11/2013 at 1:43 pm
@fibroid
I'm not going to bother going through every example with you, as you simply ignore every comment you dont like. Let me give you an example.
The Los Angeles FttH story, you asked me for a response outlaying why I think FttN is a waste of money. I gave it, go read it. You ignored the response, I choose to assume its because you didnt like the answer as it was inconvenient to your stance.
As I said in that response, our internet usage has been remarkably consistent in that it doubles every two years. Minor variations aside (its actually a little ahead of that), extrapolating that number into the future shows FttN wont deliver on our needs very shortly after the plan is finished, even if its on time and on budget.
But thats conjecture to you, so you ignore it. Even if the dates are out by a year or two, the problems are laid out as plain as day, but you've ignored it and moved on. There's nothing wrong with the conclusions, but every time someone lays it out in front of you, you disappear.
Simple fact: At the very consistent rate of growth the entire world has experienced for decades, FttN will be outdated at approximately the same time the rollout is completed here. No conjecture there, its extrapolation based on historical data.
A rational argument against FttN, ignored by the anti-FttH crowd such as yourself and haha yeah. Backed up by decades of evidence.
I'll tell you whats conjecture, Turnbulls claims that FttN can be rolled out by 2016. There is no evidence to say he can achieve that. To date, he's rolled out zero FttN, and at that rate it will take him until infinity to roll it out.
referencing white supremacy in a comment about another user *and* stating that "FttN is a colossal waste of money, and serves no significant beneficial purpose to Australia".
Yup. This is your first and last warning. Pipe your comments down. Next offence I will ban you for a month.
Renai
Really? That disappoints me. It seems a shoot first, ask questions later mentality, but oh well.
The white supremist comment, fair enough. It wasnt comparing him to that level of society, it was comparing him to someone who goes to extremes to ignore information put in front of him. No offence was intended. But how about asking what I meant before threatening the banhammer? And please note that I didnt compare him to the individuals beliefs, but was setting the scene.
If you knew my family history you'd know how disgusting my personal feelings towards people like that are. I 'd never compare anyone to them or their beliefs. Quite the opposite.
As for the comments about it being a colossal waste of money, again, look at my comments. I've justified my claim, go read the LA FttH comments for the full argument. Summary is that if our net needs continue to rise at the rate they have for [bold] decades [/bold] then it gets finished in 2019, just in time for our needs to go beyond the 80 Mbps it is expected to deliver at peak speeds.
At which point, its $30b for a project that has 2 years service before it needs upgrading. If that isnt a waste of money, I dont know what is, and for the amount this project is costing, colossal isnt a far stretch. As I said, read my other post I reference. Do you think $29.5b for something that quite possibly needs upgrading in 2021 is value for money?
Where is that extrapolation so wrong I deserve a 1 month ban? I back my comments up with my logic and numbers. If you disagree, thats your right, but prove my conclusions wrong before you threaten to ban me. If you still think its so wrong that I deserve a 1 month ban, then so be it. I guess my time here has ended. And you lose a voice that has experience, and backs his statements up.
Which is sad considering the various other commentators that dont back their statements up, ever. You say this is an evidence based site, which is ironic when you threaten to ban someone that actually provides it while letting those that dont carry on trolling daily.
re this:
"serves no significant beneficial purpose to Australia"
I think we can all agree that upgrading Telstra's copper network to FTTN would deliver significantly faster broadband speeds to most Australians currently on ADSL.
That's a technical fact, and I don't think you can argue with that. Because of this, your comment is irrational. You can argue something does not represent value for money, but you can't argue that upgrading the copper to FTTN would have absolutely no point — because it would clearly deliver significant service delivery outcomes.
Fair enough. Let me be clear though. Fibroid pisses me off, and at times I will emphasise a point beyond where it probably needs to be. Haha yeah, not quite as much, he appears to just be trolling for laughs, but fibroid NEVER answers any responses that give any justification. Between the two of them though, a comment here or there is going to be a little sensationalised at times as I get pissed off needing to address what I see as closed minds. We all fall for it.
Yes, FttN is a step above copper. I wasnt referencing that with my comment, only looking at a superfast broadband world, comparing FttH and FttN. In that regard, it is a waste of money in my opinion, and serves no purpose beyond maintaining our sub-par global ranking at the dismal level it is at the moment.
$29.5b Govt debt for a service that provides "up to" 100 Mbps versus $30.4b Govt debt for one that starts at that level. And that line alone gives 2 or 3 areas that I'm refering to with the attitudes of haha yeah and fibroid. And frankly I get sick of having to repeat the same information to the same people for those same people to ignore again and again.
Please, I think I've backed my comments up enough in the past that rather than go straight for the banhammer, you can at least ask for context with a statement first. Dont need to agree, just get clarification first.
End of the day, if you want to allow people like fibroid and haha yeah to make their own wild claims without backing them up, give the rest of us some respect when we react. We wouldnt be so pissed off with them if they actually engaged in debate rather than just trolling most of the time. And fibroid repeating all his Liberal spiel without evidence isnt debate. Its propaganda.
I don't think you should concede that. The choice is between FTTN and FTTP. No one has suggested staying on the copper. Picking between the two, where the delivery times and government funding is very similar yet the outcomes are vastly different (particularly in terms of meeting future demand and the actual longevity of the infrastructure), FTTN does well-deserve the label "pointless". It is pointless to spend billions of dollars on a network that is effectively obsolete moments after it's built.
Anyway, I don't know why you've been singled-out for irrationality. I haven't noticed Mathew's irrational and oft-repeated "FTTN would deliver the same or better result than FTTP for around half of Australia." (or phrased similarly) leading him to be singled-out.
OK let's get stuck into this.
"The choice is between FTTN and FTTP."
No, no it's not. In the medium term, a lot of people will be staying on HFC while either is built, and if we get FTTN, a lot of people won't shift off HFC for a decade or more. Then there is FTTB, which is viable for many metropolitan areas. We're not looking at a binary choice here. And of course, long-term, there is only FTTP, but that's in the long term. A lot of people will, of course, be served by some form of mobile broadband, as they are already.
"Picking between the two, where the delivery times and government funding is very similar yet the outcomes are vastly different (particularly in terms of meeting future demand and the actual longevity of the infrastructure)"
Uh, no. Even Mike Quigley has acknowledged that FTTN is much faster to deploy than FTTP. That's a fact. And current rollout speeds under FTTP are backing this up. FTTP takes a *lot* longer.
"FTTN does well-deserve the label "pointless". It is pointless to spend billions of dollars on a network that is effectively obsolete moments after it's built."
IT'S NOT POINTLESS WE GET FASTER SPEEDS. SPEEDS WE DON'T HAVE NOW. OBJECTIVELY THERE IS SOME POINT AS COUNTRIES LIKE THE UK HAVE STARKLY PROVEN. AND YOU CAN UPGRADE FROM FTTN TO FTTP DOWN THE TRACK.
You people have got to understand that "FTTP or nothing" is not a viable concept. It's a joke.
What we're seeing around the world is a mix of FTTN and FTTP, with some FTTB and also a lot of wireless. Even Japan does FTTB with wireless from the basement. You people love to simplify things down drastically, but the reality is that it's a very complex discussion. We're seeing heterogeneous networks globally, not homogenous networks. The sooner you ram that down your craw, the more likely I am to take your comments seriously.
I, for one, am fucking tired of such imbecilic arguments being made on Delimiter. If you want to argue that there is absolutely no point to deploying FTTN under any circumstances whatsoever, then I encourage you to fuck off and comment on some other site, because I, for one, have had a gutfull of a very complex discussion being reduced constantly, even on articles that have nothing to do with it, to "FTTN versus FTTP".
This is clearly a point that frustrates you, but something I doubt people will agree on if they have their specific opinion. $30b isnt an insignificant amount, so to plenty of us it becomes a pointless exercise when there is no time for anyone to recoup that cost, before they have to start investing in the next era of technology, or have Australia start to fall behind again.
50 Mbps for a service, delivered at a time when we'll be looking at over that speed as a standard speed. With speeds clearly doubling every 2 years, how do they serve our needs in 2021? Or 2023? My point, and others, is that whatever benefit we gain from upgrading is lost through the cost that doesnt appear to be recoup-able.
Just out of curiosity Renai, when do YOU think we'll need the 100 Mbps plus that FttH delivers? I've gone on record as 2021, and justified why. But what about you? So far you've argued that there is a short term benefit of upgrading from ADSL2 to FttN, but when do you think FttN will become outdated? Thats the long term date you mention in regards FttH.
By the way, I'd like to point out that once again fibroid hasnt responded to my post above, specifically laying out the reasons I disagree with him. This is his standard approach and make no mistake, he would have seen it. Consider how much thats going to piss people off that take the time to answer his accusations with their reasoning.
once again you conflate 100Mbps speeds only with FTTP. HFC cable is delivering 100Mbps speeds to many Australians *right now* and yet you appear to be arguing that the only future is FTTP. And you also completely failed to address the FTTB issue, which is also capable of delivering speeds of 100Mbps and is doing so in some areas in Australia right now.
You have got to get your brain out of this FTTP versus FTTN debate. It's a false dichotomy. If you don't, yes, I will apply the banhammer.
GongGav 14/11/2013 at 9:28 am
Renai,
Les see if I can answer this without 2 pages of junk. Using FttN v FttH is simply a convenience to stop going off on tangents every time the debate comes up. If you like, I'll refer to it as >100MBps v <100Mbps as thats just as accurate. Little harder to follow, but just as good a summary.
But using FttH v FttN isnt dumbing it down, its simplifying the terminology. Most here, on both sides, fully understand that its more than just those 2 technologies. As the others are mostly a done deal though (personally, that includes FttB – see below), we tend not to refer to them and simplify it down to what can change.
You've run this site long enough to know that people are going to summarise online, its a natural thing to do. At the pub over a beer, you have the time to fully spell things out and get into detail, but thats not always the case online.
What happens in 2023 when our needs hit 200 Mbps? Its that simple. What happens then? The Liberals are building a network that for the most part expires at that point. HFC and FttN either need to be upgraded, with technology not yet usable in any practical form, or replaced with FttH anyway.
Is that worth it? This is the key problem I have, and I have repeated that over and over with no response from anyone against FttH. FttN and HFC have a useby date that we're very quickly coming up to, and it worries me that people arent starting to plan for that day.
FttB, I dont reference it because I think we'll get it one way or another anyway. It still has limitations, but I expect the copper loops will be small enough that they can push speeds through fast enough to find a solution, or wait til the MDU's need to do repairs that would be seeing fiber anyway.
I tried to add to the last post (edit time ran out) that I dont actually have any problem with FttN if thats what we end up with, and I've said as much in the past. But while the debate is still ongoing, make no mistake that I'm going to voice what I see as issues with it.
By the way, fibroid still hasnt responded to my post. Not an unusual situation for him, but dont you find it strange that he baits and then ignores people when they give substance?
And I still put more waffle in than I wanted, even after retyping it twice…
The tl;dr version is: As soon as you complete FTTN, demand will be right behind or have outpaced it. How do you meet demand then? As soon as you complete FTTN, you have to make a new investment in FTTP. How do you pay for the original investment then? FTTN, today, is a pointless exercise.
If we had started rolling out FTTN 6 or more years ago, if we owned the copper or if the copper were cheap to buy or lease, if the copper were in better-repair, then FTTN would be a great idea. That's a lot of if's. If such a thing had occurred, well, we would be on it now, and we'd be discussing using vectoring to buy us time until we can upgrade, and we would be talking about the inevitable move to FTTP, what form it should take and when it should begin. It would probably be less of a political football. Too bad that's not the case.
Sure, I was mistaken to phrase it as a dichotomy. I admit that. But in my mind, the implication was clear – we are talking about the Brownfields footprint for which the Coalition had, prior to the election, dictated FTTN. Now we are arguing for FTTP in those areas, and against FTTN. FTTB, wireless, and other technologies were outside of the scope of discussion.
I agree that FTTB would be very well suited to MDU's (and NBN Co had already been trialling it, right?), as the copper distances are relatively short and probably in better repair. But even then, they are a stop-gap measure. Fibre is the end-game. However, they, at least, would stop the gap for long enough to meet growing demand and recoup investment.
Wireless is no substitute. What is delivered and what is required are different things. Imagine if you moved house, and the only option there was wireless, while your last home was FTTP. The previous resident found that wireless was perfectly suited to his purposes, but you obviously don't feel the same. Too bad.
HFC, as you point out, could serve to stop the gap. In an ideal world, the NBN would have been rolled out to areas currently inadequately-served, e.g. not areas covered by HFC. But this is the real world, and HFC coverage is patchy at best, and where is HFC coverage found anyway? In denser, more affluent urban areas, where it would be cheapest to deploy infrastructure, and where the bulk of its revenue would come from to repay its investment.
Honestly, I'm disappointed that the most important outcome of the NBN for you is "BETTER SPEEDS". If better download speeds was the primary objective, we wouldn't need the NBN anyway, we've got 4G in many areas with coverage growing rapidly, and as you point out, HFC in some others.
grump3 13/11/2013 at 10:44 pm
I guess Turnbull's pricing of FTTP at approx $90B will prove to be quite realistic after all?
$30B now then another $60B to convert & upgrade to fibre in 2021.
Should work well in the already reasonably serviced & competitive metro areas but what about rural communities lacking that choice & competition?
Ongoing subsidies or much steeper charges?
As a retiree on a tight budget I suspect my only present option of a crappy 1Mbp/s ADSL1 service will remain the much cheaper option currently costing us $40/mth for 200GB.
ferretzor 12/11/2013 at 4:01 pm
MT doing an end run on Abbott?
But seriously, you would have to think that Simon Hackett will continue to be his "own man" and tell it like it is. Not just on what should be built and how it should be structured, but on the actual progress and issues that are bound to be encountered in an ongoing rollout.
Well done Mr Turnbull!
No doubt Hackett knows a lot about Oz telco scene being an industry insider. But, the fact is unless he disposes of his massive shareholding in iiNet, every time he purports to speak "in the interest of the consumer", etc, the other NBNco board members will take everything he says with a healthy dose of cynic-laced salt. His massive personal financial conflict of interest renders his credibility ineffectual.
So to make it fair.. All other board members must dispose of their Telstra shares due to the personal financial conflict… Nice try.
Fair point Soth.
Vicomte 12/11/2013 at 5:53 pm
As hard as it is for you to believe, there are people in the world who can still be objective. Even when it's not in their own self interest. You may not know any of these people. Likely they would avoid you.
yeah see that's the thing, all those people with vested interests in telstra.. pot, kettle, black my friend.
Turnbull has invested in a fibre network, in France. I presume he should divest that, less it be a conflict for FTTN too, right?
Funny how "it's okay as long as it's Telstra" is considered valid argument of late.
'Turnbull has invested in a fibre network, in France. I presume he should divest that, less it be a conflict for FTTN too, right?'
But you ignored that France Telecom is also rolling out FTTP as well, so he needs to divest his interest in FTTN and FTTP and promote what – ADSL2+?
This should be interesting. Simon Hackett is not backwards in coming forwards.
Merus 12/11/2013 at 5:26 pm
This feels like a fob-off to me – Hackett won't be given the opportunity to share his experience or his advice with the people doing implementation, and his appointment is a PR stunt designed to get Delimiter to back off for a bit. The strategic review will go ahead as planned, and will say exactly what Abbott wants it to say, and any opportunity to build a future-proof network will be squandered.
In Australia, our governments are very good at creating systems that give the appearance of stakeholder contribution without ever actually letting them contribute.
Anna 12/11/2013 at 7:36 pm
Simon's appointment has nothing to do with Delimiter. Do you have any insight to support your baseless statements about what the NBN will do or won't do?
It's true, Delimiter does have overwhelming power over politicians :) I take total credit for Hackett's appointment. I will actually be asking for a raise from the Editor.
Haderak 13/11/2013 at 10:37 am
Renai is one of those FACELESS MEN!
Seriously though, Delimiter FTW. Care to calculate the odds of Hackett being put on the board if not for the actions of Renai LeMay? It was certainly a contributing factor. You've made a big, big impact here Renai – and I think the country will be thanking you for a long time.
Renai LeMay 13/11/2013 at 10:46 am
I think it's Hackett that has made the big effort over the past several decades. Yesterday I thanked the man for his continued service to the telecommunications industry :)
Jay, you really need to get up to date. The "New" NBN Connection box is about 233×195 and houses the NTD, FWO, excess fibre AND the new "brick" power supply. It is far tidier, and far more elegant.
IF you chooses the old power supply, then the latest firmware supplies power to the Uni-D ports too, not just PSTN as you state.
I have yet to see a manufacturer provide the sort of device you have asserted exists, please show us the links. The self-install won't work with fibre, and isn't the industry "norm" world wide, do you think we should buck the international trend and open up NBN to all sorts of litigation?
The RSP provided NTD makes it hard to move provides, which means that many people won't be bothered (too hard basket) so allowing the RSP's to get lazy. Also people are reluctant to be without broadband for very long, so a tardy migration by an RSP will cause them a lot of grief. By having the ability to activate a new RSP port prior to cancelling your current plan will keep the RSP's on "their toes" and provide a far more dynamic experience for us all.
Or, do you oppose freedom of choice and better customer experiences?
I didn't assert that such a device existed – I just said it would be easily in the realms of what a manufacturer could design.
I tried to look for the new NTD that you speak of but I can't find it anywhere on the NBNCo website?
You say that having customer/isp supplied NTDs would be bucking the trend. Why is it that billion manufactures a GPON router? http://www.billion.com/product/gpon/BiPAC9300VNXL-GPON-VoIP-Wireless-N-Gateway.html
I am totally for freedom of choice and better customer experiences. I think FTTP will provide a significantly better experience than FTTN and the coalition would need a pretty big excuse to go to FTTP where we stand. I also think having a big clunky 4 port NTD WITH pstn lines that no one going forward really wants is a complete waste. I would much rather have a small device that connects directly to the GPON that does wifi and ethernet . Why waste time, money and electricity on a device which isn't needed.
Jay, http://www.google.com.au/url?sa=t&rct=j&q=&esrc=s&source=web&cd=1&ved=0CCsQFjAA&url=http%3A%2F%2Fwww.nbnco.com.au%2Fassets%2Fdocuments%2Fpreparation-and-installation-guide-for-sdus-and-mdus.pdf&ei=bOaBUobbFaykiAeA54DwAQ&usg=AFQjCNFOpiZ9InssBpFpWsVHZeTgBLBD3A&sig2=ySr-9BnclhNJQG0kCGvSqQ&bvm=bv.56146854,d.aGc – page 22. Did you really look very hard?
Here's an installation http://www.youtube.com/watch?v=DRuFl393b9k&feature=youtu.be
There's very few GPON routers out there, and since the NBN Co will be terminating the network connection, they need to be able to trust the end device and it forms part of their fault-finding equipment, so needs to be trusted.
i.e NBN co will need to certify it, so the manufacturer will need to front up those costs. I haven't heard any of them bragging about that yet, so we can assume that this hasn't occurred.
Will you guarantee the serviceability of the device and be prepared to pay for a site-visit if they prove your user-supplied equipment is the cause o the fault?
The device uses around 8-10 watts and isn't "clunky" at all, and considering the abilities it CAN deliver it is pretty good piece of kit. As for PSTN, there's already plenty of people in Vic Park (Perth) who have PSTN-only services, so I'd hardly say that "no-one" wants it.
I believe the device is absolutely needed to change the way we deal with and deliver broadband in this country, and to forever break to domination that RSP's have over their customers through their resistance to rapid migration between service providers and the fact that no current broadband (non-NBN) plans allow more than one RSP per line per premises!
I repeat the fact that RSP's oppose the multi-port NTD because of the threat that it places upon their monopoly per premises – and it appears that you support a lack of choice in this matter.
The backup battery is still a separate unit and is huge and you will still need a router as well so it's still 3 devices which could be 1 unit. I agree it does look a lot neater than before.
PSTN might be relevant now but over the planned lifespan of the network is a complete waste of money and time especially when carriers could deliver their own VOIP device for people who want voice only services.
I agree the NTD has benefits but I would be entirely comfortable forgoing those benefits and saving a bit of money in the process if it means we actually get FTTP vs being lumped with FTTN. If the gov is to change its mind (which is highly unlikely) it will need to claim it can deliver FTTP cheaper and faster than labor could.
Most people seem to want to avoid the BB, so really it's a moot point. I could care less about PSTN backup, so won't be choosing it (if I am allowed to get FTTP).
No, you won't need a router. A single PC can work on the NBN natively from any Uni-D port. With multiple devices then yes you will, probably in the realm of $50 from Jaycar/Altronics – no difference than if you were FORCED to go with FTTN – as Turnbull will obligate you to BYOD, so it is also a moot point.
With FTTP, your install – up to the NTD – is free of charge, I'd imagine that FTTN will cost several hundreds (lead-in modifications, central splitter, "labour", etc) to get to the save point.
You seem focussed on the NTD being a waste of money, yet it has been developed, so It.Won't.Cost.More now. It's a remarkably flexible unit, and with it's ability to break the stranglehold that that RSP's have over the retail delivery, we should do all we can to keep it as it is.
Why do you think Simon advocated it? To allow iiNet and co to continue their dominance – he is well aware of the "danger" it poses to their cosy arrangements!
So, you keep dancing around, but your basic thrust is the "massive amounts of money we could save – Billions?" by allowing the NBN to even be nobbled with an FTTP delivery to protect the RSP's stranglehold. The savings aren't there, never have been on the scale that Simon (and you) assert. it's just FUD, being thrown around by conflicted groups, and being ably supported by some here.
> Why do you think Simon advocated it? To allow iiNet and co to continue their dominance – he is well aware of the "danger" it poses to their cosy arrangements!
iiNet are successful because they deliver a product that customers want at a reasonable price.
Fat Pat 14/11/2013 at 11:10 am
Indeed, but customers want the ability to be able to change in a short time, so they don't lose the convenience of their broadband connection.
This isn't just with the internet. The same has happened with mortgages and telephone number portability.
A multi-port NTD facilitates the change between carriers as well as providing other services without the need to install new gear. i.e. 1 truck roll rather than 4 (if you had 4 different services – Foxtel, IPTV, Govt Service, Broadband)
> Indeed, but customers want the ability to be able to change in a short time, so they don't lose the convenience of their broadband connection.
I thought the NBN was touted as having a less than 4 hour down time when porting between providers? This is similar to porting your number between mobile providers.
So, are we going to see an article on D exhorting Hackett to dispose of his MASSIVE SHAREHOLDING in iiNet (one of biggest operators locally) in the same way Malcolm was vilified and hounded for his measly France Tel shares (a company operating '000s miles away) for the sake of consistency? Somehow, I doubt it. Tony Rabbit will turn gay before we witness such even-handed treatment in tech media.
Nooooo, haha yeah…
Malcolm was vilified for hypocrisy… telling us all one thing but doing another…
See the difference… ? No I thought not :/
I think Soth said it best here in relation to shareholdings (even though it was you who was trying to make cheap points on the issue in the first place…lol)…
Gordon Drennan 12/11/2013 at 8:50 pm
So now you all turn out to agree with me. So now you're all applauding the appointment of a guy who is pushing exactly the sort of ideas I have been of doing it simpler and cheaper. I said long ago Hackett and Switkowski would be the dream team to run NBNCo. Switkowski heading the board, and Hackett as CEO. Not that fool stuck in the 20th century and Alcatel-Lucent, Quigley.
The trouble is that, at least so far, Hackett will just be a member of the board. What use are his ideas and his customer focus as just one board member. Hackett isn't that sort of manager.
The only thing we disagreed with was FTTN and wasting cash, not doing FTTH cheaper. You were all for spending less on a solution that would cost more in the long term. You said long ago Switkowski and Hackett? Really? I have only seen you post long inane political rants.
Agree entirely Lionel.
A cynic might suggest with all of the ex-Telstra yes men being accumulated, that Simon is the token choice, simply for some actual tech cred…
I'm guessing these other hardened businessmen will make sure Simon the tech guy, clearly knows who runs the business…
The Treat 13/11/2013 at 1:47 pm
I share your concern. A teaspoon of sugar is soon lost in a plate of bullsh…..
Ian M 12/11/2013 at 9:27 pm
Without reading all the comments, great news! I think. I just hope this isn't another Peter Garrett style appointment. He was outspoken, once.
RBH 12/11/2013 at 10:16 pm
About 18 months ago when I started reading Delimiter I got the impression that Renai had a serious man crush on Malcolm Turnbull but then after he was called for jumping a shark it seemed that it was all over.
Do we cue shooting stars and fireworks again?
If Malcolm was listening to Renai about getting Simon on board, dare we suggest that he should get Renai on board too? That would be something!
I'm building up to eventually getting myself appointed NBN Co chief executive. The national press conference will be in four weeks. I'll be standing next to Ziggy and Malcolm wearing a lovely pin-striped suit and a $700 tie. The catering has already been booked.
Just don't tell the Editor :)
Well ok then! This is the first good thing this new government has done so far, congrats!
(PS, No, I didn't vote for them – this still isn't worth it :)
Jason 13/11/2013 at 5:07 pm
Its a bad move it shows turnbull isn't interested in what good for consumers , it's people who are for profit
Hacket will want profit for internode,iinet no different to telstra, optus etc
areas what need affordable internet and fibre to the premesis will still be disadvantaged
its a shame the author and people are talking this appointment up , when it not going to make any difference
I suggest you spend some time researching Simon Hackett's commentary before making baseless assertions. He is respected by many because of the strong customer focus of Internode. He genuinely over a long time provided a premium product, innovated and interacted with the community. Decisions were explained on whirlpool, even failures like flatrate. Simon supports his position with hard facts, not political spin.
> Areas what need affordable internet and fibre to the premesis will still be disadvantaged
I suggest that you look at the rural networks that Agile (Internode's sister company) built in regional South Australia. I believe that Simon would have pushed further into rural communities, but Telstra's exorbitant changes for backhaul meant it was not feasible to install DSLAMs in many communities. Many cities had DSLAMs installed as a result of competitive backhaul being built by Labor.
Jason 14/11/2013 at 6:50 am
you can defend Simon Hackett all you like
Its still doesnt change the facts , Hackett isnt going to get turnbull to change much
The comments which favour Hackett are delusional if they think the fttp is saved
Lionel 14/11/2013 at 10:59 am
Hackett may or may not have any influence in that area. It is however the only appointment of someone who will call a spade a spade and not simply bend over for Turnbull.
> Its still doesnt change the facts , Hackett isnt going to get turnbull to change much
I cannot think of another person in Australia who would have a better chance of changing Turnbull's mind. Simon made some comments about the impact of the ACCC's 121 PoI decision. After being robustly criticised by Conroy, less than 12 months later NBNCo started providing 150Mbps of free CVC at each PoI because RSPs wouldn't have been viable.
> The comments which favour Hackett are delusional if they think the fttp is saved
The Labor FTTP fanboi club need to appreciate that Labor's FTTP plan was only concocted to save face after Telstra rebuffed their FTTN plans. I acknowledge it was a good idea, but the directions given to NBNCo by Labor resulted in failure. A robust criticism and suggestions on how to fix the problems is the only hope of saving FTTP.
Alternatively we could just ask Google to build the network. They might actually pay tax in Australia that way ;-)
> I acknowledge it was a good idea, but the directions given to NBNCo by Labor resulted in failure. A robust criticism and suggestions on how to fix the problems is the only hope of saving FTTP.
Excellent. So you no longer support FTTN.
I agree we should have a robust criticism and suggestions on how to fix the problems. We agree that FTTN is not a solution to the problems with FTTP, merely a misguided distraction from the real issues. We have to consider the outcomes: Delivery, future-proofing, retail competition, equity and fairness, value to the consumer, cost to the consumer. (What else do you suggest are the outcomes?) Then we can identify problems with respect to those outcomes. Then we can put forward ideas, and where possible, model those ideas. *hint hint*
I cannot think of another person in Australia who would have a better chance of changing Turnbull's mind. Simon made some comments about the impact of the ACCC's 121 PoI decision.
Because internode would not be making the profits that Hackett wanted would be one of the main reasons
Sorry to say but Hackett is on the nbn co board , more for business profit then for consumers benefit
Hackett will not stop turnbull form going to fttn
Actually no. To keep the 121 POI is beneficial for Hackett. It keeps smaller players and startups from competing. Don't let that get in the way of your demonising him though.
> Sorry to say but Hackett is on the nbn co board , more for business profit then for consumers benefit
The biggest cost in NBN plans are the NBNCo wholesale charges – reducing those will benefit consumers. Simon Hackett is one of the few who have provided constructive criticism and proposed solutions.
Competition is tight in the RSP space and Simon leaving the iiNet board will be a definite loss to the company.
> People need to be aware Simon Hackett will not make any difference
Simon's CV suggests that he has made a difference in Australia for the past 30 years. Negative comments like yours increase the likelihood that FTTN will be the dominate means for providing internet in Australia.
*CHOKE* Most cities have DSLAMs installed because of competitive backhaul built by the PRIVATE SECTOR likes of AAPT, Optus, PIPE, etc. NOT LABOR. Go ask the DBCDE of all the regional backhaul built as part of the expensive blackspots programme under Conroy, how much of it is currently being utilised by the so-called competitors. (Surprise, surprise, the whinging cherry-pickers cherry-picked those regional backhaul markets too.) More taxpayer money wasted.
> *CHOKE* Most cities have DSLAMs installed because of competitive backhaul built by the PRIVATE SECTOR likes of AAPT, Optus, PIPE, etc. NOT LABOR.
Follow the DBCDE between Adelaide and Darwin, then see how many DSLAMs were installed after it was connected.
Jason 13/11/2013 at 11:30 am
Bad appointment
will Simon Hackett complain to the accc, about turnbull's anti competitiness ?
Asmodai 14/11/2013 at 12:14 pm
And it took all of 15 mins for the legends at whingepool to start nitpicking/insulting/complaining…
Stay classy guys…
I can not beleive how people have given turnbull the ok to destroy the nbn co, because he has put hackett on the nbn co
Again the facts is NBN will not be fttp or going to the people who really need it , it will be going to the areas what are profit for the nbn
People need to be aware Simon Hackett will not make any difference
> Again the facts is NBN will not be fttp or going to the people who really need it , it will be going to the areas what are profit for the nbn
The reality that under Labor's FTTP plan the faster speeds would have been too expensive for those who don't live in the profitable areas to afford it.
Harimau 15/11/2013 at 12:11 pm
Stop talking about "the reality", when what you claim is "the reality" isn't actually "the reality". Say instead, "my opinion".
The true reality is that under Labor's FTTP plan the faster speeds would have been paid for by those who were prepared to pay for them. 100Mbps plans start from $50 a month and would support high-quality VoIP, while ADSL + home phone bundles for similar quota starts from around $40 (e.g. TPG standard bundle). Those who need more data (and of course you would), reasonably large quotas start from around $80-90 under the NBN, while a similar quota under ADSL starts from around $70. The difference in price is small, and the difference in value is large.
The limiting factor is not what people can afford, it is what people are willing to pay for. If I had the NBN, I'd definitely pay for a 100Mbps connection with generous quota, and I am by no means wealthy. In fact, I'd say I'm from the poorer end of town. It would help that I wouldn't need to pay $35 a month for a landline.
I hate to say this to people but Simon Hackett will not be able to stop the government signing the tpp
After the coalition went to the election promising no censorship | {
"redpajama_set_name": "RedPajamaCommonCrawl"
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//Problem 5. Sort by string length
//You are given an array of strings. Write a method that sorts the array
//by the length of its elements (the number of characters composing them).
using System;
using System.Collections.Generic;
using System.Linq;
class SortByStringLength
{
static void Main(string[] args)
{
Console.Write("number of strings: ");
int n = int.Parse(Console.ReadLine());
string[] myArr = new string[n];
//fill array
for (int i = 0; i < n; i++)
{
myArr[i] = Console.ReadLine();
}
//save result from sorting
string[] sortedArr = OrderByLenght(myArr);
//print array
foreach (string item in sortedArr)
{
Console.WriteLine(item);
}
}
//sort array by lenght
static string[] OrderByLenght(string[] strArr)
{
string[] result = strArr.OrderBy(x => x.Length).ToArray();
return result;
}
} | {
"redpajama_set_name": "RedPajamaGithub"
} | 637 |
Capital punishment was abolished in Colorado in 2020. It was legal from 1974 until 2020 prior to it being abolished. All valid death sentences as of 2020 have since been commuted to life sentences by governor Jared Polis.
It was reinstated in 1974 by popular vote, with 61% in favor of the measure that was referred to the voters by the state legislature.
In March 2020, the Colorado Legislature passed a bill to repeal the death penalty for individuals only for crimes committed after July 1, 2020. The bill was signed by the Governor of Colorado on March 23, 2020. The law is not retroactive, including to the three inmates who were then housed on death row. Nonetheless, the three men who were awaiting execution had their death sentences commuted to life in prison by Governor Jared Polis on March 23, 2020.
It is still possible for someone to be sentenced to death for a capital crime committed before July 1, 2020. Only one inmate, Gary Lee Davis, has been executed in Colorado since the 1970s. Another man, Stephen Morin, received a death sentence in Colorado, but was executed in Texas for separate murders.
History
Pre-Furman history
Colorado was one of the first states to repudiate the death penalty by abolishing it in 1897 only to restore it once more in 1901 due to a number of lynchings that had occurred. In total, 101 people were executed in Colorado in the period before Furman v. Georgia (18591972). Eleven of these executions were prior to statehood; 90 since. All were executed as punishment for murder and all were male.
Hanging was the sole method of execution until it was replaced by gas inhalation in 1934. There were 69 hangings and 32 gassings.
Colorado is notable for being the last state to make use of lethal gas prior to the 1972 Supreme Court decision that effectively abolished capital punishment in the United States. Colorado performed the last pre-Furman gassing in 1967. Oklahoma performed the last pre-Furman electrocution in 1966.
Kansas performed the last pre-Furman hanging in 1965. Utah performed the last pre-Furman execution of a death sentence by firing squad in 1960 (and coincidentally, the first post-Furman execution by firing squad in 1977).
Abolishment
On January 14, 2020, Senate Bill 20-100 was introduced in the Colorado Senate with prime sponsors being Senators Julie Gonzales and Jack Tate as well as Representatives Jeni James Arndt and Adrienne Benavidez. The bill abolished the death penalty for individuals sentenced after July 1, 2020, and was not retrospective to the three inmates on death row at the time, however, the Governor Jared Polis said "If the state, Republicans and Democrats, were to say, and I were to sign, a bill that said we no longer have the death penalty in Colorado … I would certainly take that as a strong indication that those who are currently on death row should have their sentences commuted to life in prison," On January 31, 2020, the Colorado Senate voted 19-13 on the bill's final reading to pass it and advance it to the Colorado House of Representatives.
On February 26, 2020, the Colorado House of Representatives voted 38-27 on final reading to pass it and send it to the Governor's desk. The bill was signed on March 23, 2020.
Sentencing
When the prosecution sought the death penalty, the sentence was decided by the jury and required unaninimity. In case of a hung jury during the penalty phase of the trial, a life sentence was issued, even if a single juror opposed death (there was no retrial).
From 1995 to 2003, death sentences in Colorado were decided on by a three-judge panel. Three people (George Woldt; Francisco Martinez, Jr.; and William Neal) were sentenced to death under this system until it was overturned following Ring v. Arizona, retroactively commuting the death sentences to life without parole.
Capital crimes
Before July 1, 2020, first-degree murder was punishable by death in Colorado if:
it was committed by a person under sentence of imprisonment for a class 1, 2, or 3 felony;
the defendant was previously convicted of a class 1 or 2 felony involving violence;
the defendant knowingly killed a law officer, elected officer, judicial officer or firefighter, while the person was engaged in the course of the performance of the person's duties or because of them;
the defendant killed a person kidnapped or held as a hostage by him or by anyone associated with him;
the defendant had been a party to an agreement to kill another person in furtherance of which a person was intentionally killed;
it was committed while lying in wait, from ambush, or by use of an explosive or incendiary device or a chemical, biological, or radiological weapon;
the defendant committed a class 1, 2, or 3 felony and, in the course of or in furtherance of such or immediate flight therefrom, the defendant intentionally caused the death of a person other than one of the participants;
it was committed for pecuniary gain;
the defendant knowingly created a grave risk of death to another person in addition to the victim of the offense;
it was committed in an especially heinous, cruel, or depraved manner;
the murder was committed for the purpose of avoiding or preventing a lawful arrest or prosecution or effecting an escape from custody, including killing of a witness to a criminal offense;
the defendant unlawfully and intentionally, knowingly, or with universal malice manifesting extreme indifference to the value of human life generally, killed two or more persons during the commission of the same criminal episode;
the victim was a child under 12 years of age;
the murder was committed because of the victim's race, color, ancestry, religion, or national origin;
the defendant's possession of the weapon used to commit the class 1 felony constituted a felony offense under Colorado or federal law;
the defendant intentionally killed more than one person in more than one criminal episode;
the defendant knowingly killed a pregnant woman.
Colorado statute books had still provided the death penalty for first-degree kidnapping and aggravated assault by an escaping capital felon, but the death penalty for these crimes had been ruled unconstitutional in the 2008 U.S. Supreme Court case Kennedy v. Louisiana.
Clemency
The Governor of Colorado has the sole right to pardon or commute the death sentence. , no gubernatorial commutation of a living prisoner had been granted in Colorado. However, on March 23, 2020, the three men who were awaiting execution had their death sentences commuted to life in prison by Governor Jared Polis on the same day that Polis had signed into law a bill repealing the state's death penalty.
On January 7, 2011, Colorado Governor Bill Ritter granted a full and unconditional posthumous pardon to Joe Arridy, who had been convicted and executed as an accomplice to a murder that occurred in 1936. The pardon came 72 years after Arridy's execution and was the first such pardon in Colorado history. A press release from the governor's office stated, "[A]n overwhelming body of evidence indicates the 23-year-old Arridy was innocent, including false and coerced confessions, the likelihood that Arridy was not in Pueblo at the time of the killing, and an admission of guilt by someone else."
The governor pointed to Arridy's IQ of 46. The governor said, "Granting a posthumous pardon is an extraordinary remedy. But the tragic conviction of Mr. Arridy and his subsequent execution on Jan. 6, 1939, merit such relief based on the great likelihood that Mr. Arridy was, in fact, innocent of the crime for which he was executed, and his severe mental disability at the time of his trial and execution. Pardoning Mr. Arridy cannot undo this tragic event in Colorado history. It is in the interests of justice and simple decency, however, to restore his good name."
On May 22, 2013, Colorado Gov. John Hickenlooper said it was unlikely he would ever allow the execution of convicted killer Nathan Dunlap. Hickenlooper granted Dunlap an indefinite reprieve, citing doubts about the fairness of Colorado's death penalty.
Method of executions
Lethal injection was the only permitted method of execution in Colorado, although the state previously used hanging and the gas chamber.
Former death row
Colorado's death row had been located in Colorado State Penitentiary.
As of March 23, 2020, three people had been awaiting execution:
Nathan Dunlap, convicted and sentenced to death for murdering four people at a Chuck E. Cheese's restaurant in 1993;
Mario Owens, who was convicted and received a jury's death determination in 2008 for the murder of a young couple, Javad Marshall-Fields and his fiancée, Vivian Wolfe, both prosecution witnesses in a murder trial involving Owens; and
Robert Ray, who ordered the murders of Marshall-Fields and Wolfe while awaiting his own trial for murder.
However, on March 23, 2020, Governor Jared Polis commuted the sentences of these three men to life in prison without the possibility of parole.
Notable executions
See also
List of death row inmates in Colorado
Crime in Colorado
Law of Colorado
Further reading
Michael L. Radelet. 2017. The History of the Death Penalty in Colorado. (Boulder: University Press of Colorado)
Notes
References
1897 disestablishments in Colorado
1901 establishments in Colorado
1972 disestablishments in Colorado
1974 establishments in Colorado
2020 disestablishments in Colorado
Colorado
Colorado law | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 1,224 |
Wonderland est le du groupe anglais McFly, sorti en 2005
Ce fut un succès, vendant plus de exemplaires au Royaume-Uni et il a été certifié disque de platine, mais s'est vendu moins bien que l'album précédent.
Pistes
I'll be Ok
I've Got You
Ultraviolet
The Ballad of Paul K
I Wanna Hold You
Too Close for Comfort
All About You
She Falls Asleep, Pt. 1
She Falls Asleep, Pt. 2
Don't Know Why
Nothing
Memory Lane
Chart performance
Album musical sorti en 2005
Album de McFly
Album publié par Island Records
Album numéro un au Royaume-Uni
Album produit par Hugh Padgham | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 5,418 |
ACCEPTED
#### According to
Index Fungorum
#### Published in
null
#### Original name
Usnea cornea Motyka
### Remarks
null | {
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{"url":"https:\/\/www.physicsforums.com\/threads\/propagator-for-inverted-harmonic-potential.621754\/","text":"# Propagator for inverted harmonic potential.\n\n1. Jul 18, 2012\n\n### FedEx\n\nHello.\n\nI was trying to find out the propagator for the inverted SHO (something like tachyon oscilltor) and turns out that it remains unitary only for very short times. Which didnt make much sense to me. I tried looking at the usual SHO propagator, and that too seems to be not Unitary!!! ( I tried checking it by doing \u222bU(x,x') U*(x',x'') dx' and see if that equals the dirac delta. I found that it blows up at x=x'' as it should but for x \u2260 x' it is not zero)\n\nOfcourse I might(should) be making a mistake somewhere. But even an initial glance at the propagator for usual SHO would hint that there is something it fishy, since it contains terms like sin(\u03c9t).\n\nThanks","date":"2017-12-17 08:22:30","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\": 0.8696233034133911, \"perplexity\": 957.3968910049638}, \"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-2017-51\/segments\/1512948594665.87\/warc\/CC-MAIN-20171217074303-20171217100303-00052.warc.gz\"}"} | null | null |
{"url":"http:\/\/www.science20.com\/quantum_diaries_survivor?page=200","text":"The T-Index: More Meaningful Metrics For Scientists\n\nAcademics direly need objective, meaningful metrics to judge the impact their publications have...\n\nInterpreting The Predictions Of Deep Neural Networks\n\nCERN has equipped itself with an inter-experimental working group on Machine Learning since a couple...\n\nMachine Learning For Phenomenology\n\nThese days the use of machine learning is exploding, as problems which can be solved more effectively...\n\nThe Magical Caves Of Frasassi\n\nWhile spending a few vacation days on a trip around central Italy I made a stop in a place in the...\n\n Tommaso Dorigo Tommaso Dorigo is an experimental particle physicist, who works for the INFN at the University of Padova, and collaborates with the CMS experiment at the CERN LHC. He coordinates the European network... Read More \u00bb Blogroll\n\n# Does The Arxiv Blacklist Authors ? Help Finding Out!\n\nJul 08 2009 | comment(s)\n\nThe Arxiv is an online repository of scientific papers in physics, astronomy, maths, cosmology, computer science, and a few other topics, where papers due to be published on scientific journals are submitted by the authors, and become quickly accessible for free to anybody before the peer-review process ran by the journals is over and they get printed there.\n\n# Guest Post: Patrick Draper, \"Is The Supersymmetric Higgs Behind The Corner ?\"\n\nJul 07 2009 | comment(s)\n\nPatrick Draper is a graduate student in physics at the University of Chicago and Argonne National Lab. He is a native of Illinois and lives in Hyde Park, Chicago with his wife Karen and parrot Felix, to whom he is grateful for their love, patience, and correcting his sign errors. He is a supporter of the international effort to put a muon collider on Mars, and is waiting for NASA to return his phone calls.\nI asked Patrick to write here about his studies on the discovery reach for a MSSM Higgs boson after I saw his paper on the arxiv a month ago, and am now glad I did. Enjoy!\n\n# INFN Exam Does Not Go Deserted\n\nJul 06 2009 | comment(s)\n\nUnfortunately I was right: at least in predicting that the INFN exam dubbed \"R5\" would not go deserted. The R5 exam, which in exchange for a stressful pair of written tests (which I am trying to get a hold of, to report on it here) guaranteed nothing that the participants did not have beforehand\u00a0 -a certification of readiness for a temporary position within INFN, which the institute cannot however offer, being short of cash-, saw the participation of 178 candidates among the about 350 who had submitted their application a couple of months ago. Barely more than half: this is a victory, since the participation is sufficient to grant value to the results.\n\n# The Say of the Week\n\nJul 06 2009 | comment(s)\n\n\"The INFN directorate may have invented the Identity operator in the space of qualifying exams\"\n\nGuido Volpi (commenting on FB on the very offensive R5 exam held today by INFN post-docs).\n\n# Blogs, Big Physics, And Breaking News\n\nJul 05 2009 | comment(s)\n\nThe 2009 World Conference on Science Journalism took place last week in heat-wave-struck London, at the convenient location of Westminster Central Hall (see below). More than 900 delegates got together from 90 countries to discuss the future of science journalism, understand the challenges the field is facing, and finding strategies to face them. An impressive event, excellently organized.\n\n$\\lambda=479nm$\n\nJul 04 2009 | comment(s)\n\nAs I promised a week ago, I am posting answers to a few of the 42 questions which constituted the first part of an the exam selecting experimental particle physicists for the INFN (the italian institute of nuclear physics) four years ago. Next week, a similar exam will take place to \"qualify\" post-doctoral scientists which aspire at a temporary position with INFN.","date":"2018-04-25 06:29:18","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 1, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.2926517128944397, \"perplexity\": 3323.208400135595}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 5, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2018-17\/segments\/1524125947705.94\/warc\/CC-MAIN-20180425061347-20180425081347-00489.warc.gz\"}"} | null | null |
{"url":"https:\/\/mathtutoringonline.com\/polynomials\/multiply-polynomials\/long-multiplication-method\/","text":"# #\\$ Long Multiplication Method\n\nThe multiplication algorithm is my favorite way to multiply polynomials because it\u2019s just the polynomial version of this\u00a0familiar method\u00a0we use to multiply regular numbers.\n\nThe multiplication algorithm is one of four methods you can use to multiply polynomials. I recommend that you learn all four methods and then choose the method that makes the most sense to you.\n\nThe other three methods are:\n\n## How to Use the Multiplication Algorithm to Multiply Polynomials\n\nWhen you multiply polynomials with the standard multiplication algorithm, the steps are very similar to the steps you use to\u00a0multiply normal numbers\n\n1. Line up the terms of each polynomial by \u201cplace value\u201d.\n2. Multiply each term in the second polynomial by\u00a0ALL\u00a0the terms in the first polynomial.\n3. Combine like terms\u00a0by adding up each \u201cplace value\u201d column.\n\nNormal Numbers\n\n${\\red 2}{\\yellow 3}\\times{\\blue 1}{\\green 2}$\n\nPolynomials\n\n$({\\red 6x}{\\yellow -3})\\times({\\blue 5x}{\\green +2})$\n\nNotice the similarities and differences between the process for multiplying normal numbers and the process for multiplying polynomials.\n\nThe multiplication algorithm is almost identical EXCEPT for the fact that the polynomials have monomials with increasing degrees\u00a0\u00a0($$x^0$$, $$x^1$$, $$x^2$$, $$x^3$$, etc.) instead of normal place values.\n\n\u2022 Normal Place Values: 1, 10, 100, 1000, etc.\n\u2022 Polynomial Place Values: ($$1$$, $$x$$, $$x^2$$, $$x^3$$, etc.).\n\nI usually simplify the first two place values because\u00a0$$x^0=1$$\u00a0and\u00a0$$x^1=x$$\u00a0regardless of what x is.\n\nIf you have any negative\u00a0coefficients, it\u2019s important to follow the rules for\u00a0multiplying negative numbers\u00a0when you\u00a0multiply the terms\u00a0of the\u00a0polynomials\n\n## Example\n\nMultiply:\n\n$(3x^4-7x^3+2x-5)(4x^2-6x+9)$\n\nI\u2019ll start by labeling the place value columns and then write the terms of each polynomial in the correct columns.\n\nThe first polynomial is missing an $$x^2$$ term so I\u2019m going to write\u00a0$$0x^2$$\u00a0in that column as a place holder.\n\n$\\begin{array}{c|c|c|c|c|c|c} x^6 & x^5 & x^4 & x^3 & x^2 & x & 1 \\\\ \\hline & & {\\blue 3x^4} & {\\blue -7x^3} & {\\purple 0x^2} & {\\blue +2x} & {\\blue -5}\\\\ & & & & {\\red 4x^2} & {\\yellow -6x} & {\\green +9} \\\\ \\hline & & & & & & \\end{array}$\n\nThen, I\u2019ll multiply EVERY term in the first polynomial by the\u00a09\u00a0in the second polynomial.\n\nNext, I\u2019ll multiply EVERY term in the first polynomial by the\u00a0-6x\u00a0in the second polynomial.\n\nFinally, I\u2019ll multiply EVERY term in the first polynomial by the\u00a0$$4x^2$$\u00a0in the second polynomial.\n\nLastly, I\u2019ll combine like terms by adding up all the terms in each place value column.\n\n$$(3x^4-7x^3+2x-5)(4x^2-6x+9)$$\n\n$$=$$\n\n$$12x^6-46x^5+69x^4-55x^3-32x^2+48x-45$$\n\n## Why It Works\n\nWhen you\u2019re\u00a0multiplying polynomials, you have to make sure that each term in the first polynomial is multiplied by each term in the second polynomial.\n\nThe multiplication algorithm is a great way to organize this process because it\u2019s so similar to the\u00a0multiplication method\u00a0you memorized in elementary school.\n\nWhen one of the terms in the first polynomial is multiplied by all of the terms in the second polynomial, that multiplication is recorded in one of the rows between the two black lines.\n\nWhen the multiplication is organized like this, it\u2019s easy to catch your mistake if you accidentally skip a term.\n\nIt\u2019s also nice because the like terms are automatically lined up in the place value columns. This makes it really easy to add them together when it\u2019s time to\u00a0combine like terms.\n\nThe best part is you don\u2019t even have worry about \u201ccarrying\u201d between the place values like you do with normal multiplication.","date":"2021-10-23 13:49:15","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\": 1, \"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\": 0.7761447429656982, \"perplexity\": 506.750242798308}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 5, \"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-2021-43\/segments\/1634323585696.21\/warc\/CC-MAIN-20211023130922-20211023160922-00644.warc.gz\"}"} | null | null |
Lifeboat volunteers from Sunderland RNLI Lifeboat Station received an early morning wakeup call yesterday when they were alerted at 05.02am to an unmanned fishing vessel, which was drifting close to Corporation Quay, River Wear.
The rescue mission was launched after Coastguard Officers received a telephone call from Sunderland Port Control informing them about an unmanned fishing boat (8m) which had broken free from its moorings and was drifting down the river past Corporation Quay.
Coastguard Officers immediately contacted Martin Andrew, Lifeboat Operations Manager at Sunderland RNLI, to request the launch of their Atlantic 85 Inshore Lifeboat James Dugdale.
After locating the boat, it was taken in tow by the RNLI lifeboat before being transferred back to its own mooring near to Sunderland Fish Quay.
Paul Nicholson, Senior Helmsman at Sunderland RNLI said, "The initial concern was that this vessel would end up colliding with one of the commercial barges on Corporation Quay or the yachts moored at Sunderland Yacht Club.
Once satisfied that the vessel was secure on its moorings, the lifeboat returned to station where it was refuelled and ready for service again by 07.15am. | {
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{"url":"https:\/\/ai.stackexchange.com\/questions\/8704\/3d-environment-for-rl-research-in-academia","text":"# 3D environment for RL research in Academia\n\nI'm doing my thesis on Reinforcement Learning. My focus on Partially Observable Environments like 3D Games. I want to choose a 3D platform for testing and doing research.\n\nI know some of them. DeepMind Lab and OpenAi Universe. But my question is that which of these environments is good for me? Is there any environment for this purpose that is benchmark and reliable?\n\nI want a platform that accepted in Academia and reliable. For example DeepMind is not a standard or Open Source friendly, Is it rational to use their platform for research in academia?\n\nWhat i have to do?\n\nFor example DeepMind [Lab] is not a standard or Open Source friendly\n\nI'm not sure where you got that info from... as far as I'm aware, DeepMind Lab is definitely used in various publications (maybe primarily publications from DeepMind, but still). Considering the github repo has the GNU GPL 2 license, it also seems Open Source-friendly to me.\n\nAnother framework of which I'm sure that it would widely be considered suitable within academia would be the Unity ML-Agents Toolkit, which uses the Unity game engine.\n\nI suppose you could also consider using ViZDoom, which is also used in various publications, but (as far as I'm aware) it only supports one specific game (Doom).\n\nI do not have enough experience with using any of the above personally to be able to recommend one of them over the others... but they would all seem suitable to me.","date":"2019-11-21 01:00:06","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\": 0.41506436467170715, \"perplexity\": 1147.8747407310848}, \"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-2019-47\/segments\/1573496670643.58\/warc\/CC-MAIN-20191121000300-20191121024300-00215.warc.gz\"}"} | null | null |
{"url":"http:\/\/stackoverflow.com\/questions\/8024103\/how-to-retrieve-a-recursive-directory-and-file-list-from-powershell-excluding-so","text":"# How to retrieve a recursive directory and file list from PowerShell excluding some files and folders?\n\nI want to write a PowerShell script that will recursively search a directory, but exclude specified files (for example, *.log, and myFile.txt), and also exclude specified directories, and their contents (for example, myDir and all files and folders below myDir).\n\nI have been working with the Get-ChildItem CmdLet, and the Where-Object CmdLet, but I cannot seem to get this exact behavior.\n\n-\n\nThe Get-ChildItem cmdlet has an -Exclude parameter that is tempting to use but it doesn't work for filtering out entire directories from what I can tell. Try something like this:\n\nfunction GetFiles($path =$pwd, [string[]]$exclude) { foreach ($item in Get-ChildItem $path) { if ($exclude | Where {$item -like$_}) { continue }\n\nif (Test-Path $item -PathType Container) {$item\nGetFiles $item.FullName$exclude\n}\nelse\n{\n$item } } } - Perhaps the question isn't 100% clear on this, but shouldn't the recursive call also have the$exclude argument? \u2013\u00a0 jon Z Nov 6 '11 at 9:26\nI like the way you use the if with a pipeline inside, excellent concise syntax and like @jonZ says you forgot the $exclude parameter in the recursive call \u2013 mjsr Nov 6 '11 at 14:07 @jonZ, yes that arg shoud get passed down with the recursive call. Good catch. \u2013 Keith Hill Nov 6 '11 at 16:54 @voodoomsr - thanks! \u2013 Keith Hill Nov 6 '11 at 16:54 An old post but may be worth clarifying. The directory check above didn't work in my case i.e. Test-Path$item -PathType Container. I had to use $item.PSIsContainer instead. PS: I am using Get-ChildItem with -Recurse switch (in case it has any effect). \u2013 Tariq Feb 5 at 19:40 I like Keith Hill's answer except it has a bug that prevents it from recursing past two levels. These commands manifest the bug: New-Item level1\/level2\/level3\/level4\/foobar.txt -Force -ItemType file cd level1 GetFiles . xyz | % {$_.fullname }\n\n\nWith Hill's original code you get this:\n\n...\\level1\\level2\n...\\level1\\level2\\level3\n\n\nHere is a corrected, and slightly refactored, version:\n\nfunction GetFiles($path =$pwd, [string[]]$exclude) { foreach ($item in Get-ChildItem $path) { if ($exclude | Where {$item -like$_}) { continue }\n\n$item if (Test-Path$item.FullName -PathType Container)\n{\nGetFiles $item.FullName$exclude\n}\n}\n}\n\n\nWith that bug fix in place you get this corrected output:\n\n...\\level1\\level2\n...\\level1\\level2\\level3\n...\\level1\\level2\\level3\\level4\n...\\level1\\level2\\level3\\level4\\foobar.txt\n\n\nI also like ajk's answer for conciseness though, as he points out, it is less efficient. The reason it is less efficient, by the way, is because Hill's algorithm stops traversing a subtree when it finds a prune target while ajk's continues. But ajk's answer also suffers from a flaw, one I call the ancestor trap. Consider a path such as this that includes the same path component (i.e. subdir2) twice:\n\n\\usr\\testdir\\subdir2\\child\\grandchild\\subdir2\\doc\n\n\nSet your location somewhere in between, e.g. cd \\usr\\testdir\\subdir2\\child, then run ajk's algorithm to filter out the lower subdir2 and you will get no output at all, i.e. it filters out everything because of the presence of subdir2 higher in the path. This is a corner case, though, and not likely to be hit often, so I would not rule out ajk's solution due to this one issue.\n\nNonetheless, I offer here a third alternative, one that does not have either of the above two bugs. Here is the basic algorithm, complete with a convenience definition for the path or paths to prune--you need only modify $excludeList to your own set of targets to use it: $excludeList = @(\"stuff\",\"bin\",\"obj*\")\nGet-ChildItem -Recurse | % {\n$pathParts =$_.FullName.substring($pwd.path.Length + 1).split(\"\\\"); if ( ! ($excludeList | where { $pathParts -like$_ } ) ) { $_ } } My algorithm is reasonably concise but, like ajk's, it is less efficient than Hill's (for the same reason: it does not stop traversing subtrees at prune targets). However, my code has an important advantage over Hill's--it can pipeline! It is therefore amenable to fit into a filter chain to make a custom version of Get-ChildItem while Hill's recursive algorithm, through no fault of its own, cannot. ajk's algorithm can be adapted to pipeline use as well, but specifying the item or items to exclude is not as clean, being embedded in a regular expression rather than a simple list of items that I have used. I have packaged my tree pruning code into an enhanced version of Get-ChildItem. Aside from my rather unimaginative name--Get-EnhancedChildItem--I am excited about it and have included it in my open source Powershell library. It includes several other new capabilities besides tree pruning. Furthermore, the code is designed to be extensible: if you want to add a new filtering capability, it is straightforward to do. Essentially, Get-ChildItem is called first, and pipelined into each successive filter that you activate via command parameters. Thus something like this... Get-EnhancedChildItem \u2013Recurse \u2013Force \u2013Svn \u2013Exclude *.txt \u2013ExcludeTree doc*,man -FullName -Verbose ... is converted internally into this: Get-ChildItem | FilterExcludeTree | FilterSvn | FilterFullName Each filter must conform to certain rules: accepting FileInfo and DirectoryInfo objects as inputs, generating the same as outputs, and using stdin and stdout so it may be inserted in a pipeline. Here is the same code refactored to fit these rules: filter FilterExcludeTree() {$target = $_ Coalesce-Args$Path \".\" | % {\n$canonicalPath = (Get-Item$_).FullName\nif ($target.FullName.StartsWith($canonicalPath)) {\n$pathParts =$target.FullName.substring($canonicalPath.Length + 1).split(\"\\\"); if ( ! ($excludeList | where { $pathParts -like$_ } ) ) { $target } } } } The only additional piece here is the Coalesce-Args function (found in this post by Keith Dahlby), which merely sends the current directory down the pipe in the event that the invocation did not specify any paths. Because this answer is getting somewhat lengthy, rather than go into further detail about this filter, I refer the interested reader to my recently published article on Simple-Talk.com entitled Practical PowerShell: Pruning File Trees and Extending Cmdlets where I discuss Get-EnhancedChildItem at even greater length. One last thing I will mention, though, is another function in my open source library, New-FileTree, that lets you generate a dummy file tree for testing purposes so you can exercise any of the above algorithms. And when you are experimenting with any of these, I recommend piping to % {$_.fullname } as I did in the very first code fragment for more useful output to examine.\n\n-\n+1 just noticed this answer because of a comment on my own. Really nice job! I knew my way had a bit of a duct tape and bubble gum flavor to it, but you've taken the solution to the next level. Thanks for pointing out the ancestor trap as well. While you're right that it's unlikely to come up very often, it's something you should be aware of before it bites you. \u2013\u00a0 ajk May 31 '13 at 1:54\nThanks for the kind words @ajk. But do not sell yourself short; your answer definitely has merit for its brevity. \u2013\u00a0 Michael Sorens May 31 '13 at 2:16\nI have set up your test folder hierarchy, then tried your \"corrected, and slightly refactored\" version, but it still produces the same output as Keith Hill's version. That is, only level2 and level3 are displayed. I tried your \"third alternative\" and that one works. It displays all levels and the foobar.txt file. I am using PS version 2 on Win 7. FYI. \u2013\u00a0 Sabuncu May 31 '13 at 20:39\nYes, they are different. This is a sub-pipeline: $excludeList | where {$pathParts -like $_ } so $_ takes on the value of each member of the exclusion list. Now let's rewrite the original line abstractly as if (not_on_exclusion_list) { $_ }. That is, if it passes the condition, output the member of the current pipeline, i.e. the current item returned by Get-ChildItem. \u2013 Michael Sorens Jun 11 '13 at 2:21 @Tariq: The statement you referenced is not from my code above; that is from Keith Hill's original answer and is, in fact, one of the issues my code addresses. If you look above at my GetFiles function you will see that I use $item.FullName rather than just $item as the first argument to Test-Path, which should be all you need to make it work for you. \u2013 Michael Sorens Feb 9 at 0:07 Here's another option, which is less efficient but more concise. It's how I generally handle this sort of problem: Get-ChildItem -Recurse .\\targetdir -Exclude *.log | Where-Object {$_.FullName -notmatch '\\\\excludedir($|\\\\)' } The \\\\excludedir($|\\\\)' expression allows you to exclude the directory and its contents at the same time.\n\nUpdate: Please check the excellent answer from msorens for an edge case flaw with this approach, and a much more fleshed out solution overall.\n\n-\n+1 Can you please explain what the expression \\\\excludedir($|\\\\) does? Thank you. \u2013 Sabuncu May 30 '13 at 19:10 Sure thing! It is a regular expression that matches any file or folder whose full path contains \\excludedir. The ($|\\\\) part means the pattern matches the end of the full path name or a trailing backslash. So it would match \\dir1\\dir2\\excludedir or dir1\\excludedir\\dir2. I highly recommend checking out the answer from @msorens. Aside from being an excellent answer in general, he points out a shortcoming in my approach. \u2013\u00a0 ajk May 31 '13 at 1:50\n+1 Thanks, really like this expression, have put it in my notebook. Please also see my comments to msorens' answer. FYI: Your solution also only goes two levels deep. Don't understand why this is. \u2013\u00a0 Sabuncu Jun 2 '13 at 11:00","date":"2014-08-28 12:45:40","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\": 1, \"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\": 0.6732252836227417, \"perplexity\": 2639.5758989864835}, \"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-2014-35\/segments\/1408500830746.39\/warc\/CC-MAIN-20140820021350-00310-ip-10-180-136-8.ec2.internal.warc.gz\"}"} | null | null |
{"url":"https:\/\/www.techwhiff.com\/issue\/in-europe-s-feudal-system-which-group-was-tied-to-the--14128","text":"# In Europe\u2019s feudal system which group was tied to the land they worked unable to leave without permission?\n\n###### Question:\n\nIn Europe\u2019s feudal system which group was tied to the land they worked unable to leave without permission?\n\n### According to McKenzie, what question should the court be focusing on? Was man really created by God? Did man descend from animals? Is the Butler Act constitutional? Did Scopes break the law?\n\nAccording to McKenzie, what question should the court be focusing on? Was man really created by God? Did man descend from animals? Is the Butler Act constitutional? Did Scopes break the law?...\n\n### A study is done to compare the fuel efficiency of cars. The first group of cars generally get about 39 miles per gallon. The second group of cars generally get about 39 miles per gallon. 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Which of the following could be side length A. 20 inches long and 7 inches wide B. 5 inches long and 28 inches wide C. 15 inches long and 21 inches wide D. 11 inches long and 15 inches wide E. none of the above\n\n3. Triangle DEF is a scale copy of triangle ABC. What is the length of DF? Explain your reasoning? 4. Rectangle A measures to be 10 inches long and 14 inches wide. Rectangular scaled copy of Rectangle A. Which of the following could be side length A. 20 inches long and 7 inches wide B. 5 inches lon...\n\n### A carpenter needs three pieces of wood to complete a furniture. The longest piece must be twice the length of the middle-sized piece. The shortest piece must be 2 in. Shorter than the middle-sized piece. If a board 70 in. Long is to be used, then find the length of each piece.\n\nA carpenter needs three pieces of wood to complete a furniture. The longest piece must be twice the length of the middle-sized piece. The shortest piece must be 2 in. Shorter than the middle-sized piece. If a board 70 in. Long is to be used, then find the length of each piece....\n\n### What happens when the recombination frequency is greater than 50 in three point crosses\n\nwhat happens when the recombination frequency is greater than 50 in three point crosses...\n\n### What is chlorophyllhere is my pic \u200b\n\nwhat is chlorophyllhere is my pic \u200b...\n\n### HELPP LAST ATTEMPT !!!\n\nHELPP LAST ATTEMPT !!!...\n\n### In five to seven sentences, describe the difference between a parliamentary and a presidential government. PLEASE WRITE 5 to 7 SENTENCES!!!! I AM ON A TEST AND I NEED HELP! :) thanks!\n\nIn five to seven sentences, describe the difference between a parliamentary and a presidential government. PLEASE WRITE 5 to 7 SENTENCES!!!! I AM ON A TEST AND I NEED HELP! :) thanks!...\n\n### Find the area of the circle. Leave your answer in terms of T. 2.2 m \u039f \u0391. 4.84\u03c0m2 \u039f \u0392. 9.68\u03c0m2 \u039f C. 1.1\u03c0m2 \u039f D. 10.65\u03c0m2\n\nFind the area of the circle. Leave your answer in terms of T. 2.2 m \u039f \u0391. 4.84\u03c0m2 \u039f \u0392. 9.68\u03c0m2 \u039f C. 1.1\u03c0m2 \u039f D. 10.65\u03c0m2...\n\n### Could you guys please answer this now because have to answer it and i have no idea what to do\n\nCould you guys please answer this now because have to answer it and i have no idea what to do...\n\n### The Welfare Reform Act of 1996 _____. A. mandated collaboration among the public, private, and social sectors of the economy B. allocated some responsibility for reducing welfare dependency to the private sector, encouraging companies to implement job training programs C. increased federal funding for welfare programs D. cut all funding to the Aid to Families with Dependent Children programs\n\nThe Welfare Reform Act of 1996 _____. A. mandated collaboration among the public, private, and social sectors of the economy B. allocated some responsibility for reducing welfare dependency to the private sector, encouraging companies to implement job training programs C. increased federal fundi...\n\n### 7. An 8 kg ball is travelling to the east at 10 ms', collides with a 2 kg ball travelling to the west with a velocity of 5 ms'. After the collision, they move together. Determine the final velocity of the balls. Assume that there are no resistive forces.\n\n7. An 8 kg ball is travelling to the east at 10 ms', collides with a 2 kg ball travelling to the west with a velocity of 5 ms'. After the collision, they move together. Determine the final velocity of the balls. Assume that there are no resistive forces....\n\n### The Phoenicians learned their gold working skills from the ______________________.\n\nThe Phoenicians learned their gold working skills from the ______________________....\n\n### What is the molar mass of H2CO3? (Molar mass of H = 1.0079 g\/mol; C = 12.010 g\/mol; O = 15.999 g\/mol) 29.02 g\/mol 46.04 g\/mol 62.02 g\/mol 72.08 g\/mol\n\nWhat is the molar mass of H2CO3? (Molar mass of H = 1.0079 g\/mol; C = 12.010 g\/mol; O = 15.999 g\/mol) 29.02 g\/mol 46.04 g\/mol 62.02 g\/mol 72.08 g\/mol...\n\n### Jacob distributed a survey to his fellow students asking them how many hours they'd spent playing sports in the past day. He also asked them to rate their mood on a scale from 000 to 101010, with 101010 being the happiest. A line was fit to the data to model the relationship.\n\nJacob distributed a survey to his fellow students asking them how many hours they'd spent playing sports in the past day. 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A The warm air will become cool, causing water vapor to evaporate and be absorbed by the land. 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New codeine laws to have '..
New laws making codeine products prescription-only from next month could encourage patients to "doctor shop".
Professor Peter Carroll from Notre Dame University's School of Medicine, tells Chris Smith banning over-the-counter codeine products will have "adverse consequences".
"The evidence clearly shows the vast majority of people who purchase these products over the counter, use them safely to treat acute short-term pain.
Professor Carroll says the new laws which come into effect from February 1 don't make sense. | {
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The Bachelor Episode #4 -- A Review
I should really be playing Assassin's Creed III right now.
They're not messing around anymore. Sean is wandering around in his underwear. How long until he's just parading around naked for the first three minutes of the show?
First Date — Selma
The date card reads, "Let's turn up the heat." That's probably because Selma is hot. Or it's a reference to the Homeland Security agents who will come arrest her because she is of Iraqi descent.
Leslie H. cries because she didn't get the date. She's real bad at counting.
No major injury from Tierra before this week's date.
Selma is super excited about the private jet and even though she's wearing workout gear, she's wondering what glamorous place they'll be whisked off to. They are dropped off in the middle of the desert. She says, "He took the Iraqi to the desert. I do not do well in heat." So that's their problem? I mean, besides the nonexistent WMDs. They hop in a Jeep to go rock climbing.
Is it a surprise that she claims to be afraid of heights? She starts out slow and then finds her rhythm and powers to the top. In fact, she leaves Sean in the dust at one point.
For dinner, they go to a tiny RV park with four different themed RVs. They don't actually use the RVs, they sit outside because that's where the producers have set up the lights. He tells her about the serious girlfriend he didn't want to marry. She tells him she grew up in a strict, conservative home. She was born in Baghdad and was raised a Muslim therefore she doesn't want to kiss him on TV. He says he understands. Wait, I don't understand. Is she not kissing him because of her religious beliefs or because of her mom? I'm willing to overlook the religious beliefs excuse but the mom excuse is lame. Be your own damn person. In her one-on-one interview she says, "We'll have to wait until I'm his only lady." Good luck with that. You've also just taken yourself out of consideration for being the next Bachelorette.
Group Date — Lindsay, Robyn, Jackie, Catherine, Amanda, AshLee, Sarah, Tierra
The date card reads, "I'm looking for a woman who can roll with the punches." Guess what? Tierra is pissed she didn't get a one-on-one date.
Lindsay says, "I think we're getting into those big hamster ball things and rolling down a hill." I think we should climb inside your skull and have an echo contest.
The girls will be playing Roller Derby. Tierra is excited to knock some people down. Sean says, "Amanda and Tierra are going to be really aggressive." So observant. Amanda tells everyone she's done this before. She hasn't done this before. She's playing mind games. Sarah is struggling. She says, "It's hard." SO articulate. She wants to quit. AshLee says, "Sarah, to me, has no disability." The worst kind of condescension is the well-meaning kind. Sean tells Sarah he doesn't care if she does it or not. She does it.
Amanda is busy making everyone look bad until she bites it and hits her chin on the floor. The medic tells her she may have a broken jaw. She goes to the hospital. Sean bails everyone out of the Roller Derby game and they have a free skate instead. Boring.
In the evening they head to the roof of a hotel for drinks. Amanda is not there.
Sarah says to Sean, "Today was a good day, right?" Sean, "Is that a question?" Sarah, "Yes?" Pretty much everything she says is a question.
Amanda suddenly appears. She tells us that she's going to milk this for all it's worth. She tells him its really painful and swollen. He says he can't tell. He gives her a little kiss what he calls a "tiny bump on your chin."
While Sean is making out with Lindsay, Tierra and Robyn get into a fight. Tierra freaks out and tells the producers she wants to go home. Meanwhile, Lindsay has talked Sean into getting into the hot tub. Really? He's going to bail on all the other girls just sitting on the roof to go hang out in the hot tub with Lindsay? This is the underrated storyline here. Because…
…Tierra meets Sean and Lindsay before they can get into the hot tub. She pulls him away and tells him how hard this is. Classic sympathy rose move. He talks her into staying and he gives her the rose. One time I want to see the Bachelor send a girl home when she pulls this shit. One time. Never gonna happen.
Second Date — Leslie H.
The date card reads, "Could this be forever?" It comes with diamond earrings. Again, this is not going to be forever. It's probably not even going to be for tonight.
"Ohmygod, I slept with these earrings under my pillow," says the most annoying girl on the planet. I wish I could impersonate her voice here. She sounds like the dumb dog from a cartoon.
He takes her to Rodeo drive to go shopping. You know, like in Pretty Woman. She says it's a dream come true. Because she's a prostitute? I guess we're not supposed to think this all the way through, huh? They buy a dress, shoes and a super expensive necklace. When she comes out in the last dress, Sean says, "I think that's the one." She says, "Winner, winner, chicken dinner." Nothing says classy like a chicken dinner. The only thing more boring than watching people shop is watching people slowly skate in a circle.
They talk about past relationships and it's clear she has no idea how to interact with a human being. He tells her that he didn't feel the romantic connection click. He doesn't give her the rose. As she leaves she tells him to watch out for some of the "girls who have roses who aren't there for the right reasons." Hmmm, who could that be?
As she drives away, Ben Taylor plays to no one as Sean dramatically drops the rose to the floor. Poignant, Repetitive Reality Show.
The Cocktail Party
Sean and AshLee make out. Sean says, "She doesn't let the other girls get to her and I love that about her." AshLee, to me, has no disability.
Robyn tells Sean she has some pickup lines prepared and she tries one about chocolate (you know, because she's black). It sounds way more dumb than it actually is, though it's still pretty dumb. Also, lets cheer the fact that we'll finally have at least three non-whites who will be invited to the After show.
Tierra pulls Robyn and Jackie (why Jackie?) aside and apologizes to them but tells them it's their fault for making her be a bitch to them. She tells them that she wishes that they would just focus on themselves like she's doing. Sometimes the jokes write themselves.
Tierra tells Sean, "It's been hard. For some reason girls have a hard time accepting me for who I am." Girls? Like every girl you've ever known? So the entire female gender is the problem? That probably exactly right. Sean says, "I think you are your own worst enemy and you freak yourself out." She disagrees and then tells him she's worried about the other girls changing his opinion of her. But she's only worrying about herself.
Catherine Sean a card with her lipstick on it as a way to tell her she wants to kiss him. They walk off so they can make out. VEGAN MAKE OUT!
Selma and Tierra have roses.
The roses are handed out in this order: Catherine, Desiree, Lindsay, Leslie, Robyn, AshLee, Sarah, Jackie, Daniella
Amanda goes home. Really? He saw through her bullshit but he can't see through Tierra's? I'm not complaining. She had an annoying smile.
"Heartbreak is such a difficult emotion. It's not fair. I feel stupid." At one point she tilts up her chin for the camera as if to remind us that he sent the girl home who went to the hospital. Good for him.
They are going to subject us to two episodes next week. Fortunately, I will be traveling for work so I won't be able to review either of the episodes. You'll have to imagine all the snarky things I'll write about. My prediction: Tierra gets pissed. Other girls get pissed at Tierra. Someone gets stabbed.
Labels: Chris Harrison, Sean Lowe, The Bachelor | {
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An Interview with Chicago Blues Guitarist Rene Trossman: From Czech with Love
Posted by Michael Limnios Blues Network on September 21, 2011 at 12:30am
Blues From Chicago With Prague Flavor
Rene Trossman is a guitar player with a long history in Blues Music. Since turning pro in 1985 Rene has just about done it all. The fantastic Chicago club scene, where he was a regular at both South Side and West Side clubs, playing with the likes of Buddy Scott, Byther Smith, Lurrie Bell, Iceman Robinson, Little Mack Simmons, Lorenzo Thompson, Deitra Farr, and others.
In 1994 Rene came to Europe, moving to Prague (Czech) where he now calls home. Since that time Rene has toured extensively in Europe with his own band and with U.S. Blues stars.
Rene considers his current band the best band he has ever had! The band plays authentic Chicago-style blues with a contemporary sound. Make no mistake, Rene Trossman has paid his dues to play the Blues!
When was your first desire to become involved in the blues?
1970, when I heard the record, "Live Wire – Blues Power" (Albert King). It was then that I knew, I must learn this! I was playing rock music of the time, Led Zeppelin, Stones, The Who, etc., and it all changed with that one record. I started looking for more and more of this magic stuff!
Who were your first idols?
Albert King, Magic Sam, Louis Myers, Muddy Waters, Junior Wells.
These were the first blues LPs I ever had, and played them over and over again, while trying to imitate the riffs and licks.
Which artists have you worked with?
Deitra Farr, Chick Willis, Eb Davis, Lorenzo Thompson, Sharon Lewis, Byther Smith, NateTurner, Taildragger, Little Mack Simmons, Buddy Scott, and some other dead guys.
Is "blues" a way of life?
Definitely YES! If you do blues in addition to another job, both will fail. It is a full-time commitment, especially if you're an independent artist and self-managed and self-booked.
Which was the best moment of your career and which was the worst?
Recently I had a good one. We opened for Bernard Allison in Prague, in a big venue, with a lot of people. We weren't listed on the program, since we were added late, and it said Bernard Allison at 9:00. Instead, we hit at 9:00 to a full house, and they were expecting Allison at 9:00. Then we started playing our set and we won over all the people there and got a great reaction. Even Bernard Allison and his guys liked it!
The worst, well, it depends how far back you go, but I would say, in Germany one night, we were on a tour with Lorenzo Thompson, and there was big local football match, and ONE guy came to the gig, we had no accommodation and wound up sleeping in the club, on the stage. That was probably the worst.
What do you think were the reasons for the European blues boom ?
The world got "smaller", and in Europe, it was something so new, different than anything they knew.
Plus, it is the nature of blues, 4-4 time, the beat, and even if you don't understand English and the lyrics, it is very "reachable" music for people. That's the difference with jazz, a lot of the general public can't understand jazz, so they don't listen to it or go to gigs. But blues, very easy for anyone to grab on to.
Age, sex, race, nationality, it doesn't matter. Give people a Jimmy Reed bumpty-bump, with a good shuffle drummer, and the asses start shaking.
One day at a time, this is how I live. Mo guarantees for tomorrow, so try and make today count. I have a new CD coming out at the end of the year,or early 2012. I also have a 12-city tour in Czech Republic in Feb-March, 2012, and more in Austria, and then Switzerland.
I am hoping for some really good things to happen with my new CD, which I believe is a major breakthrough for me. My last CD had 4 original songs, this one will have 9 or 10.
Do the media help the blues in Czech?
In a word, no. Of course, if you're old, black, and have a name in the business, well, they do. B.B. King fills big venues here, but then others, really good too, do not and don't receive much coverage in the media as well.
It's blues, niche music, these things apply all over the world, not just in Czech Republic, or Europe.
What does the term BLUES mean to you?
Music that is very misunderstood. Blues is a real big term, encompassing a long history through today, and features a multitude of styles and niches within itself.
There are also regional differences that transcend style or eras. But to me, personally, it is that late 40s-50s-60s, electrified version of Mississippi music that migrated north to Chicago.
The Blues-Highway, from Mississippi to Chicago, this was really how what is known as the Chicago style came about. Guys from the south, moved up north for socio-economic reasons, plugged-in and played electric guitars, and played with converted swing-drummers, and there it was, this new, exciting sub-genre of the blues is born.
If you look closely, almost all the great names in Chicago blues music are people who moved north and are actually from Mississippi.
Do you think the younger generations in Czech are interested in the blues?
What do you learn about yourself from blues?
The hardest part of this all is showing people, strangers, friends, anyone, your soul. To be truly honest and sincere, and go 100% every time, this is what I learned.
Knowing the notes or how to play isn't enough. I also learned how to overcome obstacles in life through blues and playing music live
How would you describe your contact to people when you are on stage?
Religious, holy, pious. This is the most sacred relationship there is. A lot of musicians make the mistake of not really interacting with people, people who are there and paid to see them.
You can't ignore your public, we feed off of each other's energy. If the people aren't excited, you can't say, oh bad people tonight. No, you have to try harder to get them. If they aren't excited, it might be you!
What experiences in your life make you a GOOD musician?
In my own experience, things like team sports were very good preparation for playing in a band with other people. Working together to reach the same goal, it's the same approach.
People who aren't capable of this, usually chose to play solo, and in sports it's the same, they choose tennis or golf, and not team sports.
What was the last record you bought?
Little Arthur Duncan's "Singin' with the Sun" CD. It's great! It's also got Rockin' Johnny is on guitar, and he knows "the stuff"!
What mistake of blues you want to correct?
That blues-rock is another genre within blues, but does not define the genre today by any means.
From the musical point of view is there any difference between Chicago and Prague?
A lot, and huge. Completely different approach in these places. At home, when an older guy called you for a gig, wow, it was a big deal! Here, in Praha, with the clubs and tourist scene, a lot of young guys have a lot of gigs, and are band leaders themselves in many cases.
I simply feel like they don't appreciate and value gigs in the manner that they should. It extends to the music, gigs, and the way they play too.
Pick 3 words to describe your sound/progress
Chicago, songwriter, entertainer.
Do you have a message for the Greek fans?
I've been to Greece a few times, but not playing. I chose it as my holiday destination. Great place. Also, I grew up and went to school with many Greek students in basic school and high-school, so I know all of the bad words!
I know that Greece is facing many challenges today, and when I look at the incredible history of the country I have to believe that things will be solved and Greece will move forward. Any place with a history and culture like Greece must endure.
Thank you for your interest in my music and this interview. I am so glad that what I do could reach others so far away, that's an honor really. So, please look for my new CD coming soon! EFKARISTO :-)
Quotes from Reviews of POSTMARKED ILLINOIS
"...Rene's playing is pure Chicago... ...making this CD a joy for all listeners of the straight-ahead Chi-town Blues."
Blues Matters magazine - March/April - 2008 - U.K.
"...Postmarked Illinois, is a heapin' helpin' of Chicago blues covers and originals that really show his roots."
Mike O'Cull - Illinois Entertainer - February, 2008
"...bathed in a pure juice of Chicago blues. ...excellent album by Rene Trossman, an album that will stand out, a must, an essential…!
Francois Pfeiffer - BLUES Magazine, March, 2008 - France
"...playing in a style that owes a little to T-Bone Walker and more to the great sounds of the Chicago blues clubs of the sixties - Earl Hooker, Magic Sam, and Otis Rush, for example. He sings too, in a manner reminiscent of his big hero, the sadly under-rated Windy City bluesman Kennith "Buddy" Scott, and his own songwriting (four originals out of 12 tracks) is fine. Look out for this "new" talent - only 20 years of blues experience! We will be hearing more of him, I am sure.
NORMAN DARWEN - Blues Art Journal - November, 2007 - Austria
"When they come to France, don't miss this band!"
Soul Bag Magazine - December, 2007
"...unmistakable groove and immaculate old school sound."
Onrej Bezr - IDNES.CZ - 2007
"Trossman's raw voice makes this record more than worthy to listen to."
"When you listen to the title song ("Postmarked Illinois") you imagine yourself in the blues area of Chicago. A nice guitar solo makes this song a highlight."
Ger van Eldik - Bobtje Blues Review - Dutch Blues Website, in English
"When you listen to the title song ("Postmarked Illinois") you imagine yourself in the blues area of Chicago." */Ger van Eldik - Bobtje Blues Review - Belgium
"Trossman feels West Side blues in every single sound, both, as a guitar player and as a vocalist." */Andrzej Matysik - Twoj Blues Magazine - Poland - 2007/
From Blues artists:
"I love it! You did a great job. Keep up the good work!" Bob Stroger
"Rene Trossman has a deep understanding of Chicago blues guitar and I enjoy hearing him carry on that tradition." Bob Margolin | {
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Subscription-based professional support (tier I-IV) for on-premise and cloud hosted platforms.
Place a public message at https://groups.google.com/aat our community support board or via email at development@thehyve.nl. | {
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Muhammad Alí Radžáí (persky ; 15. června 1933 Kazvín – 30. srpna 1981 Teherán) byl od 2. srpna do 30. srpna 1981 prezidentem Íránu. V letech 1980–1981 byl íránským předsedou vlády.
Životopis
Muhammad Alí Radžáí, který již ve čtyřech letech ztratil otce, vyrůstal spolu s matkou a bratrem v severoíránském Kazvíně, centru stejnojmenné provincie. Ve věku 13 let byl nucen odejít do Teheránu, aby pomohl rodině s obživou, a o čtyři roky později nastoupil do kurzu pro poddůstojníky íránského letectva. Tam se poprvé střetl s protivníky režimu šáha Muhammada Rezy Pahlavího, jejichž názory jej silně ovlivnily. Současně začal sledovat projevy charismatického Mahmúda Tálegháního, předního šíitského duchovního, který později sehrál důležitou úlohu při islámské revoluci. Poddůstojnickou školu Radžáí nedokončil, živil se poté jako učitel a přitom studoval přírodní vědy na univerzitě. Různé politické aktivity proti režimu mu vynesly čtyři roky vězení.
Po šáhově pádu byl Radžáí v září 1979 jmenován nejprve ministrem školství a o rok později jej parlament na návrh prezidenta Baního Sadra zvolil 11. srpna 1980 předsedou vlády. Když tentýž parlament Baního Sadra v létě 1981 odvolal z funkce, byl Radžáí při všelidových volbách 88 % hlasů zvolen 24. července prezidentem Íránu. Dne 3. srpna se ujal úřadu, 30. srpna byl však spolu s předsedou vlády Bahonárem zabit při pumovém atentátu.
Bahmán Nírúmand popisuje Radžáího jako muže "naivního", "nevzdělaného", "prostého" a zcela závislého na Rúholláhu Chomejním, skutečném vládci země. Mezi obyvatelstvem prý koloval vtip, že kdyby Radžáího otec věděl, že se jeho syn jednou stane prezidentem, "nejspíš by ho poslal aspoň do základní školy".
Reference
Literatura
Robin Wright, The Last Great Revolution, Turmoil and Transformation in Iran, Alfred A. Knopf, 2000.
Externí odkazy
Muhammad Alí Radžáí (německy)
Prezidenti Íránu
Oběti atentátů
Narození v roce 1933
Úmrtí v roce 1981
Muži
Zavražděné hlavy států
Narození 15. června
Úmrtí 30. srpna | {
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Douglas James Dailey MBE (born 1944) is an English racing cyclist, former national road race champion and the former logistics manager of British Cycling. He has also been the national coach and an administrator.
Biography
Dailey was born in Orrell Park, Liverpool. He represented his country on many occasions including several editions of the Tour of Britain. He received the Merseyside Golden Cycle award in 1969 and 1984. He retired from competition in 1986 after 26 years and became national coach for 10 years. After a brief break he returned as logistics manager. Dailey is also former manager of Kirkby Sports Centre. He lives in Ruthin, North Wales.
Dailey was logistics coordinator at the Summer Olympics for the third time in 2008, he ensured all British Cycling's kit, scientific equipment, medical back-up and the athletes themselves arrived safely in Beijing. Dailey began sending equipment out three months earlier, in May, to ensure everything ran smoothly. Dailey was made an MBE for services to sport in the Queen's New Year Honours list in 2008. In 2009, he was inducted into the British Cycling Hall of Fame. Dailey is credited with discovering several important British cyclists, including Chris Froome.
Palmarès
1963
1st Mersey Roads Two Day
1967
1st Mersey Roads Two Day
1969
Winner of Raleigh Dunlop Tour of Ireland, while riding with Kirkby CC
1972
1st British National Road Race Championships, Amateur
3rd Premier Calendar
1973
1st Tour of Ireland
1st Girvan 3 day
1st Stage 1, Girvan 3 day
1st Stage 3, Girvan 3 day
1st Mersey Roads Two Day
1976
1st British National Road Race Championships, Amateur
1977
3rd Girvan 3 day
1979
2nd Girvan 3 day
References
1944 births
Living people
English male cyclists
British cycling road race champions
Members of the Order of the British Empire
Sportspeople from Liverpool | {
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Precision Medicine Group Lands Major New Investment
Berkshire Partners and TPG Growth co-lead $275 million investment as the company positions for the next phase of growth
December 19, 2017 04:10 PM Eastern Standard Time
BETHESDA, Md.--(BUSINESS WIRE)--Precision Medicine Group (PMG) announced today that it has reached an agreement for a $275 million investment that positions the company for the next phase of growth. The transaction is being led by Berkshire Partners and TPG Growth and also includes significant participation from Precision's co-founders and management team as well as original investors Oak Investment Partners and J.H. Whitney. This is Berkshire Partners' first investment in PMG and for TPG Growth this represents a significant expansion of the investment position it established in December 2015.
"This is a significant milestone for the company," said Mark Clein, CEO. "It recognizes both the progress achieved to date and the bright potential for our future. We are fortunate and gratified to have the support of our capital partners and colleagues." Chairman Ethan Leder commented, "We are delighted to have Berkshire rejoin us as they were a key investor in our previous business and added great value to the team."
"Precision has built a unique and compelling set of services that address the most important challenges facing biopharmaceutical and diagnostic companies," said Chris Hadley, a Managing Director at Berkshire Partners. "We are thrilled to participate in the next leg of growth and expansion focused on accelerating development and demonstrating value for customers."
Since its inception in 2012, PMG has grown to over 1,000 employees and 22 locations in the U.S., Canada and Europe. This investment will support the expansion of PMG's global footprint and provide additional scale to accelerate the development, approval and commercial success of innovative treatments.
"We could not be more pleased with PMG's progress since our initial investment in 2015," said Matt Hobart, Partner at TPG Growth. "Operating at the intersection of drugs and diagnostics, PMG is in a unique position to drive innovations across the healthcare industry."
About Precision Medicine Group:
Formed in 2012, Precision Medicine Group is a specialized services company supporting next generation approaches to drug development and commercialization. Precision provides an integrated infrastructure that supports pharmaceutical and life sciences companies as they develop new products in the age of precision medicine. The company is headquartered in Bethesda, Maryland with offices throughout North America and Europe. For more information, visit precisionmedicinegrp.com.
About Berkshire Partners
Berkshire Partners, a Boston-based investment firm, has raised nine private equity funds with more than $16 billion in aggregate capital and has made over 120 investments in primarily middle market companies since its founding in 1986. Berkshire has developed specific industry experience in several areas including healthcare, consumer products and retail, communications, business services and industrials. Berkshire has a strong history of partnering with management teams to grow the companies in which it invests with the goal of consistently achieving superior investment returns. The firm is currently investing from Berkshire Fund IX, a $5.5 billion fund raised in 2016. The firm seeks to invest $50 million to $500 million of capital in each portfolio company. For additional information, visit berkshirepartners.com
About TPG Growth
TPG Growth is the middle market and growth equity investment platform of TPG, the global private investment firm. With more than $8.3 billion of assets under management, TPG Growth targets investments in a broad range of industries and geographies. TPG Growth has the deep sector knowledge, operational resources, and global experience to drive value creation, and help companies reach their full potential. The firm is backed by the resources of TPG, which has more than $73 billion of assets under management. For more information, visit tpg.com.
Precision Medicine Group Media Relations
Louis Landon, 310-984-7707
louis.landon@precisionformedicine.com | {
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{"url":"https:\/\/ndlib.readthedocs.io\/en\/latest\/developer\/ndlib\/DiffusionViz.html","text":"# Describe a Visuzlization\u00b6\n\nAll the matplotlib visualizations implemented so far in NDlib extends the abstract class nndlib.viz.mpl.DiffusionViz.DiffusionPlot.\n\nclass ndlib.viz.mpl.DiffusionViz.DiffusionPlot(model, trends)\n\nConversely, visualizations that use the bokeh library, should extend the abstract class nndlib.viz.bokeh.DiffusionViz.DiffusionPlot.\n\nclass ndlib.viz.bokeh.DiffusionViz.DiffusionPlot(model, trends)\n\nHere is introduced the pattern for describing novel matplotlib based visualization, bokeh ones following the same rationale.\n\nSo far DiffusionPlot implements the visualization logic only for generic trend line plot built upon simulation iterations and model metadata.\n\n## Line Plot Definition\u00b6\n\nAs convention a new visualization should be described in a python file named after it, e.g. a MyViz class should be implemented in a MyViz.py file.\n\nDiffusionPlot.__init__(self, model, iteration)\n\nInitialize self. See help(type(self)) for accurate signature.\n\nIn oder to effectively describe the visualization the __init__ function of ndlib.viz.bokeh.DiffusionViz.DiffusionPlot must be specified as follows:\n\nfrom ndlib.viz.mpl.DiffusionViz import DiffusionPlot\n\nclass MyViz(DiffusionPlot):\n\ndef __init__(self, model, trends):\nsuper(self.__class__, self).__init__(model, trends)\nself.ylabel = \"#Nodes\"\nself.title = \"Diffusion Trend\"\n\n\n## Data Preparation\u00b6\n\nOnce described the plot metadata it is necessary to prepare the data to be visualized through the plot() method.\n\nTo do so, the iteration_series(percentile) method of the base class has to be overridden in MyViz.\n\nDiffusionPlot.iteration_series(self, percentile)\n\nPrepare the data to be visualized\n\nParameters: percentile \u2013 The percentile for the trend variance area a dictionary where iteration ids are keys and the associated values are the computed measures\n\nSuch method can access the trend data, as returned by ndlib.models.DiffusionModel.DiffusionModel.build_trends(self, iterations) in self.iterations.","date":"2019-02-21 00:24:53","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\": 0.1881236881017685, \"perplexity\": 10146.863583201368}, \"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-2019-09\/segments\/1550247496855.63\/warc\/CC-MAIN-20190220230820-20190221012820-00622.warc.gz\"}"} | null | null |
Back to Corporate
Welcome Back Football. 12 Answers to Your Most Pressing Seahawks Questions
By now you know that our region's favorite team, the World Champion Seattle Seahawks, start their regular season this Thursday. Now, for those of you who either just moved to Seattle or aren't huge football fans, we have provided answers to 12 questions that will help you be part of any office cooler conversation.
1) 12 questions? Seriously, what's the deal with all the 12's?
Ever since the Seahawks moved into Century Link Field in 2002, the Seahawks have honored their fans by calling them the "12th man." This represents the idea that when other teams come to play the Hawks, the crowd is so loud and has such an impact that the opponents are essentially playing 11 on 12. Hence, the 12th man. Right before every home game, the Seahawks have someone from Seattle raise the "12th Man flag" which turns an already loud stadium into utter chaos.
2) What is Beast Mode?
It was Jan 9, 2011 – Coach Pete Carroll's first year with the team. Even though the Hawks only finished with a 7-9 record that year, it was enough for them to win their division (NFC West) and thus get to host the heavily favored New Orleans Saints in the first round of the playoffs. Late in the 4th quarter, the Saints were mounting a comeback and the Seahawks were trying to hold on to the ball, up by four points. That's when running back Marshawn Lynch took a hand-off and ran through just about everyone on the Saints defense on the way to the end zone. Lynch was said to go into "Beast Mode."
3) What's with the animosity between us and the 49'ers? San Francisco seems like such a friendly place.
Believe it or not, the Seahawks vs 49'ers rivalry does not go back too many years. The Seahawks switched divisions from the AFC West to the NFC West in 2002, long long long after the 49'ers dynasty of the 1980's and 1990's when they won five Super Bowls. But 49'ers head coach Jim Harbaugh and Seahawks head coach Pete Carroll have both recently joined their teams, Carroll in 2010 and Harbaugh in 2011. And both had coached against each other in the Pac-10, Harbaugh at Stanford from 2007-2010, and Carroll at USC from 2000-2009, so their NFL rivalry spilled over from college. It reached a fever pitch in the NFC Championship game last January when the Seahawks narrowly won the game to go to the Super Bowl. The 49'ers built a new stadium about 40-50 miles outside of the city this year, so a favorite insult is to refuse to call them "San Francisco" any more, and refer to them as the "Santa Clara 49'ers."
Via SeattleTimes.com
4) Can I date Russell Wilson? He's dreamy.
Well, Russell Wilson is single after separating from his wife in the spring. Rumors of him with a current girlfriend are sketchy at best. But keep in mind that he's known for being in the Seahawks film room at 5:00am, being the last guy to leave the training facility and spending most of his Tuesday afternoon free time at Children's Hospital talking to sick kids. That's right, he's not just an NFL star, but he's a super nice guy to boot. So, even if you do nab him, don't expect too much wining and dining from the gallant QB.
5) I'm going to the game. Where should I go before hand?
Oh wow, that's a tough question. Once you are in Pioneer Square, every bar and restaurant is going to be filled with 12th men and women. Most Seahawks games are Sunday at 1:15pm, which gives you the chance to get down early for breakfast, watch most of the 10:00am NFL games, and then head over to the stadium about 12:15. You want to get to the stadium a little early so you can get settled in, and to let your ears slowly adjust to the mountain of noise that is building up towards kickoff.
6) Who is Richard Sherman and why does he bother fans of other teams?
When you are a leader of the Seahawks defensive secondary that calls itself the "Legion of Boom," you are bound to ruffle the feathers of opposing fans. Sherman has always been known as an outspoken character, but his popularity (and anti-popularity) reached new heights at the very end of the NFC Championship game after he defended a pass that won the game. Either you think he is overly aggressive or you love his emotion. He kind of polarizes people one way or the other. If he played for Santa Clara, we probably wouldn't be able to stand him.
7) What's the deal with the phrase "Win Forever" and where did it come from?
This is Coach Carroll's mantra. In fact, he has a web site and has written a book of the same rallying cry. Coach Carroll's program for youth "develops a culture of high performance that is in a relentless pursuit of a competitive edge – for individuals and teams to become the very best they can possibly become." He brings that same competitiveness to every Seahawks practice and game.
8) How should my friends or I get to the stadium?
Well if you live at Stadium Place, lucky you! You live 100 yards from the stadium! Your friends can come meet you for a pre-game bash at your place, or you can met them downstairs and enjoy the festive Pioneer Square environment. Like we said above, just wander around, find a place that suits you, and enjoy a leisurely build up to kick-off.
But if you are at any of our other communities, you can choose to drive but you'll have to pay for parking, usually at least $15 or $20. And expect a fair amount of traffic, so plan accordingly. You can also hop in an Uber or Lyft, although the bus and light rail can be pretty good options as well. Pro tip: If you park anywhere in South Lake Union you can take the Trolley into Westlake and then the bus or light rail to the International Street station.
9) By the way, when are the games and who do we play?
Good question. Here's a technical answer to wow your friends with. The Hawks play 16 games. 6 are against their NFC West rivals Santa Clara, Arizona and St. Louis (3 at home, 3 away.) This year, all of the teams in the NFC West will also play the 4 teams in the AFC West; Denver, Oakland, San Diego and Kansas City (2 at home, 2 away) and NFC East; Washington, New York Giants, Philadelphia and Dallas (2 at home, 2 away.) The divisions they play against rotate every year. Finally, because the Seahawks were the winners of their division last year, they play last year's winners of the 2 other divisions in their conference; Carolina and Green Bay (1 home, 1 away.) Got it? Well here's the full schedule with actual dates and times.
10) When's the last time a team won Back to Back Super Bowls? Can we do it again?
So far there have been 48 Super Bowls, and Back to Back titles have only happened 8 times – Green Bay (1967, 1968), Miami (1973, 1974), Pittsburgh (1975, 1976 and 1979, 1980), San Francisco (1989, 1990), Dallas (1993, 1994), Denver (1998, 1999) and New England (2004, 2005). Looking at the trends, this is the longest the league has gone without a repeat champion, so it does seem like the time is right.
11) Since we won it last year, will the Super Bowl be in Seattle this year?
No, that's not how it works, sadly. The Super Bowl location is chosen years in advance – usually in a warm weather city, unless there's a brand new stadium the league wants to show off. This year's Super Bowl is in Phoenix, and then the next ones are in Santa Clara (NOT San Francisco), Houston and Minneapolis.
12) I want to buy a jersey. Whose number and name should I get?
Excellent, excellent question. Good for you for your team spirit. The easy and popular choices are Russell Wilson (3), Marshawn Lynch (24) or Legion of Boom standouts Richard Sherman (25) and Earl Thomas (29). Now these are great choices, and Wilson, Sherman and Thomas will be with the team for years, so the jersey won't be out of date for a while. If you like something less trendy and like little guys, two sophisticated choices would be wide receivers Percy Harvin (11) and Doug Baldwin (89). Less trendy choices for big guys would be the quiet but tough center Max Unger (60) or left tackle Russell Okung (76). Or maybe you want to pick someone from your college. Check out the roster here. And there's always just the #12 which is always a solid pick.
Via Faniq.com
Have more questions about the Seahawks? Let us know in the comments below.
And just in case you can't get tickets, check out the view from the roof deck of The Wave!
This entry was posted in Sports on August 30, 2014 by Pillar Properties.
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Q: Truncating all postgres tables in Jest globalSetup with Prisma I have the following code in my Jest globalSetup.ts: I wish to truncate all tables in the test database at the start of tests. Instead, execution reaches the last statement after a seemingly stochastic number of table truncations. Tables are always processed in the order initially given in tablenames, and tablenames does not change in length, but at some point it stops without entering the catch block. Any ideas?
I do have a table called user which is a reserved word and might be dangerous. I'm following the recipe here but it doesn't say why it's dangerous (and I can't see it anywhere else!)
const setup = async (): void => {
// whatever you need to setup globally
console.log('HI');
const prisma = new PrismaClient();
const tablenames = await prisma.$queryRaw<Array<{ tablename: string }>>`SELECT tablename FROM pg_tables WHERE schemaname='public'`;
console.log('table clear');
console.log('table names:');
for (const { tablename } of tablenames) {
console.log(tablename);
}
console.log('tablename length: ' + tablenames.length);
console.log('\n\n')
for (const { tablename } of tablenames) {
console.log('tablename length: ' + tablenames.length);
console.log('running ' + tablename);
if (tablename !== '_prisma_migrations') {
//try {
console.log('clearing ' + tablename);
console.log(`TRUNCATE TABLE "public"."${tablename}" CASCADE;`)
await prisma.$executeRawUnsafe(
`TRUNCATE TABLE "public"."${tablename}" CASCADE;`
);
} catch (error) {
console.log('>>> erroring ' + tablename);
console.log({ error });
}
}
console.log('this line \n')
}
| {
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\section*{}
The human face is involved in various aspects of verbal and non-verbal communication: acts of speech, facial expressions, facial gestures and movements, to list several major examples. Cognitive science, psychology, neuroscience, as well as sub-fields of information processing sciences are currently aimed at the study of facially mediated communication. Some of this work is aimed at developing new techniques in computer graphics, animation, and computer vision. Probably the most widely cited motivation for this research is to provide a more natural basis for humans to interact with computer systems via personification of artificially intelligent agents. While there has been considerable research along these lines, to date relatively few human computer interface technologies have successfully employed face processing. An overview of the status of HCI applications of face processing is beyond the scope of the present article, however a review of the situation has recently been given by Bartneck and Lyons \cite{bartneck2007hci}. In the current article I will focus nearly exclusively on some aspects of facial expression processing by humans and machines and how these relate to current research in human-computer interaction.
\section*{Facial Expression Representation: \\Categories or Dimensions?}
Several controversies are associated with the most fundamental issues of facial expression research, and it has been suggested by Schiano \cite{schiano2000face}, and discussed more recently by Bartneck and Lyons \cite{bartneck2007hci}, that unresolved issues might be blocking significant progress in the development of workable HCI systems. The nature of the method used to represent facial expressions is seen as a key issue in this regard. One school of thought, famously affiliated with Ekman \cite{ekman1999basic} but dating back at least to Charles Darwin, holds that a discrete set of facial expression categories serves to communicate affective states, which, likewise, can be represented using a set of emotion categories. Another view, articulated clearly by Schlosberg \cite{schlosberg1952description}, but again having roots in older work, holds that facial expressions are better suited to representation in a space having continuous dimensions of valence (pleasure/displeasure) and arousal. These views have often been presented as being mutually exclusive.
Choice of an appropriate representation scheme is no doubt of paramount importance for the success of any facial expression system, however categorical and dimensional views are by no means incompatible in the context of their application to HCI technologies. One of my earliest studies of dimensional facial expression representation, conducted with my colleagues Miyuki Kamachi and Jiro Gyoba and reported in Lyons et al. \cite{lyons1998coding}, was the result of a larger project to build a facial expression categorization system. While studying classification methods for images of facial expressions, we explored the dimensional structure of the facial expression image data and discovered that a nonlinear two-dimensional projection of the data, captured a large proportion of the variance in our data. Furthermore, the projection dimensions reflected the well-known "circumplex" of facial expressions, itself a low- dimensional projection of empirical data from semantic differential ratings of facial expression images. The correlation between the image-processing derived and semantic-rating derived spaces was unexpectedly high and provided support for our image-filter derived representation of facial expressions, as well as for the possibly utility of a dimensional representation in classifying facial expressions. At the same time, we observed a natural clustering of facial expression images within our low-dimensional affect space into basic emotional categories of happiness, anger, surprise, and so on. This finding suggested that the concept of facial expression categories could also be a viable component of our facial expression classification system.
The findings reported in Lyons et al. \cite{lyons1998coding} and briefly summarized above showed that both categorical and dimensional representations could be used at different stages of a facial expression classification system and guided a subsequent project to build a facial expression classification system as reported by Lyons et al. \cite{lyons1999automatic}. The basic idea of the classification system to first process facial images with filters modeled on complex cells of primary visual cortex (area V1), then project the filter outputs into a low dimensional space learned from an ensemble of facial expression images and finally categorize expressions on the basis clusters. This system embodies dimensional and categorical approaches to facial expression representation and combines the power of both: an outcome of the project was the development of one of the early successful facial expression classifiers. The general approach of combining V1-like image filtering, dimensionality reduction and categorization has become widely used.
In addition to utility of this approach for classifying images of facial expression, the schema discussed above is helpful in thinking about how dimensional and categorical facial expression representations might relate to what happens in the brain. For example, dimensional and categorical aspects of processing may be different facets of a single neural scheme for processing facial expressions. Loosely speaking, dimensionality reduction might take places at an earlier stage of processing, to reduce the complexity, and increase the robustness of a facial expression recognition system.
\section*{Facial Expression Analysis and HCI}
\subsection*{Limitations of the current approach}
The current discussion might give the impression that facial expression classification is a solved problem as, indeed, an uncritical reader of the relevant literature in pattern recognition and computer vision research might be led to think. That impression, however, would be mistaken: the application of facial expression processing techniques to working HCI systems has so far been quite limited. This situation, which has persisted for several years, led Bartneck and Lyons \cite{bartneck2007hci} to explore possible reasons for the apparent discrepancy between the reported power of available techniques, and the lack of their use in actual HCI systems. One of the significant observations to be made is that many of the proposed applications of facial expression analysis and synthesis methods suffer from "the curse of strong AI". In other words, research projects in this field often tacitly, but unrealistically, assume the viability of an artificially intelligent agent.
To make above remarks more concrete, consider the classic proposed goal of facial expression recognition research: a software agent, or social robot, which by analyzing images of a human face can predict that human's affective state and behave accordingly. Simply put, the stated goal is to develop a artificial system that can read the mind by looking at the face. However, this is not the same problem as classifying images or image sequences of facial expressions. There are many differences between these two problems as defined, which relate, largely, to the role of contextual information: human social intelligence relies on an ability to understand another's emotions and predict behaviour, however this requires the judicious integration of information from a wide range of sources. More specifically, a major limitation of facial expression recognition research to date is a consequence of the reduction of the problem to the benchmark problem of classifying facial expressions into basic emotion categories. The problem has been reduced to enable optimization of algorithms on standard databases as well as to allow meaningful comparison of various methods. Performance optimization on standard tests however does not lead to a system which is capable of reading human minds or predicting behaviour: the failure of such a project should not be surprising.
\subsection*{Reframing the problem}
While advances in pattern recognition techniques will lead to ever greater recognition rates on facial expression datasets, continuous incremental improvements are unlikely to lead to progress towards the practical use of these methods. In short, a reframing of the research problem itself is needed. I propose three suggestions, with examples drawn from my work.
\subsection*{Continuously update benchmarks}
First, if any progress is to be made towards a mind-reading machine, pattern recognition researchers should continuously update their benchmarks. Let me start by giving just one specific, concrete proposal: rather than using nominal labels in terms of basic categories, images, or image sequences should be more richly described to reflect empirical data on human perception. A suggestion given by Lyons et al. \cite{lyons1998coding} is to use semantic ratings on a set of emotion labels rather than a single emotion category. The learning tasks become more complex: multivariate regression rather than hard categorization is needed. However a continuous description based on real data will be needed to progress towards reality. Collecting such a dataset is, of course, a large project and may become one of the most significant bottlenecks to future advances.
\subsection*{A constructivist approach: Artificial Expressions}
A radical reformulation of facial expression research results from the observation that our most meaningful interactions with computers are actually human-computer-human interactions, or, in other words, machine-mediated human-interactions. Why not leave the strong-AI problem of understanding emotions to humans and use machines for tasks they can perform well – reproducing, processing, and displaying information over communication networks? Systems for supporting empathetic interaction using biosensors, simple animations, and client/server modules have been proposed by Lyons et al. \cite{lyons2004facial}. Part of the approach involved scaffolding "Artificial Expressions": easily interpretable displays of physiological variables. Meaning is attached constructively to these new expressions, through ongoing interaction between users. An analogous approach could be taken with facial expressions.
\subsection*{Feasible applications of facial expression processing}
It is not widely enough recognized that the technology developed for facial expression recognition is readily applicable to projects which are both interesting and tractable. Several examples were given by Lyons \cite{lyons2004facial} which proposed the development of "Facial Gesture Interfaces", systems that allow motor actions of the face to be used for direct, intentional interaction with machines. Several demonstration systems have been developed. One such system allows a user to control a cursor with slight movements of the head, while entering mouse clicks by opening and closing the mouth. Another maps movements of the mouth to control a musical synthesizer or audio effects unit. A similar system uses the mouth to control brush properties for digital painting. Robust, real-time, functioning prototypes of these systems have been developed, demonstrating current technology that has adequate power for such applications. A most important aspect of these projects is that they are not cursed with the seemingly ever receding feasibility of creating artificially intelligent agents.
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Gidon Katz, the Managing Director of Sky-owned Now TV, spoke at the 2016 IBC Leaders' Summit, in a session that covered the many flavours of OTT.
Katz was teamed on the panel with the heads of Mubi, Aspera, and Amazon Europe, so what did he get out of the session?
"The overall message was that OTT is just a distribution mechanism, a way of enabling a different segment of customers to access content in different ways," he says.
"The technological innovation is triggering marketing innovation, and that marketing freedom is about targeting discrete groups of consumers with propositions that mean most to them.
"What Now TV is doing is targeting the 'pay lite' audience or the Freeview audience, introducing them to pay-TV content without the barriers of a contract and installation, and without the pricing barriers that have traditionally blocked people from getting pay-TV," he adds.
Now TV is a subset of an extraordinary content library, so does not get involved in commissioning original content.
Now TV has good connections to the independent sector via UKTV and C4. But how does it sit against Netflix?
"If they are marketing Jessica Jones essentially as a zero barrier entry point, and I am marketing Game of Thrones, we are both ploughing the same furrow," says Katz.
Looking to the segmentation of the OTT market, does this suggest the competitors Katz knows at the high end will be the same ones in five years time?
How does big data feature in the Katz plan?
OTT does have problems, he admits. "The big challenge for all services is retention. If you have a no contract proposition, you do not retain customers as long as you do if you have a 12-month contract.
When it comes to new technology, Now TV serves a mainstream audience – not early technology adopters – so Katz has specific demands.
"I am particularly interested in encoding technologies that enable me to deliver better picture quality and lower bit rates," he explains.
"Buffering is one of the things holding OTT back. We have a huge amount of data that shows that buffering and pictures that crash or freeze are directly linked to retention issues.
"Looking at things that manage the CDM network, improve encoding and improve the bit rate adaption are vital, so too are hierarchical tools, 'decisioning technologies' that sit on our big data archive.
Gidon joined Sky as the Director of Now TV in July 2013, and is responsible for all aspects of the business.
Since joining he has overseen the growth of Now TV, including the launch of the UK's first no contract triple play bundle – the NowTV Combo - combining TV, broadband and calls as well as the brand's own streaming device - the Now TV Smart Box.
He has also guided the team to expand its TV offering across all genres to sports, entertainment, movies and most recently kids.
Prior to Sky, he spent five years as Managing Director of Box TV, a joint venture between Bauer and Channel 4 and whilst there he launched 4music.
Before that he was at Virgin Media/NTL for nine years where his successes included launching the Virgin On Demand service and leading their content acquisition teams.
He holds a first class degree from Cambridge University and a Distinction in his MSc from The London School of Economics. Katz also has three daughters. | {
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**SAGE** has been part of the global academic community since 1965, supporting high quality research and learning that transforms society and our understanding of individuals, groups and cultures. SAGE is the independent, innovative, natural home for authors, editors and societies who share our commitment and passion for the social sciences.
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© James Midgley 2014
First published 2014
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To friends and colleagues, and all who are dedicated to achieving social development around the world.
CONTENTS
About the Author
Acknowledgements
Introduction
I. UNDERSTANDING SOCIAL DEVELOPMENT
1. Defining Social Development
Approaches to definition
Towards a definition
2. The History of Social Development
The idea of development
The critique of the standard model
The origins of social development practice
The role of the international agencies
Reactions against statism and the renewal of social development
Reinvigorating and redefining social development
II. THE THEORY OF SOCIAL DEVELOPMENT
3. Theoretical Debates and the Social Development Process
The original condition
The goals of social development
Change, progress and intervention
Normative perspectives
4. Theoretical Principles and Social Development Practice
Social development practice
Features of social development practice
The practice strategies
Agents, levels and organisations
Assessing practice outcomes
III. SOCIAL DEVELOPMENT PRACTICE
5. Investments in Skills and Knowledge: The Role of Human Capital
Human capital in historical context
Types of human capital
Childcare and early childhood interventions
Formal education: schools and universities
Popular education, health and nutrition
Issues of human capital and social development
6. Social Capital, Communities and Social Development
Historical dimensions
Social capital and community development
Community building and community development
Activism and community action
Community economic development
Community development and social development
7. Promoting Decent Work and Employment: Policies and Investments
The history of employment and employment policy
Key programmes and policies
The macroeconomic policy framework
Employment projects and programmes
Employment policy and decent work
Challenges and opportunities
8. Microenterprise, Microfinance and Social Development
The evolution of microenterprise and microfinance
Features of microenterprise and microfinance
Types of microenterprise
Grameen Bank II and the commercialisation of microfinance
Microenterprise, poverty and social development
9. Assets and Social Development
Asset building in historical context
The nature of assets and asset building
Financial assets for individuals and households
Community development and community-owned assets
National assets, trusts and the state
The role of assets in social development
10. Social Protection as a Social Development Strategy
The history of social protection
The features of social protection
Varieties of social protection
Poverty alleviation innovations
Social protection and development: Challenges and opportunities
11. Social Planning, Rights and Social Development
Social planning's historical evolution
The nature of social planning
Types of social planning
Planning, targets and rights
Problems and prospects of social planning
IV. CONCLUSION
12. The Agenda: Achieving Social Development
Social development: Towards institutional structuralism
Theoretical roots
Implementing managed pluralism
Barrier and challenges
Opportunity, power and struggle
Glossary
References
Index
ABOUT THE AUTHOR
James Midgley is the Harry and Riva Specht Professor of Public Social Services and Dean Emeritus at the University of California, Berkeley. Originally from South Africa, he studied at the University of Cape Town and the London School of Economics and held academic appointments at both universities before moving to the United States. He has published widely on issues of social development, social policy, social work and international social welfare. His major books include _Professional Imperialism: Social Work in the Third World_ , Heinemann, 1981; _Social Security, Inequality and the Third World_ , Wiley, 1984; _Comparative Social Policy and the Third World_ , Harvester, 1987 (with Stewart MacPherson); _The Social Dimensions of Development: Social Policy and Planning in the Third World_ , Gower, 1989 (with Margaret Hardiman); _Social Development: The Developmental Perspective in Social Welfare_ , Sage, 1995; _Social Welfare in Global Context_ , Sage, 1997 and _Social Policy for Development_ , Sage, 2004 (with Anthony Hall). In addition, he has edited many books on social policy, international social welfare and social development. Among the most recent are _Social Work and Social Development_ , Oxford University Press, 2010 (with Amy Conley); _Social Policy and Poverty in East Asia: The Role of Social Security_ , Routledge, 2010 (with K. L. Tang); _Grassroots Social Security in Asia_ , Routledge, 2011 (with Mitsuhiko Hosaka); and _Colonialism and Welfare: Social Policy and the British Imperial Legacy_ , Edward Elgar, 2011 (with David Piachaud). He is a Fellow of the American Academy of Social Work and Social Welfare and holds Honorary Professorial appointments at the University of Johannesburg in South Africa, Nihon Fukushi University in Japan, Sun Yat-sen University in China and the Hong Kong Polytechnic University.
ACKNOWLEDGEMENTS
Over the last 50 years, social development has emerged as a distinctive field of practice and academic enquiry. Although primarily focused on real-world activities such as alleviating poverty, mobilising local people for community projects, promoting asset accumulation and fostering microenterprises, it has been informed by research and theoretical ideas. Academic contributions to social development draw on a long intellectual legacy that can be traced back to ancient social thought, the analyses of scholars such as Marx, Hobhouse and Veblen, as well as more recent contributions from development economists such as Myrdal, Seers and Sen among others. They have also been influenced by community practitioners and activists who have played a major role in shaping social development practice. More recent innovations in microenterprise and similar activities have also been associated with the field. These diverse influences provide conceptual frameworks as well as an empirical base for practice. As this book hopes to show, social development practice and theory are closely related.
I have been greatly inspired by those whose ideas and research agendas have informed social development and had a significant impact on practice. I have drawn liberally on their contributions and sought in this book to provide a comprehensive overview that I hope will be particularly useful to students who plan to work in social development settings. Since much of the literature is fragmented, I hope that my attempt to summarise the major contributions that have been made over the years to both theory and practice will also be helpful. In addition, I hope that the normative framework I offer will be relevant to those who are committed to promoting social development. Although I do not expect that my approach will be universally commended, its pragmatism and derivation from social democratic institutionalism may be congenial to practitioners and scholars alike who recognise that social progress requires an ongoing process of struggle to mobilise different institutions, practice strategies and agents and to secure power for this purpose. As I will argue, the need to utilise the power and resources of the state for development is paramount.
The normative perspective offered here has been informed by my own teachers, including Richard Titmuss and Brian Able-Smith at the London School of Economic, who made a huge contribution to formulating a social democratic framework for social policy in Britain and other countries and who mentored me as a student and young academic. I also acknowledge the help I received from Howard Glennerster and Bob Pinker. I am fortunate to collaborate and maintain close links with colleagues at the LSE, particularly David Piachaud and Tony Hall. Special thanks to John Wilkes of the LSE for being so hospitable and accommodating whenever I visit London.
Although I have used the social democratic framework, my experience of living and working in the developing world has prompted me to adapt its insights to very different social, economic and cultural realities. Many friends and colleagues in Africa, Asia and other parts of the Global South have engaged me on so many occasions in stimulating debates about how this conceptual framework does or does not relate to social development theory and practice in their own countries. I am particularly grateful to members of the International Consortium for Social Development who encouraged my work. The organisation has attracted members from all over the world, and I am honoured to count many as friends.
I have especially benefited from collaborations with colleagues in South Africa and East Asian countries who have helped me to understand the dynamics of change and social development in their societies. I have enjoyed close links with the University of Johannesburg in South Africa, Nihon Fukushi University in Japan, the Hong Kong Polytechnic University and Sun Yat Sen University in China and am particularly indebted to Mitsuhiko Hosaka, James Lee, Kwong Leung Tang, Leila Patel, Yapeng Zhu and ToshihiroYogo for their friendship and support. I am also grateful to so many other friends and colleagues all over the world who have shown me kindness and helped me to reflect critically about social development issues. I have also benefited from many colleagues here in the United States who encouraged me when I came to this country 25 years ago. It is simply not possible to mention all of them individually but I express deep gratitude for their friendship. I owe a particular debt to my colleagues at Berkeley and LSU and to those who studied with me and shared their own thoughts and experiences with me.
Finally, I am grateful to all who helped with the production of this book. The library staff at Berkeley facilitated access to a wide range of material, and their commitment to supporting scholarship at the University is deeply appreciated. I am particularly grateful to Susan Edwards, Cris Guerrero and Craig Alderson for their help. I have also enjoyed a long and constructive relationship with colleagues at Sage and owe a special debt to David Mainwaring, who persuaded me that an advanced text in the field of social development was needed, and to Natalie Aguilera and James Piper, who gently nudged me along to complete the manuscript. Thanks also to Huw Alexander, who has facilitated translations of my books. I thank Sarah Bury for excellent copy editing and Katie Forsythe for seeing the book through production. They have helped to facilitate the spread of social development ideas around the world.
James Midgley
University of California, Berkeley
INTRODUCTION
This book seeks to provide a broad overview of the field of social development and the way it contributes to improving people's well-being throughout the world. Although social development emerged in the developing world, it is now more widely known in the Western countries where social development interventions are also being implemented. These interventions are distinctive because they are directly linked to a wider, multifaceted development process designed to raise standards of living for all. They also emphasise the importance of social investments and stress the need for people's participation. Social development practice has been augmented by the formulation of conceptual ideas that inform practice and shape that field. Unlike other established approaches in social welfare, which are based on a service delivery model, social development emphasises the role of progressive social change in promoting social well-being and recognises the vital importance of human agency and diverse institutions in bringing this about.
These and other features of social development are uniquely linked to the wider idea of 'development', which has an ancient provenance and has been used loosely over the centuries to connote a process of progressive social improvement. Today, it refers to purposeful efforts to foster economic prosperity and increases in standards of living, primarily in the nations of the Global South. Development was given high priority in these nations when they secured independence from European imperial rule in the post-Second World War years. Most of their nationalist governments were committed to modernising the traditional agrarian economies of their countries, believing that rapid economic growth would expand modern sector wage employment, absorb rural labour and reduce the incidence of poverty. Many adopted industrialisation policies designed to drive the development process. To mobilise capital for industry, some sought to limit social spending but the pressing social needs of the time, as well as political pressures and a commitment by nationalist independence leaders to reduce poverty, fostered the expansion of social welfare services.
It was in this context that the first social development programmes were established in the developing countries in the 1950s. The limited, remedial welfare services introduced during colonial times were modified to increase their relevance to the overriding objective of promoting development. Initially this involved creating community-based projects that harmonised economic and welfare priorities by insuring that activities conventionally designated as 'social' had an explicit economic dimension. It was believed that standards of living could be raised if the economic and social aspects of community development programmes were integrated and if people participated in these activities. Social investments that contribute positively to development were also given high priority. Although social development was originally implemented through local community projects, it now characterises practice at the regional and national levels as well and its approach has also been adopted by international organisations. These events have shaped the evolution of social development. It is the purposeful linking of social projects and programmes with a dynamic development process and the use of social investment that characterises the social development approach and explains the origin of the term.
A number of specific social development goals have been identified over the years. They include eradicating poverty and hunger, improving education and literacy, reducing infant and maternal mortality, ending gender discrimination and oppression, enhancing participation in the political process, increasing access to improved sanitation and many more. However, these different goals reveal very different priorities and require very different interventions which are subsumed under major practice strategies that are conventionally associated with social development; these include human capital investments, employment generation policies and programmes, microenterprises, social capital and community development, asset building, community participation and social activism, social protection and national social planning. They operate at the local, community, regional and national levels and are implemented by households, communities, non-governmental organisations and regional and national governments with the support of the international development agencies and donor governments. Recently, social development has been given added impetus by the Millennium Development Goals which were adopted by the member states of the United Nations at the turn of the new century, resulting in a renewed global effort to promote social well-being. From small beginnings as local, community-based projects in a few developing countries in the 1940s and 1950s, social development has evolved into an international enterprise that has mobilised significant resources that harness the power of development to promote peoples' well-being everywhere.
Despite these achievements, social development is still poorly defined and no standard definition of the term has yet been adopted. In addition, no coherent theoretical framework that encapsulates the diverse concepts and ideas as well as the numerous practice interventions associated with social development has emerged. Although much progress has been made in formulating relevant conceptual insights, the field is still viewed as a practical affair in which concrete projects and programmes are much more prominent than theory. However, practical interventions reflect wider theoretical ideas as well as values and beliefs about how to achieve social goals. In addition to explicating underlying normative assumptions, theories interpret events, categorise phenomena and explain causal relationships. As the book's title reveals, both theory and practice play a vital role in social development.
Greater effort is needed to promote social development's academic standing as an applied, interdisciplinary social science and to enhance its research and teaching. Although a number of social development research centres have been established, the field is not known for its scholarly accomplishments. It is widely recognised that more carefully designed research studies are needed to evaluate and enhance social development practice. Courses in social development are now offered at many universities, but here again the subject's academic achievements are not noteworthy. Social development's literature remains fragmented and the field is theoretically unrefined. The large number of social development interventions that have been identified need to be more coherently linked together and incorporated into an overarching conceptual framework. Also, much more needs to be done to promote social development in the Western countries. Nevertheless, as will be shown in this book, a great deal has been achieved since the 1950s when social development first emerged in a few countries in the Global South and was largely limited to community development practice.
The book hopes to contribute to continuing efforts to enhance social development theory and practice. It examines the theoretical ideas that have been adopted in the field as well as the practical interventions that are used to achieve social development goals. It builds on the earlier book, _Social Development: The Developmental Perspective in Social Welfare_ (Midgley, 1995) which was intended to introduce social development ideas to scholars in the interdisciplinary subject of social policy. However, it has been used as a text in different academic fields, suggesting that a more comprehensive overview would be useful. It is hoped that this book will offer an accessible and systematic account of the social development approach and its potential to enhance social well-being in both the developing and Western nations.
The book is divided into three parts. The first deals with background issues, including the definition of social development and its historical evolution. The first chapter in Part I discusses a number of approaches to defining social development that have emerged over the years and then offers its own definition, reviewing the key elements of this definition in an attempt to identify the core features of the social development approach. Chapter 2 traces the historical evolution of social development in the years following the Second World War, when the governments of a number of newly independent countries introduced the first social development programmes, and it traces the field's evolution since then.
Part II examines the theoretical ideas and principles that inform social development. Chapter 3 focuses on the theoretical dimensions of the social development process. It analytically distinguishes the components of this process and examines different normative perspectives that shape the social development process. It suggests that many values that are taken for granted in social development involve complex theoretical debates. Chapter 4 examines the theoretical aspects of social development practice. Recapitulating social development's key elements discussed in the first chapter of the book, the distinctive features of practice are identified and attention is given to the different agents involved in practice. The importance of evaluating social development's effectiveness is also emphasised.
Part III reviews the practice strategies that are associated with social development. Rather than focusing on the large number of small-scale projects associated with social development, major practice strategies, ranging from human capital investments to asset-based approaches, are examined. They organise discrete projects, programmes and policies into coherent systems of intervention. This Part of the book show that the practice strategies purposefully integrate social and economic aspects and use social investments to enhance people's well-being while simultaneously fostering participation in economic activities. All form an integral part of a wider, multifaceted development process which, as will be shown, transcends the exclusive emphasis on economic growth that has previously characterised much development effort.
Finally, the chapter in Part IV of the book briefly discusses the prospect of formulating a comprehensive agenda for achieving social development's goals. It offers an approach to social development known as _institutional structuralism_ that focuses attention on the structural problem or distorted development that characterises many countries and seeks to mobilise different social institutions, agents and practice strategies for social development. Their respective contributions are ordered within coherent, structured corporatist relationships in which the state plays a proactive and enabling role. This relies on a strategy known as _managed pluralism_. It coordinates the contributions of different institutions practice strategies and agents. However, it recognises that power plays a vital role in implementing this approach and that it is through a process of ongoing struggle that progressive forces can implement the social development agenda.
PART I
UNDERSTANDING SOCIAL DEVELOPMENT
1
DEFINING SOCIAL DEVELOPMENT
Even though the term social development has been in regular use for more than half a century, it is still poorly defined. Today, it is used to mean different things. It is often associated with community-based projects in the developing countries such as microenterprises, women's groups, cooperatives, maternal and child welfare programmes, the provision of safe drinking water and the construction of schools and clinics. It also refers to government policies and programmes concerned with the 'social aspect' of development, such as reducing poverty, increasing literacy, combating malnutrition and improving access to health and education. This usage reflects international efforts to promote the Millennium Development Goals, which were adopted at the United Nations Millennium Summit in New York in 2000. In contrast to this practical approach, the term is also used to connote the achievement of lofty ideals, such as progress, social integration, peace and social justice.
Scholars working in different academic fields have also used the term in different ways. It is closely associated with development studies, where it is perhaps most frequently employed, but it is also influenced by scholarly work in sociology, social work and social policy. Sociologists have used the term to describe a process of 'guided' social change that improves society while some social workers have linked social development to community-based projects. Some have also invoked abstract ideals to characterise the field. As is well known, psychologists employ the term to refer to childhood development. It has also been used in social policy to refer to social improvements brought about by government 'welfare state' initiatives and it also characterises recent discussions among social policy writers on what is called 'welfare developmentalism'.
This chapter reviews a number of definitions that have emerged in practice and in academic circles over the years. It offers its own definition and then discusses the key features of this definition; this usage is compatible with the way the term is used in development studies and development practice in the Global South. However, it was noted in the Introduction to this book that social development has also attracted attention in the Western nations, and in some cases, social development interventions such as microenterprises and conditional cash transfers have been replicated in Western countries. Although often regarded as a unique 'Third Worldist' approach, social development is now being adopted in many different parts of the world.
Since the different approaches to definitions discussed in this chapter were formulated in an historic context, some of the issues raised here will be elaborated in the book's following chapter which traces the history of social development. As will be shown, the concept of social development evolved in the Global South after the Second World War and reflected the preoccupation of colonial officials and nationalist independence leaders with economic modernisation and raising standards of living. The definition of social development that emerged at the time also reflected conceptual and ideological interpretations that will be examined in more depth in Part II of this book.
**Approaches to definition**
The term 'social development' is comprised of two words – _social_ and _development_ –both of which inform the way it has been defined. Both should be examined in more depth. Today, the term _social_ is used by sociologists and other social scientists to refer to human interactions and the complex phenomena that arise from these interactions, such as a large number of groups and associations including the family, neighbourhood associations, formal organisations, communities and even societies. These interactions also give rise to social networks, values, cultures and institutions. The term also has a welfare connotation which alludes to people's well-being and collective efforts to improve social conditions. Both meanings of the term have influenced the way the concept of social development has been used.
The second word, _development_ , has a dynamic connotation and refers to a process of change, growth, progress or evolution. Although originally used to connote a process of societal change, the term 'development' has been primarily linked to economic modernisation in the developing countries after the Second World War, where it was originally defined as involving growth and industrialisation. This definition has now been broadened to connote a multifaceted process that comprises social, cultural, gender, political, environmental as well as economic dimensions. It is in this context that the concept of social development has been popularised and will be used in this book.
However, the term 'social development' was not originally used in this way. Instead, it was first employed by sociologists in the late nineteenth century to refer to the processes by which societies evolve from a traditional or 'primitive' state to a modern, advanced level of 'civilisation'. This approach was inspired by Darwin's work and his discovery of the way natural selection shapes the complex form of biological life that evolved since primeval times. Sociologists such as Spencer and Sumner and anthropologists such as Morgan and Tylor drew on Darwin's ideas to claim that similar processes govern societal evolution, or 'social development' as it was called. A major figure in evolutionary sociology at the time was Hobhouse, whose book _Social Development_ (1924) popularised the term and informed subsequent thinking in the field. He challenged the views of the Social Darwinists, proposing the adoption of social reforms that would modify the harsh effects of social change on vulnerable people. He also disagreed with Marx and Engels, who argued that meaningful change will only be brought about through revolution driven by historical forces. Together with social liberals in Britain, known as the 'New Liberals', he helped inspire the social legislation and social reforms introduced by the British government in the early years of the twentieth century. There were similar developments in the United States where these ideas were promoted by reformers known as the 'Progressives'. Hobhouse's approach to defining social development was subsequently augmented by sociologists concerned with social planning and with what was sometimes called 'guided' social change (Bennis et al., 1961; Chodak, 1973; North, 1932).
It is likely that these ideas influenced the first social development practitioners who launched community-based projects in the rural areas of African and Asian countries in the years following the Second World War. Although development planners and policymakers in these countries drew on ideas from the new field of development economics, those engaged in social welfare activities were likely to turn to sociologists for inspiration and find that notions of evolutionary change and social planning offered a helpful conceptual framework for their work. As will be shown in the next chapter, expatriate social workers who established the first government welfare services in the British colonial territories laid the foundations for social development by introducing community-based projects that combined economic and social activities and emphasised participation in development. Community development was also inspired by the rural reconstruction projects of Gandhi and Tagore in India, which sought to address the problem of rural poverty at the local level.
The colonial authorities in London approved of these developments and it was in this context the term 'social development' was embraced by the British government. In 1954, at a meeting in Cambridge of welfare administrators from different parts of the Empire, it was formally adopted to refer to social programmes and policies which would, as one official document put it, result in 'nothing less than the whole process of change and advancement of a territory, considered in terms of the progressive well-being of society and the individual' (United Kingdom, Colonial Office, 1954, p. 14). Although this ambitious goal did not accurately reflect the practical community development programmes established at the time, it was the first attempt to formulate a formal definition of social development. It also reflected the desire to promote the modernisation of the newly independent developing countries.
Other scholars, including sociologists and social workers, subsequently defined social development in similar lofty terms. One of the first formal definitions to be offered by a social work scholar, Paiva (1977, p. 323), used this approach to suggest that social development is 'the development of the capacity of people to work continuously for their own and society's welfare'. Another example comes from Omer (1979, p. 15), who defined social development as a process that brings about 'an integrated, balanced and unified social and economic development of society, and one that gives expression to the values of human dignity, equality and social justice'. She goes on to say that social development seeks 'to create humanistic societies committed to achieving peace in the world and progress for all people' (p. 16). A more recent example is Aspalter and Singh's (2008, p. 2) definition of social development as planned and directed change that 'enables people to achieve greater happiness, satisfaction and a peaceful life'.
While definitions of this kind are unobjectionable, they fail to identify the projects and programmes that can achieve these abstract goals and are of limited practical value. Accordingly, they have been criticised by some scholars for offering a set of 'nebulous aspirations and heuristic notions' that are 'hortatory rather than prescriptive' (Lloyd, 1982, pp. 44–45). Nevertheless, social workers played a major role in spreading social development ideas. In 1972, they founded the International Consortium for Social Development, which launched _Social Development Issues_ , a leading journal in the field, and actively promoted social development for many years through professional conferences and exchange programmes (Meinert, 1991). These contributions built on the pioneering work of the social workers who introduced community development projects in the Global South during the colonial period.
Some social workers have formulated definitions that are less abstract and hortatory and more focused on practical matters. Hollister (1977) and Spergel (1978) equate social development with community organisation, policy analysis and programme administration and, in a more recent definition, Miah (2008) emphasises the role of microenterprise and microfinance activities. Midgley and Conley (2010) also highlight the practical aspects of social development and urge the adoption of what they call 'investment strategies' in social work practice. Today, most social workers involved in social development are primarily concerned with community-based interventions that mobilise local people to participate in a variety of projects designed to improve local conditions. Although Pawar and Cox (2010) also approach the field from a social work perspective and emphasise community-level interventions, they deal with a number of conceptual issues that have broader relevance to the field.
Scholars in mainstream development studies who have offered definitions of social development seldom recognise social workers' contribution and some, such as Green (2002), dismiss what she described as a 'welfarist conception', which she alleges is primarily concerned with the provision of services to needy people. However, she appears to be unaware of the contribution of social workers to community development and social policy which transcends a limited concern for poor people. Her own definition draws on an eclectic mix of ideas from social anthropology, social policy, public management and development studies, and links social development to the work of international development agencies concerned with poverty alleviation, meeting basic needs and enhancing community participation in development projects and programmes. This is similar to definitions formulated by social workers and, as noted earlier, social development is often associated with community activities of this kind.
The community, project-based approach to defining social development has been augmented by the community participation approach (Choudry et al., 2012; Cornwall, 2011; United Nations, 1975), which contends that meaningful social change can only be achieved when the social structures that perpetuate poverty, inequality and oppression are challenged by ordinary people and ultimately dismantled. This definition prioritises activism, especially at the local level, and concepts such as _conscientization_ , 'empowerment' and 'transformative social change' are widely used to challenge those who use their wealth and power to oppress women, ethnic minorities and the poor. Grassroots community activism is augmented by social action at the national level and large organisations, such as the Self Employed Women's Association (SEWA) in India (Chen, 2008) and the Industrial Areas Foundation in the United States (Chambers, 2003), are often cited as an example of this approach. Although many non-governmental and faith-based organisations involved in social development are not overtly committed to activism, they are often commended for offering an alternative to government intervention which is widely regarded as bureaucratic and 'top-down'. Cooperatives are another example of how people can engage collaboratively in economic activities. As will be shown later in this book, they have an ancient history and have played a major role in social development over the years. Popular social movements that campaign for progressive social change also make a major contribution. Although these movements are characterised by a high degree of spontaneity that reflects the anger and desperation of oppressed people, Smith (2008) points out that their energies are often harnessed by organisations that mobilise popular support, lobby and use a variety of activist tactics to affect change. As Wilson and Whitmore (2000) report with reference to Latin America, social movements have played a major role in promoting social development in the region. Indeed, their definition equates social development with the activities of popular movements and activist groups.
A contrasting approach to definition focuses on the role of governments. This approach defines social development as a process by which improvements in social well-being are brought about through social planning, a variety of legislative mandates, subsidies, redistributive fiscal policies and the activities of social sectoral ministries responsible for education, health, housing and social services. It draws on the idea that democratic governments committed to improving the welfare of their citizens can utilise scientific knowledge and the expertise of technocrats to achieve this goal. This approach is rooted in the writings of Saint Simon and Comte in the nineteenth century and was elaborated by the American economist Veblen as well as other interventionists, including Hobhouse and Keynes. It has informed state directed social development for many years and was championed by leading development economists, such as Myrdal (1970, 1971) and Seers (1969). As will be shown in the next chapter, Myrdal made a major contribution to articulating a statist approach to social development exemplified by what was called the 'unified socio-economic planning' approach.
Although often criticised for being bureaucratic and top-down, governments have also sponsored community social development programmes and projects that have, to varying degrees, promoted people's participation in development. It was noted earlier that the first community development programmes, which were established in the 1950s, combined government resources and expertise with local involvement to create community centres, clinics, feeder roads, schools, water supplies and other projects. At this time, the theoretical principles of 'self-determination' and 'self-help' were articulated to provide a normative basis for community development and, although they proved difficult to implement, have continued to shape community development practice. A major problem was the bureaucratisation of community development and its expropriation by party officials and local elites who often redirected community development resources to serve their own interests. With the subsequent involvement of grassroots organisations and non-governmental organisations, these problems have to some extent been mitigated.
Governments also contributed to social development by establishing social planning units within their central economic development planning agencies and linking the policies of sectoral ministries, such as health, education and social welfare, to national plans. They also enhanced the developmental relevance of the ministries of social welfare that had inherited a remedial, urban-based approach from the colonial period. It was in this context that many governments renamed their social welfare ministries as ministries of social development. This innovation follows the first United Nations meeting of welfare ministers in New York in 1968, when many governments declared their intention to introduce 'developmental' welfare programmes and policies (United Nations, 1969).
The statist definition of social development also reflects the work of international development agencies such as the United Nations, the United Nations Children's Emergency Fund (UNICEF), the International Labour Organisation (ILO) and the United Nations Development Programme (UNDP). The World Bank has also made a major contribution but, as will be shown in the next chapter, its original commitment to government-sponsored social development was replaced in the 1980s by a market-based approach that reflected the growing influence of market liberal ideas as well as changing economic, social and political realities. Nevertheless, the major international development organisations have continued to support government efforts to initiate, direct and fund social development programmes. Government involvement finds expression in the _Commitments_ adopted by the member states of the United Nations at the World Summit for Social Development in Copenhagen in 1995, and in the subsequent adoption of the _Millennium Declaration_ of 2000, which enshrines the Millennium Development Goals. These are comprised of eight broad goals which are broken down into 18 specific targets, including the reduction of poverty, improvements in school attendance, the promotion of gender equity, reductions in child and maternal mortality and enhanced international cooperation (United Nations, 2005). Today, the Millennium Development Goals exemplify the statist definition of social development.
Definitions by a number of academics also reveal a preference for government intervention. The first major book on social development, published by Jones and Pandey in 1981, favoured a statist approach but also incorporated a community development and other non-governmental initiatives. In this book, Pandey defined social development as a process that results in the 'improvement of the quality of life of people... a more equitable distribution of resources... and special measures that will enable marginal groups and communities to move into the mainstream' (Pandey, 1981, p. 33). This definition is in many respects similar to the ideals expressed in the _Copenhagen Declaration_ some 15 years later, and it also emphasises the importance of national interventions through the agency of the state. As mentioned earlier, Myrdal and Seers drew attention to the fact that the people of the developing nations were not uniformly poor. While many lived in rural poverty or eked out an existence in the rapidly expanding urban informal settlements, others enjoyed a comfortable lifestyle comparable to that of the upper middle class in the Western nations. The development process, they concluded, had disproportionately benefited political and business elites, the military and the senior civil service, creating a situation known as 'distorted' or 'uneven' or 'unbalanced' development. This occurs when the income and wealth generated by economic growth accrues disproportionately to elites and to the middle class but fails to raise the standards of living of a sizeable proportion of the population and especially the poorest groups. This idea was developed by Midgley (1995), who argued that the distortions of development can be addressed by harmonising economic and social interventions within a pragmatic, state-directed approach. However, this involves redistributive policies that channel public resources to the population as a whole through social investments (Midgley, 1999).
Although the United Nations and most other international development agencies use the term _social_ development, the UNDP prefers the term _human_ development. This term is often regarded as a synonym for social development but a closer reading of the organisation's definition reveals an emphasis on individual choice and responsibility (UNDP, 1990) which is not emphasised by the other agencies. The UNDP's definition is contained in the first of a series of influential reports published in 1990 that reflect a preference for interventions that focus on individual households which, the organisation points out, can make rational decisions to enhance their own well-being. As the report puts it, human development is a process of promoting freedom by 'enlarging people's choices' (1990, p. 3). This definition of social development is based on Sen's (1985, 1999) writings and may be contrasted with that of Myrdal and Seers, who propose a much more proactive role for governments. Although the UNDP recognises the need for investments such as education, access to credit and other supports, it avoids the problem of structural inequality and the need for public social investments that are explicitly redistributive. As Nussbaum (2011) points out, the 'human development' approach is concerned with fostering capabilities among individuals so that they can choose what they want to do and be.
The concept of social development has also been used in social policy and welfare state studies to refer to the social improvements brought about in the Western countries by governments in the years following the Second World War. However, these improvements are seldom associated with economic development and instead the role of welfare services in raising standards of living is emphasised. While it is undoubtedly true that the expansion of the so-called 'welfare state' contributed significantly to social improvements at this time, the historical evidence, as Midgley (2008a) points out, reveals that government welfare programmes were originally linked to economic policies and particularly full employment policies. The New Deal in the United States, the implementation of the Beveridge Report in Britain and social democratic welfare initiatives in Northern and Western Europe share many similarities with the statist approach to social development that emerged in the Global South in the 1960s. However, the link between social policy and economic development was subsequently de-emphasised as social policy scholars such as Marshall (1950) and Titmuss (1971, 1974) stressed the role of social rights, altruism and social solidarity in social welfare, implying that social policy should be separated from economic considerations. On the other hand, Piachaud (1989) and Midgley (1995) have questioned the neglect of the economic dimension in Western welfare state thinking, contending that welfare objectives can best be met by harmonising social and economic policies and by emphasising the investment functions of state welfare.
Social development ideas have also been associated with the study of social policy in Asian countries such as Korea, Taiwan, Japan and Singapore, which are sometimes described as 'developmental welfare states' or 'productive welfare states' (Holliday, 2000). In these countries, governments are reported to use social policy to achieve economic goals. This approach, which Kwon (2002) calls 'welfare developmentalism', characterises these nations which are also known in the literature as 'developmental states' (Johnson, 1982; Leftwich, 1995, 2000; Woo-Cumings, 1999) because they have governments that proactively direct the economy to promote industrialisation and mass wage employment. The notion of welfare developmentalism has recently attracted attention in European welfare circles and contributed to efforts to extend Esping-Andersen's (1990) widely cited typology of welfare regimes to other parts of the world by categorising the East Asian countries as productive welfare regimes (Gough, 2004). However, the concept of welfare developmentalism is still poorly defined and, as Wah and Lee (2010) point out, is often confused with a 'workfare' approach, by which disadvantaged people in some East Asian countries are coerced into the labour market without having the supports they need to succeed. They challenge this erroneous view and argue that social investments that restore the 'social' in the social development approach should be more widely employed.
In recent years, definitions of social development have emphasised the importance of social investment and the way they enhance the functioning of individuals, families and communities. Social investments are 'productivist' in that they generate returns not only to those who benefit from these investments but also to the economy and the wider society. However, like the notion of welfare developmentalism, both concepts are used loosely. Esping-Andersen (1992) was one of the first to use the concept of productivism in his characterisation of social policy in Sweden, which, he points out, fosters full employment through education, job training and other human capital investment as well as extensive childcare and healthcare services that support full employment. This approach promotes a healthy, well-educated and productive population that enjoys a high standard of living; it also generates the resources needed to invest in future generations. However, Esping-Andersen (1990) has also claimed that the Nordic welfare states decommodify labour by delinking social benefits from work requirements. In a discussion of productivism in these countries, Dahl and his colleagues (2001) reconcile this apparent contradiction by showing that the region's governments alternate between periods of productivism and decommodification. These ideas have been used by some Western social policy writers who associate social investment with human capital and labour activation programmes (Giddens, 1998; Jenson, 2010; Morel et al., 2012).
The notion of social investment has also been used in development studies. Schultz (1962, 1981) popularised the need for investments in education and nutrition as an integral part of economic development policy and his ideas were subsequently adopted by international development organisations (Watt, 2000; World Bank, 1995). Sen (1999) and Nussbaum (2011) do not specifically use the term 'social investment' but their notion of 'capability enhancement' shares some similarities with the social investment approach. More recently, Grant (2012, p. 16) used the concept with reference to non-profit organisations, arguing that effective philanthropy transcends charitable giving and 'maximizes the social rate of return' to the people, groups and communities they serve. Midgley (1999) and his colleagues (Midgley & Sherraden, 2009; Midgley & Tang, 2001) offer a broader interpretation of the concepts of productivism and social investment by examining a number of investment-oriented practice strategies, such as those discussed in Part III of this book. As will be shown, these include human capital programmes of various kinds, employment creation projects, microenterprise and microfinance, social capital and community-based programmes, asset accumulation interventions and social protection, among others. In addition to fostering social investment, these practice strategies link economic and social programmes and promote inclusivity and participation.
A final approach to defining social development comes from market liberal economists who contend that social development can best be achieved by integrating needy people into market-based economic activities. This argument has not been popular in social development circles but it has gained some support in recent years, as the writings of de Soto (1989, 2000), Lal (1983, 2006) and Prahalad (2005) have been widely disseminated. These scholars reject the idea that governments should assume responsibility for social development and argue instead that the state should restrict its role to facilitating the effective functioning of markets through deregulation, lowering taxes, promoting entrepreneurship and creating a legal environment in which businesses can flourish. In addition, Prahalad believes that exposing poor people to commercial products will promote consumption, change traditional attitudes and integrate them into the market with beneficial results. These scholars also deny that there is any difference between economic and social development, and claim that market-based economic policies will on their own enhance social well-being. An important proponent of this view was Friedman (1989), who, in a rare definition of social development by a market liberal economist, argued that the creation of a vibrant capitalist economy that generates rapid economic growth and wage employment will contribute more effectively to social development than governmental programmes.
Birdsall (1993), a former World Bank economist, also argues for the integration of economic and social policies but from a somewhat different perspective. She points out that economists are increasingly involved in designing, implementing and evaluating social programmes with the result that the distinction between economic and social policies has been blurred. She also notes that social expenditures bring economic returns and that 'investing in social development is good economics' (p. 19). This idea has since been reiterated by the Bank and other international agencies and was recently emphasised in its _World Development Report_ of 2012, which addresses gender issues, contending that enhancing gender equality is sound economic policy. As Birdsall's definition suggests, economists do indeed play a major role in social development today and while many social development scholars agree on the integration of the economic, social and other dimensions of development, few accept Friedman's insistence that social development is nothing more than a market-driven economic development process.
**Towards a definition**
These very different approaches to defining social development reflect the diverse normative beliefs of scholars and practitioners. They also reveal the rich diversity of ideas that find expression in social development theory and practice today. However, these definitions prioritise different types of intervention and, accordingly, no single, agreed-upon definition has yet emerged. Since there is a need for a broad definition that incorporates social development's key features, it will be defined in this book as _a process of planned social change designed to promote the well-being of the population as a whole within the context of a dynamic multifaceted development process_. Like most other definitions, it has limitations but it does seek to be sufficiently general to capture the essence of the social development perspective as revealed in the definitions reviewed earlier. Although different aspects of this definition will be discussed again in the subsequent chapters of this book, some of its key aspects should be highlighted here.
First, the concept of social development invokes the notion of _process_. Although this may seem self-evident, the dynamic nature of social development and its focus on transformative change should be stressed. Social development may be contrasted with static approaches which involve the immediate transfer of resources without requiring a longer-term commitment to changing pre-existing conditions. For example, government welfare services are often concerned with the provision of services to passive recipients and do not address underlying problems. Similarly, social work professionals frequently provide short-term services or crisis counselling to clients. This also reflects a far older charity approach, which involves the immediate provision of aid to those in need. None evoke a longer-term sense of process that produces progressive social change. Another perhaps more prescient example is the statement by Dr Unni Karunakara, the International President of the international non-governmental organisation Doctors Without Borders, who criticised international donors for responding to the famine in Somalia in 2011 in an _ad hoc_ way without seeking to remedy its root causes ( _Guardian Weekly_ , 2011). Famines, Dr Karunakara argues, cannot be solved through immediate short-term relief but require longer-term solutions that eradicate their causes.
Second, the process of social change in social development is _progressive_ in nature. Although social change has historically been understood as a regressive process involving a decline from a past 'Golden Age' or as cyclical involving a never-ending process of improvement and decline, it is now more widely regarded as a process involving steady improvements in social conditions. It was primarily the social thinkers of the Renaissance and Enlightenment who popularised the progressive interpretation, promoting the idea that societies evolve along an upward trajectory to higher levels of prosperity, knowledge and civilisation. In social development, the progressive notion of social change can be viewed conceptually as involving three ideal typical stages: first, a pre-existing social condition social development seeks to change; second, the process of change itself; and, finally, the end state in which goals are realised. In practical terms, social development is concerned with the projects, programmes, policies and plans that promote progressive change. They are the 'how' in social development's 'from what to what and how' sequence. These ideas will be discussed in more detail later in this book.
Some social development writers use the term 'transformation' to describe the social development process, emphasising the way it challenges existing social conditions. Although these accounts often imply that transformative change involves conflict and even revolutionary action, it will be shown later that social development practice has generally preferred an incremental or gradualist approach which nevertheless transforms those existing conditions that are inimical to human well-being. This approach is less reliant on ideological certainties than on pragmatically testing different interventions. This does not mean that social development scholars and practitioners are unconcerned about injustice and oppression or that they do not challenge entrenched power structures. Nor do they reject the need for activism; in fact, activism has a long history in social development. However, while activism is an integral part of social development, providing a vital mechanism for challenging those in power and constraining the excesses of the market, some believe that it should be a primary and even dominant social development strategy. They insist that authentic change can only be achieved through conflict and reject the argument that an incremental approach, which is incorporated in the major social development practice strategies, can achieve transformative change. However, as will be argued in the last chapter of the book, significant changes in people's well-being have been produced through the pragmatic and incremental social development process.
Third, the social development process forms a part of a larger _multifaceted process_ comprised of economic, social, political, cultural, environmental, gender and other dimensions which are integrated and harmonised. This is particularly pertinent to social development practice where economic, social and other interventions are linked and social investments are utilised to promote social well-being. The multifaceted nature of the process of change is encapsulated in what Midgley (1995) described as the three axioms of social development. These require, first, that organisational and institutional arrangements be created by which social development interventions are harmonised with economic activities and the other dimensions of the wider development process. The second axiom requires that economic policies and programmes should be sustainable and specifically directed at improving social well-being. It also requires that people participate fully in the development process. The third axiom requires that social policies and programmes should contribute to economic development. This latter idea finds expression in the concepts of _social investment_ and _productivism_ mentioned earlier, both of which play a vital role in social development.
Fourth, the process of social development is _interventionist_ in that it requires human agency in the form of projects, programmes, policies and plans that achieve social development goals. The proponents of social development reject the idea that social improvements occur naturally as a result of the workings of the economic market or because of natural or inbuilt historical forces. They believe that deliberate efforts are needed to enhance people's well-being. Human beings are not swept along haphazardly by events, but are able to influence their own future in the context of wider social, economic and political changes and, accordingly, the role of agents who promote change through social development practice is emphasised. They include individuals, households, grassroots associations, non-governmental organisations, faith-based organisations, communities, commercial providers and government ministries. Social development interventions are also implemented on different levels, including the household, community, regional and national levels. Often social development practice has a special focus in that many projects and programmes seek to enhance social well-being within specific socio-spatial settings, such as rural communities, inner-city areas and geographic regions. In addition, as efforts to achieve the Millennium Development Goals reveal, social development is also promoted at the international level.
In addition to involving different agents, social development utilises a large number of projects, programmes, policies and plans known generically as 'interventions'. As shown in Part III of this book, these interventions are organised and channelled through more systematic and coherent modalities that will be called 'practice strategies'. As mentioned earlier, they range from human capital projects, such as childcare centres, to microenterprises. They incorporate many different social development projects and programmes and are the means by which social development goals are met. Social development's practice strategies are informed by normative theories that reflect wider values, beliefs and ideologies. As will be discussed, a number of normative perspectives which shape the different practice strategies will be discussed. They include the livelihoods, community, enterprise, gender and statist perspectives which shape the different practice strategies. In addition, they draw on the wider Western ideologies of individualism, collectivism and populism, and offer very different prescriptions of achieving social development goals. Although most social development scholars and practitioners are committed to one of these normative perspectives and either ignore or dismiss the others, it has been argued that a pragmatic position that seeks to utilise their respective contributions should be adopted. As will be discussed in final chapter of this book, it is possible to forge a pluralistic normative conception that accommodates the role of diverse institutions, including the family, market, community and state, as well as different agents and practice strategies.
Fifth, the social development process is _productivist_ in that practice interventions function as investments that contribute positively to economic development. Because they are based on _social investments_ , they generate rates of return to the individuals, households and communities that benefit from these investments as well as to the wider society. These principles are well established in social development and development studies generally, but have not enjoyed much popularity in mainstream social policy scholarship. In addition, they are still poorly defined and remain controversial. Nevertheless, as was shown earlier in this chapter, they have attracted increasing attention in social policy circles in recent years and the literature on the subject has expanded.
Sixth, social development is _universalistic_ in scope, being concerned with the population as a whole rather than with impoverished, vulnerable and needy groups of people. It also seeks to promote people's participation in development. However, it has historically directed resources towards those groups that derive little benefit from economic growth, such as the rural and inner-city poor, ethnic minorities, people with disabilities, and landless labourers. It has also been extensively concerned with women and gender issues. In addition, some social development scholars and practitioners have focused attention on indigenous people who are often excluded and discriminated against and, in some cases, specialized programmes have been introduced to meet their needs. Nevertheless, social development's concern for these groups finds expression within the wider context of comprehensive policies that benefit the population as a whole and ensures their participation in development. This approach, which is known as 'positive discrimination' or 'targeting within universalism' (Skocpol, 1995), directs resources and services to needy groups within the framework of universal policies and programmes. However, this approach is not always effectively implemented, and some practitioners are exclusively concerned with poverty alleviation projects directed narrowly at the poor. Nevertheless, universalism and participation are key social development principles.
Another aspect of social development's universalism is the requirement that social development practice directed at individuals and households be situated within community settings. This principle is particularly relevant to conventional welfare services that have relied on residential institutions to house those with special needs, such as people with disabilities, young offenders and elders. As Midgley (2010) argues, social workers engaged in developmental practice should only use residential services on a temporary basis and instead facilitate community living. They should also collaborate with non-governmental organisations to access local social networks, and in this way enhance client participation in the life of the community. Most progress has arguably been made with services for people with disabilities who were previously confined to residential institutions. Today, this is avoided and, in collaboration with disability advocacy and service groups, many people with disabilities in the Western countries now live in the community, have access to transportation and even secure remunerative employment (Midgley & Knapp, 2010). The principle of universalism also requires that the barriers that prevent social inclusion be addressed and that egalitarian and redistributive policies be adopted. It also reflects wider notions of social rights, social inclusion and stakeholding.
Finally, social development is committed to the goal of promoting people's social well-being. Although it was mentioned earlier that scholars and practitioners have over the years identified a large number of different social development goals, such as those enshrined in the _Millennium Declaration_ , these discrete goals may be encapsulated within a broad commitment to improve the social well-being of the population as a whole. As will be discussed in more detail later in this book, the notion of social well-being requires that social needs be met, problems are managed and opportunities maximised for families, communities and societies. Social development advocates believe that a commitment to achieve social well-being for all can best be realised through a dynamic multifaceted development process that utilises social investments and harnesses the power of economic growth for social ends.
Although no standardised definition of social development has yet been adopted, it is hoped that this book's definition is sufficiently broad to encompass and accommodate the diverse practice approaches as well as the different normative perspectives that characterise the field. Of course, this definition itself adopts a normative position that seeks to encompass different practice strategies, agents and normative perspectives within a broad pluralistic and pragmatic conception of what is possible and desirable. It relies on a critical, structuralist analysis of current social realities, recognising that the gains derived from economic growth are not equitably distributed. However, it is sceptical of the notion that there is one, simple solution to this problem. Although there is scope for utilising different agents and practice strategies as well as diverse social institutions, social development is ultimately dependent on the contribution of proactive governments rooted in democratic traditions that act in the best interests of their citizens. These ideas will be discussed in more detail in the final chapter of this book where it will be argued that social development's integration of social policy with economic growth within a multifaceted development process and its use of social investments offer an effective approach for promoting people's well-being today.
**Suggested additional readings**
As discussed in this chapter, there is no standard, agreed upon definition of social development. However, the following publications deal with the nature and features of social development and some offer formal definitions which are worth considering.
• Aspalter, C. & Singh, S. (Eds) (2008). _Debating Social Development_. Taoyuan, Taiwan: Casa Verdi Publishing. This edited collection which is primarily concerned with social development in Asian countries, also discusses the definition and features of social development.
• Hall, A. & Midgley, J. (2004). _Social Policy for Development._ Thousand Oaks, CA: Sage. The book specifically links social development to the interdisciplinary subject of social policy and provides a broad overview of the different fields with which social development is linked. These include poverty and inequality, rural development, basic education, health services, social security, social work and human services.
• Jones, J. & Pandey, R. (Eds) (1981). _Social Development: Conceptual, Methodological and Policy Issues_. New York: St. Martin's Press. This edited collection was the first to define and describe social development as a distinctive academic and practice field. Although much of the book's contents are now out of date, the definitions by Pandey and Paiva and their discussion of social development's features remain relevant and useful.
• Midgley, J. (1995). _Social Development: The Developmental Perspective in Social Welfare._ London: Sage. Midgley's definition has been widely cited and provides a broad encompassing approach that links social welfare directly to economic development.
• Pawar, M. S. & Cox, D. (Eds) (2010). _Social Development: Critical Themes and Perspectives_. New York: Routledge. This book reviews key themes and issues in social development. It focuses largely on community-based activities such as participation, self-reliance and capacity-building. However, it also discusses conceptual approaches to social development and considers ethical issues in the field.
• United Nations (2000). _The Millennium Declaration_. New York: UN. The Millennium Declaration adopted at a special session of the United Nations General Assembly has played an important role in social development over the last decade. It provides useful insights into the way governments and international bodies such as the UN define social development.
2
THE HISTORY OF SOCIAL DEVELOPMENT
This chapter traces the evolution of social development in the context of a wider account of the history of development which has played such an important role in international affairs over the last century. It begins by discussing the idea of development and shows how criticisms of the narrow focus on economic growth, which characterised development thinking in the years following the Second World War, resulted in a much broader conception of the development process, recognising its social, political, cultural, gender and environmental dimensions. It was in this context that the first social development programmes were established in the Global South.
Although formative social development ideas previously found expression in the social welfare policies of some Western governments in the 1930s and 1940s, these did not play a significant role in shaping social development in the post-World War years. Indeed, social development was not considered to be relevant to the Western countries and, as was noted previously in this book, it is only recently that social development has attracted attention in these nations.
This chapter shows that governments initially played a leading role and it was generally assumed that they would be primarily responsible for social development. However, activists objected to the way the state dominated the field and urged greater community participation in development projects. The role of governments in social development was also undermined when market liberal ideas became ascendant in the 1980s. State involvement was further weakened when international agencies such as the International Monetary Fund (IMF) and World Bank imposed structural adjustment programmes on heavily indebted developing countries, requiring them to cut their budgets, retrench social programmes and adopt market-based economic policies as a condition for receiving aid.
Although these events were a setback and presented a huge challenge, it will be shown that the United Nations and other international agencies, progressive governments and non-governmental organisations sought in the 1990s to reinvigorate social development. As mentioned in the last chapter, the World Summit for Social Development, which was held in Copenhagen in 1995, and the adoption of the Millennium Development Goals in New York five years later have contributed significantly to renewed state involvement in the field. In addition, the role of non-governmental organisations as well as international foundations has expanded significantly. However, the way government's role in social development was conceived in the 1950s has changed significantly and today non-profit organisations, grassroots associations and even commercial firms are much more involved than before. These events have fostered a more eclectic and pluralist approach to social development but, as the chapter reveals, there are disagreements about which practice strategies, normative perspectives and organisations are best able to achieve social development goals.
**The idea of development**
The idea of development has been a major theme in academic and popular discourse in the twentieth century and it is arguably as important as concepts such as human rights, globalisation and the welfare state. Like these terms, it encapsulates normative beliefs that have had significant practical consequences. Although development emerged as a formal set of theoretical principles and policy prescriptions at end of the Second World War, it drew on much older ideas about social progress and intervention. For millennia, social thinkers have speculated about the nature of social change and the factors responsible for the way societies evolve. As Nisbet (1980) pointed out, scholars and sages of the ancient civilisations usually took a cyclical view, which interpreted change as a never-ending process of improvement followed by decline. Regressive interpretations were also formulated and included a belief in a decline from a Golden Age, which was adopted by the Greeks as well as the Judeo-Christian account of the fall of humankind. Progressive theories only became popular in Europe when Renaissance and Enlightenment writers recognised the achievements and growing prosperity of their time. Although they drew on earlier ideas that can be traced back to Plato and St Augustine, the popularisation of the progressive view owes much to Hegel's monumental explanation of the forces that drive history. As his ideas became known in the early nineteenth century, the progressive view gained widespread acceptance. It also inspired other interpretations of historical time as an upward progression to higher states of prosperity and justice. Of these, Marx and Engels' equally ambitious materialistic reformulation arguably had the greatest political impact, but evolutionary theories based on Darwin's work also became popular and, as was noted in the last chapter, played a major role in the history of social development, particularly through the work of Hobhouse (1924), who popularised the idea that social development is a process of evolutionary, progressive social change judiciously directed by governments.
Marx's explanation, which emphasises the role of class conflict in social change, contrasts sharply with that of Hobhouse and other evolutionary sociologists. He believed that class conflict is rooted in economic realities which can be associated with different historical periods and modes of production. Although he and his close friend Engels were among a small number of scholars interested in the historical dimensions of economic development, most economists at the time adopted a static conception of the economy which neglected growth. Schumpeter (1934) was arguably one of the first economists to offer a modern theory of economic development and, subsequently, as Waterston (1965) notes, the writings of Keynes and his followers had a direct impact on development thinking by providing a rationale for economic planning. His view that long-term economic stability could be achieved through appropriate government intervention was widely adopted not only in the West but by the governments of many developing countries. Another influence was Soviet economic planning in the 1920s and 1930s, which gave practical expression to the idea of development. These plans set specific production targets and prescribed the mechanisms that would accelerate economic growth. Although Western governments were disinclined to adopt formal planning, Keynesian ideas directed economic management policy in many of these countries. These initiatives were augmented by the steady expansions of social service programmes which resulted after the Second World War in sizable increases in government social spending and the creation of what is often referred to as the 'welfare state'.
The roots of 'welfare state' programmes are often traced to the Elizabethan Poor Law of 1601 and to Chancellor von Bismarck social insurance initiatives in Germany in the late nineteenth century, but they were augmented during the twentieth century when Western governments expanded their social services. Social protection was given high priority during President Roosevelt's New Deal in the United States in the 1930s and in Britain when the Beveridge Report was adopted at the end of the Second World War. Since they linked social and economic policies, fostered full employment and promoted social investments in education, health and housing, they were a precursor to the social development approach that was subsequently formalised in development thinking in the Global South. Social policy scholars have paid little attention to the economic motives behind the expansion of the social services at the time but, as Leighninger (2007) observes, these initiatives were largely focused on economic goals such as stimulating economic growth and employment in an attempt to address the crisis of the Great Depression, support reflationary initiatives and secure long-term economic stability.
At this time, most of Africa, Asia, the Caribbean and the Pacific were under European imperial rule and although colonial governments were committed to maintaining law and order and maintaining favourable conditions for economic exploitation, they began in a limited way to adopt economic planning. One of the first development plans in the Global South was the Guggisberg Plan, introduced in the Gold Coast – as Ghana was known – by the colony's governor in the 1920s (Waterston, 1965). Although limited in scope, it was a precursor of the adoption of national economic planning throughout the developing world by the governments of the newly independent countries in the 1950s and 1960s. Influenced by Soviet planning, many governments formulated five-year development plans that reflected wider assumptions about how traditional subsistence societies could be transformed into modern productive economies. These assumptions were based on a growing body of social science knowledge which formed the core of the emerging field of development studies.
Pioneering development economists such as Boeke, Rosenstein-Rodan, Lewis, Tinbergen and Rostow made a major contribution to formulating prescriptions for development. Boeke (1953) drew attention to the existence in most developing countries of a small, modern, urban sector which could be contrasted with a large rural subsistence sector. The former, which had been established by the settlers and the colonial authorities was engaged in trade, services, light manufacturing, agricultural processing and modern plantation agriculture and was the locus of economic growth and wage employment. The latter, which characterised the rural areas, was based on subsistence agriculture and had widespread underemployment, mass poverty and social deprivation. Together with Lewis (1954), Boeke argued that the expansion of the modern sector would draw 'surplus' labour out of the subsistence sector into modern wage employment. Incomes would rise, stimulate demand for goods and services and create an upward spiral of growth that would ultimately deplete the subsistence sector and result in the vast majority of the population enjoying a high standard of living resulting from wage employment in the modern, mass consumption economy. This conclusion was based on research in a number of colonies and in Southern Europe by Rosenstein-Rodan (1943), and also drew on historical studies of industrialisation by Rostow (1960), which claimed that the previously 'underdeveloped' countries of Europe, North America and Japan had been transformed through industrialisation. His theory of the stages of economic growth, which provided a conceptual summary of these events, enjoyed widespread popularity. Lewis (1955) and Tinbergen (1956) offered detailed policy prescriptions that were incorporated into economic development planning in many developing countries and mathematical planning models were widely used as a basis for decision making. These economic prescriptions were augmented by the work of sociologists such as Hoselitz (1960), who proposed that governments adopt policies that would change traditional institutions and foster social modernisation.
To promote economic development, development economists recommended that capital should be mobilised for industrial investment. Government, they argued, should create incentives for entrepreneurs to establish industrial and commercial enterprises to set the process of industrialisation into motion. This initiative should be supported by investments in modern infrastructure. The dynamic industrial sector would not only create jobs and draw labour out of the rural areas, but stimulate wage employment in the services sector and also finance governmental activities. To fund industrial investments, governments were advised to mobilise domestic capital and borrow on international markets. These efforts should be supported by international development organisations and donor governments. Many governments in the Global South accepted these recommendations and adopted policies that they hoped would initiate a process of rapid industrialisation.
However, the recipe for development, which is often referred to as the 'standard development model', was not universally accepted and in subsequent years, its core ideas and policy prescriptions were widely challenged. Nevertheless, it shaped government development policy around the world. While many believe that the results were impressive, others claim that the standard model is fundamentally flawed. Certainly, East Asian countries such as Korea and Taiwan have effectively used the standard model to transform their economies and a similar approach is being implemented today by the government of China. On the other hand, a number of countries that implemented the standard model in the 1960s, such as Brazil, India and Mexico, were less successful. In some cases, governments made feeble attempts to promote development or their efforts were poorly implemented or sullied by corruption. However, they are in the minority and most countries have experienced significant rates of economic growth over the last half century. Also, as the UNDP (2013) recently reported, the Global South has experienced unprecedented social progress in recent times. But, as was argued in the previous chapter of this book, the development process has often been distorted, resulting in prosperity for some but continued poverty for many others. This situation characterises not only many countries in the Global South, but also a number of Western countries.
The critique of the standard model
Despite its widespread acceptance and implementation, criticisms of the standard model soon gathered pace. These criticisms were expressed by scholars associated with the different normative theoretical perspectives or 'schools of thought' that have informed social development policy over the years. Among these critics were development economists themselves, who questioned the assumption that investment in industry would automatically promote wage employment and high standards of living for the population. Although the importance of economic growth was recognised, they argued that growth policies needed to be accompanied by social policies that directly address the problem of poverty.
Most notable of these economists were Myrdal and Seers. In an important book on economic development published in the late 1950s, Myrdal (1957) argued for the integration of economic and social policies to ensure that economic growth raised the standards of living of the whole population. As will be shown, he subsequently advised the United Nations on formulating an approach to development planning known as 'unified socio-economic development' which would achieve this goal. In a much cited paper, Seers (1969) argued that the impressive economic growth rates recorded in many developing countries since the end of the Second World War had not been accompanied by a concomitant decline in poverty. Development, he insisted, had no meaning unless it was accompanied by social improvements. Accordingly, development planning should address the problem of 'distorted' or 'uneven' or 'unbalanced' development, as it also became known. For Griffin and his colleagues (1974, 1989; Griffin & James, 1981), this required policies that would promote equality.
The concept of distorted development (Midgeley, 1995) does indeed focus on the inequalities in income and wealth that accompany economic growth. Although economists such as Kuznets (1955) suggested that income inequality is most marked in the earliest stages of development and will subsequently be reduced, Myrdal, Seers, Griffin and others argued that government intervention is needed to address the problem. In addition, an important study financed by the World Bank by Chenery and his colleagues (1974) argued that rapid economic growth would not by itself spread the benefits of development sufficiently widely to raise standards of living for all and, for this reason, they argued that measures that directly reduce income and wealth inequality are needed. They also claimed that economic growth and equality were not incompatible. Social development could be achieved through a judicious combination of growth and redistributive policies implemented by governments with the technocratic assistance of experts. Also relevant was the concept of human capital investment which emphasised the need for educational, nutrition and health programmes that would enhance 'population quality' and, at the same time, contribute to development (Schultz, 1962, 1981). As noted in the last chapter, social investment is now a key element of social development thinking.
These ideas are linked to Lipton's (1977) critique of the standard development model's urban bias. By adopting an urban-based industrial development strategy, governments neglected the majority of the population in the rural areas. The urban bias thesis also reflected an older concern about the corrosive effects of economic growth on cultural values and beliefs. Important political figures, such as Gandhi and Nyerere, had been sceptical about the emphasis on urban industrial development and argued instead that development should be driven by a rural-based development strategy that draws on the resources of local people, raises standards of living in the rural areas and preserves the traditional culture.
Studies commissioned by the International Labour Organisation (ILO) in the 1960s and 1970s also questioned the standard model's assumption that rural poverty would disappear as workers migrated to the towns and found regular wage employment. Contrary to its predictions, employment creation had lagged and the vast majority of the population in developing countries continued to work in agriculture. In addition, industrialisation policies had created sprawling settlements of migrants who had not secured employment in the modern wage employment but eked out their livelihoods in what became known as the 'urban informal sector'. This sector is dominated by self-employment and low-wage work. For the ILO, the failure to create mass wage employment suggested that a different approach that paid less attention to wage employment and met the basic needs of the people of developing countries was needed (Ghai et al., 1977; ILO, 1976; Stewart, 1985; Streeten et al., 1981). This approach was formally adopted at the World Employment Conference in 1976 and formed a key component of the organisation's World Employment Programme.
A somewhat different critique of the standard model focused on the way development sought to promote male industrial wage employment and perpetuated conventional gender roles. Early feminist writers such as Boserup (1970) and Rogers (1980) pointed out that women were not only primarily responsible for the well-being of the family but played a vital role in economic development. They are actively engaged in agriculture, crafts, trade and other productive economic activities, all of which development economists had ignored. This critique gave rise to a powerful movement that campaigned for women's contribution to be recognised and for an end to gender discrimination and oppression. It also began to influence development policy, especially after the United Nations declared 1975 as the International Women's Year and announced the First United Nations Decade for Women. A number of important international meetings and the rise of activist women's groups have all promoted an egalitarian gender perspective in development policy, and this has fostered policy changes in a number of countries. It also gave rise to more extensive feminist scholarship and the emergence of different schools of thought which, as Moser (1989) reported, have since ensured that gender issues are given high priority in social development.
A group of neo-Marxist scholars known as the 'dependency theorists' claimed that the standard model's focus on industrialisation at the national level neglected wider global inequalities and the way the Western industrial countries used economic development to promote their own interests. For writers such as Frank (1967) and Rodney (1972), development is little more than an ongoing process of underdevelopment which had begun with the expansion of European imperialism centuries earlier, was later consolidated by direct colonial rule and continues in the post-colonial world where it is perpetuated by capitalist elites in the developing countries, multinational corporations, aid programmes, international development agencies and unfair trade. This pessimistic interpretation was counted by other dependency theorists, who argued that development was taking place even though the process was hardly free of international exploitation – as Cardoso and Faletto (1979) suggested, a process of 'dependent development' is better than no development at all. They also argued that progress is possible even in a global capitalist system and later, in his role as President of Brazil, Cardoso revealed the possibilities of promoting national development within the context of capitalist globalisation. Although the dependency writers were often dismissed in mainstream development circles, they drew attention to the problem of global inequality and, with the publication of the Brandt Report in 1980, fostered a new approach that emphasised the need for equitable North–South economic trade relations. This report also resulted in the adoption of the North–South neologism, which has replaced the earlier First/Second/Third world categories. Subsequently, Wallerstein (1979) transcended the North–South analysis by linking dependency ideas with a world systems approach, which suggested that opportunities for development were indeed available in the fluid international network of economic transactions that characterised the global system.
Another critique of the standard model, which has contributed significantly to the reformulation of conventional development ideas, concerns the ecological damage that results from industrialisation. Although a few development economists, such as Mishan (1967) and Daly (1996), argue that the quest for economic growth should be abandoned and replaced with a steady state model, many others recognise the need for growth provided that the environment is safeguarded and that natural resources are not depleted. Formative critique of the standard model's negative environmental impact by Ward and Dubos (1972) and the Club of Rome (Meadows et al., 1972) were augmented by the concept of sustainable development which was adopted by the Brundtland Commission in 1983. The Commission drew on prevailing ideas in agriculture and forestry to argue that development activities should be designed in ways that meet people's current needs without compromising the ability of future generations to meet their needs. Although extensively debated over the last 30 years, the notion of sustainable development has been widely adopted in social development thinking (Blewitt, 2008).
**The origins of social development practice**
Credit for creating the first social development programmes in the Global South is usually given to expatriate welfare administrators in West Africa, who sought to transcend the preoccupation of the early colonial welfare departments with remedial social welfare. However, as was noted earlier, there was much in the New Deal in the United States and in the Beveridge Report in Britain that were a precursor to the social development programmes introduced in the developing world after the Second World War. Nevertheless, the contribution of the early welfare departments in the British colonial territories was a vital step in the evolution of social development. Mair (1944) reported that these departments had been established to address the growing problem of urban destitution, juvenile delinquency and begging, primarily through constructing residential facilities, providing limited social assistance and repatriating destitute urban migrants to their original rural communities. Livingstone (1969) notes that some colonial welfare officers sought to respond to concerns from senior civil servants and economic planners that these services diverted scarce resources from development effort by introducing programmes that would transcend the welfare department's narrow remedial focus, cater to the needs of the rural community and contribute positively to development. Midgley (2011) points out that development had become an important issue in colonial policy after the First World War and, as nationalist movements began to campaign more vigorously for sovereignty, the colonial authorities placed higher priority on economic planning and related developmental interventions. A series of Colonial and Welfare Acts which provided funding for development had been passed by the British government since 1929 and it was in this context that efforts to redefine social welfare as social development were made.
The colonial welfare officials initially launched adult literacy or 'mass education' programmes but this initiative was later augmented by a variety of local income-generating and infrastructural development projects. These included, among others, the construction of feeder roads, schools clinics and community centres, the installation of village water supply, local income-generating projects such as crafts and agricultural processing, microenterprises, small-scale farming and maternal and child health programmes. Although funded by government, these programmes relied on the participation of local people. Similar initiatives had been launched in India by Gandhi and Tagore, with the support of colonial officials such as Brayne, and they soon spread throughout the British Empire. The Colonial Office in London enthusiastically fostered their adoption and, at an important meeting of colonial welfare officials in Cambridge in 1948, the term 'community development' was officially adopted. Key community development concepts, such as self-determination and self-help, were also articulated. The British government provided funds for training and technical assistance and also supported academic research in the field. As mentioned in the last chapter, the Colonial Office formally adopted the term 'social development' in 1954 to connote a combination of remedial urban-based social welfare services and community development programmes. It believed that this approach would foster the 'advancement' of the colonial territories (United Kingdom, Colonial Office, 1954). Midgley (1981) reports that the Colonial Office also supported the spread of professional social work through funding training and technical assistance, believing that the professionalisation of the welfare services was a 'modern' way of dealing with the social problems associated with rapid urbanisation.
By the 1960s, as many more colonial territories became independent, community development initiatives were consolidated and expanded. They were often given high priority by the new nationalist governments. The Indian community development programme covered the whole country and was one of the largest in the world (Bhattacharyya, 1970). Although implemented by the states, it was viewed by the national government as an important way of promoting local democracy as well as fostering economic and social development. In other parts of the Anglophone world, community development built on the West African experience and was administered by ministries of social welfare, which also managed urban-based remedial welfare services. At the local level, community development programmes were implemented by professional and paraprofessional community development workers who reported to regional community development officers who were, in turn, answerable to the national government. Despite community development's bureaucratic approach, Brokensha and Hodge (1969) reveal that the concepts of local participation, democracy, self-help and self-determination featured prominently in the field's emerging literature.
Similar programmes were subsequently introduced in other parts of the Global South. The government of the United States actively promoted community development in Latin America as a part of its Alliance for Progress initiative, and it also established community development programmes in other regions where it had strategic geopolitical interests. The French government also introduced community development in its territories, but here the term _animation rurale_ was preferred (Gow & van Sant, 1983). In the 1950s, the United Nations actively encouraged the spread of community development throughout the Global South by providing technical assistance, training and convening numerous international conferences to discuss community development issues. The organisation viewed community development as a highly desirable approach to social development which transcended its own formative commitment to enhance social welfare through conventional social services and professional social work.
The role of the international agencies
Social development practice has been actively promoted by the international development agencies, including the United Nations, the ILO, UNICEF and World Bank. They significantly influence the international diffusion of community development and supported the emergence of a state-directed approach which relied extensively on planning. Since its inception in 1945, the United Nations has played a major role in promoting social development. Article 55 of the organisation's Charter commits it to foster 'higher standards of living, full employment and conditions of economic and social progress and development'. However, it did little in its early years to implement these wider goals and instead adopted a limited view of social welfare as comprising remedial social welfare, youth work and child welfare services. In the 1960s, it began to reassess its original preference for remedial social welfare, conceding that this approach had exacerbated the compartmentalisation of the social services from economic policy and failed to identify interventions that contribute positively to development. It re-examined its role in economic planning, which had previously paid little attention to social issues. One report (United Nations, 1971, p. 2) stated: 'The general impression given is that social factors were regarded as residual to the overall process of development and that social policy would be designed to provide remedial or palliative measures rather than positive and dynamic activities in the social field.' The term 'social development' was adopted to reflect its gradual shift from conventional remedial welfare to community level and then to national interventions committed to enhancing social well-being within the development process.
To implement its new developmental approach, the United Nations embarked on a number of initiatives. The Social Commission, which was charged with implementing Article 55 of the Charter, was renamed the Commission for Social Development and the United Nations Research Institute for Social Development (UNRISD) was created. The Institute launched a major initiative to develop quantitative indicators that would measure social development progress (Baster, 1972), and it also supported studies of other social development issues. The United Nations also commissioned a number of scholars to formulate a conceptual basis for social development. A series of meetings were convened and resulted in what became known as the 'unified socio-economic planning' approach (United Nations, 1971). As was noted earlier, Myrdal played a leading role in these discussions and persuasively argued for national plans to focus directly on poverty alleviation and the expansion of the social services. He was supported by other development economists who had also expressed criticisms of the standard development model and its narrow focus on industrialisation. These discussions were accompanied by the adoption of resolutions by the United Nations General Assembly which fostered the introduction of unified socio-economic planning among the organisation's member states. This approach to social development contrasted sharply with the earlier community-based approach.
Although the United Nations reformulated its approach to social development, it retained an interest in the activities of ministries of social welfare which had struggled to redefine their role in the light of criticisms about their limited contribution to development. As noted in the last chapter, the organisation convened the first meeting of ministers responsible for social welfare in New York in 1968 to discuss ways in which conventional social services could be augmented by 'developmental welfare' interventions. Midgley (2010) reveals that these discussions resulted in the introduction in new developmental programmes in a number of countries and social workers played a major role in shaping developmental forms of social welfare. One example is the Philippines where a self-employment assistance programme, maternal and child health services, family planning and a network of childcare centres providing preschool education and nutrition supplements were established by the country's welfare ministry.
These initiatives inspired other international agencies to endorse a state-directed approach to social development. Under the presidency of Robert McNamara, the World Bank's lending policies, which were traditionally concerned with large infrastructural development projects such as hydroelectric schemes and industrial plants, were focused on social issues and particularly on poverty alleviation. The Bank's series of _Sector Policy Papers_ , which were published in the mid-1970s and emphasised the importance of education, health, housing, water supply and rural development, contributed significantly to the popularisation of the social development approach. These developments also showed how social programmes could contribute positively to development by functioning as social investments (World Bank, 1975a, 1995). As mentioned earlier, the Bank also sponsored a study that advocated the adoption of an egalitarian development approach (Chenery, et al., 1974). Although largely ignored in mainstream development circles, it articulated the intention of statist advocates for social development to promote equality.
It was noted previously that the ILO played a major role in challenging the standard development model. Concluding that conventional economic growth strategies were unlikely to absorb labour and reduce the incidence of mass poverty in the foreseeable future, the ILO and its advisers argued that organisation's member states should take immediate steps to address the problems of poverty and deprivation by meeting the basic needs of their citizens. The basic needs approach referred to earlier was formally adopted at the ILO World Employment Conference in 1976, and member states were urged to direct resources to expand education, village health services, safe water supplies, literacy and similar social programmes. Instead of waiting for economic growth to create wage employment, basic needs gave high priority to social welfare interventions and also reflected an earlier concern with social rights in social policy equating basic needs with people's rights to education, healthcare and a decent standard of living. This idea was subsequently formalised as the rights-based approach to development (Centre for Development and Human Rights, 2004; Midgley, 2007b). However, basic needs avoided the issue of inequality, suggesting that meeting people's needs was more important than redistribution.
Similar initiatives were introduced by other international development agencies at this time. For example, the WHO's _Alma-Ata Declaration_ of 1978 urged governments to redirect resources from expensive, curative, urban-based medical programmes to primary, community-based healthcare services in order to meet the basic health needs of the population (WHO, 1978, 1981). Similarly, UNICEF refocused its attention from traditional child welfare services to promote community-based nutrition and maternal and child health programmes. Publications concerned with international trade and foreign aid, such as the Brandt Report (Brandt, 1980), also reflected this new approach to social development, as did the expanding interest in gender and environmental issues which were vigorously promoted by international agencies and particularly the United Nations. As was noted earlier, the organisation convened a number of important international conferences to promote gender equality and address environmental concerns.
**Reactions against statism and the renewal of social development**
Unified socioeconomic planning, redistribution with growth and basic needs all reflect the statist normative perspective, which contends that social development can be most effectively implemented through governments. However, this assumption was not universally shared. Although market liberals had long been critical of state intervention, their writings were either ignored or dismissed, but events in the 1970s and 1980s facilitated the adoption of their ideas. At the same time, some community development advocates became increasingly critical of the 'top-down' nature of the statist approach. Their criticisms fostered the emergence of the activist, community participation approach as it became known (Cornwall, 2011). This development was, in turn, influenced by the nationalist independence struggle.
The long and bitter struggle for independence from European imperial rule continued to influence popular opinion in the Global South after independence. The creation of the Non-Aligned Movement gave expression to efforts by the 'Third World' countries, as they became known, to challenge what President Kwame Nkrumah of Ghana called 'neocolonialism'. Many were also enthused by Chairman Mao's defiance of Soviet efforts to control Chinese development policy. Popular social movements had widespread support and were often inspired by the critical writings of intellectuals such as Franz Fanon and Ivan Illich. The precepts of liberation theology and Paulo Freire's practical proposals for popular education also had a major impact. Revolutionaries such as Che Guevara were admired by millions of people not only in Latin America but throughout the world.
It was in this context that government community development programmes introduced in the 1950s were attacked by activists who argued that social development goals can best be attained if people are mobilised to establish, direct and own local projects. Instead of meeting people's needs, governments had created large and inefficient community development bureaucracies, squandered scarce resources on wasteful projects, favoured local elites and used statutory programmes to benefit corrupt politicians and senior civil servants. Authentic community development, they claimed, can only take place if local people take control, make collective decisions and manage projects. The influence of local civil servants, party bosses, landowners, traditional leaders and business elites, who are usually men and comfortable with their privileges, need to be replaced with people's organisations. The technique of _conscientiza_ _tion_ explicated in Freire's (1970, 1973) writing, as well as the notion of _empowerment_ , featured prominently in community participation thinking (Cornwall, 2011). In addition, the use of confrontational tactics was encouraged. These developments were accompanied by the growing strength of the women's movement, which campaigned against gender discrimination and oppression. Subsequently, gender issues have become very important in social development and now feature prominently in social development practice.
Some international agencies also supported the community participation approach. The United Nations addressed what it described as 'popular participation' (United Nations, 1975) and the United Nations Children's Fund emphasised local participation in its community-based child and maternal health programmes (Hollnsteiner, 1977, 1982). Another example is the WHO, which urged its member states to actively promote community participation in order to achieve 'health by the people' (Newell, 1975). Although these agencies did not reject government involvement, they advocated for far more local involvement and control. These developments were also accompanied by a greater concern for the environment and, after the notion of sustainable development was popularised, the role of local communities in ecological management was emphasised. However, some community participation activists reject attempts to combine local activism with government involvement. The criticism was reinforced by 'anti-development' writers such as Escobar (1995), who drew on earlier dependency as well as postmodernist and post-colonial ideas to reject the very notion of development. Like the dependency theorists, they claim that development has not only failed to promote prosperity, but has in fact impoverished the people of the developing world.
These challenges to the statist approach were indirectly reinforced by the rapid growth of non-governmental organisations in the Global South. Previously, these organisations were comparatively rare and governments limited or carefully controlled their activities. However, international organisations such as the Save the Children's Fund, Oxfam, the Planned Parenthood Federation, and a variety of faith-based development organisations established national branches, encouraged the growth of local organisations and became actively involved in social development. Donor governments and international development organisations such as the World Bank also supported the growth of these organisations, which they believed were more efficient than governments. In time, large international foundations also sponsored non-governmental organisations in the developing world. The result, as Lewis and Kanji (2009) report, has been a veritable explosion in the non-governmental sector so that a good deal of social development activity is now managed by non-governmental organisations and particularly community-based programmes, many of which are managed by women.
This development was accompanied by a very different critique of state-directed development based on market liberal beliefs. By the 1970s, it was clear that the economies of the Western nations were stagnating and, despite efforts by their governments to use Keynesian techniques to stimulate growth, high inflation and unemployment persisted. In 1973, these difficulties were exacerbated by the first 'oil shock' when the OPEC nations dramatically increased the cost of energy. These events also had a serious impact in the Global South and, as several Western governments introduced anti-inflationary monetary policies, developing countries that had borrowed on international financial markets were faced with high interest repayments and the risk of defaulting. Many turned to the IMF for emergency credit, which resulted in the imposition of structural adjustment programmes as a condition for aid. However, structural adjustment was not primarily a technical mechanism for debt relief but an ideological project that gave expression to the growing influence of market liberal ideas in development policy.
These events were fostered by the writings of market liberal economists, who criticised the statist proclivity of development studies and advocated for policies that would promote entrepreneurship, lower taxes, and that would deregulate the economy and promote international trade. Bauer (1971) was particularly well known for his criticisms of national economic planning and international aid and, in 1983, Lal published a vigorous attack on many of the assumptions that had long been accepted in development circles. De Soto (1989) augmented these criticisms by arguing that state-directed development in Latin America had actually retarded development effort. The key to progress, he claimed, is to be found in the enterprising efforts of millions of street vendors, illegal taxi drivers, backyard repair workers and others who comprise the informal economy. Their entrepreneurial efforts, he argued, are more likely to contribute to economic growth than government regulations and development plans.
These ideas found expression in development policy as the IMF and World Bank promoted a market approach through their lending policies. This was facilitated after McNamara's retirement by the appointment of representatives of the business community to leadership positions in the World Bank. Supported by the IMF and the United States government, the Bank's lending policies changed and, as is well known, Williamson (1990), a senior Bank official, coined the phrase _Washington Consensus_ to characterise this development. In addition, President Reagan in the United States and British Prime Minister Thatcher increasingly directed their governments' aid policies towards market-based projects and programmes. In some countries, such as Chile, the adoption of market liberalism by the military government led by General Pinochet dismantled decades of state-directed development, lowered taxes on corporations and higher income earners, privatised the country's social security scheme and destroyed the unions. Although Chile is the most spectacular example of the adoption of what the World Bank (1991) called the 'market friendly' approach, these ideas rapidly diffused throughout the world. With the collapse of the Soviet Union at the end of the 1980s, market liberalism was also embraced, although in modified form, by the world's few remaining communist governments, such as China and Vietnam (World Bank, 1996).
The imposition of structural adjustment had a major impact on social development. To ensure that their 'conditionality' requirements were met, the IMF and the World Bank installed their staff in the ministry of finance or in the national planning agencies of recipient countries. Severe budgetary cuts on government programmes were imposed, large numbers of civil servants were laid off and government regulation rescinded; import tariffs were slashed and state-owned enterprises were privatised. Often, national development plans were abandoned on the assumption that the creation of a vibrant market system would abrogate the need for planning. In addition, user fees for health services, schooling and other government programmes were introduced with the result that utilisation rates declined. As staff were laid off, government social development programmes were decimated. Even where personnel were retained, they were often left without any resources to implement projects. Under these conditions, the thrust for state-directed social development, which characterised the 1950s and 1960s, evaporated. The earlier emphasis on redistribution and egalitarianism was dismissed as irrelevant and soon forgotten.
As a result of these developments, the incidence of poverty and deprivation in many developing countries increased. Although the World Bank initially denied that social deprivation had worsened, statistics revealed that structural adjustment had produced economic stagnation and even reversed the social gains of the preceding two decades (Hall & Midgley, 2004). The Bank subsequently sought to alleviate the excesses of structural adjustment by establishing what were known as Social Funds in badly affected countries; these channelled resources to poor communities and were usually administered by non-governmental organisations. However, it became clear that the Funds were a limited palliative, particularly in the poorest developing countries. The advent and rapid spread of HIV/AIDs exacerbated the problem, as did increased international and civil conflicts, ethnic strife and political repression.
Reinvigorating and redefining social development
The challenge to state-directed social development from populist activists and market liberals eventually provoked a response primarily from the United Nations and its affiliated agencies, and efforts were made to reinvigorate social development ideas. The United Nations Development Programme (UNDP) led the way with the publication of the first of a series of human development reports that differed significantly from the conventional state-directed approach to social development but nevertheless shared many of is features. As noted in the last chapter, Sen's (1999) conception of capabilities and of development as a process of 'enlarging choice' featured prominently in this approach (UNDP, 1990). Under the leadership of Ul Haq, UNDP collaborated closely with the United Nations Secretariat in planning for the 1995 World Summit in Copenhagen, which was a major step in reinvigorating social development.
The unanimous adoption of the Copenhagen Declaration and its _Commitments_ by the member states of the United Nations resulted in a renewed international commitment to expanding government's role in social development. By acceding to the _Copenhagen Declaration_ , governments agreed to reduce the incidence of poverty, hunger, unemployment, gender discrimination, child mortality and other pressing social problems. This commitment was subsequently confirmed by the adoption of the Millennium Development Goals (United Nations, 2005). As noted earlier, the Goals currently form the basis for much social development effort around the world and have been supported by other international agencies, including UNDP, UNICEF, ILO and the World Bank (2008), which has recently advocated an 'inclusive growth' strategy that is in many ways similar to the social development approach outlined in this book. International donors and large foundations also play an important role in funding non-governmental organisations to implement social development projects. Non-governmental organisations are especially active in implementing the relatively affordable 'Quick Win' projects that can be more readily implemented than longer-term national programmes. These projects include assistance to cooperative microenterprises, the provision of mosquito nets to poor families, funding for local nutritional and immunisation services, support for women's groups and technical assistance for local community forestry projects.
In addition, different normative perspectives have also informed social development. These include the livelihoods (Chambers & Conway, 1992; Scoons, 1998), capabilities (Nussbaum, 2011; Sen, 1985, 1999) and asset (Moser & Dani, 2008) approaches that focus on households and their role in social development rather than on community and state involvement. Although their proponents do not reject the contribution of governments, they urge that incentives and resources are provided to households to facilitate their participation in development. In addition, a number of social development interventions that implement market friendly ideas have been adopted. One of these is microfinance which has assumed a prominent position in social development. More recent innovations, such as microfranchising, have reinforced the belief that the commercialisation of social development will rapidly diffuse a capitalist ethos among poor people and result in significant improvements in standards of living (Fairbourne et al., 2007; Prahalad, 2005). As will be shown in the next chapter, social enterprise, social economy, and similar concepts have been incorporated into social development.
Although many community activists and leaders of non-governmental organisations are hostile to the market liberal approach, they are also critical of statism and many believe that social development is still excessively dependent on government. In 1995, many non-governmental organisations were annoyed that they were not invited to participate in the Copenhagen World Summit and many attended the Alternative Summit which adopted the _Copenhagen Alternative Declaration_ , as it is known. This document urges the United Nations to embrace a number of innovations, such as a tax on international financial transactions, first proposed by Tobin in 1972, an increase of official development assistance to poor countries and to accord greater recognition of the role of civil society in social development. Similar ideas were reflected in popular anti-globalisation demonstrations in Seattle, Washington, DC and Genoa, which disrupted meetings of the World Trade Organisation, the World Bank and the G7 group of nations (Amoore, 2005). The Porto Allegre conference of organisations opposed to the Davos gatherings of business and political leaders also gave expression to these sentiments.
On the other hand, advocates of state-directed development continue to believe that governments should have primary responsibility for social development. They recognise that the state should not monopolise the field, and urge that greater efforts be made to enhance popular participation, to foster democratic decision making, and also to utilise markets judiciously. Some have offered a new version of state-directed development which is mindful of the role of multiple agents and social institutions in social development. Despite real tensions between the advocates of different approaches, they are not irreconcilable and, as was argued in the last chapter, it is possible to forge a pragmatic and pluralistic approach to social development that accommodates these different perspectives within the broader framework of what will be called the institutional structuralist approach. The features of this approach will be discussed in more detail in the final chapter of this book.
**Suggested additional readings**
Apart from a chapter in Midgley's (1995) book, _Social Development: The Developmental Perspective in Social Welfare_ , few histories of social development are available. However, the following sources are helpful in understanding the ideas that have informed social development's historical evolution.
• Arndt, H. W. (1987). _Economic Development: The History of an Idea_. Chicago, IL: University of Chicago Press. This short but extremely helpful book provides an overview of the theories and debates that have informed development thinking over the years. Although primarily concerned with economic development, it contains useful references on social development as well.
• Clark, R. F. (2005). _Victory Deferred: The War on Global Poverty (1945–2003)_. Lanham, MD: University Press of America. This book traces the history of development and its achievements since the end of the Second World War. It offers a readable history that addresses many aspects of development and social development over the years.
• Livingstone, A. (1969). _Social Policy in Developing Countries_. London: Routledge & Kegan Paul. The author was one of the first to examine social policy in the Global South. Although this book is now out of date, it provides interesting glimpses into social policy and social development thinking in the 1950s and 1960s.
• Midgley, J. & Piachaud, D. (Eds) (2011). _Colonialism and Welfare: Social Policy and the British Imperial Legacy_. Cheltenham: Edward Elgar. Offering an account of the way the British imperial authorities influenced social welfare policy during the colonial period and the extent to which present-day policies reflect the imperial legacy, this edited collection contains useful information about the history of social welfare and social development in Commonwealth countries.
• Nisbet, R. (1980). _History of the Idea of Progress_. New York: Basic Books. This scholarly book surveys the evolution of the theory of progress since ancient times. Although primarily focused on Western social thought, it makes reference to ideas about social change in other cultural and intellectual traditions. It provides an important overview of the ideas and theories that have historically influenced social development.
• Rist, G. (2008). _The History of Development: From Western Origins to Global Faith_. New York: Zed Books. Focusing on the post-Second World War years, this book provides a comprehensive account of the history of development. Although its conclusion is rather pessimistic, its insights into many aspects of development are informative.
• United Nations (2007). _Report on the World Social Situation_. New York: UN. Since the 1950s, the United Nations has produced a series of reports on the world social situation highlighting key social development issues and achievements. These reports provide a fascinating historical documentary of the social development agenda over the decades.
PART II
THE THEORY OF SOCIAL DEVELOPMENT
3
THEORETICAL DEBATES AND THE SOCIAL DEVELOPMENT PROCESS
Because social development is largely a practical affair, theory has not been given much prominence. However, social development practice is invariably informed by theory, and although seldom recognised, practitioners often draw on theoretical ideas to formulate proposals and implement projects and programmes. They also have recourse to theory when assessing the effectiveness of different practice approaches. For these reasons, some scholars have sought to emphasise the role of theory and some have drawn on interdisciplinary social science knowledge to conceptualise and analyse social development practice and articulate its normative assumptions.
Theoretical analyses have focused primarily on the notion of _process_ , stressing three key components of the social development process: first, the original condition that social development seeks to change; second, the goals it hopes to achieve; and third, the interventions that can bring this about. Simply put, theoretical interpretations have sought to analyse and explain the 'from what to what and how' steps in the process. Although many social development writers agree on the key features of the process, widely accepted assumptions have been vigorously disputed. Theoretical principles governing the social development process, such as its progressivism, reliance on human agency, pragmatism, universalism and emphasis on social investments, have been questioned and this has fostered a critical examination of issues that were previously taken for granted. Although these debates are helpful since they have clarified assumptions and fostered greater theoretical sophistication, more analyses and discussion is needed if the field is to have a solid intellectual foundation.
This chapter discusses a number of theoretical issues relating to the social development process. These are grouped around the three components of the process mentioned earlier: first, theoretical ideas about the original condition are explored and, second, different views on social development's goals are examined. Theoretical debates around the social development process itself, such as its progressive nature, the importance of human agency and the link with economic development, are then discussed. The chapter concludes by examining the role of major normative perspectives in social development. These perspectives are rooted in ideologies and associated with the different theories and 'schools' of social development mentioned earlier in this book. As will be shown, they offer very different interpretations of the social development process and how its goals can be achieved. They have also informed different social development practice strategies.
**The original condition**
The original condition that social development practitioners seek to change has been conceptualised in different ways and a variety of terms, including 'poverty', 'deprivation', 'underdevelopment' and 'distorted development', have been used to connote this condition. Although these terms point to more or less the same thing, they reflect different interpretations of the nature of the original condition and its causes. Also, there are differences of opinion about whether the original condition is in fact as bad as some believe. In addition, some writers associate the original condition with particular population groups, while others believe it should be conceptualised with reference to the wider social structure and even to international events and relationships.
The term 'poverty' is widely used in social development to characterise the original condition and it is certainly the focus of much social development practice today. As is well known, it is widely used to connote a situation in which incomes fall below a subsistence minimum. Poverty has been defined in this way since the late nineteenth century when the first poverty lines were established in Europe and North America. The subsistence minimum approach is still widely used today and, indeed, is employed in the Millennium Declaration, which draws on an earlier one dollar a day poverty definition adopted by the World Bank in the 1970s. However, as Hall and Midgley (2004) point out, the subsistence minimum definition does not capture the wider dimensions of ill-health, illiteracy, hunger and other forms of deprivation that characterise the lives of poor people, their families and communities. To broaden the conventional definition of poverty, a multidimensional view of poverty that recognises these forms of deprivation has now been widely accepted.
Because the concept of poverty is closely linked to the developing countries of the Global South, the original condition has also been described by terms such as 'underdeveloped' or 'developing'. Focusing on nation states rather than families and communities, underdeveloped was widely used in development studies in the post-Second World War years, together with the less respectful term 'backward'. In time, both terms were replaced by 'developing', which had a more positive connotation, and by the neologisms 'Third World' and 'Global South' and, more recently, 'Majority World'. Social scientists associated with the modernisation school made widespread use of the notion of underdevelopment, believing that it is an original, historic and persistent condition of mass poverty and deprivation caused by low productivity in the agrarian sector. However, the idea that underdevelopment is an original condition was vigorously challenged by the dependency theorists, who argued that societies defined as underdeveloped were previously prosperous and were, in fact, underdeveloped by Western imperialism (Frank, 1967; Rodney, 1972). Far from being an original condition, underdevelopment is the result of a process of subjugation and exploitation by which the wealth of these societies were transferred to the West. Although dependency theory resonated with many social development scholars, it was not clear how its critique could be translated into practical projects and programmes. However, its structural interpretation prompted the adoption of a more critical perspective and a commitment to activism in social development.
Another view of the original condition contends that many societies portrayed as backward and wracked by poverty actually have many strengths. Indigenous nationalist leaders and scholars associated with the anti-development school (Escobar, 1995; Rahnema & Bawtry, 1997) as well as advocates of the assets approach (Kretzmann & McKnight, 1993; Moser & Dani, 2008) have contributed to this interpretation. They argue that the countries of the Global South have been negatively portrayed so that their rich cultural heritage, assets and achievements are ignored. Perennial media images of emaciated children and of the helpless victims of floods and earthquakes, as well as reports of widespread corruption, ethnic conflict and weak governance, reinforce popular prejudices which fail to acknowledge the achievements of the people of the Global South. A more positive and accurate view of the original condition would emerge if these achievements were recognised.
Another view of the original condition focuses on poor and deprived families, claiming that their situation is the result of factors intrinsic to their attitudes and cultures. Deficits that contribute to their condition, such as a lack of motivation, indolence or insobriety, are often highlighted in these accounts which are popular in the media and in public opinion. More sophisticated social science explanations associated with the culture of poverty school (Lewis, 1966) and the notion of the 'underclass' (Wilson, 1987, 1993) offer a similar interpretation but link both phenomena to wider structural factors. Although these ideas are not fashionable in social development circles today, accounts that emphasise the role of a poor education and a lack of skills among poor people are popular. For example, advocates of the livelihoods approach believe that they lack the capability to function effectively but can draw on their strengths to raise their standards of living. Although these interpretations transcend popular explanations about the deficits of the poor, it is not uncommon for poor people to be blamed for their own condition. Indeed, both the culture of poverty and underclass interpretations have been used by those on the political right who believe that the problem of poverty cannot be solved through government intervention or redistributive policies.
As noted earlier, both the culture of poverty and underclass explanations have linked poverty to social arrangements that maintain poor people in a condition of deprivation. This structuralist interpretation of the original condition has now been widely accepted in social development. It has a long history, finding expression in the writings of nineteenth-century utopian socialists, Marx and Engels, and in the activities of social reformers and socialists. In the twentieth century, it was popularised in social policy circles by Titmuss (1968, 1974) and Townsend (1970, 1974), among others, and a similar approach was adopted in development studies by Myrdal (1957, 1970, 1971), Seers (1969) and Griffin (1974, 1989; Griffin & James, 1981). In analysing the structural nature of the original condition, these writers focus on inequality as well as discrimination and oppression. This has fostered a more critical interpretation of the original condition and infused a more dynamic notion into the analysis. Instead of viewing poverty as a static, natural condition, its causes are attributed to active, oppressive societal forces that inhibit groups of people from participating fully in society and realising their potential. Feminist and multicultural writers have played a major role in articulating this analysis. This interpretation is also associated with accounts of the original condition that emphasise a lack of human rights, social justice and peace in many societies.
These ideas have also been encapsulated in the concept of 'distorted' or 'uneven' or 'unbalanced' development which was discussed previously in this book. Arguing that conventional interpretations of the original condition fail to explain the persistence of poverty despite an impressive record of development over the last 50 years, Midgley (1995) emphasises the way structural arrangements in many developing countries expropriate the benefits of rapid economic growth in favour of elites. In this situation, the income and wealth generated by economic growth primarily benefit the wealthy and to a lesser extent the middle class, leaving a sizeable portion (and sometimes the majority) of the population behind. The concept also applies to Western countries where the problem is manifested in extraordinarily high rates of inequality but in stagnant incomes among the middle class and persistent poverty among a significant minority of the population. The concept also has a dynamic connotation, suggesting that the development process not only perpetuates but accentuates inequality.
Many examples of distorted development from both the developing and Western countries can be given. The problem is severe in the developing world where rapid economic growth has often produced high rates of inequality. In China, where growth has created employment and raised standards of living, elites in the Communist Party and in the military and business community have benefited disproportionately, and although a sizable middle class has emerged, many millions of rural people continue to live in poverty. A similar trend characterises the development process in other countries, including Brazil, India, Mexico and South Africa, which is now regarded as one of the most unequal societies in the world. Developing countries with rich natural resource endowments, such as oil and mineral deposits, have also been marked by distorted development as the wealth generated by these resources have been expropriated by political and military elites. One glaring example is oil-rich Gabon were a single family has ruled the country for many decades, acquiring extraordinary wealth while the mass of the population lives in abject poverty.
In some Western countries, economic growth has also been accompanied by distorted development. In the United States, many studies have shown that in the years before the Great Recession, growth was marked by an extraordinary concentration of income and wealth among a small proportion of the population while middle-class incomes stagnated (Cowen, 2011; Hacker & Pierson, 2010; McClelland & Tobin, 2010). At the same time, the incidence of poverty soared, particularly among families with children. Clearly, rapid economic growth has not raised standards of living for the population as a whole. The problem is now recognised as a major impediment to progress by scholars at opposite ends of the political spectrum. Conservatives such as Murray (2012) and progressive liberals such as Stiglitz (2012) agree that inequality in the United States has created serious divisions that are inimical to the country's social and economic success. In addition to these divisions, those at the bottom of the income distribution subsist in conditions that are comparable to those in some developing countries. This has come at a high cost as children drop out of school, as narcotic use escalates and as the country's prison population increases. In addition to being morally reprehensible, the social costs of distorted development are high. A poignant example of these costs comes from a CBS television report aired on the channel's magazine programme _60 Minutes_ in 2011 which gave a heartbreaking account of children living with their unemployed parents in vans and dilapidated hotels, struggling to attend school and keep up with their studies. A recent study of child homelessness in Australia (Gray & Baxter, 2012) found a similar pattern. It is inconceivable that such wealthy countries can allow their children to be disadvantaged in this way.
As will be recognised, no single interpretation of the original condition has been accepted in social development, and to complicate matters, different interpretations have fostered the adoption of different interventions designed to remedy this condition. While many practitioners are primarily concerned with poverty alleviation, others seek to address the wider structural causes of deprivation. As will be shown later, the structural interpretation will be used in this book to inform its perspective on social development, and particularly its institutional structuralist approach, which offers a coherent set of policy prescriptions for addressing distorted development and promoting social well-being.
**The goals of social development**
Despite their importance, social development's goals have not been adequately debated. Although a variety of goals are mentioned in the literature, they are seldom defined in concrete terms or formulated as a coherent conception of the desirable end state that social development seeks to achieve. This reflects the tendency among social development scholars to rhetorically use value-laden terms rather than grapple with the complexity of defining goals such as 'social change', 'equality', 'progress' and 'social justice', which are often bandied about in the academic literature on the assumption that their meaning is self-evident. However, when linked to different normative perspectives, these concepts are interpreted very differently. For example, the notion of social justice which now pervades the social development literature is defined in different ways by market liberals, Catholic social thinkers, Marxists and social democrats. This is also true of the concept of 'freedom', which has recently been popularised as a result of Sen's (1999) work. Although these terms invoke agreeable feelings, social development writers need to engage in a more rigorous analysis that links these terms to wider normative perspectives and exposes their very different policy implications.
Abstract, ideational goals can be contrasted with material goals that are usually more precisely defined since they refer to tangible states such as a reduction in poverty or improvements in literacy or declines in maternal mortality. They can also be readily operationalised and, as scholars engaged in social indicators research have shown, there is much agreement on the definition of material goals of this kind. In addition, aggregate indicators have also been constructed to measure general improvements in social well-being. As was noted earlier in this book, UNRISD pioneered work of this kind in the 1960s, and since then many more aggregate indicators have been introduced. They include the Index of Social Progress (ISP) constructed by Estes (1985), Morris's (1979) Physical Quality of Life Index (PQLI) and the Human Development Index (HDI) introduced by the UNDP (1990). On the other hand, non-material or 'ideational goals' are much more difficult to operationalise and those who rhetorically use these abstract concepts seldom attempt to translate them into specific, measurable goals. Although they are difficult to operationalise, research undertaken into inequality and social capital reveal that it can be done. Certainly, the formulation of more concrete and measurable ideational goals would aid implementation.
In addition to clarifying and operationalising social development's goals, a closer link should be forged between goals and the original conditions that social development seeks to change. This approach was adopted in the _Millennium Declaration_ , where poverty alleviation and other targets are directly based on an operationalised definition of the original condition. Interventions that attempt to address gender discrimination or the pervasive problem of distorted development also use this approach. However, it has the disadvantage of fragmenting social development into different practice activities, presenting a challenge to those who wish to identify one common goal for social development. For this reason, a number of scholars have sought to subsume a variety of discrete social development targets under a single umbrella goal such as improving standards of living or ameliorating distorted development. The notion of 'social well-being' which is implicit in much of the literature can also be used for this purpose.
The concept of social well-being is defined as a state or condition that characterises individuals, families, communities and even whole societies that have effectively managed social problems, met social needs and created opportunities for people to maximise their potential (Midgley, 1995). This approach incorporates ideational as well as material elements and also encompasses many of the elements highlighted in other conceptualisations of social development's goals. While the goal of meeting people's basic needs is primarily concerned with material goals such as alleviating poverty, the notion of opportunity incorporates ideational notions of equality, freedom, rights, peace and social justice. Defined in this way, opportunity is not only concerned with education, but with facilitating the realisation of people's aspirations. This requires that the barriers that impede social progress be dismantled and that gender discrimination, the oppression of ethnic minorities and the perpetuation of inequalities that relegate millions to poverty must be addressed. This interpretation involves a commitment to egalitarianism and is also closely linked with the ideal of universalism in social development. Since the notion of social well-being incorporates the different goals identified in the literature, it will be used in this book.
**Change, progress and intervention**
Different opinions have been expressed on the nature of the social development process, and especially about the concepts of progress and intervention which characterise this process. Although both are widely accepted by social development writers and practitioners, some have challenged the optimistic and even idealistic way they are used. The multifaceted nature of the social development process, and its historic link with economic development, has also been challenged, as has social development's commitment to universalism. Debates around these and other core concepts relating to the social development process reveal the complexities of the issues but also raise interesting and challenging questions.
The conceptualisation of social development as a linear, progressive process of social change has been criticised for reflecting an optimistic view typical of modernist theories of social progress. The progressive view has been criticised as naïve and even false by social scientists and historians, as well as literary figures such as Elliott and Yeats, whose poems highlighted what they regarded as the decadence and meaningless of modern, urban industrial life. The historian Spengler (1926) famously argued that Europe had reached the end of its natural cycle of growth and, like other great civilisations, was slowly decaying, and subsequently, Adorno and Horkheimer (1944) of the Frankfurt School offered a dark portrayal of their age as one in which totalitarianism, mindless consumerism and predatory capitalism had enslaved the human spirit. Arguably, the most scathing refutation comes from postmodernist writers such as Lyotard (1984), who contends that the 'grand narratives' of Enlightenment thought have not brought progress but have been responsible for totalitarianism, war and destruction on an unprecedented scale. Writers associated with the anti-development school mentioned earlier also argue that, contrary to its promise, the development process has been disastrous for the people of the developing world. As Sachs (1992, p. 1) put it: 'The idea of development stands like a ruin... delusion and disappointment, failures and crimes have been the steady companion of development.'
Traditionalists who wish to preserve the indigenous culture have also challenged social development's commitment to the idea of progress, believing that industrialisation and economic modernisation invariably undermine cultural institutions. Gandhi claimed that living standards can be raised by strengthening indigenous economic activities and that the solution to poverty lay in India's rural areas and in upgrading agriculture and village crafts. Conservative thinkers in the United States have also questioned the country's obsession with economic growth, which has fostered individualism and consumerism and weakened traditional social bonds (Nash, 2008). In addition, ecologists have criticised the relentless pursuit of economic growth, which they believe harms the environment as well as the social fabric. While many urge the adoption of sustainable development policies that address the negative effects of rapid economic growth (Agyeman et al., 2003; Blewitt, 2008), others advocate a steady-state strategy that maintains standards of living without requiring further economic development (Daly, 1996; Jackson, 2009).
Social development's belief in progress is certainly sullied by the historical experience of the last half-century, which reveals that poverty and deprivation remain widespread despite an impressive record of economic growth. Although there is a tinge of optimism in Collier's (2007) analysis of poverty among the 'bottom billion' of the world's population, it presents a bleak account of current realities in the developing world. Hunger and ill health is widespread, many children do not go to school and millions of families are badly housed. In addition, violence and oppression are commonplace and instead of promoting the well-being of their citizens, many governments ignore their needs or are so corrupt and incompetent that little progress is possible.
Similarly depressing accounts of social conditions in the Western countries have been published. Crouch (2011) believes that recent talk of the demise of neoliberalism is premature and that it continues to exert a malevolent influence, undermining past achievements. Despair even characterises accounts of the Nordic 'welfare states' which are widely believed to have achieved high levels of prosperity. Wahl (2011) argues that poverty and inequality in these countries are rising and that workers are increasingly brutalised as governments and commercial firms acquiesce to the pressures of globalisation. The Nordic welfare states, he contends, are in decline. In the United States, Pettit (2012) dismisses the 'myth' of black progress, pointing out that despite the achievements of the civil rights movement, problems of poverty, crime, deprivation and despair among African-American communities have not been solved. She and other scholars (Alexander, 2010; Wacquant, 2009) believe that the lack of progress in the United States is revealed in the exceptionally high rate of incarceration of African-American men, which reflects the persistence of deeply institutionalised racism.
These accounts challenge social development's optimism and require a more realistic assessment of what has been achieved. However, there is a good deal of evidence to show, as Kenny (2011) argued, that 'things are getting better'. Reference was previously made to the Millennium Development Goals and the social improvements that have taken place in many parts of the world in recent decades. As will be discussed in the final chapter of this book, poverty rates have fallen in many countries and access to healthcare and education has increased significantly. There are also, as Pinker (2011) points out, indications that civil conflict is declining. Clearly, the situation is mixed and neither optimistic nor despairing analyses of social progress can be sustained. However, it is certainly the case that a more tempered assessment of social development's commitment to the idea of progress is required.
Another contested aspect of the social development process is the notion of agency or intervention, which implies that purposeful efforts to achieve social development are required. This idea has been challenged by those who have raised concerns about the possibility as well as the desirability of intervention. Although most are critical of the use of planning, particularly by the state, they have also questioned other forms of intervention. Evolutionary sociologists such as Spencer and Sumner were vociferous critics of all forms of interventionism, believing that social progress comes about through a natural process of change. Spencer not only regarded the state as the 'enemy' of progress but was sceptical of social work and charity, which, he believed, preserved the 'inferior classes', whose poverty, insobriety and indolence were inimical to progress. Although few critics of intervention have dismissed philanthropy, one notable exception was the novelist Ayn Rand, who castigated what she described as altruistic 'do-gooders' for undermining personal responsibility. She was also an indefatigable opponent of the state.
Objections to government intervention have been systematically articulated by market liberal economists of whom the best known are arguably Friedman and von Hayek. Both claimed that planning and other government programmes undermine liberty, harm economic growth and impede progress. Friedman (1962; Friedman & Friedman, 1980) stressed the inefficiencies that result from government intervention, while Hayek (1944) famously argued that statism would ultimately result in serfdom. He subsequently offered a more sophisticated critique of planning, claiming that governments cannot possess adequate information about the preferences, wants and needs of the hundreds of millions of individuals who comprise modern, complex societies and that it is only by utilising the market that needs can be met (Hayek, 1948). Lindblom (1959) offered a similar critique, arguing that planners simply do not have the information or the authority to effectively allocate resources. Instead, government should adopt a 'muddling-through' style of public administration that responds pragmatically to needs and seeks to achieve goals incrementally. Contemporary market liberal economists such as Taylor (2012) have reiterated these arguments and elevated anti-statism to the level of a new orthodoxy which continues to shape economic thinking in many parts of the world.
The concept of intervention is usually defined by social development writers as a pragmatic, evolutionary process, but this view has been challenged by radical activists who believe that social development's incremental style fails to address the fundamental causes of injustice and oppression. Inspired by Marxism and Leninism, they reject the argument that social transformation can be achieved through gradualism and believe instead that conflict is necessary to bring about authentic social change. However, classical Marxists argue that change is not driven by activism but by historic forces that mobilise popular classes through a series of revolutionary stages in which the transition from feudalism to capitalism is a prerequisite for the eventual attainment of socialism. As Warren (1980) points out, this interpretation is particularly pertinent to debates about revolutionary action in the developing world. Much activism, he claims, is not compatible with Marxism, but reflects populist ideas instead.
It was noted earlier in this book that social development seeks to harmonise the different components of the multifaceted development process, and particularly its economic and social dimensions. The importance of social investments is also emphasised and indeed, some social development writers, such as Midgley (1999), prioritise their role. However, this 'economistic' view conflicts with the belief that social policies should be based on moral criteria. Marshall (1950) argued that resources should be allocated on the basis of social rights and Titmuss (1974) challenged what he called the 'handmaiden model' of social policy that uses social welfare programmes for economic purposes. These ideas contributed to the neglect of the economic dimension in social policy scholarship, but they remain popular and have recently been reiterated by scholars such as Fitzpatrick (2004) who are critical of the link between social policy and employment, economic efficiency and 'productivism'. Instead, he and other critics advocate the introduction of a guaranteed basic income for all citizens that delinks social well-being from the productive economy (Fitzpatrick, 1999; Van Parijs, 2006).
Social development's commitment to universalism is also disputed. Rather than focusing narrowly on particular groups of people who are poor, needy and vulnerable, some social development scholars believe that the social development process should be inclusive and promote the participation of the community as a whole in projects and programmes. This approach may be contrasted with the selective, means tested approach that is exclusively concerned with the poor or with the World Bank's 'safety net' approach, which only comes into operation when people are unable to meet their own needs. Many years ago, Titmuss (1968) criticised this approach, noting that social programmes that selectively serve the poor are usually meagre, stigmatising and even coercive. In his extensive study of the history of social policy in Europe, Baldwin (1990) showed that the inclusion of the middle class was vital for the creation of the so-called welfare state. Recently, Deacon and Cohen (2011) reached a similar conclusion, claiming that the Millennium Development Goals are unlikely to be successful if they focus exclusively on the very poor and fail to include the middle class. As Ellwood (1988) famously argued, policies targeted exclusively at the poor are likely to be 'poor policies'. They also fail to address wider social and economic inequalities.
On the other hand, critics of universalism claim that there is no point in spending money on people who can fend for themselves. They contend that it is economically wasteful to provide government services and benefits to middle class and wealthy people who are able to meet their own needs. However, it was noted earlier in this book that the emphasis on universalism does not preclude the allocation of resources on a differential basis to those who have special needs or who are particularly disadvantaged, discriminated against or oppressed. While this dual commitment may seem to be contradictory, it is possible to target particular interventions at those who have greater needs within a wider universalistic approach. The notion of 'pro-poor' social development, and the concepts of 'positive discrimination' and 'targeting within universalism' also reflect this idea, emphasising the role of targeted programmes within the context of an overall, inclusive development strategy.
**Normative perspectives**
These highly contested interpretations of the social development process are fundamentally normative in that they reflect different beliefs about which social development interventions are the most likely to achieve the goal of promoting social well-being. The social development process is not only based on technical prescriptions but also reflects values and ideological beliefs that prioritise the role of different agents and practice strategies in social development. They comprise what Midgley (1993) calls the 'ideological roots' of social development. His analysis suggests that the ideologies of individualism, populism and collectivism have exerted a subtle but significant influence on social development practice. Statism and populism have played a major role in social development, informing a large number of government and community-based interventions, and although individualism has not exerted the same influence, it has become much more prominent in recent years in the form of market-based interventions. These ideologies are associated with the different normative theories or 'schools of thought' mentioned earlier in this book. While the basic needs school reflects a preference for government intervention, the livelihoods approach reveals a commitment to individualist thought. In turn, the community participation approach is derived from populist ideology. Of course, it is not suggested that scholars associated with these different schools are driven by dogmatic ideological commitments. Nevertheless, because they identify interventions best suited to fostering the social development process, they are obviously engaged in normative speculation. The following normative perspectives inform the different practice strategies discussed in Part III of this book and all reveal the normative character of what Midgley (2003a) calls social development's 'rich intellectual heritage'.
The _livelihood perspective_ focuses social development interventions on families (or households), contending that they are the primary social unit where economic and social needs are met and where social development interventions can best support and facilitate people's efforts to enhance their well-being. They are the locus of productive as well as non-economic activities such as nurturing and socialising children, developing social bonds and caring for elders and other family members. Accordingly, advocates of this strategy believe that households should be prioritised in social development practice. Feminist scholars have emphasised the role of households, and women household members in particular, pointing out that women are not only responsible for nurturing and care but for productive economic activities that enhance family well-being. The livelihood perspective is based on the assumption that household members are rational actors who exercise choice in deciding between different courses of action. Although many live in poverty, they are able to act proactively and to negotiate solutions. According to Helmore and Singh (2001), they do so by engaging in income-generating economic activities, drawing on their assets and accessing entitlements which include resource flows from relatives, neighbours and friends, external organisations and the government. Social development interventions, they contend, should enhance the capabilities of households to function effectively.
Although the livelihoods perspective is rooted in individualist ideology and rational choice theory, its leading advocates, who include Chambers and his colleagues (Chambers & Conway, 1992; Scoons, 1998) and Sen (1985, 1999) and Nussbaum (2011), are not radical advocates of a market-based development approach even though they emphasise the ability of households to improve their own well-being and to utilise the market to enhance what Sen calls their 'functionings'. To achieve this goal, development agencies, and especially non-governmental organisations, should provide the resources poor people need to participate in the economy. As writers such as Smith (2007) and Polak (2008) point out, these include credit, agricultural and other inputs, new technologies, access to education and health services as well as microinsurance programmes that reduce their exposure to risk. Social development interventions that promote asset accumulation by households are another vital resource (Moser & Dani, 2008).
The _gender perspective_ is given high priority in social development today. Although women have always participated prominently in social development projects and programmes, their contribution was previously taken for granted and even ignored. Formative community development initiatives in the 1950s paid little if any attention to women, and it was only after feminist scholars drew attention to the neglect of women in development that gender issues were given proper attention. As noted earlier in this book, Boserup (1970) was one of the first to highlight the paradoxical fact that women, and particularly rural women, made a major contribution to development but derived few benefits from development. Rogers (1980) emphasised the impact on women of a wider patriarchal culture that not only domesticates but oppresses women. Domestication is also accompanied by discrimination, which limits women's educational and employment opportunities and restricts their freedom, choices and rights.
These critiques had a powerful impact in development thinking and eventually resulted in gender being viewed in both scholarly and practice circles as an integral aspect of social development. They also influenced international initiatives such as the decision of the United Nations to declare 1975 to 1985 as the Decade for Women and to adopt the Convention on the Elimination of All Forms of Discrimination against Women (CEDAW) in 1979. Since then the scholarly literature on gender and development has proliferated and, as noted earlier in this book, gender projects are now given high priority in social development practice. Indeed, community development, microenterprise and the asset-building approach discussed in Part III are closely associated with the gender perspective. Many international donors also give priority to gender in their lending policies and more attention is now paid to gender issues by the World Bank and other international organisations (World Bank, 2012).
Moser (1989) formulated a useful and widely cited typology of the different ways gender issues are incorporated into social development. She notes that the 'welfare' approach, which was often administered by social welfare ministries to provide maternal and child welfare services or to help women in need, has been largely replaced by efforts to promote gender equality and women's rights, and with economic projects that seek to reduce poverty among women. This latter approach has been prominent in social development and is based on the argument that women's participation in development is a valuable productive resource. Although these approaches have made a significant contribution, she believes that women themselves actually value an 'empowerment' approach that promotes self-determination and facilitates full control over their own lives. This involves mobilisation through a 'bottom-up' strategy of campaigning and organising as well as collective opposition to the forces, including patriarchy, imperialism and neoliberalism, which perpetuate gender oppression. The notion of empowerment has been adopted by many women's organisations that use activism to address oppressive practices and promote economic participation, particularly in livelihood projects at the household and community levels. They also exert a potent influence on government policy and on the international development agencies.
Although these activities have made a major contribution, gender self-determination and equality has hardly been achieved. Traditional cultural practices that subjugate women remain widespread, not only in the developing countries but in the Western nations as well. Although women in these countries have undoubtedly benefited from affirmative action, gender discrimination in employment, education and other fields still pose a barrier to progress, and cultural and religious attitudes that oppress women are still widespread. At the other extreme, women in some parts of the world are still regarded as inherently inferior to men, subjugated to their authority, denied inheritance rights, access to education and even required to be veiled and chaperoned by men. Gender equality is still not sufficiently emphasised even in social development circles where progressive policies have been promoted. For example, the United Nations Millennium Development Goals have been criticised for adopting a narrow view of gender and the recent World Bank (2012) report on the subject has also been challenged for compartmentalising gender from macro-policy issues such as employment, debt and trade. As Beneria (2012) contends, the report also views women instrumentally as a resource for development rather than an end in themselves. However, compared to the situation just a generation ago, gender now features far more prominently in social development and is contributing to women's rights, self-determination and full participation to a greater degree than ever before.
The _community participatory perspective_ draws on populist ideology and focuses social development practice on local communities and the wider civil society, arguing that social development goals can best be achieved through the activities of communities, non-profit, faith-based organisations and cooperatives. This perspective is based on the premise that people are able to mobilise and cooperate to achieve social development goals by combining their resources at the local level, deciding on appropriate courses of action and engaging in a variety of projects. They also form local associations and utilise existing governance institutions that ensure full participation in decision making. To be effective, this requires that local people contribute their time, labour and resources to establish and manage social development projects and that they jointly access external resources from governments, donors and other agencies (Campfens, 1997). Local cooperatives feature prominently in this approach and have been supported by national and international cooperative organisations as well as government community development programmes (United Nations, 2009; Williams, 2007). The concept of social capital has been widely used to conceptualise these developments (Dasgupta & Serageldin, 2000; Gittell & Vidal, 1998; Putnam, 2000; Putnam et al., 1993; Saegert et al., 2001). Other concepts, such as civil society, social entrepreneurship and social economy, have also gained currency and differentiate between the previously dominant role of the government as well as the growing influence of market liberalism in social development.
As mentioned earlier in this book, community development has been augmented by an activist approach which has fostered a much more critical perspective in social development (Choudry et al., 2012; Cornwall, 2011). Social movements have featured prominently in this approach and their role in mobilising popular support for social change at the national level is viewed as an important social development intervention (Wilson & Whitmore, 2000). They also make a major contribution by resisting corporate power and global capitalism (Smith, 2008). The rapid expansion of non-governmental organisations, ranging from grassroots associations to national bodies supported by international donors (Lewis & Kanji, 2009), has also augmented the conventional community development approach. Recently, the contribution of faith-based organisations has been recognised. As Marshall and Van Saanen (2007) note, many have implemented projects that promote the Millennium Development Goals.
The _enterprise perspective_ focuses social development practice on the market, contending that market participation is an effective means for achieving social development. Rainford (2001) points out that advocates of the enterprise approach give high priority to programmes such as microenterprise and microfinance that promote market participation. They also believe that the vigorous promotion of market activities in poor communities will enhance individual responsibility, ambition and entrepreneurship. To achieve this goal, Prahalad (2005) urges business corporations to target poor communities in the Global South with commercial products and services which will not only generate handsome profits but promote grassroots market behaviours. Scholars such as Wankel (2008) and Werhane and her colleagues (2010) elaborate this proposal by showing how commercial enterprises can promote social development. In addition, microfranchising, which recruits poor people, and particularly women, to sell consumer goods to their neighbours and friends, is also given priority since it enhances market participation and diffuses a market ethos among the poor (Fairbourne et al., 2007). In the United States, Porter (1997) is a leading advocate of the creation of commercial enterprises in poor urban communities. The infusion of market liberal ideas based on incentives, competition and financial gain is, he contends, the most effective way of promoting community development and eradicating poverty.
The influence of the enterprise perspective is also reflected in the popularisation of concepts such as 'social entrepreneurship', 'social business', 'social economy', 'philanthrocapitalism' and 'corporate social responsibility' in social development. Although the non-profit sector has historically been viewed as comprising a 'third sector' which is quite distinct from both the market and state, this distinction has been blurred as the concepts of social entrepreneurship and social business have been popularised. It is generally accepted today that non-profit organisations should implement the managerial techniques used in the commercial sector and emphasise the role of initiative and competitiveness (Bornstein, 2007; Dees et al., 2001). Yunus (2007) has also argued that non-profits should utilise market principles to create social businesses and, in addition, some scholars have promoted the idea that the 'social economy' offers an alternative to state-directed development as well as predatory capitalism (Hulgard, 2011; Pesthoff, 1998, 2009). Similarly, commercial firms are urged to be 'socially responsible' and to support charities and social causes. Social marketing by social agencies is also advocated as an efficient means of promoting social development (Kotler & Lee, 2009), and the activities of private foundations established by successful billionaires are encouraged. These different approaches play an increasingly important role in social development, comprising a new approach that Bishop and Green (2008) claim can 'save the world'.
In addition, advocates of the enterprise perspective urge governments to lower taxes, deregulate the economy, privatise services and adopt other policies that will stimulate market participation. In particular, the regulatory barriers that impede the efforts of informal sector entrepreneurs should be removed. As noted in the last chapter, this was a primary theme of de Soto's (1989) writing, which castigated Latin American governments for stifling the entrepreneurial energies of informal sector workers and impeding the emergence of a prosperous market economy. Subsequently, he urged the adoption of legal measures that promote property ownership since this is a prerequisite for the expansion of the market economy (de Soto, 2000). Similarly, Lal (1983, 2006) has castigated the dependence on government involvement in development, arguing that the failures of what he calls the ' _dirigiste_ dogma' can best be remedied by the adoption of a market-based approach. Since the 1980s, these ideas have been endorsed by a number of Western governments as well as the International Monetary Fund and the World Bank, which used their lending policies to promote what the World Bank (1991) called 'market friendly' policies.
The _environmental_ or _sustainable development_ _perspective_ is based on a critique of the way economic growth has harmed the environment and fostered a consumer culture driven by ravenous capitalism. A number of academic critics, including Mishan (1967) and Ward and Dubos (1972), were among the first to argue that the relentless pursuit of growth in the post-Second World War years had degraded the environment while practitioners such as Schumacher (1974) urged the adoption of a 'people-friendly' approach which mitigates the dehumanisation that accompanies large-scale industrial development. Perhaps the most comprehensive critique came from the Club of Rome (Meadows et al., 1972), which warned of the serious consequences of failing to address the negative effects of development on the environment.
Since then, concern about global environmental problems has increased significantly and there is a greater appreciation of the need for government action to limit the effects of pollution, erosion, deforestation, the destruction of species and other forms of ecological damage. As in other fields, the United Nations has played an important role in fostering an awareness of these issues. The 1972 Stockholm Conference on the Human Environment, and the creation of the United Nations Environment Programme resulted in the adoption of important conventions and treaties by member states that have had a significant impact in social development. Community-based environmental projects such as social forestry, village biogas supplies and communal fishing ponds have been introduced in many countries and development initiatives now frequently address environmental issues. A major influence was the Brundtland Commission which was appointed in 1983 by the United Nations under the leadership of Mrs Gro Harlem Brundtland, the Prime Minister of Norway, to examine the relationship between the environment and development. The Commission published its findings in 1987 and urged the adoption of _sustainable development_ as a new development strategy (Brundtland Commission, 1987).
Today, the concept of sustainable development has been widely adopted in social development. As defined by the Brundtland Report, proponents of sustainable development urge that all economic development activities meet current human needs without compromising the ability of future generations to meet their own needs (Blewitt, 2008). This approach invites people to make use of the earth's resources but to ensure that future generations continue to access and benefit from these resources. However, some commercial and industrial interests have vigorously opposed the adoption of environmentally sustainable policies and some governments have simply ignored the issues or reluctantly implemented environmental controls. In addition, growing concern about climate change has not been translated into policies that can address the problem, and indeed ideological scepticism to environmentalism remains widespread. As the landmark United Nations conference Rio+20, which was held in Brazil in 2012 revealed, it is difficult to secure binding international agreements that address environmental challenges. Nevertheless, the sustainable development approach has had a significant impact and environmental programmes are now often integrated into development policies. On the other hand, some writers adopt a more pessimistic position, claiming that little has been achieved, while others, such as Daly (1996) and Jackson (2009), insist that the pursuit of growth be entirely abandoned and replaced with a 'steady state' developmental model.
The _statist perspective_ posits that governments have the authority as well as the resources to achieve social development goals. Drawing on social science knowledge, the technocratic expertise of planners and principles of efficient management, governments have over the years promoted people's social well-being through legislation, regulation, resource allocations, social service provision, social planning and the creation, implementation and administration of a great variety of social development programmes. Governments have also mobilised domestic as well as international resources for social development and collaborated with other governments and international organisations. They have a macroview that transcends the limited perspectives of households and communities and can prioritise allocations and redistribute resources to those with the greatest needs. They can also regulate and even direct markets to ensure that they work for the benefit of society as a whole. It is for these reasons that a number of social development scholars are advocates of the statist strategy, and especially of social planning that promotes an egalitarian and inclusive approach to social development. As shown in the previous chapter of this book, the unified socio-economic planning approach, redistribution with growth and basic needs and rights-based development exemplify the statist perspective.
Advocates of the statist perspective, such as Myrdal, Seers, Griffin, Chenery, Streeten and Midgley, among others, draw on the collectivist principle that the state embodies the interests of its citizens and that if democratically responsive to their needs, can utilise planning and administration to promote their well-being. In this normative conception, the state is not a remote collection of government agencies and organisations, but is owned by its citizens and is accountable to them. While the limitations of this ideal are recognised, they contend that governments have the authority and means to promote social development. Their ideas have influenced social development thinking and have been compatible with the efforts of official international development organisations such as the United Nations, ILO, WHO and UNICEF, all of which have promoted statism at the global level. In recent years, these efforts have been augmented by greater international collaboration in pursuit of the Millennium Development Goals.
Even though the advocates of the different normative perspectives usually disregard or even dismiss other contributions, it was suggested earlier in this book that it is possible to forge a synthesis that draws on their strengths and the practice strategies they inspire. However, this requires the adoption of a pragmatic, pluralist approach that harmonises and coordinates the role of different agents, organisations and strategies and utilises different social institutions, including families, communities markets and the state. As will be argued in the final chapter of this book, it is possible to articulate a normative perspective of this kind. Known as the institutional structuralist approach, it emphasises the role of proactive governments committed to resolving the structural problem of distorted development and promoting the well-being of their citizens. Although this is a challenging goal, it is within reach.
**Suggested additional readings**
Social development does not have a well-developed body of theory but, as was shown in this chapter, it has been influenced by theoretical ideas from economics, sociology and political science as well as social thought. In addition, theoretical approaches that are directly relevant to the field have also been formulated. Some of these, such as the livelihoods approach, capabilities, basic needs, gender and development, and sustainable development, have exerted considerable influence on social development thinking. Many books explaining these approaches have been published and it is not possible to list even a sample of them here. The citations in the text of this chapter should be consulted for additional reading on these topics. The following are of a more general nature.
• Midgley, J. (1993). Ideological Roots of Social Development Strategies. _Social Development Issues_ , 15 (1), 1–13. This article is one of the first attempts to identify the normative theories and ideological beliefs that inform social development and shape different approaches to practice.
• Midgley, J. (2003). Social Development: The Intellectual Heritage. _Journal of International Development_ , 15 (7), 831–844. Major conceptual approaches to social development are reviewed in this article, which also argues for a synthesis of these approaches to form a coherent theoretical framework for social development.
• Nederveen Pieterse, J. (2001). _Development Theory: Deconstructions/Reconstructions_. London: Sage. This advanced text discusses a range of theoretical issues relating to development in general, but it also addresses issues of direct concern to social development.
• Noble, T. (2000). _Social Theory and Social Change_. New York: Palgrave. Designed for students in sociology, this introductory book on theories of social change is a useful resource for those interested in the role of theory in social development.
• Peet, R. & Hartwick, E. (2009). _Theories of Development: Contentions, Arguments, Alternatives_. New York: Guilford Press. The widely used text provides an excellent overview of theories of development, including theories that have influenced social development.
4
THEORETICAL PRINCIPLES AND SOCIAL DEVELOPMENT PRACTICE
It was shown in the previous chapter that social development practice is informed by theoretical ideas which are not always acknowledged but have nevertheless informed the field's many practice interventions. To better appreciate the role of these ideas, this chapter examines the principles and concepts that directly inform practice. It also seeks to facilitate a better understanding of practice by analysing the distinctive characteristics of social development interventions and the different agents and organisations involved in implementation. The need for effective outcome evaluation is also stressed. The chapter hopes to show that theoretical ideas are highly relevant to the practice strategies that seek to achieve social development's goal of promoting social well-being for all.
The chapter begins by discussing the practice interventions that have been identified in the social development literature over the years, showing that a large number of projects, programmes, policies and plans have been associated with social development. As noted earlier, these interventions are subsumed under a number of distinctive practice strategies that organise discreet social development interventions into more systematic practice approaches. Among others, they include the microenterprise, asset, community development and human capital strategies which are the focus of Part III of this book.
The key features of social development practice are then described. They are based on the principles governing social development reviewed in Chapter 1, where it was shown that social development is distinctive because it harmonises the economic, social and other dimensions of the development process, stresses the importance of social investments and fosters people's participation in projects and programmes. These features distinguish social development practice from economic development and social welfare. Next, the chapter discusses the role of different agents in social development with reference to the different levels at which interventions are implemented. Although professional personnel have played a major role in social development in the past, far more emphasis is placed on involving volunteers and local people in social development projects and programmes today. Similarly, grassroots associations, local and national activists, non-governmental and faith-based organisations have augmented the contribution of governments and their employees. In addition, individual households are also regarded as social development agents. The skills needed for social development practice and the role of training in the field are also briefly considered.
Finally, the chapter discusses the need to evaluate social development practice and ensure that it not only achieves its goals but is cost effective. It will be shown that attempts to evaluate social development are hardly new but they have not always been effective. In many cases, the importance of evaluation is officially recognised but resources for this purpose have not always been made available. However, the recent popularity of evidence-based practice has inspired a new commitment to outcome research which augers well for the future and, if wisely used, will enhance social development's efforts to enhance social well-being.
**Social development practice**
As was noted earlier, social development practice is comprised of a large number of discreet projects, programmes, policies and plans. Collectively, they will be referred to as 'interventions'. In addition, the term 'practice strategy' will be used to connote a number of well-established forms of social development practice that organise different projects, programmes and policies into coherent systems of intervention. They include community development, microenterprises and asset building projects, all of which are conventionally associated with social development. They integrate social and economic activities and rely extensively on social investments; they also facilitate people's participation in social development.
Loosely defined, projects are small-scale and time-limited interventions usually implemented at the local level whereas programmes are longer-term and may be comprised of a number of distinct projects. Unlike projects, programmes are not usually focused on specific localities. Policies are prescriptive statements that define goals and govern the implementation of projects and programmes. They also shape the activities of formal organisations. Plans direct and facilitate the implementation of policies by setting quantifiable goals that are met through sequential steps implemented according to a predetermined time scale. As will be discussed later in this book, five-year national development plans that define the goals of economic and social development and specify the steps to achieve these goals have been widely employed in the developing world, although other types of plans, such as community social plans, have also been used. Policies and plans are normally contained in formal documents that prescribe goals and implementation steps. Although policies and plans are widely used by governments, they are also employed by non-governmental organisations concerned with social development.
Often, projects are implemented at the community level and generally, they are concerned with achieving short-term goals such as constructing maternal and child health clinics and establishing agricultural cooperatives. Projects may also form a part of longer-term programmes sponsored by governments or non-governmental organisations. A government programme designed to promote family planning may consist of multiple, discrete projects and may involve a variety of organisations. It may also be implemented at different levels, including the community, regional and national levels. Specific projects may become larger, longer-term programmes. For example, a local women's farming group may evolve into a larger network of women's associations which engage in cooperative agriculture, craft production, preventive health and advocacy. Projects and programmes are often linked to national policies. For example, a nationwide programme to establish day care centres in poor urban communities may be governed by a national child welfare policy and implemented in accordance with a formal plan.
Features of social development practice
Many projects, programmes and policies are associated with social development by convention rather than clearly defined criteria. Indeed, it is difficult to decide whether a particular project or programme should be classified as a social or economic or gender or environmental intervention. As was suggested earlier in this book, all of these are linked together to form an integral part of the multifaceted development process. Nevertheless, these different facets tend to focus on different types of activities and, accordingly, it may be useful to summarise the general principles that distinguish social development practice from other interventions. These reflect the wider features of social development discussed in Chapter 1, which highlighted a number of characteristics of the social development process. While these characteristics apply to social development in general, they also inform social development practice. As will be shown, social development practice is distinctive because it links social, economic and other activities, stresses the role of social investments and enhances people's participation in development. These three features of social development practice apply to the wide variety of interventions that are used in the field.
First, social development practice is distinctive because it _harmonises_ social, economic and other activities which are often separated in practice settings. Special emphasis is given to integrating social and economic development activities. For example, in many poor communities, preschool childcare projects not only care for children while their parents work, but also promote human capital formation, which is an essential ingredient in economic and social development. Similarly, community development projects integrate social, economic and other activities. It was for this reason that the term 'community development' was coined in the 1950s to connote the linking of community social welfare and local economic development. In addition to establishing community health services, schools and women's groups, community development promoted small-scale agriculture, local crafts and similar economic projects. These different activities were linked together within local community settings. Another example comes from cooperatives which have combined economic activities with health, educational and social programmes as well as gender and environmental projects.
Social development practice can be distinguished from conventional social welfare programmes that pay little attention to productive economic activities and are primarily concerned with providing social services. However, when these programmes foster clients' involvement in economic activities, they are engaging in social development practice. This is the case with programmes for people with chronic mental illnesses that create employment opportunities in addition to providing counselling, group activities and referrals to medical professionals. Programmes of this kind are no longer rare but have been established in a number of countries. One example is the Village project in Los Angeles in the United States which combines counselling, psychiatric care, group support and employment (Caplan, 2010). By linking social interventions directly with economic activities, social development practice transcends the remedial and maintenance functions of conventional welfare services.
Second, social development practice relies on _social investments_. This feature of social development practice gives expression to the idea that social development is _productivist_ in that it contributes positively to economic development. Interventions based on social investments generate rates of return not only to those who benefit directly from these investments, such as individuals and households, but to society as a whole. In addition to being a core principle of social development, social investment characterises social development practice, requiring that resources are made available to enable individuals, households and communities to participate fully and productively in economic activities. It also requires that social development agents, such as professional practitioners, non-profit organisations and especially governments, support and facilitate economic participation. Although the social development literature is replete with concepts such as 'strengths', 'empowerment' and 'capabilities', the investments needed to translate these desirable notions into practical action are not always identified. It is not sufficient for needy people to be told to use their strengths or capabilities to engage in economic activities and to be left to cope as best they can. Tangible investments in the form of technical assistance, supports, training and financial resources must be made available if their capabilities are to be harnessed. For example, a group of mothers in an urban informal settlement who wish to establish a poultry-raising cooperative to fund a day care centre for their children are more likely to succeed if they are provided with technical advice and loans or grants. This requirement applies to other social development interventions as well and is particularly relevant to poverty alleviation projects. The popular prejudice that poor people can raise themselves out of poverty through their own efforts is belied by an extensive body of research that, as Midgley (2003b) summarises, demonstrates the positive contribution of social investments.
Although the emphasis on social investment in social development practice is often contrasted with traditional, consumption-based welfare programmes, this distinction is not always clear because programmes that transfer resources to needy people to increase their incomes may in fact serve as investments. A good example is the use of social assistance pensions for elders that address their social needs but simultaneously generate economic activities. Studies from southern Africa (Nyanguru, 2008; Patel & Triegaardt, 2008) have shown that some poor elderly people use their pensions to satisfy their own as well as their family's basic consumption needs, but also use a portion of their pensions to establish microenterprises. In this way, cash transfers designed to meet consumption needs also increase participation in productive economic activities. Conditional cash transfers, such as Brazil's Bolsa Família programme (Hall, 2006) and Mexico's Oportunidades programme (Levy, 2006), not only provide income benefits to poor families but require regular school attendance, immunisation and health checks and, in this way, foster human capital accumulation which in turn contributes to economic development. These programmes are now becoming popular in the developing world (World Bank, 2009).
Third, social development practice is _participatory_ in that it promotes people's _inclusion_ in the economic as well as the social, political and cultural life of the community. Although social development interventions are implemented at various levels, emphasis has traditionally been given to community-based practice which mobilises local people for a variety of projects that improve their collective well-being. This approach may be contrasted with conventional social welfare services which have relied extensively on residential facilities to accommodate those with special needs. However, as social development ideas have been more widely incorporated into social work and social welfare, Midgley (2010) believes that greater efforts are being made to support people living in their own homes so that they can participate in the life of the community. Many examples of community-based programmes of this kind can be given. The Village project mentioned earlier is a good illustration of this approach, as is the independent living movement which has campaigned for many years on behalf of people with disabilities facilitating a great variety of services that promote community living (Fleischer & Zames, 2011). This has enhanced access to employment and self-employment as well as education, transportation and other services that promote their inclusion in economic, social, cultural and political activities.
Although conventional community development programmes have been criticised for neglecting the poorest groups, it is a principle of social development that everyone should participate and that those who have historically been excluded, such as women, ethnic minorities, people with disabilities, immigrants and the elderly, are given high priority. This principle finds expression in the idea of _stakeholding_ , which is sometimes invoked in social development theory (Hutton, 1995, 1997). It gives expression to the idea that all citizens have a stake in the collective well-being of society and have a right to participate and benefit from social development. It also gives expression to the notion of _voice_ , contending that everyone should have an opportunity to express their opinions and be valued. The notions of participation and inclusion have become prominent in social development, particularly with regard to the inclusion of women in social development projects. As a result of vigorous advocacy, many social development projects are now focused on gender issues. In addition, efforts to ensure that indigenous people participate fully in development have also featured more prominently in social development. Indigenous people are often isolated in remote areas with very little access to public services and are particularly vulnerable to exploitation and discrimination.
To promote inclusion, social development practice seeks to remove barriers that impede access and participation. This is achieved through practice strategies that target and integrate excluded and oppressed people into the life of the community. To address social exclusion, promote participation and ensure that rights are upheld, policies are specifically directed at the most needy and vulnerable groups who do not participate fully in society. As Henderson (2005) points out, community development projects that target these groups play a vital role in promoting social inclusion and, in addition, government policies that address discriminatory practices and promote affirmative action and social rights also contribute to this goal. Steinert and Pilgram (2003) report that policies of this kind have been adopted in many European countries; they are also being promoted by international organisations such as the ILO (Estivill, 2004). People themselves also foster participation by, for example, organising and establishing local community projects. It will be shown later in this chapter that volunteers and grassroots associations are now much more active and playing an important role as social development agents. Many social welfare clients are also demanding to participate fully in the life of the community. Contrary to popular prejudices, they do not want to be passively dependent on services or income benefits. These efforts are bolstered by social development's commitment to a rights-based approach which ensures that people's entitlements are upheld (Midgley, 2007b; Molyneux & Lazar, 2003; Moser & Norton, 2001). By focusing on rights and even utilising the legal system to enforce rights, those who are disadvantaged, oppressed and discriminated against can be brought into the development process and enjoy its benefits. The rights-based approach also facilitates the removal of barriers that prevent disadvantaged groups from participating in development.
As will be apparent, the participatory nature of social development practice reflects the wider principle of universalism discussed earlier in this book which seeks to benefit the population as a whole but at the same time target additional resources at those who have special needs. This facilitates participation among those who have been historically excluded, such as poor women, landless workers, ethnic minorities, immigrants, indigenous communities and people with disabilities. By utilising programmes and policies that remove barriers, foster inclusion and ensure that social rights are upheld, social development practice contributes to the goal of enhancing social well-being for all.
The practice strategies
The features of social development practice also characterise the major practice strategies referred to earlier. As was mentioned, they transcend discreet practice interventions by incorporating projects and programmes as well as policies and plans into coherent practice approaches. While particular projects and programmes have immediate objectives, the practice strategies focus on wider goals, such as mobilising human capital or creating small businesses among poor people or accumulating assets. In turn, the different practice strategies contribute to the ultimate goal of enhancing people's well-being. All harmonise the economic, social and other dimensions of the development process and all rely on social investments. They are also shaped by the major normative theories or 'schools of thought' that were discussed in the last chapter. They are often highlighted in the literature and form the core of social development practice.
This book discusses seven practice strategies which, as noted earlier, are reviewed in more detail in Part III. The first is the human capital strategy, which promotes investments in skills and knowledge through education, including schools, universities, literacy training, and childcare centres as well as health and nutritional programmes. The social capital and community development practice strategy is based on the principle that promoting people's participation in social and economic projects at the community level comprises an investment strategy that fosters social development. Employment and decent work combines different social investment interventions to promote remunerative, satisfying and productive employment. Microenterprise draws on microfinance to invest in small enterprises among poor people which range from cooperative business ventures by women to individually owned enterprises. The asset approach mobilises investments in financial assets through Individual Development Accounts (IDAs) and other savings programmes, and it also promotes the acquisition and management of community and nationally held assets. Social protection transcends the consumption focus of conventional social security schemes to incorporate a variety of measures that protect the livelihoods of families but simultaneously invest in their well-being. Finally, social planning comprises a macrosocial development strategy that mobilises a wide range of social development activities at the national level. Although widely denigrated during the 1980s and 1990s by market liberals, its importance has again been recognised as many countries are now using social planning to achieve the Millennium Development Goals.
Social development writers will disagree about whether these seven practice strategies in fact encapsulate the complexities of social development practice. Some will point out that they overlap, while others will note that they do not exhaust the number of large-scale interventions that are used in the field. Indeed, there is an overlap between these different practice strategies and it is also the case that other interventions could have been included. Microfinance and microenterprise could have been separated so that access to credit and the promotion of savings among those who do not have formal access to banking and other financial services could have been dealt with in more detail. In addition, it can be argued that the emphasis on practice strategies rather than fields of practice fails to capture the way social development practice takes place in particular settings, such as healthcare, education and housing, or with particular populations, such as poor families, women, indigenous people and urban informal settlement dwellers. This approach was used by the United Nations to define the Millennium Development Goals, which focus largely on health, education and poverty. Nevertheless, it will be apparent that the practice strategies identified here are associated with these fields even though some are not given the attention they deserve. While these limitations of the approach used in this book should be recognised, it seeks to be inclusive and capture the most widely used and accepted forms of social development practice.
Another issue is that many social development scholars and practitioners have a strong preference for one of these practice strategies and often ignore other practice approaches and sometimes even dismiss them. Often, social development practice has been exclusively associated with community development or activism or microenterprises or asset savings accounts. In contrast, the classification provided here suggest that they all contribute to social development and should be viewed as collectively fostering social development goals. This argument is developed further in the final chapter of this book where the need to link these different practice strategies within a coherent corporatist framework known as institutional structuralism is emphasised.
It was mentioned earlier that these practice strategies have been informed by the different normative perspectives discussed in the last chapter. In some cases, the influence of one normative perspective is fairly clear. For example, the microenterprise and microfinance practice strategy is largely inspired by the enterprise approach which advocates the adoption of market liberal ideas. Similarly, the social planning strategy gives expression to the statist normative perspective which emphasises the role of governments in social development. However, even though one perspective may exert a predominant influence, others also play a role. For example, while the influence of the enterprise perspective in microfinance and microenterprise is clear, this strategy is also informed by the livelihoods approach and its emphasis on households acting in ways that enhance their own well-being. Since microenterprises are largely targeted at poor women, the gender perspective also plays a role. Community development also draws simultaneously on multiple normative perspectives even though the community participation approach is clearly predominant. The way normative perspectives inform these different practice strategies is therefore not a simple matter but reveals the complex role of values and beliefs in social development.
**Agents, levels and organisations**
A variety of people and organisations, including professional community development workers, social planners, faith-based organisations and government ministries, play a critical role in social development practice today. In the past, the contribution of specialised professional staff responsible for social development programmes was emphasised, but recently, many more non-professional social development practitioners have become involved and this has been fostered by the increase in the number of non-governmental organisations working in the field. Today, local people themselves and grassroots organisations are also involved in social development. Since it is helpful to understand the role of agents and organisations when conceptualising and analysing social development practice, their respective contributions should be examined. It is also helpful to recognise that social development practice takes place at different levels, including the household, community, region and national levels. The international level is also important as international development organisations, foundations and donor governments now participate extensively in social development. Taken together, an understanding of the role of different agents, organisations and the levels at which social development practice takes place can improve its effectiveness.
Professional personnel are key social development agents. They operate at all levels but are particularly active at the community level and in the administration of local social development programmes. Since the 1950s, social development practice has relied extensively on professional staff who are trained at government academies or at local universities. At the community level, they mobilise village people for a variety of projects and administer local community development programmes. They collaborate with other professionals, such as agricultural extension workers, public health nurses and social workers. Professional social development personnel are also engaged in the administration of both governmental and non-governmental agencies responsible for social development. Sometimes they are promoted into managerial roles after aquiring practice experience as front-line workers, but sometimes they come directly into management from other agencies. Some are active at the national level, where they administer national policies and formulate social plans.
Paraprofessionals are now much more widely used as social development agents. Like professionals, they receive some training, either on an in-service basis or at specialised training institutions managed by governments and sometimes by non-governmental sponsors. Paraprofessionals are often trained to undertake specialised tasks and short courses are often used for this purpose. As government social development budgets were slashed in many countries in the Global South as a result of retrenchment and structural adjustment, many trained professionals were laid-off and greater use of paraprofessionals and volunteers was made. Hall and Midgley (2004) note that Social Funds were established in many countries at the behest of the World Bank to respond to the increasing poverty and deprivation that accompanied structural adjustment and, as the responsibility for implementing social development projects was outsourced to non-governmental organisations, new employment opportunities for paraprofessionals were created. Although they do not have the career advantages of those working in the civil service and earn less than professionals, they are implementing a variety of social development projects and programmes, often in teams under the supervision of the professional staff.
Although many government community development programmes have been weakened as a result of budgetary retrenchments, they continue to function. For example, in India, the Philippines and a number of African countries, these programmes remain at the core of national social development effort. In addition, as a result of the Millennium Development Goals and renewed funding for social development, many governments have reinvigorated their community development and related programmes but this is now largely done in collaboration with the non-governmental sector. In some countries, community development programmes are managed by a separate government ministry while in others, these programmes are incorporated into several ministries. In some cases, community development is closely linked to local government administration and is more concerned with enhancing local participation in governance than with social development projects. In other countries, government community development programmes are integrated with agricultural extension and related programmes. In some African and Asian countries, community development programmes are administered by ministries of social welfare.
Government administrators, policy makers and professional planners also function as social development agents by formulating social policies which are incorporated into national development plans. They are also engaged in social sectoral planning in education, health, housing, social services, community development and social protection. They coordinate the implementation of plans by government ministries and participate in the evaluation of outcomes. Like government-sponsored community development programmes, the role of central planning has diminished in recent years but in some countries, such as China, India and Malaysia, planning continues to play a major role. In others, national development planning has been reinvigorated as governments strive to attain the Millennium Development Goals. Implementing these goals requires efficient and coordinated national level planning that mobilises and coordinates the activities of sectoral ministries responsible for the different goals and ensures that policies and programmes are effectively implemented at both the national and regional levels. In many countries, this has strengthened the role of professional planners in social development.
In addition to professionals and paraprofessionals, local people are also involved in social development. Often referred to as 'volunteers' in the literature, these 'grassroots' agents of social development are not usually compensated for their work and few have formal training or credentials. Yet, as Mathie and Cunningham's (2008) case studies of grassroots social development efforts reveal, they have taken the initiative to identify local needs, mobilise community members and establish a variety of local social development projects. One of their examples comes from South Africa where local people living in a poor rural community with few natural resources, employment opportunities or assets formed a local development organisation that collaborated with other grassroots associations and a non-governmental organisation to lobby for funds and initiate community development projects. This resulted in significant improvements such as increased people's participation in development, new jobs and incomes (Wilkinson-Maposa, 2008). In many cases, local grassroots organisations are formalising by adopting governance and organisational procedures, opening bank accounts and even employing professional staff. This is also the case with microinsurance organisations which have evolved from local mutual aid and savings clubs to non-profit organisations. As will be shown later in this book, they have achieved a high degree of formalisation in some Asian countries but nevertheless continue to serve their local communities (Midgley & Hosaka, 2011).
The contribution of families and households has also been recognised largely through the livelihoods approach. Advocates of this approach focus on the household as a primary unit for social development and believe that low-income households are able to engage proactively in a variety of economic activities that will raise their standards of living provided they can access a variety of resources, such as credit, improved agricultural techniques, access to markets and training. Programmes that promote asset accumulation among poor households are also encouraged, as are investments in human capital, all of which enhance capabilities and functioning. It is in this regard that families that were previously regarded as the beneficiaries of social development are now viewed as social development agents.
Middle-class social entrepreneurs have recently become more prominent agents of social development. Although they have historically been at the forefront of the non-profit sector in Western countries, they are increasingly active in social development in the Global South. They often initiate new programmes, establish non-governmental organisations and lobby for funding from both national and international sources. They are also attuned to new ideas and help to create organisations that promote innovative approaches. Often, they also tap into wider social movements and international activists organisations. Some have initiated programmes that have attracted international attention and commendation. Muhammad Yunus, who established the Grameen Bank in Bangladesh, and Wangari Maathai, whose work promoting community-based ecological projects in Kenya, are prominent examples of the role of social entrepreneurs in social development. Both received the Nobel Peace Prize for their work.
In addition to non-formal, grassroots associations, a great variety of civil society organisations, including conventional non-profits and faith-based organisations, also function as social development agents today. Many conventional non-governmental organisations were originally established by middle-class philanthropist and social reformers to serve needy people, but they have transcended their formative social welfare function and engaged in advocacy, fundraising and promoting what are called 'self-help' groups, which are comprised of people previously served by traditional social service organisations. In addition, they engage in economic and development activities. In the Western countries, and particularly the United States, non-profit organisations make a significant contribution to community development and, as Lewis and Kanji (2009) note, they also play a major role in social development in the Global South. These voluntary organisations, as they are also known, were often established by expatriates and local middle-class people to address particular needs, such as child neglect or destitution among elderly people and those with disabilities. However, in the 1970s, international non-governmental organisations such as Save the Children Fund and Oxfam began to expand their operations into the developing world and soon many other international organisations followed. This was encouraged by international donors, including the World Bank, which viewed the expansion of the non-governmental sector as a viable alternative to state-directed development. As mentioned earlier, Social Funds, created by the World Bank to respond to a rising poverty rate, gave a major impetus to the expansion of the non-governmental sector in many parts of the developing world by contracting with non-governmental organisations to provide social services to needy communities.
International faith-based organisations, such as Christian Aid, CARITAS and World Vision, have also expanded and focused increasingly on social development projects. Mainstream churches, including Protestant and Catholic denominations, which had long been active in missionary work, have now transcended their formative involvement in education and healthcare with a variety of social development activities, ranging from the installation of water suppliers to the provision of technical assistance to small farmers. A similar emphasis on social development has emerged in other religions, including Islam and Buddhism, and local mosques, temples and churches are no longer regarded exclusively as places of worship but as centres for social development. Marshall and Van Saanen (2007) note that as the role of faith-based organisations in social development was increasingly recognised, the World Bank and other international development agencies encouraged the integration of social development and religion, viewing faith-based organisations as key social development agents.
These events have been accompanied by the adoption of the activist community participation approach discussed earlier in this book, which has created opportunities for new agents and organisations to contribute to social development. Community workers committed to an activist style of social development are now much more prominent in social development than before. As may be expected, they are largely funded by non-governmental organisations and international foundations. Many focus their activities at the community level and many favour project-based practice rather than large-scale programmes. However, activism is also employed by large organisations such as the Self Employed Women's Association (SEWA) in India, which combines services to its members with advocacy and lobbying to improve their working conditions. As Chen (2008) reveals, the organisation was formed with the assistance of middle-class activists by a group of poor women in Ahmedabad who worked out of their homes and who were badly exploited by middlemen. Today, the organisation has more than one million members. Many grassroots associations have evolved into formal cooperatives which have contributed significantly to social development over the years. As will be discussed later in this book, they have a long history and have been an integral part of community development programmes in the Global South (Merrett & Walzer, 2004).
While governments play a more limited role in social development today, civil servants and national ministries and departments remain critically important agents of social development. Indeed, their role has expanded as a result of the Millennium Development Goals, which are directed by officials at the national level. Many governments also allocate funds for social development projects and programmes at the community and regional levels, and they also support individual households through education, health, nutrition and social protection programmes. In addition, they promote environmental protection, regulate markets, maintain law and order and are also primarily responsible for linking national social development policy to international initiatives. However, it should be recognised that not all governments make a significant contribution to social development and that the problems of limited funding, low administrative capacity, weak political commitment and corruption impede their effectiveness. Also, the way governments engage in social development today is significantly different from their formative role in the 1950s. Although they still make extensive use of professional personnel, they are now more likely to utilise the services of non-governmental organisations through subsidies, contracting for services, promoting collaboration and providing technical assistance. In addition, some contract with commercial providers. This has resulted in a more pluralistic approach in which the contribution of different agents, organisations and social institutions are mobilised.
International agencies such as the United Nations, World Bank, UNICEF, UNDP and ILO are also major agents of social development. As mentioned earlier, their efforts are today largely focused on achieving the Millennium Development Goals, which has also fostered greater international collaboration among the world's governments. They have also pioneered new approaches that complement the Millennium Development Goals, such as the promotion of a universal social security floor by the ILO (Behrendt, 2010; ILO, 2011) and the adoption of an 'inclusive growth' strategy by the World Bank (2008). Their activities are augmented by donor governments in the Western world as well as the governments of several rapidly growing developing countries, including China, Brazil and India, which have established their own international aid programmes. Large foundations, such as the Bill and Melinda Gates Foundation, have also become increasingly significant social development agents.
For agents to function effectively, they require appropriate skills and knowledge. The importance of training and skills development in social development practice has been recognised ever since the first social development programmes were established in the 1950s. Many developing countries created their own national training centres and international aid for training was often provided. Academics in the Western countries who had experience of community development in the Global South often assisted, particularly by helping to prepare relevant training materials as well as publishing more academically oriented literature. One example was the University of London, where leading experts, such as Batten (1962, 1965), helped enhance community development practice in the developing world. In time, indigenous literature on social development became more readily available. The role of skills in social development practice continues to be an important topic in the social development literature (Hoggett et al., 2009; Patel, 2005). Another development was the creation of university-based training programmes, particularly in social work, which sought to provide a professional education in community practice. However, social work schools were not always successful in achieving this goal and many instead adopted inappropriate Western clinical models. In time, this provoked an extensive international debate on indigenous social work which continues today (Gray et al., 2008; Huang & Zhang, 2008; Midgley, 1981).
Higher-level university education in economics, political science and public administration in both developing and Western countries is also deemed to be relevant to social development, particularly for graduates who find employment as government policy makers, administrators and planners. However, these fields have also relied on approaches from the Western world which are not always applicable to social development in the Global South. In addition, many of those in higher-level government positions were often sent abroad to Western countries for advanced training, and in some cases, they enrolled on academic courses with limited relevance to social development. On the other hand, specialist courses for social planners which were more attuned to their needs emerged in Britain and other Western countries in the 1970s. One example is the graduate course in social planning for developing countries, which was established at the London School of Economics with funding from the British government in 1972 specifically to prepare students for social development work (Hardiman & Midgley, 1981). In time, courses for social development, planners and administrators were established in some developing countries as well.
**Assessing practice outcomes**
The different social development practice interventions and strategies discussed in this chapter are committed to bringing about progressive social change and enhancing social well-being. However, it cannot be assumed that projects and programmes introduced by committed practitioners will achieve their goals or that good intentions will always produce the best results. For this reason, the importance of outcome research that carefully and dispassionately assesses social development practice has been stressed ever since the first social development interventions were introduced in the post-Second World War years. Many community development programmes incorporated research and evaluation procedures and experts, usually from the Western countries, were often invited to assess their effectiveness. Similarly, with the advent of unified socio-economic development planning, the implementation of both national and sectoral plans was monitored and often elaborate quantitative evaluation procedures were adopted. New techniques, such as cost-benefit analysis and programme budgeting, were widely introduced. These techniques were designed to ensure that social development interventions not only met their objectives but did so in ways that were cost-effective. In addition, the indicator research pioneered by UNRISD, which was mentioned earlier in this book, was specifically designed to measure progress in achieving social development goals.
However, despite these efforts and widespread agreement that outcome evaluation is vital to social development practice, evaluation research has not always been given priority, with the result that the effectiveness of many projects and programmes has not been properly assessed. Many are established and implemented without incorporating evaluation designs or adopting effective data collection methods, and often, where evaluation designs are introduced, follow-up data collection and continuous assessment leaves much to be desired. Another problem is that projects and programmes often change in response to new challenges so that earlier evaluations are no longer relevant. Effective outcome research is frequently hampered by poorly trained staff, limited skills and administrative inefficiency. Sometimes, evaluation and cost-effective studies are overruled by economic and political consideration and are also subject to ideological preferences which reveal an a priori belief in the validity of a particular approach, resulting in what Gambrill (2012) calls 'propaganda' rather than scientifically based results. This is especially likely when social development practice is influenced by one or more of the normative strategies identified earlier.
Despite these challenges, evaluation research has been used in the past to evaluate outcomes and assess the cost-effectiveness of social development practice. There are also signs that research of this kind is being more frequently used today. This has been motivated in part by fiscal austerity, which requires greater efficiency, and by the demands of international donors who are insisting on greater accountability. It is also inspired by the growing popularity of evidence-based practice in fields such as medicine, clinical psychology, education and social work, where it is more widely accepted that professional decision making should rely on studies of the effectiveness of different interventions rather than intuition, experience or authority. A good deal of evidence-based research makes use of meta-outcome investigations that analyse a large number of previously published studies. This approach permits a wide-ranging and thorough assessment of programme effectiveness. The evidence-based approach has also inspired attempts to improve the scientific rigour of outcome research by, for example, using randomised experimental designs to determine which practice interventions are likely to meet their goals.
Although randomised trials are rarely used in social development, recent studies, such as Karlan and Appel's (2011) analysis of microenterprise interventions and Banerjee and Duflo's (2011) evaluation of poverty alleviation projects, suggests that they have a major role to play. These studies may also inspire greater use of experimental techniques in the future. In addition, studies that do not use randomised trials but nevertheless rigorously seek to assess the effectiveness of social development practice interventions are becoming more common. However, it is recognised that much more needs to be done to determine which social development interventions meet their objectives and which do so at optimal cost. As evaluation research is more frequently utilised, the effectiveness of social development practice will be improved and benefit people and communities all over the world.
**Suggested additional readings**
Although social development has historically placed great emphasis on practical issues, comparatively few books on the technical aspects of practice (such as skills, training and implementation) have been published. Generally, these topics are covered in manuals and handbooks on community development. However, the following are also useful resources.
• Mathie, A. & Cunningham, G. (Eds) (2008). _From Clients to Citizens: Communities Changing the Course of their Own Development_. Rugby, UK: Intermediate Technology Publications. This excellent collection of case studies of social development projects initiated at the grassroots level, often by local people themselves, provides important insights into social development practice. It is an especially helpful resource for practitioners working at the community level.
• McMichael, P. (2007). _Development and Social Change: A Global Perspective_. Thousand Oaks, CA: Pine Forge Press. This widely prescribed introductory textbook on development addresses a number of issues related to social development practice, such as food security, the environment, women in development, poverty and microfinance. It contains useful information relevant to social development practice.
• Midgley, J. & Conley, A. (Eds) (2010). _Social Work and Social Development: Theories and Skills for Developmental Social Work_. New York: Oxford University Press. Social workers have been involved in social development for many years and the skills and practice knowledge they bring to social development have enhanced its practical activities, particularly in community settings. This is the first book to examine social work's role in social development comprehensively and to show how social work contributes to the field.
• Patel, L. (2005). _Social Welfare and Social Development in South Africa_. Johannesburg: Oxford University Press. This book deals with various issues of social development and social policy in South Africa where the government of President Mandela formally adopted social development to reconstruct its welfare system after the ending of apartheid. Patel was closely involved in these developments, and her knowledge of practice issues discussed in the book is an important resource.
• United Nations (2011). _The Millennium Development Goals Report 2011._ New York: UN. This report updates progress on the implementation of the Millennium Development Goals. It provides useful information of the practical aspects of social development and particularly those projects and programmes designed to achieve the Goals.
PART III
SOCIAL DEVELOPMENT PRACTICE
5
INVESTMENTS IN SKILLS AND KNOWLEDGE: THE ROLE OF HUMAN CAPITAL
The importance of skills and knowledge has long been recognised in social development. Known as human capital, these and other abilities are widely regarded as a productive resource that raises incomes and standards of living and, in the aggregate, contribute to economic growth. It is generally accepted that societies that have a high stock of skills and knowledge as well as high standards of health and nutrition are more prosperous and economically developed than those lacking in human capital. Accordingly, interventions designed to promote human capital acquisition have long been given priority in social development. They are a primary form of social investment and exemplify the way the economic and social dimensions of the development process are integrated. They are an essential component of social development's efforts to promote social welfare.
Human capital is usually associated with the acquisition of skills and knowledge through education and particularly through formal education, but it also includes other human capabilities, such as nutritional and health status, creativity and leadership. Although nutritional and health status were not originally identified as human capital, it is widely recognised today that they are a requirement for social and economic development. In addition to broadening the definition of human capital, attention is being paid to factors that detract from human capital accumulation, such as gender discrimination, child labour, inequality and lack of access to schools and health clinics. Although this chapter will focus primarily on the acquisition of skills and knowledge through education, other forms of human capital that play a vital role in social development will also be discussed.
Since most governments recognise the economic impact of human capital, unprecedented resources have been directed to formal education, day care and literacy programmes since the end of the Second World War. Budgetary allocations to health and nutrition have also increased. This reflects a commitment by many governments to meet the Millennium Development Goals, which give high priority to expanding access to primary education and health services and improving nutritional status. These commitments are bolstered by widespread recognition that access to education and other programmes that promote human capital are a human right. Although governments have dominated human capital programmes, non-governmental, and particularly faith-based organisations, as well as individuals, families and local communities are also involved.
This chapter discusses the role of human capital in social development. It begins with a brief historical overview of how skills and knowledge have been inculcated over the centuries. The theory of human capital which systematises ideas about the importance of skills, knowledge and other abilities is briefly discussed and major types of human capital programmes are reviewed. These include preschool childcare, different types of formal education, including schools and universities, and health and nutritional services. Non-traditional educational programmes, such as literacy and 'popular education', are also examined. The chapter concludes by discussing some of the controversies relating to the notion of human capital and the factors that impede or distort human capital accumulation. Efforts to address these challenges are also considered.
**Human capital in historical context**
Skills and knowledge have been valued since ancient times. People with exceptional skills and wisdom, such as elders and shamans, were admired and accorded status in traditional societies for being able to explain the world and provide sage advice. With the emergence of writing in the ancient civilisations, the preparation of official records and the documentation of historic events became the purview of a small elite of scribes, administrators and priests. Educational practices that prepared young people to acquire these skills also evolved and, in time, specialised training institutions, such as the administrative academies in ancient China and India or the priestly schools associated with monasteries and temples, were established. A major development was the emergence of the guilds of artisans, which introduced an apprenticeship system that trained the children of their members in the skills or 'mystery' of their craft.
For most of human history, the vast majority of the population was illiterate and access to priestly schools or administrative academies was limited to only a few. Skills and knowledge were transmitted by parents or other community members and was generally confined to learning agricultural techniques or crafts. Some children, who were mostly from wealthier landowning or merchant families, secured access to the monasteries or temples or the administrative academies to train as priests, scribes or administrators, and some joined the emerging professions of law and medicine which were controlled by guilds. However, it was only with the spread of religious schools such as the Islamic _madrasas_ that access to education increased, but since most children worked full-time, only a small proportion attended on a regular basis. In addition, the transmission of knowledge through rote learning rather than independent thinking was emphasised. However, as different interpretations of the sacred texts were offered by respected religious teachers, different schools of thought emerged. This practice was popularised among the ancient Greeks, where a diversity of views flourished in the Athenian academies for a time. The ancient Greeks also expanded schooling on a limited basis to the male children of wealthy citizens and, unlike the temples and religious schools, they offered instruction in a variety of subjects, including mathematics, biology and philosophy. While community-based religious schools paid little attention to these subjects, religious instruction was sometimes augmented by secular teaching. For example, the Vedic schools of India taught _ayurvedic_ medicine and at Al Azar University of Cairo, which was founded in the tenth century, students learned mathematics, astronomy, logic and grammar alongside theology and _sharia_ law. In the centres of higher learning in the Islamic world, and subsequently in Europe, the promotion of new ideas eventually became accepted, although this was often resisted by traditionalists.
The expansion of schooling in Europe owed much to the Reformation and to Luther's belief that education was necessary for people to understand and interpret the Scriptures for themselves. Reformation Scotland became one of the first nations to promote universal schooling by creating a network of local parish schools in the late sixteenth century. Previously, local schools established by the municipal authorities or clergy had emerged but they catered for relatively few children. By the eighteenth century, rulers such as Frederick the Great in Germany and the Empress Catherine in Russia embraced the idea of universal schooling. They were not only influenced by Enlightenment ideas but by the realisation that education would enhance the industrial, commercial and military potential of their countries. As in Scotland, the number of local schools increased and more teachers, who were paid by the state, were employed.
These developments initiated a process of state-directed human capital development, which accelerated with the advent of industrialisation in the nineteenth century, particularly in Prussia where proposals to standardise the school curriculum and create _kindergartens_ for preschool children were adopted. Based on Humbolt's ideas, the first research universities, which emphasised the application new scientific and technical knowledge, also emerged. This idea subsequently had a profound effect on higher education around the world, and especially in the United States, where the Morrill Act, which was passed after the Civil War, created a network of public research universities which have played a major role in the country's economic development.
In mid-nineteenth century Europe, the governments of France, Germany and Norway significantly extended access to education by introducing compulsory primary education. England lagged behind but following the enactment of the Elementary Education Act in 1870, a new network of local state schools were established, initiating a process that would culminate in universal primary education. Worried about Germany's industrial and military power, the British government recognised the need for a well-educated population and this was reinforced by social reformers and the founders of the Sunday School movement, who saw education as a means of improving the living conditions of the working class. The trade unions and local workers' associations also campaigned for the expansion of formal education and established their own literacy and adult education classes. The first day care nurseries for the children of the working poor were also created at this time. Although the unions and social reformers also advocated for the expansion of government medical services, it was much later that the principle of state-funded healthcare was widely accepted. Nevertheless, initial public health innovations such as the provision of clean water and sanitary services in a number of European cities had a major impact, laying the foundations for subsequent healthcare innovations that have contributed significantly to human capital.
There were similar developments in other parts of the world. In the late nineteenth century, Japan's Meiji government emulated German educational initiatives in order to modernise the country's economy, while in India the British colonial government began to expand access to state primary education. This significantly extended the educational opportunities previously introduced by Christian missionaries, who played a major role in promoting formal education in the developing world. Other colonies soon followed and this trend was supported by the British government in London which, as Mair (1944) reports, actively promoted access to schooling throughout the Empire during the 1930s. However, it was only after the Second World War, when nationalist independence movements came to power, that formal education was given high priority in the Global South. In addition to a massive expansion of primary school education, many governments of the newly independent nations established universities to prepare young people for scientific and technical as well as political and civic leadership.
By the early decades of the twentieth century, most Western countries had achieved universal primary enrolment. On the other hand, enrolment in secondary education lagged and only a small proportion of young people had access to universities. Enrolments to secondary school increased significantly after the Second World War as governments raised the compulsory school age, often to 16 years. In the 1970s and 1980s, the number of colleges and universities also expanded, resulting in a large increase in enrolments to university. There were similar trends in the developing world, where access to primary education increased rapidly in the 1950s and 1960s. The United Nations (1961) reported that during the 1950s, primary school enrolments increased at a higher rate than the growth of the school-going age population. However, with the exception of a few countries, such as Sri Lanka, Argentina and Uruguay, none had come close to achieving universal primary enrolment. During this time, the number of universities also increased. Another United Nations (1963) document noted that in the 1950s alone, 116 new universities were created in the developing world – 16 were in India, 15 in South Korea, 13 in Brazil and eight in Indonesia.
The expansion of formal education at all levels continued in the latter half the twentieth century so that by the time of the adoption of the Millennium Development Goals, 82 per cent of children of primary school-going age in the Global South were enrolled in school. In Latin America and the Caribbean, this figure had reached 93 per cent, while in East Asia it was 95 per cent. In addition, illiteracy had declined particularly among youth, where 83 per cent of 14–24 year-olds were able to read and write (United Nations, 2011). Although these gains in human capital in such a short time are unprecedented, they mask significant variations between the world's regions and also within countries where gender, rural–urban and other disparities persist. Although less spectacular, there have also been significant investments in modern medical care in many developing countries and numerous initiatives to reduce hunger have been introduced. But again, disparities in access to healthcare continue to present a major challenge and, in addition, hunger, communicable diseases and limited access to safe drinking water remain serious problems.
Efforts to enhance human capital by the world's governments have been augmented by extensive international collaboration. Beginning with the Universal Declaration of Human Rights in 1948, universal primary education and healthcare have been promoted as a human right and this has been endorsed by numerous international treaties and instruments supported by international development organisations. Many international meetings and gatherings have also been convened. Among these are the International Conference on Primary Health Care held in Alma-Ata in what is now Kazakhstan in 1978, and the World Conference on Education for All held in Thailand in 1990. Other important developments were the 1989 United Nations _Convention on the Rights of the Child_ , which prioritised the importance of education, health and nutrition and the Millennium Development Goals. These events were accompanied by the formulation of the theory of human capital, which provides an important rationale for government intervention.
**Types of human capital**
Human capital theory provides a basis for a range of policies and programmes that promote the acquisition of skills and knowledge and enhance people's health and nutrition, facilitating their ability to participate in the productive economy and experience improvements in standards of living. The importance of human capital was not generally appreciated until fairly recently, even though classical economists recognised that social well-being was significantly shaped by individual ability. Adam Smith drew attention to this factor in _The Wealth of Nations_ (1776), and although Marx believed that capitalists invariably exploit the talents workers bring to the productive process, he acknowledged their importance. In the late nineteenth century, Dewey's proposals for educational reform emphasised their investment function and, in the 1920s, in a rare discussion of the role of education and economic development, Pigou (1920) challenged the popular view of education as a consumption good, contending that it contributes significantly to improvements in incomes.
This idea was subsequently formalised by a number of economists, including Mincer (1958), who showed that income distribution was affected by human capital, and Becker (1964), who offered a mathematically complex analysis of the returns in income that accrue to individuals through education. Drawing on his international work, Schultz (1961) questioned the over-reliance on financial capital in economic development thinking, and emphasised the returns to communities and societies when the aggregate stock of human capital increases. As was shown earlier in this book, proponents of the standard economic development model urged governments to concentrate on mobilising financial capital for industrial development and to defer social and other consumption expenditures. Schultz questioned whether financial capital and the other conventional factors of production, namely land and labour, actually explained the rates of growth recorded in the post-war years, and concluded that what was called the 'residual' factor in the growth equations could be attributed to education. In addition, he recognised the importance of other forms of human capital, such as healthcare and nutrition, in economic development.
Additional research into the macroeconomic dimensions of human capital formation by Kendrick (1976) and Psacharopoulos (1973) focused on the way education contributed to the formation of aggregate capital and economic development. Using sophisticated statistical techniques, Psacharopoulos showed that social rates of return were linked to a country's level of economic development and that poor countries benefitted most from prioritising investments in primary schools. On the other hand, allocations to secondary and higher education produced higher rates of social return in countries with high levels of development. This research, and his subsequent studies for the World Bank (Psacharopoulos, 1992; Psacharopoulos & Patrinos, 2004), moved the debate beyond the individual to social rates of return, and made a major contribution to formulating appropriate human capital policies around the world. Studies on the returns to higher education in Western countries such as the United States have also found that colleges and universities contribute significantly to economic development. For example, Stiles and his colleagues (2012) found that investments in higher education in California generate an annual rate of return of about $12 billion to the state's economy.
Another important development was the linking of the concepts of human capital with social and cultural capital. Coleman's research (1988) found that the human capital acquired through formal education could be augmented by family and community networks, and Bourdieu (1977, 1986) pointed out that social and economic success was not only determined by knowledge acquired through formal education, but also by the _habitus_ and cultural capital comprised of the dispositions, tastes, demeanour and behaviours that are transmitted to children by their parents. His work also drew attention to the way cultural capital and class differentials in education affected career success. Both scholars introduced a sociological dimension into the debate which broadened the concept of human capital, showing that human capital policies and programmes are more effective if linked to other social interventions.
Although the concept of human capital now has a much wider connotation than a narrow concern with formal educational credentials, schooling continues to be the primary focus of human capital policy debates. Although most scholars recognise that human capital reflects innate abilities, they emphasise the processes by which human capital is acquired and most recognise the role of formal institutions such as schools, universities, medical facilities and nutritional programmes in promoting human capital. These institutions also increase the stock of human capital at the community and national levels. This idea is similar to the concept of assets which will be discussed later in this book. Human capital is therefore a powerful form of social investment that provides tangible returns in the form of higher incomes and standards of living. Although human capital can be promoted in many different ways, the following focuses on three types of human capital intervention given priority in social development practice.
**Childcare and early childhood interventions**
Although infants and very small children have historically been nurtured by their mothers and other family members, this task has been augmented by the provision of childcare by relatives, neighbours and a variety of organisations that operate childcare centres. In addition, many governments subsidise and regulate childcare and promote early childhood development through health, nutritional and other programmes. A large number of early childhood interventions, ranging from family leave policies to daycare centres, have been introduced. All are designed to supplement family care and to promote human capital among young children. Family leave policies give parents a legal right to raise infants and young children at home without jeopardising their employment, and often include a stipulation that employers maintain wages and salaries during their absence (Pfau-Effinger & Rosgaard, 2011). Otherwise income is provided through the country's social security system during the leave period. In some cases, cash benefits designed to encourage mothers (and sometimes fathers) to stay home and care for infants are paid (Sipila et al., 2010). As noted earlier, health and nutritional programmes directed at infants and small children and their mothers have also been given high priority in social development.
Childcare centres operated by formal organisations are an effective way of promoting human capital among young children and have received a good deal of attention in social development. These have been established all over the world by non-governmental and faith-based organisations, parent cooperatives, for-profit providers and statutory bodies. They are similar to primary schools except that greater emphasis is given to inculcating social skills through organised play and basic instruction. Nutritious meals and health checks are also provided. Many actively involve parents in their activities but they are usually staffed by professional or paraprofessional teachers and aides. As the need for decent substitute care while parents work has been recognised, these centres play an increasingly important role in the lives of many families. Childcare is now viewed as a necessity among many families in the West and increasingly in the Global South as well. Many governments have also introduced policies to regulate childcare, requiring that adequate health, safety and other standards are met both by private providers, non-governmental organisations and statutory agencies. On the other hand, a sizeable non-regulated informal childcare sector comprised of small, neighbourhood, home-based centres also exists, but few efforts have been made to integrate them with the formal sector.
Many Western governments also subsidise the costs of childcare in the form of tax credits or direct payments, but these vary greatly in terms of generosity and duration. Conley (2010) reports that in some European countries, such as France, Belgium and Italy, more than 90 per cent of preschool children are provided with free childcare, usually in government centres. In these countries, a close link between childcare and primary education is maintained so that a relatively smooth transition from preschool to formal education is achieved. In English-speaking Western countries such as the United Kingdom and the United States, the costs of childcare are largely borne by parents. Although subsidised childcare has been used to help welfare recipients engage in regular employment, these supports have been severely retrenched as a result of the recent Great Recession. In the developing world, childcare centres are usually operated directly by governments, or otherwise by non-governmental and faith-based organisations, often supported by international aid. However, coverage remains limited.
Two examples of national childcare programmes that have attracted a good deal of attention are Head Start in the United States and the Integrated Child Services Development Scheme (ICSDS) in India. The latter programme is the largest of its kind in the world and has served as a model for similar innovations in the Global South where international organisations such as UNICEF and Save the Children Fund have promoted the spread of childcare centres, particularly in poor communities. Vinovskis (2005) reports that the Head Start programme was established in 1975 by the Johnson administration as a part of its War on Poverty initiative and is targeted at low-income and ethnic minority children. However, the programme has suffered from perennial budget restrictions and has not managed to cover all eligible children (Conley, 2010). India's Integrated Child Services Development Scheme, which was established on a pilot basis in the mid-1970s, also targets poor families, catering for young children in a network of more than 1.2 million _anganwadi_ or courtyard centres. Maternal and child health, family planning and other services are also provided to mothers and adolescent girls. Although the scheme has now been extended to the country as a whole and serves more than 39 million children and 8 million women, many needy children have not been enrolled. As Datta and Konantambigi (2007) note, the programme has also experienced challenges, including a lack of funding, bureaucratic rigidity, corruption and overworked staff. Although it has undoubtedly contributed to a reduction in infant and child mortality, poverty among India's children remains widespread.
Despite these and other challengers, there is a good deal of evidence to show that childcare contributes to human capital, bringing significant benefits not only to children but to society as a whole. Neuroscience studies of brain development, which show that contact and stimulation in infancy and childhood development has positive long-term effects, have been widely cited to support childcare interventions (Mustard, 2002; Thompson, 2004), as have econometric studies that reveal the positive long-term educational and career outcomes resulting from early childhood investments (Clarke-Stewart & Allhusen, 2005; Kirp, 2007). The work of Heckman and his colleagues (Caneiro & Heckman, 2005) has been particularly influential. Although research into the outcomes of childcare in the developing countries is not as extensive, here too favourable outcomes have been reported (Alderman, 2011; Love et al., 2002). Studies undertaken in the United States by Bartik (2011) also show significant social returns from early childhood interventions to both the local and national economy. In addition to their effect on human capital, childcare centres promote social capital by creating networks among participating parents and community members (Conley, 2010). However, these findings have been vigorously contested by critics such as Besharov (2005), who questions the value of public spending on early childhood programmes such as Head Start which, he contends, has failed to produce significant improvements in educational test scores despite considerable cost.
Formal education: schools and universities
The acquisition of knowledge through formal education is widely believed to be the primary means of promoting human capital among children and young people. Formal education is traditionally organised on three levels, namely primary schools, secondary schools and colleges and universities, although vocational education and childcare are also sometimes included.
Formal education has been given high priority by governments all over the world, resulting in spectacular enrolment increases over the last century. As shown earlier, this trend began in the Western countries but now applies to the vast majority of developing countries as well. Governments generally accept that formal education promotes social and economic development, and it is also highly valued by many families who exert political pressure on governments to expand and increase its quality. The link between the acquisition of formal educational credentials and subsequent employment and career success is widely appreciated. Case (2006) reveals that this link has been demonstrated in many studies that show significant increases in rates of return to individuals as a result of investments in formal education. As noted earlier, Psacharopoulos (1973) has also shown that significant returns accrue to society as a whole.
In nearly all countries, schools and universities operate under government auspices, but usually responsibility for state schools is devolved to the provincial or county level. Non-profit and particularly faith-based providers are also active, and they often own the most prestigious schools and universities. Although school fees are often levied by state schools, they are usually much lower than those charged by private providers. However, the cost of private education is often subsidised by governments, which also exert extensive regulatory control by prescribing curricula as well as examination standards. In a number of Western countries, for-profit firms have become involved in formal education by contracting with governments to run schools or administer local school districts. In the United States, commercial firms have also become involved in higher education, although on a limited basis.
Although the contribution of formal education to human capital development is widely recognised, vigorous debates about the role of schools and universities in social development have emerged. One important issue is access to formal education. Although most governments regard education as a human right and are committed to achieving the Millennium Development Goal of achieving universal primary enrolment, there are significant variations in numbers of children who are enrolled at schools in different countries. The problem is most severe in the developing countries, but even in the Western nations which have imposed compulsory attendance and practically secured universal primary enrolment, class differentials in access to high-quality education as well as the utilisation of educational opportunities continue to be a problem. This is also the case at the primary and secondary levels where household income is not only associated with access to the best schools, but with attendance and dropout rates. As Stone (2009) reports with reference to the United States, these disparities also reflect ethnic and immigrant status. This is also the case with access to higher education (Sacks, 2007).
In the Global South, access to formal education is closely correlated with both income and gender. Poor girls are over-represented in the proportion of children who do not go to school. They are often required to work to support their families, and in a number of countries cultural norms impede their enrolment. This problem is exacerbated by urban–rural differentials. Children living in remote rural areas or who belong to tribal and nomadic communities or to ethnic minorities are unlikely to attend school. Similarly, street children have little if any access to schooling. Another issue is that enrolment data mask irregular attendance and non-completion among many poor children. They are especially vulnerable to being taken out of school and required to work when family income is interrupted through adversities such as the illness or disability of adult family members. Nevertheless, a great deal of progress has been made, and many more children attend school today than ever before. Estimates suggest that about 67 million children worldwide did not attend school in 2009 but this figure represents a significant decline from 106 million in 2000 (United Nations, 2011).
The disparities in access mentioned earlier are also related to the quality of education so that poorer children generally enrol at lower quality schools often with poorly paid, unqualified teachers, while children from wealthier families are usually educated at excellent schools. This is also true at the tertiary level where young people from wealthier families have greater access to elite universities that provide high-quality instruction. Despite achieving impressive enrolment rates, there is evidence that many children in low-income countries score low on standardised tests and have difficulty in reading and writing (UNDP, 2010). This is related to the problems of low completion rates and irregular attendance mentioned earlier. It is widely accepted that the quality of formal education must be improved by, for example, ensuring that teachers are properly trained and adequately compensated, that access to computers and other teaching materials is enhanced and that building and other facilities are improved. Similar improvements in technical and higher education are also needed.
The appropriateness of formal education which has relied extensively on a Western academic model has also been questioned on the ground that it is not suited to local needs and realities. Schools are sometimes accused of promoting Western values and beliefs and undermining the traditional culture, and it is in this regard that many governments in the developing world have increased indigenous curricular content. Traditional religious schools have also expanded, even though they seldom give adequate attention to basic academic, literacy or arithmetic skills. Also problematic is finding a balance between academic learning and technical and vocational training, and deciding whether priority should be given to schooling or university education. These issues have significant implications for government policy, which should be concerned with ensuring that formal education provides universal access and meets national human capital objectives rather than responding to interest group pressures which, for example, seek to expand access to universities rather than rural primary schools.
This issue is related to questions of costs and governance. Obviously, formal education costs money and to meet the Millennium Development Goal of achieving universal schooling, additional resources will be required, particularly in low-income developing countries. Although many are constrained by limited resources, the international community has made a significant contribution, and as Nallari and Griffith (2011) report, this continues despite the Great Recession. However, fiscal difficulties also present a problem in Western countries, particularly in the public sector where class sizes have increased, buildings are deteriorating and the proportion of poorly trained teachers remains a challenge. The problem is particularly severe in inner-city areas with high numbers of ethnic minority and immigrant children. Middle-class families living in the suburbs increasingly resent paying taxes to support public education, especially if their own children attend private schools. In addition, many claim that public schools provide low-quality education, that teachers are indifferent and incompetent, and that their children are exposed to undesirable influences from children from low-income families. These attitudes have fuelled political pressures to create independent or charter schools which receive public funds but involve parents in governance and are relatively free of government control. The use of vouchers that facilitate parental choice has also been promoted. Politicians on the political right have played a major role in advocating for these proposals, emphasising the declining standards of public education, the role of the unions in protecting ineffective teachers and the bureaucratic nature of government control. However, Hacsi (2002) contends that these political campaigns do not resolve but exacerbate the funding and governance challenges facing formal education in many Western countries.
Political pressures also operate in the developing world where wealthier families often campaign for greater government support for high-quality education for their own children. It is in this regard that econometric techniques have been used with some effect to foster cost-effective and appropriate education in the developing world. As was mentioned earlier, research undertaken for the World Bank by Psacharopoulos shows that in low-income countries, the highest social rate of return accrues from primary education. Since the Bank is able to use its lending policies to exercise control over expenditures, many governments have rationalised educational policy decisions and, as Hall and Midgley (2004) reveal, there has been a significant shift towards more appropriate educational investments in the developing world in recent years. However, fiscal challenges continue to present a major challenge. Fortunately, school fees which were widely introduced as a part of structural adjustment programmes in many indebted developing countries have now been rescinded or significantly reduced so that enrolments have again increased (UNDP, 2010).
Although the preceding discussion suggests that formal education faces formidable challenges, schools, colleges and universities make a huge contribution, enhancing opportunities for children and young people to realise their potential. It has also contributed significantly to economic and social development. In addition, Case (2006) contends that formal education has a major impact on social status, health, nutrition and fertility, providing many women with greater choice over decisions concerning childbearing. It has also empowered women, resulting in increases in political participation. What she describes as the 'primacy' of education has been widely recognised as a key social development strategy.
Popular education, health and nutrition
Although human capital has been primarily associated with formal education, other types of human capital are also being promoted today. In addition to schools, colleges and universities, human capital is achieved through non-formal and 'popular' education, as it is also known. Educationalists such as Freire (1970, 1973), who criticised formal education's 'banking approach' and advocated for critical thinking and _conscientization_ , have inspired non-traditional, community-based education around the world, and particularly in Latin American countries where faith-based organisations associated with the Catholic Church have played a major role (Hall & Midgley, 2004). Literacy programmes and adult education suited to the needs of poor farmers, women, urban shanty town dwellers and informal sector workers have proliferated. An interesting development is the introduction of academic subjects into some religious schools. For example, the Dalai Lama has authorised instruction in science and mathematics at Tibetan Buddhist schools and the Aga Khan Foundation is encouraging the adoption of similar curricula in Islamic _madrasas_. Non-formal education in the form of on-the-job training programmes and apprenticeship also play a significant role in promoting appropriate knowledge and skills, as does internet learning, which is a rapidly expanding resource that now features prominently in non-traditional education.
Reference has already been made to health and nutrition, which are widely accepted to play a major role in economic development. More than 30 years ago, an important World Bank (1975b) policy paper on health demonstrated a clear link between economic growth and the health and nutritional status of the labour force. Schultz (1981) made a similar observation, citing research in India which showed that reductions in communicable diseases such as malaria after the Second World War had contributed significantly to increased agricultural production. Research into the way human capital is mobilised through health and nutritional programmes is now very extensive and it is generally accepted that they have a positive impact on economic and social development, justifying government investments in these fields (Lopez-Casasnovas et al., 2005). At the individual level, research has shown that improved health and nutrition is associated with the acquisition of technical skills and knowledge, creativity, coping abilities, and increased productivity and incomes. At the aggregate level, programmes designed to improve people's health and nutrition contribute significantly to a country's stock of human capital, enhancing economic development and prosperity.
To meet the health targets of the Millennium Development Goals, most governments in the developing world have improved budgetary allocations to healthcare programmes, often with significant support from international donors. In addition, non-governmental and faith-based organisations now play a more important role than in the past and commercial providers are also involved, although on a limited basis. In the Western countries, health expenditures have increased steadily and in some countries, such as the United States, where private healthcare is well established, they now account for a significant proportion of GDP. Commercial providers play a larger role in the Western than developing countries. Although incentives were provided to commercial providers to deliver medical services health as part of the structural adjustment programmes, governments and non-profits such as faith-based hospitals continue to be the primary source of medical care in many low-income countries, although, of course, traditional healers are also widely consulted. Hall and Midgley (2004) report that user fees were also imposed as a part of structural adjustment but as health conditions deteriorated, these policies have been reversed. The abolition or reduction of these fees has in particular had a positive effect on utilisation rates in a number of low-income countries (UNDP, 2010).
However, it is not only a matter of increasing funding or expanding services but of adopting policies that emphasise appropriate, cost-effective and universal healthcare services. Many years ago, Abel-Smith and Leiserson (1978) observed that in the post-Second World War years, many developing countries emulated the preference in the Western countries for high-tech, hospital-based, curative medicine and many allocated a significant proportion of their national healthcare budget to a single teaching hospital. This approach did little to address the basic health problems facing the majority of the population and, following the adoption of the World Health Organisation's Alma Ata Declaration of 1978, there has been a greater focus on appropriate and cost-effective programmes, such as increasing the number of local clinics staffed by paraprofessionals under the guidance of nurses and physicians and promoting preventive interventions that combat communicable diseases. Targeted campaigns that build on past successes (such as the smallpox eradication campaign of the 1970s) have also been used to respond to communicable diseases such as AIDS/HIV, malaria and polio. These developments have been accompanied by a greater emphasis on decentralisation and community participation, all of which prioritise primary healthcare rather than high-cost hospital-based treatments.
Although these innovations have had a major impact, much more needs to be done to extend healthcare to the world's population. Nevertheless, as recent reports on progress on the Millennium Development Goals reveal (United Nations, 2011; UNDP, 2010, 2013), there have been significant improvements in people's health around the world, resulting in reductions in infant and child mortality and increases in life expectancy. In the Global South as a whole, child mortality rates have fallen from 99 per thousand to 66 per thousand since 1990, while life expectancy has increased to unprecedented levels almost everywhere. The major exceptions are countries in sub-Saharan Africa affected by the AIDS/HIV pandemic. In this region, life expectancy is about 52 years, while in South Asia it is 64 years. In East Asia and Central and South America, it now exceeds 70 years, having reached levels comparable to those in the Western nations.
However, as with access to education, major disparities between urban and rural areas and different income and ethnic groups present an ongoing problem. Despite significant gains, communicable diseases such as AIDS/HIV, tuberculosis and malaria still pose a major challenge. Another problem is demand for high-cost curative medicine, particularly from higher income groups, as well as pressures from hospitals, medical professionals and pharmaceutical firms that are not very interested in primary care or prevention. This is also the case in the Western countries where the emphasis on high-cost curative interventions is believed to be unsustainable. Nevertheless, high-cost medical care continues to be given high priority not only in the West but in the Global South as well, distorting budgets and limiting access.
Malnutrition remains a serious problem in the developing countries where progress in reducing hunger has stalled. Today, about 16 per cent of the world's population suffers from hunger, and this figure has not declined since 2000 when the Millennium Development Goals were adopted. This translates into a figure of about 840 million people today, most of whom are concentrated in sub-Saharan Africa and South Asia. Here, the proportion of hungry people in the population exceeds 25 per cent and most are women and children. Although emergency food aid is often employed when food production is severely interrupted in drought and conflict stricken areas, sustainable long-term programmes are needed. The reintroduction of food commodity subsidies, the expansion of maternal and child health services and the provision of school meals are all viable policy options. In addition, childcare programmes in the developing world, such as the ICSD in India, have made a significant contribution but most of these programmes still reach only a small proportion of those in need.
Programmes that promote health, nutrition and non-traditional learning all have a positive impact on human capital but, as is more widely recognised, interventions that address the barriers to human capital are equally important. The goal of promoting human capital is thwarted if children are required to work to support their families and are prevented from going to school. Similarly, as Miguel's (2005) review of the research literature reveals, school performance is severely impeded by ill health, poor nutrition and emotional stress. Children who are sick or hungry or abused are unlikely to do well at school and interventions that address these issues are as important as those that encourage higher enrolment and attendance rates. Child labour is a major obstacle which not only prevents children from enrolling at school, but is often responsible for intermittent attendance. Conflict is another impediment to human capital formation that has long-term effects, severely limiting childhood development. A fundamental challenge is poverty, which suggests that human capital programmes must be integrated with comprehensive social development policies designed to raise standards of living for all.
**Issues of human capital and social development**
Although the importance of human capital is generally recognised in social development circles, the human capital approach has detractors. While some critics have dismissed human capital entirely, others have focused on the limitations of formal education or curative approaches in healthcare. For example, as was noted earlier, the emphasis on hospital-based medical treatment in many developing countries has been widely challenged. Similarly, there is a significant literature on the limitations of formal education. Freire's work is especially well known but others, such as Illich (1971) and Dore (1976), have also exposed the limits of traditional schooling, which is often concerned with providing credentials rather than promoting intellectual curiosity.
Some writers take the view that human capital programmes reinforce existing social inequalities by emphasising the development of individual knowledge and skills without addressing the oppressive structures that perpetuate poverty and deprivation. Others believe that human capital programmes are designed to serve the interests of economic and political elites by preparing a compliant but efficient workforce. It is not, they point out, accidental that the term 'capital' is used to characterise these programmes. This view is well established in critical and Marxist thinking (Bowles & Gintis, 1975) but as the experience of educational policy in communist countries reveals, Marxist governments themselves used education not only for economic purposes but to exercise political and social control. It is clear, as Freire (1970, 1973) insists, that human capital policies that promote critical thinking about wider social issues should be given high priority everywhere.
The effects of prevailing social, cultural and political conditions also need to be taken into account. Human capital formation does not occur in a vacuum but reflects these realities. As shown earlier, it is also affected by poverty, deprivation and social inequalities, which are revealed not only in disparities in access to education and health services but in outcomes which are significantly determined by social and economic circumstances. Studies undertaken in the United States many years ago by Jencks (1979) and others found that school performance is closely linked to children's socio-economic background and that schools cannot on their own remedy social disadvantage. More recent research by Duncan and Murname (2011) and their colleagues confirms this finding and emphasises the way entrenched social inequalities impede educational achievement. Nevertheless, this well-established finding has been widely ignored by those who believe that education offers a ready solution to poverty and is an effective means of addressing inequality. As Newman and de Zoysa (2001) observe, this argument featured prominently in the 'Third Way' thinking of the British Labour government under Prime Minister Tony Blair, which placed great emphasis on the role of education in addressing social disadvantage. As Schultz (1981) cautioned, an instrumentalist view of human capital which ignores wider social and economic challenges has serious limitations.
Some writers have argued that the contribution of human capital is greatly overstated and that innate ability, motivation and creativity are far more important than formal education. They point out that many famous entrepreneurs, politicians and artists, who had a profound impact on society, did not perform exceptionally well at school and many lacked college credentials. In addition, Wolf (2002) has questioned the accuracy of the data on which claims about the contribution of human capital to economic development are based. She points out that these data have such serious limitations that the findings of rates of return studies (such as those undertaken by Psacharopoulos and Schultz) should be doubted, if not dismissed. Another problem, which has been mentioned already, is that statistical data do not provide information about the quality of human capital interventions and their impact on people's lives. This point has been made already with reference to both education and healthcare. Clinics and schools that report high utilisation rates may in fact provide low standards of service and do little to enhance human capital.
Human capital programmes and policies need to improve the quality of services, staff training and organisational efficiency. The importance of appropriate services should also be emphasised. Pressures from elite groups for services that meet their own needs but disregard the needs of the majority of the population must be resisted, and resources should be more efficiently allocated to ensure universal access at optimal cost. In addition, as was argued earlier, human capital must be linked to comprehensive social development policies that simultaneously address the barriers that prevent people from acquiring the knowledge, skills and other resources that help them to realise their full potential. To provide opportunities for all, human capital interventions cannot be seen in isolation from other social development policies and programmes that address poverty, promote peace and challenge entrenched inequalities.
**Suggested additional readings**
Human capital theory provides a conceptual framework for a variety of interventions that invest in individuals and communities and contribute to development. This issue is covered in many books and articles, some of which are suggested as additional reading below. However, publications that offer a critical assessment of human capital and particularly formal education are also highly relevant and should be consulted.
• Conley, A. (2010). Childcare: Welfare or Investment? _International Journal of Social Welfare_ , 19 (2), 173–181. This helpful article discusses the role of childcare in social development with reference to the Head Start programme in the United States and the Integrated Child Services Development Scheme in India. Both transcend childcare's welfare function to invest in young children and their parents.
• Freire, P. (1970). _Pedagogy of the Oppressed_. New York: Herder and Herder and Freire, P. (1973). _Education for Critical Consciousness_. New York: Seabury Press. These two books are now classics and offer a critique of formal education that is still relevant today. Freire's work has also informed other fields of social development, including community development and social activism.
• Kirp, D. L. (2007). _The Sandbox Investment: The Preschool Movement and Kids-first Movement._ Cambridge, MA: Harvard University Press. This very readable account of many different aspects of childcare in the United States offers insights which will be relevant to other countries as well.
• Lopez-Casasnovas, G., Rivera, B. & Currais, L. (Eds) (2005). _Health and Economic Growth_. Cambridge, MA: MIT Press. This book discusses the role of healthcare as a human capital investment and considers its role in economic as well as social development. The authors argue for appropriate healthcare policies and programmes to maximise access and optimise costs.
• Schultz, T. W. (1981). _Investing in People_. Berkeley, CA: University of California Press. Although now out of date, this book is a readable summary of the author's ideas on human capital that earned him the Nobel Prize in Economics and have been very influential in development circles.
• Wolf, A. (2002). _Does Education Matter? Myths about Education and_ _Economic Growth_. London: Penguin. Reviewing many of the assumptions on which formal educational policy decisions are based, this book challenges commonly held beliefs about the role of human capital in development. It offers a useful critique that should be considered when advocating for human capital programmes.
6
SOCIAL CAPITAL, COMMUNITIES AND SOCIAL DEVELOPMENT
For most of human history, people have utilised local social network to enhance their economic livelihoods and well-being. Although affected by urbanisation and modernisation, a great variety of social, economic, religious and cultural activities are embedded in community relationships. In addition to maintaining congenial social ties, people engage in cooperative economic activities to address common problems and improve their living conditions. In the rural communities of the Global South, farmers regularly help each other with harvesting, maintaining local irrigation systems and constructing communal crop storage facilities. In the urban informal settlements, poor people cooperate to establish small businesses, construct local mosques, temples and churches, and provide mutual aid. Community networks are also widely utilised in the Western countries where neighbourhood associations, farming cooperatives and many informal groups promote the interests of local people.
Although these community-based activities usually emerge spontaneously, they also depend on local leaders to mobilise participation. However, it is only in recent times that governments and other external agents have played an active role in promoting people's involvement in community life. In the late nineteenth century, social reformers in the Western countries encouraged poor people in inner-city areas to participate in local projects that they believed would foster their welfare, and in the Global South similar ideas resulted in the adoption of community development in the years following the Second World War. Although the term 'community development' is used loosely and is also known as 'community organisation', 'community building', 'community planning', 'community participation', 'community action' and 'community economic development', it is an important social development practice strategy today. In this chapter, community development will be used as an umbrella term to cover three major types of community-based interventions: namely, community building, community action and community economic development. Although they overlap, they will be discussed separately.
It was shown earlier in this book that the emergence of social development as a distinctive approach to social welfare built on formative community development initiatives in the Global South in the 1950s. In addition, key social development concepts, such as participation, self-help, self-determination and the linking of economic and social interventions, were articulated by community development practitioners at this time. The concept of empowerment and similar ideas that connote an activist style of participation also emerged. These concepts have since been integrated into social development theory, and have also been linked with the concept of social capital which has been used to provide a conceptual basis for community development. Since social capital emphasises investments in people's participation in community activities, as well as the accumulation of community-owned assets such as schools, clinics, roads and water supplies, it is a useful way of linking community and social development theoretically.
This chapter discusses the role of community development in social development. It begins by tracing its historical evolution, showing that different approaches to community development have emerged over the years in both the Western and developing countries. As mentioned earlier, the major types of community development discussed in the chapter are community building, community action and community economic development. Although these different approaches are often viewed as distinct and even incompatible, they all contribute to efforts to enhance the well-being of local people. The chapter concludes by discussing some of the limitations as well as strengths of community development as a social development practice strategy.
**Historical dimensions**
In addition to promoting their own interests, people have always cooperated with neighbours and other community members to enhance their collective welfare. Indeed, their survival often depended on it. Nomadic and hunter gatherers relied on each other to secure food and protect themselves against predators and, in settled agricultural communities, villagers cooperated to construct and maintain roads, community water supplies and communal granaries. They also helped each other with agricultural tasks such as clearing land for planting and harvesting crops. In addition, participatory practices that involved members of the community in decision making also evolved. Although the significance of these practices can be overstated, they are still found all over the world today. They are also precursors to modern notions of community development.
Cooperation by community members has historically been voluntary and driven by institutionalised cultural norms and the expectation of reciprocity. Although those in authority could conscript labour for communal projects such as building temples and fortifications, or require collective action to secure the common defence, participation was usually based on self-organisation, especially in traditional agricultural communities where local leaders relied on their ability to mobilise local support through persuasion rather than authority. However, not everyone participated and, in addition, local communities were not without rivalries or differentials in power which benefited some more than others. Women and the poorest members of the community were often excluded from participating in community decision making. This is still the case today.
As urban poverty became a major problem in nineteenth century Europe and North America, community-based activities among working people expanded. A major development was the creation of formal cooperative societies. Cooperatives have existed since the time of the ancient civilisations when guilds of artisans, traders, physicians and lawyers first emerged. Designed primarily to serve their own members, many provide services to other people in the local community as well. The Rochdale Pioneers, who established one of the first consumer cooperatives in England, are often regarded as the founders of the modern cooperative movement but, as Birchall (1997) points out, cooperatives of weavers, carpenters, metal workers and other producers were also formed at this time. These developments were supported by social reformers such as Owen, Proudhon and Fourier, the trade unions and various socialist and anarchist organisations. Cooperatives provided an alternative to exploitative markets, and their members benefited from collectively owned shops, credit unions, clinics and factories.
Alleviating poverty was a major preoccupation among middle-class social reformers at the time. They were convinced that the poor were passive, culturally deprived and incapable of self-betterment and that they needed educated mentors who could inspire them to achieve what they described as a 'higher life'. They believed that poverty was not only caused by material deprivation, but by alienation, despair and the loss of social cohesion and that participation in community activities could address these problems. The reformers ignored the fact that many poor people were already active in churches and mutual aid associations, and instead they worked enthusiastically to strengthen community bonds by promoting civic engagement. The university settlement houses were among the first community-based projects that laid the foundation for the subsequent emergence of community development. They recruited middle-class students to organise literacy and adult education classes, sports and recreational activities, cultural programmes and other pursuits for poor people. In addition to these activities, some settlement leaders advocated for improvements in local services and involved members of the community in civic improvement campaigns.
The settlement idea that poverty and other social problems could be addressed at the community level through the intervention of external agents was soon popularised. The Charity Organisation Society augmented the community organising activities of the settlements by introducing what became known as community social service planning. In time, this approach became established in Western countries and particularly in the United States, which had a decentralised system of social service provision that made extensive use of local non-profit organisations. The work of the United Way in many American cities today exemplifies this approach. Both community building and community planning became the focus of academic enquiry and, in the twentieth century, numerous books on these topics were published, catering for social work students and others who worked in these agencies (Dunham, 1959; Petit, 1928; Ross, 1955). These were later augmented by more technical accounts of community social planning (Gilbert & Specht, 1977; Laufer, 1978; Perlman & Gurin, 1972).
An important theme in community organisation was the promotion of democratic participation. To achieve the goal of helping the poor achieve a 'higher life', the social reformers sought to encourage civil participation through membership in local associations, voting and lobbying. In their view, promoting active citizenship would facilitate self-help and self-determination and help local people to deal effectively with their problems. In addition to fostering civic participation, community organisation stressed the need for local activism targeted at indifferent politicians and bureaucrats, exploitative business owners and unscrupulous landlords, whose abuse of power could, community organisers believed, be effectively challenged. Although some of the founders of the settlement house movement in the United States (such as Jane Addams and Lillian Wald) encouraged local activism, it was most systematically developed in the middle decades of the twentieth century by Alinsky (1946, 1971), whose work has inspired community activists in both the Western and developing nations.
Similar ideas were adopted in community development in the Global South, but here greater emphasis was placed on enhancing the material well-being of local people through infrastructural and economic projects. The origins of community development in the South can be traced to the 'rural construction' programmes of Gandhi and Tagore in India, which, Bhattacharyya (1970) explains, sought to mobilise local people to improve village conditions, and the 'mass literacy' programmes introduced by colonial welfare officials in West African countries in the years following the Second World War (Brokensha & Hodge, 1969). These innovations were subsequently promoted by the United Nations and resulted in the adoption of community development throughout the developing world. However, as Campfens (1997) reveals, community development assumed different features in different countries. Despite these differences, governments usually provided staff, technical assistance, materials and funding for local projects while local people provided labour and were, at least theoretically, responsible for determining which projects should be given priority.
Initially, little emphasis was placed on community action but as the top-down character of government community development programmes was increasingly criticised, an activist style of community development known as community participation gained popularity (Cornwall, 2011). This approach was inspired by the successes of national resistance movements and particularly Gandhi's non-violent campaigns, which challenged British imperial power (Hardiman, 2003). Initially known as community participation, it stressed the need to oppose the entrenched privileges of village elites, who were invariably men, and ensure that the poorest groups – women and ethnic minorities – participated fully in community development. The emphasis on community activism increased as non-governmental organisations became more involved. Although community development had been largely sponsored by governments, the retrenchment of government services as a consequence of indebtedness and the imposition of structural adjustment programmes in many countries facilitated the expansion of non-profits and grassroots organisations often with assistance from international organisations and Western donor countries. Community activism was also promoted in the urban areas. New concepts such as _conscientization_ and empowerment, prompted by the work of Freire (1970, 1973), were formulated to transcend the formative notions of self-help and self-determination which had previously characterised community development theory.
Cooperatives also made a major contribution to the evolution of community development in the Global South, particularly in the rural areas where many farmers joined cooperatives to purchase seeds and agricultural equipment and to collectively market their produce. Cooperatives had spread rapidly from the Western countries to the developing world towards the end of the colonial era and were often integrated with government community development programmes, becoming a major focus for local economic development (Merrett & Walzer, 2004). One pioneering initiative was the use of cooperative principles in the Comilla Project, which was established in Bangladesh in 1959 under the charismatic leadership of Akhtar Hameed Khan. Although similar to other government-sponsored community development programmes, Comilla prioritised the provision of credit to rural cooperatives and was widely admired even though many of its member cooperatives ceased to function as a result of political upheavals following the war with Pakistan and Khan's departure. With the spread of market liberal ideas and policies, the contribution of cooperatives was often ignored, but in recent years, their role in social development has again been championed by scholars such as Williams (2007) and Kelly (2012), who believe that they offer a viable alternative to market-based globalisation. In fact, as Restakis (2010) observes, cooperatives are resurging as the fair trade movement, which deals primarily with cooperative producers, gathers support. The importance of cooperatives has also been recognised by international agencies such as the United Nations (2009), which declared 2012 as the International Year of Cooperatives. They have also been given prominence in the Millennium Development Goals. As their contribution becomes better known, they may again challenge the hegemony of market liberal economic development ideas.
As Rubin and Sherraden (2005) point out, local economic development became an important aspect of community development in the Western countries after the Second World War. Originally concerned with community building, social service planning and local activism, local community economic projects such as small business development, job referral services, retail and small-scale manufacturing and skills training were introduced. However, the emphasis on local economic development was often combined with activism, especially in the programmes established by the Johnson administration in the United States as a part of its War on Poverty initiative of the mid-1960s (Reich, 2009). Of particular importance was the Economic Opportunity Act 1964, which promoted community action by supporting local urban regeneration organisations known as Community Development Corporations (CDCs). Local economic development in the United States was given a further boost by the introduction of Community Development Block Grants, which fund local economic development projects, and the Community Reinvestment Act 1977, which requires banks to provide credit to low-income communities and particularly to minority-owned businesses which have often been discriminated against (Green & Haines, 2008; Immergluck, 2004).
These developments were augmented by the introduction of conceptual ideas that extended the earlier theoretical focus on democratic participation, self-determination and activism. Among others, these include the concept of community assets associated with the work of Kretzmann and McKnight (1993); the theory of social capital popularised by Putnam and his colleagues (1993, 2000); and Porter's (1997) notion of local enterprise. Of these, the concept of social capital has arguably been the most influential and, as suggested earlier, provides a useful conceptual framework for community development today.
**Social capital and community development**
Although social capital theory emerged in the 1990s to offer an organising framework for community development, it reflects the older idea that communities with high levels of social participation and strong social bonds will prosper and provide a positive environment in which individuals and families can thrive. These communities also have democratic decision-making institutions and are able to collectively address their problems. The notion of social capital which has been developed by Bourdieu (1986), Grannovetter (1973), Coleman (1988) and Putnam and his coworkers (1993, 2000) among others, reflects these ideas. It is distinctly sociological in that it emphasises the importance of social relationships rather than individual experience in community life. These scholars believe that the strengths of communities do not reside in the capabilities of individual community members, but in the intensity and durability of the social networks established between these members. In addition to these 'bonding' ties, as they are known, 'bridging' ties that access resources beyond the community's boundaries play a vital role in promoting social and economic well-being.
The view that strengthening both bonding and bridging ties will enhance community integration and cooperation has direct implications for community development practice, particularly in communities marked by poverty, social disorganisation, alienation and high rates of crime and substance abuse. By fostering civic engagement, these communities build social capital and are able to respond to challenges. In addition, the theory of social capital has made a novel contribution by suggesting that communities with strong social bonds also have higher levels of economic development. This argument was first made by Putnam and his colleagues (1993), whose research in Italy demonstrated that the country's regions that scored well on economic development indicators also had a high degree of civic engagement and social cohesion. Conversely, the country's economically less developed regions were marked by low levels of participation. These differences are explained by the role of cooperation and trust in economic affairs. Because economic development is not simply a matter of entrepreneurship and investment capital, but of social relationships that foster economic transactions, policies that promote social capital are needed. This view has been adopted in social development especially by the World Bank, which has emphasised the role of social capital formation in economic development (Dasgupta & Serageldin, 2000; Harris, 2002). It has also enjoyed popularity in the United States, informing a variety of community-based development projects (Gittell & Vidal, 1998; Saegert et al., 2001) and has featured in scholarly analyses of the benefits of trust and social cohesion in society (Fukuyama, 1995).
The idea that promoting social capital has a strong social investment function provides a compelling rationale for community development today. The three types of community development mentioned earlier, namely community building, community action and community economic development, all build social capital and foster social development. However, Midgley and Livermore (1998) argue that social capital's investment function is particularly relevant to local economic development where practitioners purposefully use social networks to initiate economic projects. Although community building and community action are not primarily concerned with economic activities, both strengthen community networks, increase cooperation and contribute to a community stock of social capital.
These three approaches to community development use similar practice techniques to build social capital. As was noted earlier in this book, all rely to some extent on professional or paraprofessional workers and all three are dependent on organisational sponsorship. In addition to governments, which have historically funded and managed community development programmes, non-profit organisations are now extensively involved in the field. External donors also play a major role by funding non-profits and grassroots community groups. However, there is considerable overlap and different sponsors may engage simultaneously in different types of activities. Similarly, in their efforts to promote community well-being, community development personnel may combine community building, activism and local economic development. In the Western countries, community development is often undertaken by non-profit organisations, although they may be supported by governments, particularly in the form of competitive grants and private foundations. Historically, many community development personnel were trained at professional schools of social work, which also produced much of the literature on the subject, but in recent years, as Midgley (2010) notes, professionals from other fields, including law and business, have become involved in the field
Community building and community development
Community building seeks to strengthen social capital by mobilising participation in community activities and local associations. Chaskin and his colleagues (2001) point out that community building is not primarily concerned with economic development or with activism, even though it may incorporate some activities of this kind. It relies on trained community workers, often assisted by paraprofessionals and volunteers, to initiate and implement a variety of community development activities. They usually begin by identifying and collaborating with local leaders who can promote civic participation. These may be established leaders, such as elected community representatives, local clergy or traditional chiefs, or younger and charismatic people or representatives of minority groups. Although workers in conventional community development programmes often gravitate towards influential community members who already have networks that can be used to foster community building, they may seek alternatives if they perceive the local leadership to be hostile to their work or indifferent or corrupt. Some advocates of community building believe that the traditional leadership should be bypassed, while others think this unwise. However, failing to work with the local leadership presents challenges that need to be addressed. The greatest challenge is to secure the support and trust of community members and build democratic decision-making institutions that ensure the participation of the community as a whole.
Community building is usually based on tangible projects or programmes that encourage people's involvement. In the Global South, this usually involves the construction of community-owned assets such as daycare centres, clinics, schools and water supplies. The building of a local community centre is also given high priority. In the Western countries, community building is also associated with local community centres, but these are not always purpose-built and may be a church hall or a municipally owned sports facility or meeting place. These centres are the locus of community activities, including recreational and play pastimes for children, sports, adult education and, above all, regular community meetings where decisions about matters affecting the community are made. Children's activities are often emphasised since parents usually take an interest in these programmes. Regular festivals, fêtes or celebrations organised by community volunteers and leaders are also promoted as a way of bringing community members together and interacting around congenial events.
Community workers also encourage local people to form or join local associations and to volunteer to help organise their activities, including sports clubs, youth associations, women's societies, hobby clubs, reading circles and many others. Grassroots mutual aid associations, such as rotating savings and credit associations (ROSCAs), and groups affiliated with mosques, temples or churches also contribute to community building but, until recently, their contribution was seldom recognised. Today, as Lewis and Kanji (2009) point out, they play a major role in social development. On the other hand, formal, voluntary associations, including faith-based organisations, have been involved in community development for many years, particularly in the Western countries. It is in this context that community building has been closely associated with community social services planning, which, as noted earlier, emerged as distinctive community intervention in the late nineteenth century in European and North American cities. Community planning is also known as community organisation and, although it does not work directly with local people at the neighbourhood level, it affects their well-being by seeking to improve local social services provided by both government and non-profit organisations. Planning has also been used to promote neighbourhood community projects, particularly in urban settings (Peterman, 2000). Community planning is not as well developed in the Global South but as voluntary organisations proliferate, it is likely to be more widely adopted.
The concepts of self-help and self-determination have been central to community building theory for many years and prescribe that local people themselves should be in control of their own development, deciding which projects and activities should be undertaken. It is, as Smock (2004) points out, a way of promoting local democracy and enhancing community capacity. Local people should also be actively involved in implementation. This approach builds capacity, fostering what Eade (1997) calls 'people-centred' development. Despite their canonical status, it will be shown later that these ideals are problematic and difficult to implement. Nevertheless, they emphasise the need for local people themselves to direct the community development process. Kretzmann and McKnight (1993), who popularised the notion of asset-based community development, or the 'ABCD' approach as it is known, have strongly endorsed this idea. They believe that communities have many assets to draw on. These include informal clubs and associations, local networks of care and support, local businesses and faith-based organisations, all of which have the potential to contribute to community development. In addition, community assets include physical assets such as community centres, schools, clinics, playgrounds and parks. By mapping assets, community workers help local people to take control of their own affairs. As will be apparent, community workers using the ABCD approach play a far less directive role than in conventional community development. Mathie and Cunningham (2008) go further, suggesting that local people themselves can and do initiate local projects and programmes without external direction. Although they may access external resources, they do so of their own volition and through their own efforts. They believe that community workers and local non-governmental organisations should encourage local people to address their own needs and implement their own development programmes.
Activism and community action
The concept of self-determination also informs community action programmes which seek to mobilise local people to improve their communities by addressing the differentials in wealth, privilege and power that activists believe are the root causes of poverty and deprivation. As was noted earlier, this idea was first adopted by some of the settlement leaders who organised local people to use confrontational tactics to secure positive change by challenging local officials, business leaders and politicians, but it was subsequently formalised in the work of Alinksy (1946, 1971) and, as Chambers (2003) notes, has been widely adopted not only in the United States but in many other countries as well. Freire's (1970, 1973) theory of critical consciousness or _conscientization_ and the concept of empowerment (Luttrell et al., 2009) augmented Alinsky's work and have shaped community action. Despite differences, these approaches give expression to similar ideas. They also inform social movements and activist organisations that operate at the national and international levels and form an integral part of wider, global organising efforts (Choudry et al., 2012; Cornwall, 2011).
Like other forms of community development, community action makes use of workers who help poor and oppressed groups to analyse the causes of their condition and mobilise them to take action. Generally, community workers engaged in this type of work are employed by non-governmental and faith-based organisations although in some countries, government agencies have also sponsored community action initiatives. Their activities are often supported by international organisations that emphasise the importance of augmenting traditional community-based development by raising consciousness in poor communities and organising them to challenge entrenched interests. Several large international organisations, such as Oxfam, have adopted this approach. In addition to using professional workers, local volunteers play a significant role, especially in grassroots organisations comprising poor women and marginalised minority groups. People with disabilities and other special needs have also adopted activism as an integral part of their campaigns for rights and improved services.
Unlike government community development programmes that provide formal training often in specialised academies, training for community action programmes is usually provided by non-governmental organisations and, generally, volunteers and paraprofessionals are trained in the field. Following Freire's approach, training is an ongoing process of mutual learning in which workers and community members engage in a dialogue that addresses local realities and raises consciousness. In this approach, training for community action is not about acquiring knowledge from expert teachers or of securing formal credentials, but involves achieving critical awareness through self-learning. Usually, this involves a group experience in which community members jointly discuss a wide range of issues affecting their well-being. Working in groups is an essential element of empowering community members, who gain confidence and strength from solving problems and meeting challenges collectively.
Community workers and organisations engaged in community action need to determine which groups to target and, usually, the concept of oppression is invoked to focus on the most disadvantaged and disfavoured. In some cases, this is already decided by the type of clients served by the sponsoring organisation or by faith-based and grassroots groups. A good deal of community action has focused on gender issues and, as Dominelli (2006) points out, women's groups are often at the forefront of anti-oppressive activities. Otherwise, all members of the local community who are poor and oppressed may be mobilised and, in some cases, the whole community may be included. Since community action is focused on oppressed people, those with privilege and power are not included but are instead identified as causing and perpetuating the problem. This is a key theme in Alinsky's prescriptions for achieving positive change. However, Kaufman (2003) argues that a wider analysis of oppression which transcends local power differences to encompass an understanding of capitalism, the role of the state, racism, globalisation and other pressing issues is also needed.
Having recruited members, various techniques are used to meld them into a cohesive group that can analyse and address power realities. Although the core group may be small, members seek to recruit others and increase their influence. As noted earlier, Freire's concept of _conscientization_ is usually invoked at this stage to engage people in a collective dialogue about the nature of power and privilege in their communities. This analysis helps members attain a greater self-awareness not only of their position in the local power hierarchy, but of the way they have been incorporated into a wider system of exploitation and oppression. This invariably involves an introspective analysis that some may find uncomfortable but it is an essential step in consciousness-raising and building self-esteem, which is another key aspect of the process. However, raising self-esteem is only a precursor to empowering the group to realise that they can collectively challenge the causes of oppression. As Luttrell and her colleagues (2009) point out, empowerment requires action in that the group must engage in tangible activities that will change and transform their communities.
Molyneux and Lazar (2003) show that a useful way of promoting empowerment is to educate members about their civil, political and social rights. Members are taught that they have just demands based in internationally recognised rights, often enshrined in national constitutions. They are not therefore engaged in a personal struggle against those with power and privilege, but are requiring that commitments guaranteed in national and international rights be met. Another step involves training community members to organise local campaigns or participate in elections. Armed with these skills, oppressed groups are better able to take action and bring about social change. Following Alinksy's recommendations, this may involve organised protests, civil disobedience, embarrassing local bureaucrats and political leaders, launching strikes and engaging in other forms of activism. In addition, new local groups and associations such as cooperatives, small businesses and tenants' group may be formed to give practical expression to empowerment and strengths ideas. However, perhaps the most effective means of empowering people is to help them participate in the electoral process, both to influence outcomes favourable to their cause and also to secure political office. Campaigns to register and educate eligible voters have been effectively used in a number of countries, including India and the United States. Although many authoritarian governments seek to impede participation in electoral politics, there is often room for manoeuvre. As Gee (2011) shows, a great deal has been achieved over the years in many different parts of the world as oppressed people have organised, resisted and ultimately triumphed.
Community economic development
This approach to community development seeks to promote economic development at the local level. Although it may also involve community building and even, as shown earlier, be linked to the empowerment activities of community action programmes, it focuses on improving local infrastructure and promoting local economic development projects. This was a key theme in the formative community development programmes introduced in the Global South after the Second World War that sought to combine local economic and social activities. Although local economic development was not given priority by the settlements and community social planning agencies in Western countries, its importance has been recognised and now comprises an integral part of community development in many of these nations as well.
It was mentioned earlier that social capital theory has informed local economic development by positing that trust, social engagement and cooperation among local people contribute positively to economic development. This idea has informed efforts by the World Bank to promote social capital formation in developing countries in the hope that it will foster economic development. However, as Krishna's (2002) study of village economic development in India points out, this requires purposeful efforts to mobilise social capital and encourage local people to engage in economic activities. Midgley and Livermore (1998) make a similar point in their account of social capital and economic development in the United States, contending that social capital does not automatically generate increased economic activities, but requires interventions that build social capital and promote economic development.
One example of how this can be achieved is to use well-established community building techniques to enhance local infrastructure. This is a primary focus of rural community development in the Global South, where community workers and local leaders mobilise village people to construct roads, irrigation systems, water supplies, community centres, clinics, schools and other facilities. While local people supply labour, community development programmes provide technical assistance, materials and funding. Organising community members to work together to enhance existing infrastructure or to create new physical facilities not only builds social capital, but has a direct impact on economic development. In rural Africa, for example, the construction of what are called feeder roads by village people permits motorised access to local markets where local produce can be sold more speedily than through the traditional practice of carrying heavy laden baskets of produce long distances on foot.
The promotion of local income-generating projects such as craft manufacture, weaving, small-scale vegetable farming and poultry-raising also fosters social capital formation and has a positive effect on the local economy, particularly if undertaken collectively. Cooperatives which rely on strong social bonds among members are well suited to this task and, as noted earlier, are often integrated with government community development programmes. They avoid exploitative suppliers and middle men and are able to secure favourable terms for their members. They also obtain agricultural equipment, seeds and fertilisers at discounted prices through cooperative purchasing and provide members with credit, crop insurance and social services. Today, hundreds of millions of small farmers in the developing world benefit from cooperative membership (Merrett & Walzer, 2004). This is also the case in the Western countries where cooperatives have a long and distinguished history. In addition to promoting local economic development, Majee and Hoyt (2011) point out that they contribute significantly to building social capital.
Market liberal ideas have certainly influenced local economic development in recent times, as a number of writers have argued for the infusion of market activities in poor communities. As discussed earlier in this book, Prahalad (2005) believes that the vigorous marketing of commercial products (such as soap, cosmetics and detergents) will promote consumerism and integrate the poor into the market and, at the same time, return handsome profits to large corporations. Fairbourne and his colleagues (2007) propose that local people be recruited through microfranchises to sell these products to the poor and in this way promote market values. Of course, the proliferation of microenterprise in both the developing and Western countries also contributes to this goal. In addition to promoting small businesses, Porter (1997) contends that the best way of fostering local economic development is to create commercial enterprises in low-income communities since they create employment and spread values such as competition, individual responsibility, ambition and entrepreneurship among the poor. This, he contends, will foster local enterprise and transform poor communities. Although his work has been primarily concerned with local economic development in the United States, it has relevance to the developing world where similar ideas are being promoted even though they are fiercely resisted by many community development advocates.
These market-driven approaches to local economic development focus on individuals and do not involve significant efforts to promote social capital. Nor do they require government intervention, except of course that most market liberals believe that governments should support local economic development initiatives by providing tax incentives, ready credit, infrastructure and other services. Indeed, many commercial enterprises have benefited from state-supported local economic development incentives. Benefits have also accrued to local people who have accessed a variety of programmes that promote economic development, particularly in Western countries. As mentioned earlier, they include government funding for local development organisations, access to credit and banking, the enforcement of non-discriminatory policies and the creation of special economic development zones. It is perhaps surprising, therefore, that many community activists are vigorously opposed to state intervention, claiming that government involvement co-opts and neutralises local community efforts (Robson, 2000). It is also paradoxical that both market liberals and populist activists are critical of state involvement even though government initiatives have contributed significantly to local economic development and community well-being over the years.
**Community development and social development**
As noted at the beginning of this chapter, community development is an integral part of social development. Much social development practice takes place in community settings and many of the field's concepts are derived from community development. Since community development is such an important social development practice strategy, it is perhaps surprising that so little is known about its impact. While small-scale evaluation studies of local projects abound, evidence about community development's overall effectiveness is limited. Instead, it is often supposed that community development interventions have a positive impact. This assumption is bolstered by a tendency among community development writers to stress the cohesiveness and cooperative nature of communities and to assume that poor people are eager to engage in community development activities. Many others take it for granted that interventions by committed community workers and sponsoring agencies produce positive results.
Despite a lack of rigorous outcome research, many descriptive case studies of successful community development projects are available and there have been lively debates around key community development concepts which suggest that the field is not devoid of critical analysis. A better understanding of these debates can provide insights into the effectiveness of community development and inform future policy. One issue which has been alluded to already concerns the nature of communities. Most textbooks begin with a definition of the term but, as Keller (2003) shows, it is still used loosely to refer to a variety of institutions and activities. Also, it is by no means clear that community development practitioners have a well-defined notion of the groups and geographic areas they serve. Although geographic localities such as well-bounded villages can be readily identified, community workers have to decide whether everyone living in the areas is to be included and whether resources should be concentrated on the poorest groups or on women or minorities. Despite claiming to serve the community as a whole, community development workers often focus exclusively on these groups.
A related problem is the tendency to romanticise local communities and assume that they are well integrated and united when in fact they are comprised of different status, class and religious groups which may not always cooperate. Indeed, most communities experience rivalries, tensions and conflicts. Another problem is that community development programmes are usually targeted at poor communities and seldom serve middle-class people in either the developing and Western countries. This undermines that concept of universalism which is a key social development principle. To complicate matters further, some community development programmes transcend a 'place-based' concern with geographic communities and seek to address the needs of oppressed groups, such as those with disabilities, lesbian, gay and transgendered people, immigrants and ethnic minorities who do not in fact live in geographic proximity to each other. In this case, the community comprises what is sometimes called a 'functional' interest group or a social movement and requires very different skills from locality-based community development.
Another issue is the extent to which community members are willing and able to participate in community development projects. Although the concept of self-help is widely invoked in the field, mobilising local people for community activities can be challenging. Even though local people may wish to be involved, many are simply too busy to attend community meetings and contribute time and labour to community projects. Others may be disinterested or be disinclined to join because they dislike local leaders or others who participate. The problem is compounded when local leaders are uncooperative or indifferent, which is often the case when community workers fail to establish good relationships with them, or when community building programmes focus on particular community groups such as minorities or members of lower castes. Although community development advocates give high priority to democratic decision making, not everyone wants to participate. This problem is not confined to poor communities but characterises local electoral politics in the Western countries as well.
The concept of self-determination has been widely debated in community development and raises the issue of the extent to which workers should facilitate participation or even direct the decision-making process. It has long been a cardinal principle of community development that local people themselves should decide how best to develop their communities and that workers should play a non-directive role. The desire among many communities to use community development resources to construct of places of worship has been particularly vexing for community development personnel who believe that secular projects should be given priority. Since government community development programmes and those funded by international donors seldom permit the allocation of funds for religious purposes, community development workers find it difficult to explain why local preferences cannot be met. For these reasons, it may be argued that community development should be less concerned with community building and instead address pressing social needs by establishing poverty alleviation projects and programmes. It is more important, critics argue, to establish schools and clinics and provide social services and cash transfers. This argument is vigorously opposed by those who believe that strengthening social relationships and fostering cooperation is a precondition for establishing successful poverty alleviation projects. As noted earlier, many writers believe that workers should use a non-directive approach and some go further, suggesting that local people themselves should initiate local projects and programmes. However, this questions the very basis of community development which has historically relied on external agents and raises the issue of whether non-intervention will somehow result in communities organising their own affairs in ways that bring about significant improvements in social well-being. Many community development advocates think not.
It is in this context that some have questioned the widely held assumption that improvements in social conditions can best take place at the local level. Although much community development is targeted at communities, and based on the ideals of self-determination and participation, the tendency to view community interventions in isolation from wider, national policies and programmes has been questioned. A similar concern has been expressed with reference to community action which writers like DeFilippis and his colleagues (2010) believe is of limited effectiveness unless coordinated with activist organisations operating at the national level. Of course, it is true that community development programmes in the Global South have historically been managed by governments at the national level, but with retrenchments in public spending in many countries, the link with national social development effort has been weakened. This is not to deny that local-level interventions make a difference. Despite the lack of comprehensive outcome research in the field, it was noted earlier that many community development projects have produced positive results. But these achievements can be augmented by more effectively integrating local and national social development interventions. This issue, which also applies to other social development practice strategies, will be discussed further in the last chapter of this book.
**Suggested additional readings**
A sizable literature on community development is now available. Although primarily concerned with practice issues, it draws on theory and particularly the theory of social capital, which offers a useful conceptual framework for community development today. Publications that deal with the contribution of non-governmental organisations and cooperatives should also be consulted.
• Alinsky, S. (1946). _Reveille for Radicals_. Chicago: University of Chicago Press and Alinsky, S. (1971). _Rules for Radicals_. New York: Random House. These classics are an indispensable read for community activists and others not directly engaged in activism since they provide important insights into how people can be mobilised to promote social development.
• Cornwall, A. (Ed.) (2011). _The Participation Reader_. New York: Zed Books. This edited collection is an extremely useful resource for community development workers. It discusses community participation not only in the implementation of community development projects but in all aspects of community governance.
• Dasgupta, P. & Serageldin, I. (Eds) (2000). _Social Capital: A Multifaceted Perspective_. Washington, DC: World Bank. The literature on social capital theory and its application is now very extensive but this book, edited by two World Bank staffers, is particularly helpful for showing how the concept of social capital has been implemented in different economic and social development projects.
• Dominelli, L. (2006). _Women and Community Action_. Bristol: Policy Press. This book shows that women have been at the forefront of community development and community action for many years. It offers important insights into the gender dimensions of community and social development.
• Gee, T. (2011). _Counterpower: Making Change Happen_. Oxford: New Internationalist Publications. The author invokes social movement theory to frame his account of how people have mobilised to address injustice and oppression in many different parts of the world over the years. Its optimism is infectious!
• Lewis, D. & Kanji, N. (2009). _Non-Governmental Organizations and Development_. New York: Routledge. Although the authors' account of the role of non-profits in social development is not primarily concerned with community level activities, it shows how non-governmental, faith-based and grassroots organisations have made a vital contribution to community development in recent times.
• Marshall, K. & Van Saanen, M. (2007). _Development and Faith: Where Heart, Soul and Mind Work Together_. Washington, DC: World Bank. This book examines the role of faith-based organisations in social development, and particularly in community development. Although social development writers have paid scant attention to these organisations, they have contributed positively to social and community development over the years.
• Merrett, C. D. & Walzer, N. (2004). _Cooperatives and Local Development: Theory and Applications for the 21st Century_. Armonk, NY: M. E. Sharpe. Many books about cooperatives are now available but this one is particularly helpful because of its focus on local cooperatives and the way they contribute to community development.
7
PROMOTING DECENT WORK AND EMPLOYMENT: POLICIES AND INVESTMENTS
Regular employment is an effective means of generating income and improving living standards. In the Western countries, it is the primary source of household income and, together with government subsidies and other programmes, is largely responsible for the high standards of living that families in these countries enjoy. In most developing countries, employment is also expanding, but most people still derive their income from informal sector work or from traditional agriculture. These activities generate low incomes which are highly susceptible to interruption or termination when, for example, workers become ill or incapacitated or when small farmers lose their livelihoods because of natural disasters. Accordingly, policies that promote productive, remunerative employment are given high priority since it is primarily through labour force participation that families secure their livelihoods and meet their needs.
Although employment has been a major focus of economic policy, it has not been given the attention it deserves in social development circles. However, as a result of the United Nations World Summit for Social Development in 1995 and the adoption of the Millennium Development Goals, full employment is now defined as a 'basic priority'. The International Labour Organisation (ILO) has supported this goal and has actively promoted the concept of Decent Work. This concept requires that work should be adequately remunerated, fair and gratifying, and that exploitation and discrimination should be ended. Although it is recognised that the standard economic development model based on industrialisation, which was described earlier in this book, failed to generate mass employment in the developing world and, if anything, contributed to the growth of the informal sector, there is a renewed commitment to promoting employment as a means of raising living standards.
The chapter begins by discussing the growth of employment which, for most of human history, provided a livelihood for only a small fraction of the population. Although employment opportunities expanded in Europe and North America in the eighteenth century and culminated in the twentieth century in mass wage employment, it has been less pervasive in the developing world. Policies and programmes adopted by governments to foster employment creation are then examined. They include macroeconomic policies that promote wage employment as well as employment creation programmes that target different population groups. These include workers in the informal sector where a large proportion of the population of developing countries secures its livelihood. The challenges facing child labourers and women, who have often experienced labour market discrimination, are briefly addressed. The concept of Decent Work and its relevance to income mandates and subsidies, as well as improved working conditions and workers' rights, are then discussed. The chapter concludes by reviewing some of the issues affecting the formulation of effective employment policies and programmes.
**The history of employment and employment policy**
It is only recently that significant numbers of peoples have secured their livelihoods through regular employment. For most of human history, most people were self-employed as farmers or artisans, or otherwise they laboured as slaves or serfs. In many small, pre-literate societies, they also worked cooperatively. Wage employment first emerged in the early civilisations where a small class of scribes, administrators and military officers received salaries from the monarch and wealthy aristocrats. In addition, a small number were employed by merchants and wealthy landowners. Thousands of years would pass before employment became the primary means by which people in the Western countries derived their income. This was driven by the growing demand for labour in manufacturing industry and by the expansion of employment opportunities in services, but it was also influenced by the adoption of policies which had a positive impact on employment creation.
The first employment policies emerged in the ancient civilisations when promulgations were issued requiring the fair treatment of workers and prescribing punishments for transgressors. One example is the Code of Hammurabi, enacted in about 1700 BCE, which provided a legal basis for employment contracts with agricultural workers, physicians and merchants, among others. Chambliss (1954) reveals that the Code also regulated working conditions for slaves, apprentices and indentured labourers. Statutes affecting labour were also enacted by the Romans, and by some medieval English monarchs who sought to control migrant workers and vagrants who roamed the countryside in search of higher wages (de Schweinitz, 1943). As merchants in the towns became wealthier and hired more workers, many of whom were rural migrants, the feudal system was undermined. However, the vast majority of the population continued to work in smallholding agriculture.
The growth of employment opportunities was fuelled by European imperial expansion and the creation of colonies where slavery and other forms of labour exploitation produced large surpluses which were transferred to the metropolitan countries and provided the investments that stimulated industrial expansion. This created high demand for wage labour and attracted many rural people who came to the cities in search of work. As employment in industry and the expanding services sector surged, standards of living began to rise. However, urban migration created massive social problems and, in addition, the exploitation of workers, low wages and cyclical unemployment posed a challenge which governments were eventually compelled to address. Prompted by social reformers, strikes and riots, the emerging trade unions and the writings of critical intellectuals such as Fourier, Blanc, Marx and Engels and Bakunin, among others, policies that sought to improve conditions in the factories, expand educational opportunities and secure the rights of workers and their unions were adopted.
The problem of low wages had already been recognised at the end of the eighteenth century, but there was little support for policies that would remedy the situation. One exception, which was soon abandoned, were the wage subsidies paid under the Speenhamland system in England to employers of Poor Law recipients. Another was the introduction of state-owned factories or _atelier_ in France during the French Revolution, which provided employment for displaced workers. DiCaprio (2007) reveals that the first of these were created in 1793 when the Jacobin government responded to the campaigns of destitute women textile workers to establish workshops where they could earn a living. They were abolished after the revolution, but Blanc and other French socialists, together with the emerging cooperative movement and the trade unions, campaigned for their reintroduction. These initiatives laid the foundation for the country's subsequent commitment to state-owned enterprises and economic planning.
As the unions grew in size and political influence during the nineteenth century and aligned with socialist and communist political movements, a number of European countries adopted legislation that improved factory working conditions, expanded education and healthcare, and introduced social security. Germany, under Chancellor von Bismarck, led the way by establishing the first social insurance programmes and creating labour exchanges where unemployed workers were matched with job vacancies. As a series of economic downturns at the end of the century created high unemployment and significant hardship, unemployment insurance was introduced, initially in France in 1905 but subsequently in a number of other countries, including in Britain in 1911. Legislation creating a network of labour exchanges based on the German model was also enacted. Although these reforms were often initiated at the instigation of the trade unions by democratic socialist political parties committed to expanding state control, most European countries maintained a pluralist political system and a mixed economy. In Russia, on the other hand, the revolutionary Marxist-Leninist movement created the world's first communist workers' state dedicated to promoting the interests of the industrial proletariat.
The Great Depression of the 1930s had a major impact on employment policy. A number of governments introduced measures that not only responded to the crisis but had positive long-term consequences. These include the introduction of minimum wages, expanded social protection, recognition of the rights of workers and their unions, and increased state direction over the economy. Although proposals to promote employment through public works had previously been formulated, the writings of Keynes had a major impact. Contrary to the widespread belief in _laissez-faire_ at the time, he argued that government should stimulate the economy through state-funded employment programmes financed through borrowing. They should also actively manage the economy over the long term by using fiscal as well as monetary policies to maintain demand and control inflation. Above all, they should adopt policies to promote full employment. Although Keynes favoured government intervention, Cord (2007) points out that he was not a socialist and believed that a mixed, regulated economy would produce the best results.
In the post-Second World War years, Keynes's ideas were widely implemented not only in the West but in the developing countries as well. However, many countries adopted a directive approach inspired by Soviet development planning, and communist countries such as China, Cuba and Vietnam brought most of the economy under state control believing that full employment could be achieved by expanding state-owned industries and collective agricultural enterprises. In other developing countries, the standard economic growth model was used to promote wage employment through industrial investments. Growth rates were historically impressive and employment increased, but jobs were concentrated in the urban areas, the civil service and large industrial enterprises. With the exception of some East Asian Nations, growth did not generate wage employment on a sizeable scale in most of the Global South and instead contributed to the swelling of the informal sector where a large proportion of the labour force secures its livelihood. In addition, hundreds of millions of people continued to live in poverty in the rural areas. These problems still characterise many developing countries today.
In the late 1960s, the International Labour Organisation (ILO) undertook in-depth studies of employment trends in Columbia, Iran, Kenya and Sri Lanka (or Ceylon as it was then known). The organisation was founded in 1919, primarily to protect workers, promote trades union rights and introduce social security around the world, but it also had a strong interest in policies that would foster wage employment. Its country studies formed the basis for its World Employment Programme, which questioned the assumptions on which the standard model were based and suggested that the emphasis on regular wage employment should be reconsidered in the light of the persistence of poverty and the expansion of the informal sector. As shown earlier in this book, the World Employment Conference of 1976 adopted the Basic Needs approach, which urged governments to address the health, nutrition and educational needs of their citizens without necessarily relying on mass wage employment. Governments were also urged to recognise the contribution of the informal sector and to adopt policies that would supplement its activities (ILO, 1983).
In many Western countries, the post-war years were characterised by steady economic growth, high employment, significant increases in women's labour force participation and rising standards of living. These developments were supported by extensive social protection and social service programmes. Many Western countries attracted both skilled and unskilled workers from the developing countries, and particularly the former colonies, in response to the growing labour shortage. Although it seemed that Keynes's goal of promoting full employment had been fulfilled, conventional employment creation policies were challenged by developments in the 1970s, including the problem of 'stagflation'. Exacerbated by the oil shocks and high inflation, unemployment rose and remained high and was stubbornly resistant to Keynesian remedies. It was in this context that market liberal policies were introduced; these, their advocates claimed, would stimulate the economy and again create full employment.
Market liberal ideas also spread to the developing countries, especially as the result of the imposition of structural adjustment programmes. Market liberals claimed that rapid economic growth and employment opportunities would expand if governments limited their role to providing a macroeconomic framework which would promote entrepreneurship and business investments and enforce property rights and legal contracts. However, as the economies of many developing countries stagnated and social conditions deteriorated, the failure of market liberalism was increasingly recognised. On the other hand, developing countries that pursued growth and industrialisation policies under the direction of proactive governments were quite successful. As noted earlier in this book, they include the East Asian countries, which are sometimes referred to as developmental states (Leftwich, 2000; Woo-Cumings, 1999).
Although market liberal policies reduced inflation and produced rapid economic growth in some Western countries such as Britain and the United States, unemployment remained high, income and wealth inequality increased and wages stagnated. However, driven by largely by technological innovation and increased trade, unemployment dipped in some countries in the late 1990s. Nevertheless, the practice of securing lifetime employment in large firms began to change as many older corporations closed in the face of global competition. Despite renewed growth, many economists believe that a new long-term trend towards structural unemployment and 'jobless growth' has emerged. The problem appears to be particularly severe in Japan and the United States. Some European countries, such as Germany and the Nordic nations, also experienced significant challenges but here judicious government intervention has maintained growth and employment.
As the employment problem became more intractable, international attention has again been focused on job creation. As mentioned earlier, this was a major topic at the United Nations World Summit which was reiterated in the Millennium Development Goals and supported by the ILO's concept of Decent Work. Employment issues were again thrust to the forefront with the Great Recession that began in late 2007 when unemployment soared, particularly in the Western countries. However, even the rapidly growing economies of China and India were affected. Despite the adoption of counter-cyclical policies by many Western governments, unemployment has remained high. The recession also exposed sharp differences between Keynesian interventionists, who believe that government should stimulate the economy, and market liberals, who claim that restoring confidence to the business community by balancing budgets, slashing taxes and deregulating the economy will again promote employment on a large scale.
**Key programmes and policies**
Many different policies and programmes are used to promote employment and decent work today. Although it was previously assumed that employment opportunities would evolve naturally as the modern economy expanded, the need for state intervention is now more widely accepted. However, there are disagreements about the nature and extent of government involvement. While market liberals believe that its role should be limited, most social development writers contend that governments should play an active role. They argue that macroeconomic policies that promote full employment should be adopted and job creation initiatives, such as supports for small businesses, public works and cooperatives, should be introduced. Governments should also support non-profit organisations that create employment opportunities and they should ensure that workers' rights are upheld, that they are adequately remunerated and enjoy decent working conditions. As Livermore and Lim (2009) point out, interventions that increase the number of skilled workers available for employment are classified as supply-side policies, while those that increase employment opportunities are known as demand-side policies. Because the former comprise human capital interventions, discussed earlier in this book, attention will focus here on policies and programmes that expand employment opportunities.
When discussing programmes and policies that promote productive employment and decent work, the concepts that are used in the field should be defined. Some of these are operationalised as standardised measures and used to provide statistical information about labour market trends. From an economic perspective, 'labour' is defined as an activity that contributes to production and, together with land, capital, knowledge and technology, it is one of the factors of production. Because it has value and also creates value, labour is today associated with market activities and, when discussing employment issues, economists usually refer to the 'labour market'. The 'labour force' represents the proportion of the population engaged in the labour market. It includes adults of working age who are employed and self-employed, as well as workers in family enterprises who are not paid. Those who are unemployed but are actively seeking work are also included. The term 'employment' refers to those in the labour force who work for a wage or salary on a regular basis. 'Self-employment' refers to those who own and operate their own enterprises. The concept of 'unemployment' refers to those who are neither employed nor self-employed but who are seeking paid work. 'Underemployment' describes those who are engaged in agricultural or informal sector work but whose potential is underutilised. It also refers to those who are engaged in casual work on an intermittent basis, usually for low wages. However, the concept of underemployment has now been largely replaced with the notion of 'informal sector employment', which is loosely defined as those who work either for themselves or for others in small enterprises often for low wages. The concept of 'vulnerable employment' has been more widely used in recent years to refer to self-employed and casual workers who have very low incomes.
The macroeconomic policy framework
As discussed earlier in the history of employment policy, the second half of the twentieth century was characterised by sharp swings in macroeconomic policy approaches. In the post-Second World War years, state intervention in the form of the Keynesianism as well as communist centralised planning dominated. Both emphasise the importance of industrialisation in job creation. By the 1970s, the emphasis on industrialisation was challenged by the argument, formulated at the World Employment Conference, that employment creation was of secondary importance to meeting people's basic needs. However, as many countries experienced economic difficulties at this time, the market liberal alternative was widely adopted. With the collapse of the Soviet Union, and economic liberalisation in China, the communist model was effectively abandoned, even though China still maintains a large state sector. Although market liberal ideas exerted considerable influence after the 1980s, state intervention in the form of labour market regulation and wage subsidies were not discarded and, following the 1995 United Nations World Summit for Social Development, the importance of state involvement was reaffirmed. With the Great Recession and soaring unemployment and stagnation in Europe and other Western countries, debates about the role of government and most effective macro-policy approaches intensified.
Although two major schools of thought dominate these debates today, the arguments tend to be over-simplified. For example, while market liberals are believed to endorse a pure libertarian, _laissez-faire_ model in which the state plays no role in the economy, most in fact want governments to intervene by directing fiscal and monetary policy, reducing taxes, creating incentives and deregulating the economy. As Taylor (2012) explains, these policies will restore business confidence, spur investment and growth and create jobs. On the other hand, Keynesians such as Krugman (2012) want the state to stimulate the economy by expanding public works, supporting small businesses and creating local employment projects managed by both statutory and non-governmental organisations. They also urge governments to extend unemployment insurance and social assistance since they inject cash into the economy, stimulating demand for goods and services. Both approaches have been used in the Western countries in recent years but there is no agreement about their impact. The stimulus introduced by President Obama in the United States in 2008 is believed by some highly respected economists to have had a positive impact, while others claim that it has been a disaster. On the other hand, the austerity measures introduced in Greece as a condition for aid from the European Union are widely believed to be harmful in both economic and social terms. Nevertheless, as Skidelsky (2009) observes, there is widespread support for some form of Keynesian interventionism that can ease the current crisis.
Recent changes to labour markets around the world also confound simple remedies. As economists such as Rajan (2010) and Rodrik (2011) note, employment creation policies are complicated by intensified international linkages, increased outsourcing and the volatility of the global economy. The problem is exacerbated by the growth of part-time and informal work, persistent unemployment, downward pressures on wages and other developments. The increasing use of technology has displaced labour but, on the other hand, migrants continue to be drawn to the rich countries to seek work even though many come illegally and are exposed to discrimination and exploitation as well as the threat of deportation. Despite globalisation, it is also clear that different policy interventions are needed for countries with different social and cultural traditions and at different levels of development. Similarly, interventions appropriate to particular problems, such as stagnating wages, child labour and gender discrimination, should be adopted. However, it is clear that no single, simple macroeconomic policy approach has yet been formulated that can accommodate different complex situations. Accordingly, many policy makers and their academic advisers are inclined to move cautiously and to experiment pragmatically with interventions which nevertheless prioritise the role of government in creating employment and decent work.
Although a balance needs to be found between too little and too much state intervention, most social development writers support the position adopted by the ILO and the United Nations, which calls for government policies and programmes that promote employment and address the needs of poor workers and other vulnerable groups. At the same time, there is sympathy for the view that excessive regulation and bureaucratic intervention in the labour market is counter-productive. While social development advocates reject the market liberal agenda and the repeated claims of World Bank economists that regulation harms employment growth, they recognise that employment policy needs to be cognisant of changing labour market realities. Many have also recognised that programmes that help poor people establish microenterprises and small family businesses are helpful. All require tangible supports as well as flexible regulations.
It is in this regard that experiments in some European countries (such as Denmark and Germany) with more flexible labour market approaches are of interest. While the concept of labour market flexibility is often shorthand for the imposition of market liberal policies, Denmark successfully adopted what is known as the 'flexicurity' model to respond to rising unemployment and stagnating growth in the 1990s. Labour regulations were modified to facilitate greater use of part-time and temporary workers, hire new workers and terminate employment contracts. These were accompanied by enhanced unemployment insurance and new retraining and job placement measures. Rasmussen, the country's former Prime Minister, reports that unemployment fell from 13 per cent in 1994 to less than 4 per cent by the end of the decade, at which time growth rates in excess of 5 per cent per annum were being recorded (Midgley, 2008a). Although Denmark is now ranked as having among the most competitive economies in the world, it maintains high levels of social spending and comprehensive social protection, education, healthcare and welfare programmes. The Hartz proposals in Germany adopted a similar approach. Although not universally welcomed, they combined labour market stimulus measures with a degree of deregulation. Together with judicious state intervention and a continued commitment to high-end manufacturing, these policies contributed to Germany's rebound and its position as Europe's strongest economy at the time of the Great Recession. Like Denmark, it remains committed to providing extensive social protection, education and healthcare to its citizens. Nevertheless, scholars such as Sinn (2007) believe that the German government's interventionist economic and social policies will have disastrous consequences.
Employment projects and programmes
In addition to adopting employment-generating macroeconomic policies, governments have sponsored a variety of projects and programmes that create jobs. Although employment creation is intended to benefit the population as a whole, some projects and programmes have been targeted at groups that face particular challenges or are particularly disadvantaged, such as unemployed people, informal sector workers, children, migrants and other needy groups. To meet their needs, a variety of strategies, ranging from supporting small businesses to creating cooperatives, have been introduced. Although governments usually take the initiative, non-profit organisations as well as commercial firms have been involved, and direct subsidies, incentives and contracts for services have been used to facilitate their activities.
In the Western countries, where unemployment is not only due to economic cycles but to structural and demographic factors, governments have targeted a variety of programmes at the long-term unemployed. Lodemal and Trickey (2000) report that many Western governments have adopted employment activation or 'welfare to work' programmes but they differ in the strategies they use. They have also recorded different degrees of success. European programmes have generally offered incentives and subsidies, while in the United States a more coercive approach has been employed. Here, welfare to work has targeted poor women with children while in Europe attention has focused on unemployed young men. Generally, outcome research shows that these programmes have been modestly successful, but claims about their positive impact, particularly by politicians, often exaggerate their achievements. These programmes have also become highly politicised, seeking to respond to negative public attitudes towards the payment of social assistance to the long-term unemployed. For example, the so-called 'welfare reform' initiative introduced by President Clinton in 1996 has successfully addressed electoral pressures for change even though it has done little to solve the poverty problem among poor women. It has also, Sidel (2006) concludes, exacerbated the problems facing single mothers whose prospect of realising their potential has been seriously harmed.
Political controversies have also characterised the payment of unemployment insurance benefits in Western countries. However, the Great Recession dispelled simplistic and fallacious interpretations that attribute the problem of mass unemployment to indolence and generous welfare measures. As millions of hard-working people have lost their jobs through no fault of their own, these interpretations have lost support. The persistence of unemployment remains a tragedy even though unemployment insurance benefits and job training have been widely used. Although unemployment has affected professionals and white-collar workers as well as industrial and unskilled labourers, the problem is most severe among those with the lowest education and skill levels, and particularly those working in industries such as construction that have been severely affected by the downturn. Migrant workers who are employed in these industries or in agriculture have also been badly affected. Apart from paying unemployment insurance and social assistance benefits, many Western governments have introduced or otherwise contracted with private providers for job placement and training programmes. Public works programmes are no longer as popular as before and instead, contracts with commercial construction firms for infrastructural projects that employ displaced workers have been used. Nevertheless, some writers (Grunwald, 2012; Krugman, 2012; Zandi, 2012) believe that these programmes have contributed to recovery, emulating the success of President Roosevelt's public works programmes during the Great Depression (Leigninger, 2007).
Very few developing countries have unemployment insurance and other programmes to help unemployed people, even though the problem among mid-level and educated young people has become more severe as employment opportunities in industry and the civil service have declined. Youth unemployment has become a major problem in the Middle East and North Africa, and in parts of sub-Saharan Africa and Asia where many educated young people struggle to find jobs. This has fuelled resentment and, as recent developments in the Middle East reveal, have fomented political change. However, in most developing countries, the problem is largely one of vulnerable employment. Literally hundreds of millions of people work in the informal sector for low wages or otherwise find casual employment or remain in the traditional agricultural sector where incomes are extremely low.
As noted earlier, the informal sector has been recognised as a major source of people's livelihoods and many scholars have argued that its potential to generate productive work among poor families should be recognised. Some have argued that governments should promote employment within the informal sector, while others, such as de Soto (1989), contend that the informal sector has its own dynamic that will thrive if governments abolish the onerous regulations that impede informal sector entrepreneurship. Unfortunately, few governments have adopted policies that support informal sector work and instead many have sought to suppress informal markets and to criminalise workers. On the other hand, some have eased regulations that prohibit a variety of informal sector activities and in some cases policies that support the formalisation of these activities, through small-business registration, the provision of credit and banking facilities and training, have been introduced. Although these programmes are similar to the supports provided to microenterprises, they are not limited to poor women but to a variety of small businesses, including family-owned enterprises, which are widespread in the cities. In many small towns and villages, family-run convenience stores are now commonplace and they should be helped to thrive.
Although much more needs to be done to support informal sector employment, progress is being made. One example comes from Indonesia where the city of Solo recently introduced measures to support and facilitate this type of work. Wirutomo (2011) reports that these include instructions to the police and inspectors to work with rather than against street vendors and other informal sector workers and to decriminalise their activities. The municipal authority has allocated space for stalls and issued provisional licences which regularise their status. Meetings with street vendors based on traditional _jagongan_ gatherings are convened to discuss issues of mutual concern and access to credit to expand businesses is provided. Street entertainers who were previously chased away by the police are now encouraged to perform and some have upgraded their enterprises to provide cultural shows for tourists. In addition, the city has actively promoted the creation of cooperatives.
Cooperatives have promoted employment among poor people in rural areas and the urban informal sector. As was shown in the previous chapter of this book, they play a major role in social development today and, in addition to contributing to community development, they are an important mechanism for generating wage employment. They also facilitate asset accumulation among poor families and communities. Some, such as the Amul Dairy in Gujerat in India, have become very large and successful. Comprised of thousands of small dairy farmers, it collects, sells and distributes the milk produced by its members. It has also branched into other dairy products, such as packaged cheese and baby foods. In the Western countries, Kelly (2012) believes, cooperatives are experiencing a resurgence after market liberal policies dented their effectiveness.
The governments of a number of developing countries have also employed food-for-work and public works programmes to create employment. However, these programmes have often been used to provide emergency food relief or otherwise to subsidise the incomes of very poor families, mostly in the rural areas. The World Food Programme (WFP) sponsors many programmes of this kind but its activities are not limited to emergency relief. In some cases, food for work has been replaced by cash-for-work schemes, which are believed to be more cost-effective and to have a wider impact on the local community. Programmes of this kind were pioneered by Oxfam in the early years of the century, but today many other non-governmental organisations are involved (United Nations, 2007). Perhaps the most interesting cash-for-work programme is the Indian government's National Rural Employment Guarantee Scheme, which was established in 2005. As will be discussed later in this book, it is designed to address rural poverty by guaranteeing paid employment to low-income people in the rural areas for 100 days per annum.
Unlike men, women have historically not benefited from formal employment and many have been discriminated against and denied high-paying jobs. The situation has improved significantly in Western countries as anti-discrimination legislation and better education has increased women's participation and there have been similar developments in many parts of the Global South, but in some countries, women are still denied access to the labour market and to acquiring the educational skills which will help them to find good jobs. Although much more emphasis is placed on promoting opportunities for women to secure remunerative employment and realise their potential, the United Nations (2007) points out that women are still disproportionately represented in low-paying and casual jobs such as domestic service, unskilled routine factory work and informal sector small businesses such as street vending. Gender gaps in pay and opportunities for promotion remain endemic. One neglected area concerns the rights of domestic servants, who often work for long and onerous hours without adequate safeguards. Women dominate this field of employment and comprise a significant proportion of international migrants who work as nannies, cooks and cleaners in higher income countries. Although abuses against these workers are frequently documented, they persist. One attempt to respond to the challenges facing domestic servants comes from South Africa where legislation was introduced to ensure that they benefit from employment contracts and the country's social insurance system (Ally, 2009).
Child labour poses another major challenge. Although children in many countries help their parents on family-run farms and small businesses, many millions work full time in sweatshops, mines and plantations under gruelling and exploitative conditions. A related problem is the sizeable number of urban street children who beg, pilfer or engage in prostitution. All are denied access to education and healthy development and are condemned to a lifetime of disadvantage. Most children on the streets are from the poorest families and a significant number work or beg to support their families. Child labour also occurs when families who experience crop losses or sickness and disability remove children from school and send them to work. While some experts believe that the problem will eventually be solved through economic development, the ILO and other organisations have proposed a number of measures, including the prohibition of child labour, expanded educational opportunities and programmes that target working children, including street children, by offering part-time schooling and supports. These programmes are often managed by non-governmental and faith-based organisations. Another approach is to extend social protection to poor families to prevent their children from being taken out of school to work during times of adversity. A study in Tanzania by Beegle and his colleagues (2006) for the World Bank showed that crop insurance maintains the incomes of poor farming families when they face financial difficulties as a result of crop losses, and that this facilitates continued school attendance.
Employment policy and decent work
When the ILO was founded in 1919, the trade unions were exerting growing influence and many aligned successfully with governments to secure reforms in working conditions. With the support of the organisation and its member states, industrial workers in Europe and other Western nations benefited significantly, especially after the Second World War when the reforms introduced during the Great Depression were consolidated. The adoption of the Universal Declaration on Human Rights in 1948 and various international treaties affirmed the rights of workers to decent working conditions and wages, the right to unionise and to have access to comprehensive social protection. In many developing countries, governments allied with the unions also adopted policies of this kind. However, as the proportion of the labour force in industrial employment in Western countries declined, the unions lost influence. This trend was exacerbated by the adoption of anti-union legislation in some countries, such as Britain and the United States. On the other hand, activism by women's groups, people with disabilities and the elderly fostered the introduction of anti-discrimination legislation. In the Global South, on the other hand, anti-discriminatory employment policies have not been given as much prominence and, in addition, union influence has also weakened.
It was in this context that the ILO adopted the concept of Decent Work in 1999. Intended to support the United Nations World Summit's commitment to promote productive wage employment, emphasis has also been placed on creating productive employment for women, people with disabilities and others who have been disadvantaged in the labour market. The concept of Decent Work is closely aligned with the ILO's promotion of what it describes as 'fair globalisation' and to extend social protection to all (ILO, 2001, 2006). It also recognises that Decent Work should be closely aligned with wider poverty reduction interventions and with an egalitarian social development strategy that promotes social justice and social well-being for all.
Central to the concept of Decent Work is the notion of workers' rights, which requires that all workers have a right to receive adequate remuneration, work in safe and congenial conditions, be represented by unions and be treated fairly and with respect. Human beings are not, the ILO insists, a commodity or a burdensome cost on production and profits. Work should be a satisfying, rewarding and a dignified way of securing a livelihood, and workers should be an integral part of the productive process. Productivity is enhanced when they actively participate and constructively contribute their skills and knowledge. Working hours should be limited and additional compensation should be paid for those who agree to work overtime. Adequate rest time and family leave should be provided and workers should have healthcare and opportunities for additional skills and training. These should be accompanied by the expansion of childcare provisions that facilitate productive employment among families with children. As Osterman and Shulman (2011) contend, jobs aren't enough; instead, good working conditions and wages and opportunities for advancement are needed.
Many of these ideals are already enshrined in international treaties as well as labour legislation in many countries, but unfortunately they are not always observed. In some countries, political pressures from commercial interests and right-wing groups have sought to undermine their impact. In the United States, these groups have successfully introduced anti-union legislation and restricted the rights of workers but, as Fantasia and Voss (2004) point out, efforts to remake the American labour movement are continuing, even though the challenges remain formidable. By securing a commitment from its member states to promote Decent Work, the ILO hopes to resist these pressures. It has established country programmes in partnership with governments, trade unions, the media and interest groups, and is collecting information on successful innovative policies that can be replicated elsewhere. The widespread practice of outsourcing industrial production to developing countries where wages are low and working conditions poor is also being challenged. Iversen and Armstrong (2006) reveal that these initiatives are supported by activist organisations, journalists and academics, who campaign for good jobs, remunerative wages and decent work. Activist organisations that expose labour exploitation, particularly of young women and children in some developing countries by the subsidiaries of multinational firms, are also contributing to these goals. With the support of the international media, some notable successes have been secured as a number of multinationals have agreed to re-examine their contracts with local firms to which they outsource production.
There is also support for the living wage movement in a number of Western countries which has persuaded cities and municipalities to require firms with whom they contract to pay remunerative wages linked to the local cost of living. Luce (2004) reveals that these mandates have been adopted in a number of American cities and augment the country's minimum wage legislation, which has been eroded through inflation. In San Francisco, for example, the city's living wage ordinance augments both the minimum wages imposed by government of California and the federal government. A related measure which has been adopted in the United States and in some other Western countries is the payment of wage subsidies through the tax system. Known as the Earned Income Tax Credit (EITC), it benefits in millions of American workers contributing to poverty reduction among those in regular employment (Hoffman & Seidman, 2003; Meyer & Holtz-Eakin, 2001).
Governments have also paid wage subsidies directly to employers and particularly those who receive welfare benefits. On the other hand, 'workfare' policies in a number of countries such as Britain, which require welfare recipients to work either for commercial firms without remuneration as a condition of receiving benefits, do little to promote decent work and have rightly been condemned. In some places, union action has limited this reprehensible practice. The living wage idea has also been associated with efforts to promote a guaranteed basic income which would pay a regular cash benefit to all citizens irrespective of whether they work or not (Fitzpatrick, 2004; Van Parijs, 1992). Although this proposal has not been implemented, universal benefits and other generous social protection measures have supplemented incomes in a number of countries.
**Challenges and opportunities**
The task of promoting productive, remunerative wage employment and decent work among the world's people presents a major challenge to social development today. As noted earlier in this chapter, the majority does not have regular, well-paid or satisfying work, and even in the Western countries where most found regular employment in the post-Second World War decades, the situation has changed significantly. Here, part-time work or short-term contract employment is now commonplace, undermining the earlier model of working in one or two enterprises with opportunities for steady advancement over a lifetime career. Structural unemployment is also widespread and among middle- and low-income families, wages have stagnated. Although employment has expanded in some developing countries such as China and in parts of Latin America, the vast majority of workers in the Global South labour under onerous conditions in traditional agriculture or the burgeoning informal sector. Despite the efforts of international organisations such as the ILO and United Nations to expand wage employment around the world, the challenges are daunting.
As suggested earlier, a major problem is a lack of consensus about which macroeconomic policies can best promote steady, remunerative wage employment. The world's leading economists remain divided on this issue, insisting on the one hand that the adoption of market liberal policies will spur growth and jobs, while others believe that this will not be achieved without government intervention. Even when faced with the Great Recession and soaring unemployment, no consensus is forthcoming. Accordingly, governments are left without sound advice based on the evidence and instead many have adopted policies that affirm ideological preferences. However, as the stark austerity policies adopted in a number of indebted European countries (such as Greece, Italy and Spain) resulted in a further spike in unemployment and contributed to political unrest, politicians began to talk about combining the two approaches. In fact, the negative political and economic impact of austerity has previously been countered by reflationary policies. This was the case when the Reagan administration reversed its austerity programme after the recession of the early 1980s. Similarly, the Conservative-led Coalition government in Britain recently began to backtrack after the economy stagnated and unemployment rose in the wake of its budgetary retrenchments. It is in this context that some governments have adopted an incremental approach and relied on a number of _ad hoc_ policies designed to mitigate the Great Recession's worst effects. But if long-term employment growth is to be assured, effective macroeconomic policies will be needed. In addition, employment generation needs to be more directly linked to poverty alleviation. This was a major theme of the World Employment Programme and has recently been restated by the United Nations and the ILO, which have urged the integration of employment and Decent Work policies with wider social development initiatives.
Although progress has been made in the Western countries since the Second World War to promote workers' rights and address gender and other forms of discrimination, efforts to reverse these gains continue and pose a major challenge. As noted earlier, an unrelenting war has been waged against the trade unions in the United States for many years and it is surprising that at the federal level, minimum wages and protections for women and minorities have survived. This is not the case at the state level, where right-wing political groups supported by sizeable financial resources from the business community and wealthy donors have scored notable successes. One example is Wisconsin where a recent referendum produced a resounding victory for anti-union forces abrogating the rights of unions to negotiate for fair wages and secure decent working conditions. Although similar campaigns in other states have failed, anti-union forces continue their efforts to undermine workers' rights.
Despite these and other challenges, the prospect of raising people's incomes through wage employment is realistic and can address the problems of global poverty and deprivation. Mass wage employment has all but eradicated absolute poverty in the Western countries and it provides most people with a good standard of living today. Supported by a variety of government programmes, it has also created opportunities for many people to realise their potential. Policies that support productive self-employment and small business development have also enlarged these opportunities. The same opportunities should be afforded to those who do not have secure jobs or decent incomes in both the Global South and the Western nations. As employment has become a more widely discussed topic in social development, ways of reaching this goal will hopefully be found.
**Suggested additional readings**
Employment and Decent Work have only recently been given priority in social development, largely through the efforts of the ILO and the United Nations, which believe that regular, remunerative employment is an effective means for raising people's incomes and standards of living. Although the economic literature on the subject is extensive, there is a dearth of material suited to social development readers. However, the following are useful and should be consulted.
• de Soto, H. (1989). _The Other Path: The Invisible Revolution in the Third World_. New York: Harper & Row. This classic polemic against state intervention is a lively and readable account of the informal sector and its potential to create employment among the urban poor.
• Fantasia, R. & Voss, K. (2004). _Hard Work: Remaking the American Labor Movement_. Berkeley, CA: University of California Press. The authors discuss efforts by the trade union movement in the United States to respond to systematic attacks by the political right and business interests on their efforts to promote Decent Work among their members and non-members alike. The book is also relevant to other countries where unions are being threatened.
• Luce, S. (2004). _Fighting for a Living Wage_. Ithaca, NY: Cornell University Press. In addition to using minimum wage mandates to prevent labour exploitation, the author shows that many municipalities in the United States have introduced living wage ordinances that augment the federal government's provisions, significantly raising workers' incomes in many parts of the country. Its discussion is relevant to other countries as well.
• Skidelsky, R. (2009). _Keynes: The Return of the Master_. London: Penguin. Written in the wake of the Great Recession, the author, who is well known for his magisterial three-volume biography of Keynes, examines the arguments for and against government efforts to create jobs by stimulating the economy. Although he is clearly in favour of the Keynesian position, his discussion provides helpful a summary of opposing arguments on this question.
• United Nations (2007). _Report on the World Social Situation 2007: The Employment Imperative_. New York: UN. This concise book provides a helpful overview of the world employment situation and the various policies and programmes introduced to promote jobs and Decent Work in recent years.
• World Bank (2013). _World Development Report 2013: Jobs_. Washington, DC: World Bank. The Bank's latest _World Development Report_ is concerned with employment and Decent Work. It provides a wealth of statistical information as well as a comprehensive account of employment issues around the world.
8
MICROENTERPRISE, MICROFINANCE AND SOCIAL DEVELOPMENT
Microenterprise is a very popular social development practice strategy today. This is largely because of the activities of the Grameen (or village) Bank in Bangladesh and its founder Muhammad Yunus, who achieved international celebrity status after he and the Bank were awarded the Nobel Peace Prize in 2006. Although microenterprises were in existence long before the Grameen Bank was established, Professor Yunus caught the media's and wider public's attention and the idea that microenterprise is an effective way of alleviating poverty in the Global South has been generally accepted. Since then, the microenterprise strategy has been adopted in many developing countries and increasingly in Western nations as well.
Microenterprises are small businesses operated by poor people but unlike other small businesses, they are supported by sponsoring organisations such as the Grameen Bank, faith-based and non-governmental organisations, cooperatives and government agencies which provide technical advice and loans for start-ups, often at preferential interest rates. By providing start-ups funds and technical support, microenterprise is a form of social investment which provides an opportunity for poor people to participate in development. It also combines what is usually considered to be an economic activity with a social intervention and, because of its role in poverty alleviation, is often associated with social development practice.
The loans provided for microenterprise investments are known as 'microcredit' or 'microfinance' and sometimes as 'microlending'. While 'microcredit' is sometimes associated with small business start-ups, the term 'microfinance' is used to refer to lending to poor people for many different purposes, such as home improvements, purchasing farm equipment, paying school fees, hosting a wedding or going on pilgrimage. Unlike microcredit, which lends at preferential rates, microfinance lending usually charges high interest rates. However, these distinctions are not always clear and the terms are often used interchangeably. Although microcredit is associated with microenterprise, the term 'microfinance' is now widely used and will be employed in this chapter to refer to all forms of credit provided to poor people and their families.
Originally, microfinance was primarily used to fund small business start-ups, but it has since been delinked from microenterprise. This has come about as a number of non-profit organisations have evolved into commercial financial institutions which lend money to poor people for a variety of purposes provided they have collateral and can repay their loans. Those who believe that microcredit should be used exclusively to establish small businesses and other productive projects are appalled by the commercialisation of microfinance claiming that it exploits the poor and will create a new sub-prime financial market that will increase indebtedness and exacerbate poverty. On the other hand, several international organisations have supported this development, believing that commercial lending is an effective way of helping the poor by injecting cash into poor communities.
These developments and the issues they raise will be discussed in this chapter. It begins by reviewing the historical evolution of microenterprise in the Global South, showing how formative government lending programmes catering primarily to small farmers were augmented by non-profit organisations such as the Grameen Bank. Different types of microenterprise and microfinance programmes are then discussed and the commercialisation of microfinance is examined. The chapter considers the claim that microenterprise is an effective way of alleviating poverty and examines the criticisms of microenterprise and microfinance that have intensified in recent years. It concludes by considering how microenterprise and microcredit can be more effectively used to promote social development.
**The evolution of microenterprise and microfinance**
Although poor people have engaged in small business activities such as trading livestock and selling agricultural produce in local markets for centuries, it is only recently that governments and non-profit organisations have promoted small business activity in order to raise their incomes. They have also provided credit to help poor people meet the investment costs that accompany small business start-ups, and they have also given technical advice. Historically, poor people obtained credit from local money lenders and feudal landowners, but high rates of interest were charged and many became indebted. This dampened the productive capacity of the poor and was a major cause of poverty, especially in the rural areas. Many farmers who experienced crop failures or loss of livestock were compelled to turn to money lenders, incurring large debts that often resulted in debt bondage. Microenterprise was seen as one way of promoting entrepreneurial activity among poor people and addressing these problems. By providing credit and technical support, it was hoped that business activity among poor people would increase and that their incomes would rise. As more small businesses were established and jobs for local people were created, it was hoped that poverty in the community as a whole would decline.
It is widely believed that microenterprise and microfinance are recent innovations but they have in fact been promoted by the governments of developing countries for many years. It was common for government-owned agricultural banks and credit cooperatives to provide loans to small farmers to help them purchase equipment, high yielding seeds, fertiliser and livestock, and other capital investments, but these programmes seldom served landless workers and other very poor people and they often discriminated against ethnic and religious minorities. Women were almost always excluded. It was in this context that government programmes designed to extend credit and promote productive enterprise among the poorest groups were introduced. They include increased government support for rural producer cooperatives and special credit facilities provided through state-owned banks.
The Indonesian government's Bank Rayat Indonesia launched one of the first programmes of this kind in 1972, and ten years later, the government of India replaced its limited agricultural lending programme with the National Agricultural and Rural Bank, which focused on poor farmers and village artisans. In the early 1970s, the Philippine government created a microenterprise programme for clients receiving welfare benefits. Most were needy women with children or people with disabilities who had applied for cash benefits but who were persuaded to assume small loans to launch their own businesses instead. In addition to receiving credit, they were provided with marketing advice and other technical supports and by the 1980s, many clients who previously received social assistance payments had successfully established small businesses. However, it was recognised that not all welfare clients were able to participate in the programme and that a significant number of small businesses were not successful. Similar programmes have since been established in other developing countries. As will be shown, the Philippine government subsequently replaced its lending programme to individuals with a cooperative model.
The Comilla Project in Bangladesh, mentioned earlier in this book, is an early example of how cooperatives have been linked with microenterprise. It inspired subsequent Bangladeshi pioneers of microenterprise, such as Fazle Hasan Abed, who founded the Bangladesh Rural Advancement Committee (BRAC) in 1972, and Yunus, who established the Grameen Bank in 1983, although, as Bornstein (1996) notes, his initial microcredit activities date back to 1976 when he made the first loans to poor people in the village of Jobra near the University of Chittagong where he was a professor of economics. While governments previously dominated the field, both BRAC and the Grameen Bank are non-governmental organisations. Grameen Bank focuses exclusively on microenterprise development while, as Smillie (2009) explains, BRAC's activities encompasses a variety of community development activities.
These innovations fostered the global expansion of microenterprise and microfinance. The Grameen Bank made a major contribution by popularised microenterprise and inventing the concept of 'peer' or 'solidarity' lending, by which groups comprised exclusively of poor village women assume loans and share responsibility for repayment. This approach inspired many other microenterprise programmes in the Global South. In addition, several large, international microfinance organisations such as ACCION International and the Foundation for International Community Assistance (FINCA) emerged to provide credit for microenterprise in a number of countries. Jurik (2005) reports that FINCA received extensive support from USAID and that it also raised funds from private donors in the United States. In 2002, the organisation served over 150,000 members in 19 countries through its village banks. At the same time, ACCION served approximately 2.7 million members, mostly in Latin America and Africa, and had disbursed about $4.6 billion. It also operated in more than 30 American cities.
Livermore (1996) reports that the spread of microenterprise was also fostered by the United States government and international development organisations such as the World Bank. USAID first became involved in microenterprise in the late 1970s when its Program for Investment in the Small Capital Enterprise Sector (PISCES) began to assess the potential of microenterprise and, with the creation of its Assistance to Resources Institutions for Enterprise Support Project (AIRES) in 1985, it began to provide technical assistance as well as funding for these programmes in a number of developing countries. Since then, the agency has actively promoted microenterprise and microfinance in the Global South. The World Bank became active in the field in the 1990s with the creation of its Consultative Group to Assist the Poor (CGAP), and other multilateral organisations such as UNDP and the regional development banks also began to contribute. By this time, Yunus was successfully publicising the Grameen Bank among Western supporters, including President and Mrs Clinton, who actively backed the Microcredit Summit in Washington, DC in 1997. The Summit brought together international donor agencies, non-profit leaders and others, and media coverage of this event popularised the notion that microenterprise is a successful approach to poverty alleviation. Participants at the Summit adopted a plan to expand microcredit to 100 million of the world's poorest people by 2005. To achieve this goal, international donors and governments were urged to increase their financial support and, in addition, commercial lenders were also encouraged to participate. It was hoped that more than US $8 billion or approximately 37 per cent of future microfinance resources would be raised from commercial sources (Getubig et al., 2000). A second Microcredit Summit was held in New York in 2002, and numerous other international conferences have since been convened. This was followed by the declaration by the United Nations of 2005 as the International Year of Microcredit. Subsequent summits have been held in a number of countries, boosting international efforts to promote the spread of microenterprise and microfinance. A further boost was given by the creation of non-profits such as KIVA in the United States that have used the internet to recruit lenders in Western countries by pairing them with small business owners in developing countries. Another development is the involvement of faith-based organisations. Today, as Morazes (2012) reveals, a significant number of these organisations provide loans and technical support to their congregants and other poor people.
The hope of the participants at the 1997 Microcredit Summit that commercial lenders would be attracted to the field was increasingly realised in the early years of the twenty-first century when a number of non-profit microfinance organisations were transformed into commercial lenders. Bateman (2010) reports that one of the first was a non-profit in Bolivia known as PRODEM, which transferred its lending activities to a new for-profit bank known as BancoSol, which was in turn bought out by a larger commercial bank in 2007. This transition was supported by USAID with technical assistance from ACCION International, which encouraged commercialisation on the grounds that it would facilitate the rapid diffusion of microfinance. A major development was the public share offering by Mexico's largest microfinance organisation, Compartamos, in 2007, which resulted, as was widely reported in the media, in significant windfall profits for its senior executives. Since then a growing number of non-profits have become commercial lenders. In addition, state-owned banks such as Bank Rayat Indonesia have created commercial lending programmes to augment their public operations. Publications advising commercial banks and other investors on the technicalities of extending these services to those at the 'bottom of the pyramid' have also appeared (Rhyne, 2009).
Although Yunus was highly critical of these developments, he had entered into a partnership with the Norwegian firm Telenor to provide cellular services to the Bank's lenders and he subsequently embarked on other ventures which he describes as 'social businesses' (Yunus, 2007). This led to the charge that he himself was commercialising the Bank's activities. In addition, as international donor support declined and as lending exceeded savings, the Grameen Bank experienced financial difficulties and it was also clear that its much vaulted peer lending model was not working well. To address the problem, the Bank abandoned peer lending in 2001 and with the creation of Grameen Bank II, or simply Grameen II, an individualised savings and lending model which includes a microinsurance component, was introduced. Subsequently, Yunus became embroiled in a bitter political dispute with Prime Minister Sheik Hasina of the Awami League, Bangladesh's ruling political party, which resulted in his suspension as the Bank's chief executive. Although not widely known, the government owns a share of the Bank's resources and has other legal powers to direct its activities. The commercialisation of microfinance and recent developments at Grameen have produced a very different situation from that which existed when microenterprise first emerged in the 1970s. From emphasising small business development among poor people, commercial lending has now been prioritised and, as noted earlier, this has attracted widespread criticism in social development circles. In addition, the recent Great Recession has affected many financial institutions operating in the field with negative consequences for microenterprise and microfinance (Roy, 2010).
**Features of microenterprise and microfinance**
Microenterprise and microfinance programmes have now been established all over the world. In 2000, Remenyi estimated that about 1,000 microenterprise and microfinance organisations were in existence in at least 100 countries and that they served about 14 million lenders, most of whom assumed loans for small business development purposes. It appears that the majority of microenterprise organisations were in Asia, followed by Latin America and Africa, with the smallest number being in the Western countries. By 2008, it was estimated that the number of microenterprise and microfinance organisations had increased to more than 10,000 (Midgley, 2008b). However, it is doubtful that the actual number of organisations engaging in microenterprise and microfinance is known.
Originally, lending for microenterprise development was concentrated in the rural areas of the developing world but they are also expanding in the towns and cities, and particularly in shanty town settlements where informal sector employment is the primary way poor people secure a livelihood. This raises the issue of definition since many informal sector enterprises could, in terms of size and type of activity, be regarded as microenterprises. In addition, the difference between a microenterprise operated by poor people and a regular, small, family-run business is not always clear. To address this problem, some scholars have sought to distinguish between different types of small business in terms of size. Jurik (2005) believes that a microenterprise should have no more than five members, but in Bangladesh, the Grameen Bank had more. In the Philippines, peer lending groups are required to have 25 members (Quieta et al., 2003). Other writers place more emphasis on the role of external sponsors which, as was noted at the beginning of this chapter, play a key role in microenterprise by providing credit for start-ups as well as technical assistance. It is sponsorship of this kind that distinguishes a microenterprise from other small and informal sector businesses.
Non-profit organisations have been major sponsors of microenterprise. They often utilise funds from international donors for start-up capital and provide advice as well as training in accounting, marketing and management. The aid programmes of donor countries as well as the World Bank and foundations have been widely accessed to fund these programmes. As noted earlier, internet organisations such as KIVA have also made a significant contribution by recruiting sponsors in the Western countries. In addition, some microenterprise organisations such as FINCA have sought to attract significant numbers of savers in the hope that their deposits will exceed the demand for loans and ensure that the organisation is self-sufficient. Although FINCA has been quite successful, few other organisations have been able to adopt this strategy and most have in fact had to rely on external funding. Governments are also involved by operating their own programmes or by lending through state-owned banks but, until microfinance became commercialised, the field has been dominated by non-profit organisations.
As noted earlier, the involvement of commercial lenders has increased significantly in recent years. Although microfinance was originally used primarily to provide capital investments for microenterprises, it has now been widely delinked from productive activities. This represents a major change of direction which has obviously affected microenterprise, but it has not invalidated the idea that poor people can establish small businesses to improve their livelihoods. Indeed, microenterprise remains an important and popular social development strategy today. The issue of the commercialisation of microfinance will be examined in more depth later, but first, the different types of microenterprise programme and their contribution to social development should be discussed
Types of microenterprise
Although microenterprises share similar features, very different types of programme have been established. Despite the popularity of the Grameen Bank's original peer lending model, it is not the only approach to microenterprise. Indeed, most microenterprise organisations lend to individuals who, together with their children and close relatives, establish small family enterprises. Many microenterprise operations have used the single proprietor approach, as it is also known, and it is generally used in Western countries such as the United States where, as Sherraden and his colleagues (2004) reveal, most microenterprises are owned by individual entrepreneurs of whom the majority are women.
The single proprietor approach was adopted by the Philippine government which, as was mentioned earlier, augmented its conventional social assistance scheme in the early 1970s by establishing a microenterprise programme known as the Self-Employment Assistance Program (SEAP). Managed by the Department of Social Services and Development, it provided small grants or loans to welfare clients, most of whom were widows or single women with children who had applied for emergency aid. People with disabilities or elderly people who wished to participate were also assisted. The programme was implemented by the department's social work staff, who provided advice and support, particularly to build confidence among their clients. These social workers revealed a surprising ability to identify viable entrepreneurial activities. Vocational training and technical assistance from expert staff were also provided. Although vending cooked food, fruit, newspapers, cigarettes and soft drinks were the most popular, agricultural projects such as raising poultry, mushroom cultivation and vegetable farming, and the production of crafts, decorative household items, pottery, carpet and mat weaving and basketry were also launched. The SEAP programme was funded by the government but some loans were provided by private donors and non-profit organisations. As the programme's achievements were recognised, some commercial banks were also persuaded to provide credit. Quieta and his colleagues (2003) interviewed entrepreneurs who reported that almost half of the microenterprises were successful in that their incomes had increased. About 80 per cent reported that their consumption of food and clothing had risen, as had their utilization of schools and health clinics, and 45 per cent reported that they had learned new skills and improved their business acumen as a result of training. Most of those who did not report improvement in skills were engaged in vending activities. Loan repayment rates were around 75 per cent but in the case of the poorest clients, who often launched very small businesses, loans were often replaced by grants.
The best known type of microenterprise is based on the peer lending concept originally adopted by the Grameen Bank. Instead of lending to individuals, the Bank created small groups of lenders known as _kendras_ or 'solidarity groups', which consisted of no less than five women. The loan was collectively assumed by the group and each member was jointly responsible for repayment, even though they usually owned and managed their own businesses. By joining a group, participants were automatically enrolled as members of the Bank. Groups met regularly and with the assistance of the Bank's staff, progress was reviewed and future plans discussed. Members were required to abide by the Bank's 16 'Decisions', which were ethical principles requiring a commitment to work hard, assist other members in times of need, maintain a healthy lifestyle and conform to other values. The Decisions were recited at group meetings and were believed to motivate members and enhance their identification with the Bank's ideals.
Yunus (1999) recounts that the Bank's approach emerged when he undertook research in the village of Jobra in the 1970s. In his dealing with poor families, he realised that many were indebted to local money lenders but that the sums owed were small and that most needed only a small amount of capital to start a business. He also realised that local women were largely responsible for domestic financial management and that they were likely to repay their loans if they joined groups where their family honour would be risked if they defaulted. Indeed, his early experiment revealed that the men who participated were more likely to default than women. Initially, he made microloans to poor people from his own resources, but he subsequently expanded operations by formally launching the Bank with government support. Support was also provided by Shore Bank in Chicago, a non-profit that had pioneered microfinance in the United States.
In the early years of the Bank's operations, thousands of peer lending groups were established in the rural areas of Bangladesh. Jurik (2005) notes that by 2002 the Bank had more than two million members and had disbursed more than US $3 million in loans. This number had risen to more than US $6 million by 2006 (Midgley, 2008b). In addition, it had opened numerous branch offices and employed more than 11,000 staff. The Bank's website reports that it now has more than three million members, over 24,000 staff and is providing services in about 80,000 villages around the country. Generally, loans are small and interest rates, known as a 'group tax' to comply with Islamic law, are subsidised. More than 95 per cent of peer groups are reported to repay their loans on time. Although it was intended that the Bank would fund its operations from interest repayments, it relied heavily on international donors who were impressed by its work and eager to support its activities. By the mid-1990s, a great variety of small businesses had been created, resulting in improved incomes among participants. It was also reported that in many villages, poverty rates declined because of the injection of capital and increased business activity in the local economy. Yunus also claimed that many poor women had been empowered to take control over their financial affairs and their lives. However, many of these claims have been contested and, facing financial difficulties, the Bank abandoned its peer lending approach as well as its commitment to promote income-generating self-employment opportunities for poor people. As mentioned earlier, it was re-launched as Grameen Bank II in 2001.
The peer lending model has also been adopted in many other countries and in some cases, such as Cambodia, Yunus and the Bank actively supported the creation of local peer lending programmes. In India, peer lending groups are known as self-help groups (SHGs) and again they are exclusively comprised of women who collectively assume loans (Harper, 2002). However, a sizeable number of lending organisations, including commercial microfinance providers who are less concerned about the viability of small business proposals than securing profitable returns, have emerged. This has created serious problems which the government has been compelled to address. In addition, peer lending to self-help groups has been accompanied by individual lending on an increasingly large scale. In some cases the individual lending approach has been replaced by peer lending.
One example, as noted earlier, is the government of the Philippines. In 1990, the administration of President Fidel Ramos replaced the original SEAP programme with a peer lending scheme known as the Self-Employment Assistance – Kaunlaran Program (or SEA-K). The term _kaunlaran_ means 'progress' in Tagalog, the country's language. The programme provides loans as well as training and technical assistance to cooperative enterprises consisting of between 20 to 30 members, of whom the majority are women. Another development was the gradual devolution of the programme to local government authorities which are now responsible for implementation, even though the central government retains oversight and policy-making authority. Quieta and his colleagues (2003) report that, by 2001, cooperative SEA-K enterprises with more than 24,000 members were operating around the country. Their study of the participants also revealed that 65 per cent reported an increase in family income, while 75 per cent said that they were able to save some of their additional earnings. The majority also noted improvements in health and nutritional levels, especially among children, and school attendance among participating families had also improved.
In addition to the single proprietor and peer lending models, many enterprises have been established by cooperatives as well as community development projects inspired by the Comilla model mentioned earlier. Around the developing world, small producers have been assisted by government community development staff to form cooperatives to pool their resources and work together to market their products. Credit is usually accessed through government agricultural banks or through official credit cooperatives rather than non-governmental organisations, as is generally the case with microenterprise. Although most microenterprise organisations are exclusively concerned with small business development among poor people, others integrate their microenterprise programmes with wider community development activities. As noted earlier, one example is BRAC, which links microenterprise with its broader 'holistic' development strategy in which the organisation's workers give equal importance to community development projects designed to improve local infrastructural, educational, health, sanitary and other social projects (Smillie, 2009). In addition, Hulme and Moore (2008) report that it has initiated a variety of programmes targeted at the very poorest groups.
Grameen Bank II and the commercialisation of microfinance
Although claims about the success of the Grameen Bank's peer lending model were widely hailed, some critics, including Dichter and Harper (2007), Roy (2010) and others, were sceptical, questioning reports about its astonishingly high loan repayment rate and claims about the extent to which it had been able to reduce the incidence of poverty. There was growing evidence that many women were not borrowing to establish microenterprises but to meet immediate consumption needs, and in some cases, they were pressured to do so by their husbands challenging the contention the Bank was empowering women. In addition, it appeared that the Bank was issuing more loans than it took in through savings, and it was also reported that many peer groups were assuming new loans in order to meet their existing pay back obligations. In fact, a sizeable number of groups dissolved without meeting their obligations. These problems were exacerbated by extensive floods in 1998, which caused major damage and losses to small farmers. More than a half of the country was under water for as long as ten weeks. Defaulting was widespread and many peer groups ceased to function. Facing these problems, Yunus and his staff completely revamped the Bank's approach and instead of providing credit to peer lending groups to establish microenterprises, it now emulated developments in microfinance elsewhere by lending to poor women for many different purposes. Now the Bank began to function as a microfinance bank rather than a promoter of small business development.
Dowla and Barua (2006) report that the Bank established three linked savings accounts comprised of a basic personal account, a special account and a pension deposit account. To obtain a loan, members must make weekly contributions into their accounts. They are permitted to borrow against their personal accounts but cannot borrow from their special account until a minimum amount has been accumulated and only once in a three-year period. Members who borrow more than 8,000 Taka (or about US $105) are required to make regular small deposits into their pension deposit accounts, which are in fact funded from interest payments on loans from their personal accounts. The accumulated sum may be withdrawn after ten years and because generous interest is paid, Dowla and Barua note that the programme practically doubles the saver's investment. In the case of borrowers who default, the accumulated sum is transferred to a regular savings account, which has a lower interest rate. The accumulated sum plus interest is paid out as a lump sum or, if the member chooses, a monthly payment. Survivors receive a relatively generous payment based on the Bank's loan protection insurance scheme should the member die before the end of the term.
It appears that Grameen II's new model, and particularly its pension deposit account, are very popular. Membership has increased significantly and the Bank's funding has been placed on firmer footing. In addition, the Bank has issued share offerings which have successfully attracted local as well as international investors. Some members have also borrowed from their personal savings accounts to purchase shares in the Bank. There is evidence that many members are making additional deposits into their pension deposit accounts to benefit from the Bank's high rates of interest, but also because many recognise the benefits of accumulating capital sums for larger expenditures such as housing repairs, the purchase of farm equipment, education and other purposes. In addition, some are aware of the need to save for the future when they may no longer be able to work because of age infirmity or illness. One indication of the popularity of the Bank's new approach is that many women members are opening deposit accounts for their husbands. In addition to accumulating capital, many appear to know that they will benefit from the Bank's loan protection insurance scheme should their husbands die before their accounts mature.
The Bank's new pension deposit account is similar to microinsurance and micropensions programmes that have been introduced in the Global South in recent years (Midgley, 2012b; Midgley & Hosaka, 2011). A distinctive feature of these programmes is the attachment of an insurance product such as a term life policy to a loan. This is generally financed from a small levy on loan interest. In a study of microinsurance around the world, Loewe (2006) found that microfinance organisations in 14 countries, including Argentina, Cambodia, Nicaragua and South Africa, have introduced schemes of this kind. In addition to offering term life policies, some non-governmental organisations, such as CARD (Center for Agriculture and Rural Development) in the Philippines, have experimented with other types of microinsurance, including accident, funeral and motor car insurance (Alip & Amenomori, 2011). Although commercial firms have not been extensively involved in the provision of microinsurance, this situation is changing as they recognise that there are opportunities to make profits through schemes of this kind.
As noted earlier, one of the first non-profit microfinance organisations to convert into a commercial bank was PRODEM, which Bateman (2010) points out had been established Bolivia in the 1980s. Realising that it was unable to mobilise savings on a sufficiently large scale to fund its operations, the organisation obtained funding from USAID and was advised to create a separate commercial subsidiary known as BancoSol, based on market rather than social principles. The new microfinance bank, which was established in 1992, soon became profitable and in 2007 it was sold to a large commercial bank based in Venezuela, netting large windfall profits for its board members and senior staff. By this time, many other non-profit microfinance organisations that had originally been committed to microenterprise lending began lending for other purposes. Since few poor people had access to formal banking services, they successfully exploited what was an untapped market. USAID, academics committed to a market liberal approach and some existing microfinance organisations, such as ACCION International, actively encouraged this development. As Bateman (2010, p. 16) reports, the organisation's chief executive confidently announced that 'the commercial model is the one that works'.
However, as attention focused on the large profits being made by commercial microfinance organisations, this claim has been questioned (Roy, 2010). There was particular concern when Compartamos, a successful faith-based microfinance organisation in Mexico, launched a public share offering of its commercial subsidiary in 2007, again producing large profits for its senior executives and others. The controversy also revealed that Compartamos was charging very high rates of interest which the Bank justified on the ground that it needed to protect its investors in what was a high-risk sub-prime lending market. It also claimed that it needed high profits to expand its operations if it was to help other poor people. The World Bank initially defended this practice but the subsequent furore, including a very strong condemnation from Yunus, led it to recommend greater circumspection in commercial microfinance lending. Although not directed specifically at Compartamos, several charters and ethical guidelines for microfinance were issued, including one from Yunus and another from ACCION International.
However, the situation became even more dire when the state government of Andra Pradesh in India summarily terminated the activities of a large microfinance organisation in 2006. Due to lax regulations, commercial microfinance had proliferated and many poor families were persuaded by high pressure salespeople to assume loans they could not repay. Since many defaulted and lost their farms, agricultural equipment and other possessions, a number committed suicide, prompting public outrage. In response, the Reserve Bank of India capped interest rates and restricted the use of microfinance loans, and in 2012 introduced an improved regulatory framework for microfinance operations in the country.
Another problem is that the Great Recession has had a negative impact, with the result that many commercial microfinance organisations have struggled to cope as many more poor people have defaulted. Although some microfinance executives have refuted this claim, Roy (2010) points out that few publish accurate financial reports so that little is actually known about their financial health. However, she notes that several governments and international donors have intervened to provide emergency assistance. This is reminiscent of the sub-prime mortgage crisis in Western countries which required massive government bail-outs.
**Microenterprise, poverty and social development**
The scandals associated with the commercialisation of microfinance in the developing world presents what is arguably the most serious challenge to microenterprise as a social development practice strategy today. As microfinance lending has been extended for many purposes other than small business start-ups, its role as a means of alleviating poverty has been questioned. Indeed, many now believe that many microfinance organisations are less concerned with poverty alleviation than with maximising profits. In addition, as Roy (2010) points out, microfinance has become a new orthodoxy designed to promote a market-based approach to development around the world. Exaggerated claims about the success of the Grameen Bank have also undermined the microenterprise approach. Uncritical media coverage of these claims, particularly after the Bank and Yunus were awarded the Nobel Prize, inhibited serious enquiry into its effectiveness. At the time, it seemed ungenerous to question the Bank's assertion that more 95 per cent of its peer groups were repaying their loans or that its programmes were empowering women and reducing the poverty rate. However, as the Bank's financial troubles became apparent, and as the problems associated with the commercialisation of microfinance became widely known, microenterprise was no longer seen as a quick solution to the poverty problem in the Global South. The idea that microfinance and microenterprises are, as Smith and Thurman (2007) contend, an effective way of helping millions of poor people lift themselves out of poverty now seemed highly implausible.
Despite the negative publicity attending the commercialisation of microfinance and the challenges facing the Grameen Bank, small business development still has a role to play in social development. Microenterprise designed specifically to support small businesses is not necessarily exploitative, particularly if provided through responsible organisations that are committed to providing start-up funds, technical assistance and other supports. In addition, most small business owners will from time to time require credit to improve or expand their businesses, and there is a case to be made for offering alternatives to the usurious interest rates charged by traditional money lenders and some commercial microfinance organisations.
However, if microenterprise is to make a positive contribution to social development, its benefits as well as limitations should be more critically assessed. In particular, more systematic research into its role and potential is required. Reviewing a number of studies into the effectiveness of microenterprise, Jurik (2005) found that most were methodologically unsound or based on inadequate data, casting doubt on its advocate's claims. There seemed to be little ground for asserting, as Yunus and others have done, that microenterprise has not only reduced poverty among those who obtained loans and established small businesses, but among the communities where these businesses operate. Yunus even argued that the incidence of poverty in Bangladesh had fallen as a result of microenterprise when in fact, the declining incidence of absolute poverty in the country can be attributed to multiple factors, including remittances from workers abroad, employment in the textile industry and sizeable sums provided by international donors. Inflated assertions about the achievements of mircroenterprise and microfinance have been made by many other organisations often on the basis of anecdotal evidence gleaned from a few successful cases.
Nevertheless, Midgley (2008b) points out that there is evidence from some studies that microenterprise does contribute to poverty alleviation by raising the incomes of some poor people who establish small businesses. Evidence suggests that those who are better educated and highly motivated and provided with credit, technical assistance and other supports are more likely to succeed in establishing single proprietor, family businesses. On the other hand, those who are less educated but who can work with friends and neighbours whom they trust, are most likely to be successful if they join peer groups. Irrespective of which approach is used, resources should be much more carefully targeted at those who are most likely to benefit. The widespread belief that poverty can be addressed by simply providing credit to poor people has fuelled the commercialisation of microfinance.
In fact, poorly designed microenterprise programmes can harm poor people who are disadvantaged by a lack of education and experience. Also, many encounter severe daily pressures that limit prospects of success. Faced with the struggle to make ends meet, few have the time to ponder complex business plans, meet regularly with counsellors and participate in regular peer group meetings. Although microenterprise organisations seldom provide information about businesses that do not succeed, few achieve a success rate of more than 50 per cent over two to three years, resulting in financial losses as well as demoralisation. To make matters worse, the property of defaulters may be seized and they are often subjected to ridicule and loss of respect in their communities (Midgley, 2008b). The risks are particularly high for very poor families who are less able to repay their loans. Although some organisations forgive the loans of very poor entrepreneurs who do not succeed, or otherwise give grants instead of loans, many commercial organisations do not. By seizing their assets, many are plunged into destitution.
To limit these risks, a more selective approach that seeks to identify those who are most likely to benefit from microenterprise should be adopted. Technical assistance, training and other supports should also be made available. Appropriately trained expert staff who can assist microentrepreneurs are indispensable to their success. Even though many small business owners are highly motivated, they also require confidence-building supports. The need for training and continuing education is obvious but is seldom given priority. Many of the challenges facing microenterprise could be addressed if cooperatives are more widely used. They have an excellent track record and have also been used to establish successful small businesses among people with disabilities and other special needs.
Finally, microenterprise is most like to be effective if it forms an integral part of a wider social development strategy that combines small business promotion among poor people with a range of other interventions that raise standards of living. Instead of viewing microenterprise as a stand-alone, 'quick fix' intervention, as has often been the case, it should be seen as a one of many practice strategies among a comprehensive repertoire of social development interventions. It should, in particular, form an integral part of community development programmes which have not previously paid much attention to small businesses except in the form of cooperatives. In turn, microenterprise and microenterprise organisations have seldom formed an integral part of wider community development initiatives. A study by Thomas and Sinha (2009) in Kerala in India showed that microfinance organisations which were also engaged in addressing the health, educational and income needs of poor women were more likely to be successful. They argue that microenterprise and microfinance organisations should adopt a more holistic approach that links lending and small business development with community-based education, health and asset development programmes. As Fisher (2002) argued, there is a need to put development back into microfinance so that its overriding objective is to support social development rather than indiscriminate lending. Unfortunately, his admonition has not been heeded.
Although the field has been dominated by non-profits, and increasingly by commercial providers, greater government support is needed. Governments can provide much needed resources, coordinate the activities of many different sponsoring organisations and donors, and integrate small business initiatives into a comprehensive social development strategy that enhances social well-being. Governments also need to follow the example set by the Reserve Bank of India and use their authority to regulate microfinance and prevent the exploitation of poor people by commercial providers. It is unforgivable that some commercial microfinance organisations have benefited from indiscriminate and usurious lending to poor people whose well-being is diminished by these practices. With proper regulation and a commitment to target programmes carefully at those who are most likely to succeed, microenterprise may contribute more effectively to social development.
**Suggested additional readings**
Microenterprise has enjoyed great popularity in social development circles since the 1990s when the work of Muhammad Yunus and the Grameen Bank in Bangladesh became widely known. Since then, however, the practice of lending to poor people for purposes other than establishing small businesses has proliferated, and this has been accompanied by the commercialisation of microfinance resulting in scandals and criticism. The following provide additional information about microenterprise and trends in the field.
• Bateman, M. (2010). _Why Doesn't Microfinance Work: The Destructive Rise of Local Neoliberalism_. New York: Zed Books. This critical discussion of the commercialisation of microfinance and its implications is an essential read for anyone wishing to understand recent developments in the field.
• Dowla, A. & Barua, D. (2006). _The Poor Always Pay Back: The Grameen II Story_. Bloomfield, CT: Kumarian Press. The changes introduced by the Grameen Bank after its widely admired peer lending model was abandoned are documented in this book, which explains how the Bank's new microfinance and microinsurance programmes are being implemented.
• Fisher, T. & M. S. Sriram (Eds) (2002). _Beyond Micro-credit: Putting Development Back into Micro-Finance_. New Delhi: Vistar Publications. The practice of lending to poor people for various purposes that have little to do with development is examined and criticised in this book, which urges a return to lending for microenterprise and wider development goals.
• Jurik, N. C. (2005). _Bootstraps Dreams: US Micoenterprise Development in an Era of Welfare Reform_. Ithaca, NY: Cornell University Press. Although this book focuses on microenterprise in the United States, it also provides a comprehensive, international overview of the field and its achievements. The major issues facing microenterprise are also discussed.
• Smillie, I. (2009). _Freedom from Want: The Remarkable Success Story of BRAC, the Global Grassroots Organization that's Winning the Fight against Poverty_. Sterling, VA: Kumarian Press. The Bangladesh Rural Advancement Committee, or BRAC as it is known, has not enjoyed the publicity the Grameen Bank received, but is a major contributor to microenterprise, which it integrates with wider community development programmes. The book shows how microenterprise can be effectively linked to community development.
• Yunus, M. (1999). _Banker to the Poor: Micro-lending and the Battle against World Poverty_. New York: Public Affairs Press. This autobiography of Muhammad Yunus describes the creation and evolution of Grameen Bank since the 1970s. It also provides interesting insights into the life of this remarkable man, who has now become an international social development celebrity.
9
ASSETS AND SOCIAL DEVELOPMENT
Projects and programmes that promote asset ownership among individuals, families, communities and even whole societies play an important role in social development. They harmonise the economic and social dimensions of the development process and give expression to key social development principles. By accumulating assets, individuals, families and communities participate in development and become stakeholders in the economy. In fact, the term 'stakeholding' is often used with reference to assets. Assets also have a strong social investment function in that they transcend a preoccupation with consumption and have a long-term impact on social well-being. Unlike assets accumulated in the normal way through markets, asset building is actively promoted by governments and other agents to promote social well-being among people who are asset poor.
In conventional economic terms, assets are a category of resources that have market value and comprise the property or wealth of their owners. Unlike income which is the flow of resources to meet current wants and needs, assets are a store or stock of resources which can be utilised in the future. It is in this regard that assets are viewed as an important form of social investment. However, wealth is usually concentrated among only a small minority of the population, and asset accumulation by poor people can help to reduce existing patterns of inequality. Also, since many governments have adopted policies that promote asset accumulation among those with higher incomes, asset building for poor people is not only equitable but a necessary part of the social development process.
Asset-building programmes differ from the normal processes by which wealth is accumulated in market economies in that they are purposefully designed to promote asset acquisition, especially among those who have few, if any, assets. Different types of asset-building programmes are used for this purpose. Individual Development Accounts (IDAs), stakeholder pensions and child savings accounts are examples of asset building that promotes the accumulation of financial wealth by individuals and families. The construction of locally owned schools, clinics and other facilities through community development programmes and the management of common natural resources such as forests and lakes are examples of asset-building programmes that promote the collective ownership of wealth.
This chapter discusses asset building at multiple levels, namely among individuals and households, communities and whole societies. It begins by tracing the historical evolution of the asset approach, showing that the adoption of policies to promote asset building, especially among disadvantaged people and communities, is a relatively recent innovation. Different types of asset-building programmes and policies are reviewed. These include financial asset accumulation among individuals and households, community asset-building programmes and the stewardship of collectively owned national assets. It shows that there are disagreements about what the asset approach involves, how asset building can best be enhanced and about its effectiveness. Examining these issues, the chapter concludes by discussing critiques of asset building and ways in which its role as a social development strategy can be strengthened.
**Asset building in historical context**
People have been accumulating assets since prehistoric times. The earliest hunter-gatherer bands had tools and weapons and pastoralists counted their wealth in terms of the size of their herds. With the advent of settled agriculture, land became a primary family asset and communities held communal assets such as grazing ground, forests and rivers which were used for hunting and fishing. In some parts of the world, all land was communally held, and this practice continues today. However, in the ancient civilisations, asset ownership was concentrated among the ruling elite, who taxed and often expropriated family-owned land. Confiscated land was often distributed to retainers and military officers as a reward for their services. Rulers and aristocrats also used their power to conquer neighbouring nations, seize their assets and acquire slaves. For most of human history, slavery has been a ubiquitous asset particularly among aristocratic and wealthy families. In feudal Europe, asset ownership mirrored that of the ancient civilisations and although slavery was still practised, serfs who worked the land now became major assets. During the late Middle Ages, asset ownership broadened somewhat with the emergence of a new and increasingly wealthy urban merchant class, which built large homes and had comforts that few others enjoyed. At this time, as common lands were expropriated through the legal process of enclosure, poverty in the rural areas increased. This also contributed to urban migration and settlement in the new European colonial territories.
With European imperialism, the lands of conquered indigenous people were assigned to settlers, resulting in a massive transfer of assets. In the Americas, settlers acquired large land holdings on which subjugated indigenous people now worked in conditions of serfdom, creating a new feudal order. In addition to trading in spices, textiles, agricultural products and precious minerals, European merchants bought and sold slaves. Slaves were a major source of wealth in the New World, where large plantations based on slave labour were established, immensely increasing the income and wealth of their settler landowners. In addition, as the lands of indigenous people were forcibly expropriated, a smallholding class of European settlers emerged, particularly in the United States. Although mostly poor and lacking in education and social status, they were among the first to benefit from a government asset-building policy which distributed publicly owned land to European colonists.
Shanks (2005) reports that in the decades following independence, the federal government of the United States enacted over 3,500 statutes governing the distribution of publicly owned land. Initially, smallholdings were auctioned to settlers who could demonstrate their ability to work the land productively, but with the acquisition of vast new tracks of land in the west, proposals to allocate land without charge gained support. This idea was formally adopted with the passage of the Homestead Act in 1862, which made a _gratis_ allocation of 160 acres of land to citizen household heads over the age of 21 years. The land was legally transferred to the settler after five years of productive use. During the 76 years the statute remained in force, almost 1.5 million families were granted ownership of approximately 246 million acres. This acreage is almost equivalent to the combined territory of California and Texas, two of the country's largest states. As Shanks notes, the programme was not merely a land giveaway, but a deliberate policy to promote asset ownership among the white settler population.
The enactment of this legislation gave expression to earlier ideas about the virtues of asset ownership. Locke's argument in favour of individual property rights resonated with the American founders, as did Harrington's utopian book, _The Commonwealth of Oceana_ , published in 1656, which extolled the virtues of agrarian property ownership and proposed that landholding should form the basis for republican democracy. As Zundel (2000) points out, Jefferson and his followers believed that the future success of the United States depended on strengthening its land-owning citizenry, and although challenged by Hamilton and the federalists, who claimed its future lay in commerce and industry, Jefferson's ideas and those of subsequent agrarian populists shaped the government's land policy which culminated in the enactment of the Homestead Act.
A very different approach to asset policy was also formulated in the United States around the time of independence by Tom Paine, the English exile and radical supporter of the American revolutionary cause. In his book _Agrarian Justice_ , published in 1797, he proposed that the federal government grant a sum of £15 to every man and woman when they reached the age of 21 years that would help them set up a household and, as he put it, 'begin the world'. He also proposed the introduction of a retirement pension of £10 per annum to every person over the age of 50 years. In both cases, no means test would be applied. Although Paine's proposals were not implemented, he was arguably the first social thinker to propose the introduction of a financial asset programme which in many ways is similar to subsequent asset-building policy innovations such as child savings and stakeholder accounts.
In the nineteenth century, the federal government enhanced the nation's collectively held assets by setting aside land for national parks and forests that have since delighted both citizens and visitors. The first of these, Yosemite, was actually created by the State of California in the late nineteenth century but was subsequently transferred to the federal government. At the time of the Great Depression in the 1930s, the Roosevelt administration vigorously engaged in asset building for the middle class by promoting home ownership. A major and highly successful innovation was mortgage interest tax relief. Similar policies were introduced in Britain and elsewhere. Although the British government initiated a large public rental housing programme for low-income families after the Second World War, this was paralleled by the increase in home ownership and a decline in commercially rented housing. However, the policy of expanding public housing was reversed in the 1980s when Prime Minister Thatcher's government provided incentives to tenants to purchase their homes. This policy, the government believed, would not only increase home ownership but, in conjunction with the sale of nationalised industries through popular share offerings, foster the emergence of a new class of asset holders who embraced the virtues of self-reliance, independence and property ownership.
Similar ideas were expressed by the government of General Pinochet in Chile, who, as will be discussed later in this book, introduced a system of commercially managed retirement accounts in 1981 (Borzutzky, 1991). Although this innovation built on the provident funds established in a number of British colonial territories after the Second World War, the programme was operated by investment firms rather than government agencies. At about this time, tax sheltered savings plans managed by commercial firms were promoted by the Reagan administration in the United States, eventually replacing the conventional defined benefit occupational pension plans that had been provided by employers to their workers for many years. By the end of the twentieth century, a majority of Americans workers belonged to these 'defined contribution' or 'stakeholder pension' plans, as they are known. Although they have stimulated financial asset accumulation, Ghilarducci (2008) points out that they are unlikely to provide an adequate retirement income to those with average earnings, fostering what Hacker (2006) calls a 'great risk shift'.
It was about this time that proposals for extending financial asset ownership among poor people were introduced. Sherraden first proposed that the savings of poor people be matched in 1988, and in the same year, Haveman advocated the creation of what he called 'human capital accounts' of $10,000 that would assist young people planning to go to college (Haveman, 1988; Sherraden, 1988). Subsequently, Sherraden (1991) articulated a comprehensive rationale for financial asset accumulation among poor people, arguing that assets are a viable alternative to conventional consumption-based social welfare services. He also argued persuasively that government asset subsidies for the middle class should be accompanied by policies to promote asset acquisition among the poor. Sherraden's proposals for asset building focused on the Individual Development Account (IDA), which matches poor people's savings, facilitating rapid financial asset accumulation.
These developments attracted a good deal of attention and were soon augmented by other asset-building proposals. In 1994, Lindsey built on Sherraden's work to advocate for the introduction of child savings accounts, and in 1999, Ackerman and Alstott echoed Paine's original idea by proposing that everyone completing high school be given a capital sum of $80,000 which they can use as they wish (Ackerman & Alstott, 1999; Lindsey, 1994). At about this time, British Prime Minister Tony Blair's Labour government announced its intention to promote asset building among poor families. He had been greatly impressed on a visit to Singapore by the country's provident fund, which the government had used to promote financial asset accumulation as well as homeownership. The Labour government was also influenced by Hutton's (1995, 1997) writings on stakeholding and by Nissan and Le Grand's (2000) proposal that 'Start-up Grants' be introduced for young people reaching the age of 18 years. Although this proposal was not implemented, the government initiated several asset-building programmes. It modified an existing retirement programme, which became known as the stakeholder pension, and in 2005 it introduced a child savings account known as the Child Trust Fund. In 2002, it launched the pilot Savings Gateway Account scheme, similar to the IDA. Designed primarily for low-income people receiving welfare benefits, it was extended to the whole country in 2009. However, both the Child Trust Fund and the Savings Gateway Account scheme were abolished by the Conservative Coalition government after the 2010 election.
The use of IDAs and tax advantaged savings plans to increase financial asset holdings among low-income people has been largely confined to Western countries. In the Global South, individual financial asset ownership remains limited, even though various initiatives to promote savings among poor people have been introduced. However, the collective ownership of assets, particularly among rural communities, is commonplace and forms an integral part of community development programmes which, as noted earlier, have sought to mobilise local people for collectively owned infrastructural projects and the construction of schools and clinics. Communal agriculture, forestry and fishing have also been promoted.
**The nature of assets and asset building**
As noted at the beginning of this chapter, assets are resources that have market value and comprise the property or wealth of their owners. Generally, they are classed as 'real' or 'tangible' assets, such as land, buildings and machinery, and 'financial' assets, such as bonds, savings, stocks and other monetary instruments. Both types of assets can be used as capital or as a store which will produce a future rate of return; otherwise, they can be converted into income. In addition to tangible and financial assets, some scholars regard education, skills, leadership, people's strength, capabilities and other intangible resources as assets, but others believe that this approach to defining assets is so broad as to be meaningless. The concept of stakeholding is also poorly defined and has proved to be difficult to operationalise for practical purposes. It is probably for this reason that many social development practitioners involved in asset building focus on financial assets such as IDAs, which have been particularly popular.
Asset accumulation resulting from the surpluses accumulated through routine market economic activities has resulted in a very unequal pattern of wealth ownership. Although income inequality has been of concern for many years, wealth inequality, and particularly the very limited assets held by poor people, ethnic minorities and other disadvantaged groups, has recently been recognised as a major problem, providing, as Haveman and Wolff (2005) point out, an important rationale for asset-building programmes. Asset inequality is exacerbated by government policies that promote asset ownership among middle class and wealthy people. These include tax provisions such as subsidised mortgage interest and savings retirement, to name but two. Financial asset-building programmes such as IDAs and child savings accounts are a way of redressing the problem. This is also true of community development programmes that foster the collective ownership of assets as well as national policies that protect and maintain common resources for the use of citizens. All form an integral part of the asset approach.
Financial assets for individuals and households
IDAs developed by Sherraden are arguably the most popular type of asset-building programme targeted at poor people and their families. In fact, they are often viewed as being synonymous with the asset approach. As noted earlier, an IDA is a matched savings account into which poor people contribute small regular deposits which are then matched, usually by a one-to-one factor but higher rates are also used. These programmes are usually administered by non-profit and faith-based organisations, and especially by social agencies that employ social workers to motivate clients to save. In many cases, participants are existing clients of social services agencies. IDA programmes are usually funded by foundations and non-profit organisations, but governments are also involved. Most have a mandatory minimum savings period and, usually, matched savings must be used for education, homeownership, small business start-ups and other approved purposes.
A number of evaluations of IDA programmes have been undertaken in the United States and provide useful information about the way they operate. Perhaps the most thorough is the American Dream Demonstration (ADD) project that ran from 1997 to 2003 (Schreiner & Sherraden, 2007). The demonstration was funded by the Ford Foundation and other donors, and consisted of 14 separate IDA projects in different parts of the country managed by local non-profit agencies. It enrolled approximately 2,350 participants who deposited an average of about US $17 per month into their accounts. This amount was matched mostly on a one-to-one ratio and the average saver accumulated US$1,609. Generally, matches were provided to help participants save for a down-payment on a home, higher education or a small business start-up. However, most were not able to save regularly and about 67 per cent withdrew funds, forfeiting the match even though most were able to make subsequent deposits. On the other hand, the remaining third were able to save regularly and used the match for approved purposes. The research showed that older savers, those with higher educational levels and in regular employment as well as those who were married were the most successful.
The United States federal government has supported IDA programmes largely through budgetary allocations made in terms of the so-called 'welfare reform' legislation signed by President Clinton in 1996. Warren and Edwards (2005) report that 22 states had used these funds to establish IDA programmes, but that implementation had been uneven. Support has also been provided through the Assets for Independence Act 1998, which provides competitive grants to non-profit organisations, credit unions and local government agencies to establish IDA projects. In addition, a few state governments have augmented the federal government's tax advantaged college savings programme by introducing matches that help low-income families save for higher education. Since many low-income families do not benefit from the college savings provisions of the country's tax code, the match provides a helpful incentive for them to send their children to university.
IDAs have also been established in other countries and various permutations of the basic IDA idea have emerged. These include college savings accounts, youth savings accounts and matched savings accounts for street children and orphans. These programmes, which are sometimes known as 'microsavings', are usually managed and funded by non-profit organisations and, in the Global South, international relief organisations often sponsor programmes of this kind. They have also supported the activities of community-based savings clubs which build on traditional mutual aid and rotating savings and credit societies (ROSCAs). Although matches are not usually provided, local savings clubs are given access to banks and credit unions and sometimes interest rates are subsidised. Several commercial banks have also created microsavings programmes targeted at the poor.
Some scholars (Shanks et al., 2010; Ssewamala et al., 2010) have claimed that the creation of IDAs and other savings programmes in poor communities is an effective way of promoting community development. However, this argument can be contrasted with the promotion of collectively owned assets through community development programmes. In addition, IDAs have only been replicated in a few countries, such as Taiwan where Tapei's municipal government operated an IDA programme for a few years (Chen, 2010). As noted earlier, the British Labour government extended its pilot Savings Gateway Account scheme to the country as a whole in 2009, but it was scrapped by the newly elected Conservative-led Coalition government in 2010. Proposals to introduce government-funded cash grants for childcare, education and other purposes have also been formulated, but they are generally not matched. Perhaps the most radical is the proposal by Murray (2006), the well-known libertarian social policy scholar, to replace all welfare benefits in the United States with an annual cash grant of around US$10,000 which recipients may use as they wish. However, few of these proposals have been implemented.
Another important financial asset-building programme is the child savings account which, Cheung and Delavega (2011) reveal, have been established in a few countries. In Canada, Singapore and the United States, they take the form of tax advantaged higher educational savings plans, but in other countries, they are matched universal accounts for all families and usually permit withdrawals at 18 years of age. These accounts are sometimes referred to as 'baby bonds'. Perhaps the best known is the British Child Trust Fund, which was established in 2005. Paxton and Maxwell (2006) report that the fund provided a voucher to all families at the time of a child's birth which was used to open a restricted savings account. A larger sum was allocated to low-income families and regular additional allocations were made until the child reached the age of seven. Tax incentives were provided to encourage families to make additional deposits. Withdrawal could be made at the age of 18 and no restriction was placed on the use of accumulated funds. Following the abolition of the programme, no new accounts will be opened and allocations to existing accounts will cease, but families retain the option of maintaining their accounts if they wish.
Universal child savings schemes have also been established in Hungary and New Zealand, while means tested programmes have been introduced in Hong Kong, Korea and Mexico. These have different eligibility requirements and conditions. In Korea, these accounts are limited to children in the welfare system and those with disabilities, while in Mexico they cater to teenagers who make satisfactory progress in high school. A means-tested demonstration child savings account known as the SEEDS for Kids programme has been established in Oklahoma in the United States. It provides an initial start-up deposit of US$1,000 to the children in the programme with subsequent matches up to a total of US$250 (Sherraden & Clancy, 2007).
Reference was made earlier to the use of savings accounts for retirement, such as the provident funds established in several former British colonial territories and the commercially managed savings accounts introduced in Chile and a number of Latin American and Eastern European countries. However, these stakeholder pensions only cover workers in regular wage employment, excluding informal sector workers and women homemakers. A major exception is Singapore where most people are in regular wage employment and belong to the country's Central Provident Fund. In addition to promoting retirement savings, Singapore's government has permitted borrowing against accumulated deposits for homeownership and other approved purposes, and it has also introduced other savings schemes which have contributed to its reputation as a stakeholder society. In several Western countries, government social security schemes are supplemented by tax advantaged retirement savings accounts, affording an opportunity for workers to accumulate additional resources for retirement. Although these retirement savings plans seldom cater for poor people, they play an important role in financial asset accumulation.
Community development and community-owned assets
Although the term 'assets' has only recently been applied to community development, largely because of the influential work of Kretzmann and McKnight (1993), it has formed an integral part of these programmes since the 1950s, which, as was shown earlier in this book, have mobilised local people to accumulate collectively owned assets such as roads, bridges and wells and to maintain communal resources such as lakes and grazing grounds. These programmes have made a significant contribution to rural infrastructural development in the Global South over the years and innumerable feeder roads, drinking water supply, sanitary facilities, community centres, communal grain storage facilities, schools and clinics have been constructed. These programmes usually involve a partnership between government and village people, by which governments provide expertise, equipment and materials while local communities contribute labour. Similar strategies have been used in urban community development projects.
In addition to accumulating physical assets, community development has enhanced popular participation, strengthened local community networks and enhanced community capacity. These non-material aspects of community development have been emphasised in recent times and it was in this context that Kretzmann and McKnight popularised the notion of asset-based community development, or the 'ABCD' approach as it is known. These authors are critical of conventional government-sponsored programmes and approach community development from a strengths perspective that recognises the importance of indigenous community assets. In addition to schools, churches, clinics, parks and community centres, they stress the importance of non-material assets such as local associations, informal networks and businesses. The asset approach has been widely adopted in community development programmes in the Global South, often with funding from international donors. As Moser (2008) reveals, the World Bank has actively supported the community asset-building approach. It has also been implemented in the Western countries.
Many studies of how community development programmes have promoted the accumulation of collectively owned local assets have been published over the years. One recent example is Cunningham's (2008) account of rural community development projects in Ethiopia which shows that local people were assisted to establish infrastructural projects such as irrigation schemes, cereal banks, plant nurseries and communal fish ponds. Non-governmental community development organisations played a key role in mobilising village people, mapping local assets and fostering collaboration. Cooperatives and traditional associations such as burial societies, women's groups and mutual aid associations also participated. Although external resources were accessed, indigenous community assets were extensively used. Another example is Boonyabacha's (2008) study of an informal settlement upgrading scheme in Thailand in which local people were assisted by community development workers to form cooperatives that acquired land title from the government. With security of tenure, they were able to upgrade their homes as well as local roads and water supplies. Land ownership was stressed since it is a vital step not only in asset building but in securing the long-term well-being of these communities. Both the Thai and Ethiopian projects have many similarities with older community development programmes, but they place more emphasis on the role of local non-governmental associations than government intervention, although in Thailand the government's community development programme made a major contribution by supporting these upgrading projects. This is also the case with many other community asset-building initiatives in the developing world.
Community development in the Western countries has also utilised the asset-building approach, but probably not to the same extent as in the Global South. However, despite emphasising non-material aspects such as participation and activism, community development advocates in Western countries have often exerted pressure on government agencies to improve local roads, schools and community centres, and they have also constructed affordable housing. In the United States, for example, Community Development Corporations (CDCs), which are local non-profit organisations involved in urban regeneration, have contributed significantly to housing upgrading and construction. Green and Haines (2008) report that more than 1.2 million housing units have been built or renovated by CDCs since the 1970s. The privatisation of public housing in Britain has given a boost to family-owned assets but, as DeFilippis and his colleagues (2010) report, there has also been a steady growth of non-profit and cooperative housing associations. Home ownership by cooperative housing associations has also increased in Canada and the United States.
Cooperative associations have also contributed to collective asset ownership. As was noted earlier in this book, they have established factories, retail outlets, banks, clinics and other enterprises. Cooperatives have also played a prominent role in agriculture, helping farming families to purchase land and equipment and acquire other assets. In the Global South, they form an integral part of community development programmes. Although their contribution is not always recognised, cooperatives are an effective way of fostering asset accumulation and promoting stakeholding (Kelly, 2012; Restakis, 2010). In addition, they help steward communal resources and provide an effective means by which communities can manage the commons.
National assets, trusts and the state
National and international assets such as public lands and forests, the electromagnetic spectrum, the oceans, public universities, space and the internet form an integral part of humankind's collective heritage and complement the assets held by individuals, households and communities. They include resources that are freely available and unlimited, such as the atmosphere, rainwater and, arguably, the internet, and those that are likely to be depleted or crowded by overuse. Although stewarded by local people since ancient times, commonly owned assets have been diminished by population growth, encroachment, resource depletion, expropriation by elites and the increasing marketisation of natural resources. Today, these assets and the principle of collective ownership are under threat and the question of how they should be preserved and managed has become an important issue.
In modern times, the state has exercised increasing control over natural assets, holding them on behalf of citizens and in some cases making them available for public use. The national parks in the United States is one example, but as Bollier (2006) points out, state ownership is not the same as common ownership since governments may limit popular access, charge for their use or lease or sell these assets. To ensure that common assets are preserved and properly managed, some market liberals, and perhaps most famously Hardin (1968), have argued that private owners are far more responsible stewards of the commons than either the state or local communities. Common ownership, he contends, fosters overuse and will ultimately end in tragedy. With the ascendancy of market liberalism since the 1980s, this argument has been widely accepted, resulting in the increasing transfer of common assets such as land, forests and water to commercial ownership.
Governments have not always stewarded natural assets effectively and there are many examples of nations that have been harmed by the exploitation of rich mineral, oil and forest resources. Instead of supporting development, these resources have been expropriated for their own benefit by local elites and have promoted corruption, impeded democratic participation and fostered civil conflict (Collier & Venables, 2011; Ross, 1999; Sachs & Warner, 1995). Despite its wealth, oil-rich countries such as Gabon, which has the highest GDP in Africa, have experienced little social development, and violent conflict has erupted in the Congo and other countries as competing groups have struggled to control minerals and forests. The civil war in Sierra Leone was funded by the country's diamond wealth, while in the Congo armed groups continue to fight over the country's mineral deposits. On the other hand, Rosser (2009) points out that some governments have used income from natural resources for the benefit of their citizens. Although the Western countries generally have a good track record, some developing countries have also used their natural resources to raise standards of living. They include countries as diverse as Botswana, Chile, Indonesia and Malaysia. In a study for the World Bank, Sarraf and Jiwani (2001) show that the government of Botswana effectively managed the windfall gains arising from its mineral wealth. It accumulated foreign reserves, managed its budget prudently and used surpluses to invest in education and job training. It also sought to diversify the economy. Although many examples of what Sachs and Warner (1995) call the 'resource curse' can be given, Collier and Venables (2011) show that there is room for optimism.
Some governments have created what are known as 'sovereign wealth funds', which accumulate income from natural assets as well as other resources for long-term economic and social purposes. Several oil-rich nations in the Middle East have funds of this kind, which invest surplus income from oil in a variety of profitable international ventures. In some cases, such as the Alaska Permanent Fund, income from oil and other mineral resources is placed in a trust fund which pays an annual dividend to the state's residents. The Fund was established by a referendum in 1976 and is accountable to the electorate. Another example is Norway's Central Government Pension Fund (CPF). Originally known as the Norwegian Government Oil Fund, it has operated since the early 1970s to ensure that the country's sizeable oil deposits are used to supplement its social protection system. Although revenues accumulated in the Fund amounted to about 80 per cent of GDP by 2006, Holmoy (2009) notes that the government has not depended exclusively on the Fund to finance social benefits, but has introduced policies to ensure the viability of its existing social insurance scheme, such as raising the age of retirement to 67 years and ensuring that contributions are sufficient to meet benefits. However, there are political pressures to use the Fund for other purposes. Despite clear advantages, the accumulation of assets is not free of controversy.
Controversies continued to rage over the privatisation of natural resources such as safe drinking water, which has historically been managed by publicly owned utilities but is now increasingly owned and managed by commercial firms, some of which are large international corporations. Advocates of the marketisation of water, such as Segerfeldt (2005), believe that profit-making firms are far more efficient than bureaucratically managed government utility agencies which do not have a good record of supplying water, especially to urban populations in the developing world. Others, such as Shiva (2002), reject this argument, contending that it is not commercial ownership _per se_ that determines efficiency, but factors such as staff training, investments, effective management and leadership. She also points out that many public agencies have successfully managed water supplies.
Some writers, such as Barnes (2001) and Bollier (2006), believe that these problems can be addressed if there is a clear link between the management of natural resources and the ownership rights of citizens. Like the Alaska Permanent Fund mentioned earlier, trusts that are accountable to citizens could serve this purpose. For example, Barnes proposed that a 'Sky Trust' be created to receive fees from those who pollute the atmosphere and to pay an annual dividend from the accumulated fees to all citizens. This, he claims, would foster a strong sense of citizen ownership and stakeholding and safeguard common resources. A sense of ownership can also be forged if citizens campaign to preserve commonly held assets. One example of how popular pressure can assure the preservation of common assets comes from Britain, where the decision of the Conservative-led Coalition government in 2010 to privatise public forest land resulted in a public outcry and a reversal of the proposal. However, the government recently announced that it would be relaxing the country's planning laws to promote building on the urban green belt land and it is likely that this will also result in widespread opposition ( _Guardian Weekly_ , 2012). Of course, non-profit organisations can also secure ownership of common resources and use them for the benefit of their members and the wider community. One example is the National Trust in Britain which has acquired sizeable historic and natural assets for general public use. It is also the case that local communities in many parts of the world continue to steward natural resources, challenging Hardin's argument. Some scholars, such as Ostrom (1990), believe that the common ownership and management of these resources should be strengthened. Her research in different countries found that communities can effectively manage the commons if they benefit collectively from these resources.
In addition to stewarding common resources, governments play a critical role in fostering asset-building programmes and, as has been shown already, many have done so by promoting homeownership, IDAs, stakeholder pensions and community-owned assets. However, government asset-building policies are not always inclusive and, unfortunately, many low-income and asset-poor families are excluded. Much more needs to be done to ensure that opportunities for stakeholding are available to the population as a whole. The abolition of the British Child Trust Fund in 2010, coupled with recent tax cuts for higher income earners, is a sad example of the way this ideal is being undermined.
**The role of assets in social development**
The asset approach has become prominent in social development over the last 20 years, largely as a result of the innovative proposals of scholars such as Haveman, Sherraden, Kretzmann and McKnight. Although assets have been incorporated into social development, there is still uncertainty and disagreement about what the assets approach entails. It has been shown already that some scholars focus exclusively on individual and household financial assets, while others are primarily concerned with community assets. Except for proposals that governments adopt policies to promote financial assets, there is little, if any, discussion of how national assets can be incorporated into asset-building policy. The failure to formulate a coherent and inclusive approach to asset building that incorporates the different types of programmes mentioned earlier presents an incomplete picture and has created confusion.
Although there is widespread agreement that asset building has a role to play in social development, there have been disagreements about its impact. These disagreements have largely been concerned with whether IDAs and savings programmes are an effective means of alleviating poverty. The American Dream Demonstration Project showed that IDAs helped poor people to save and the Savings Gateway Account pilot scheme in Britain reached a similar conclusion. However, while many agree with Schreiner and Sherraden (2007) that the poor can save, there is disagreement about whether they can save enough to be lifted out of poverty. Several writers, including Bernstein (2003) and Schram (2006), challenge the claim that financial asset acquisition can make a significant contribution to poverty alleviation, pointing out that even with a match poor people are unable to save sufficient amounts to significantly raise their standards of living. A comprehensive meta-study of IDA programmes in the United States by Christy-McMullin and her colleagues (2010) confirms this view. While showing that IDA projects do have positive effects, they conclude that they do not have a major impact on social and economic vulnerability.
There are several reasons for the limitations of IDAs as a poverty alleviation programme. Various studies, including the demonstration projects mentioned earlier, have shown that the amounts saved are modest, and that many participants saved intermittently or were compelled to withdraw deposits because they experienced financial difficulty. They also reveal that those who are able to save the most are in regular employment and have steady incomes and higher educational status. Clearly, successful savers are not the poorest people in the community. Another issue arising from the demonstration projects is that participants are often motivated by counsellors and social workers who set targets and use motivational techniques to ensure compliance. It is by no means clear that financial asset-building programmes for the wider population will achieve the same results. Another issue is that participants in these demonstration projects were pressured to contribute regularly, even though some experienced hardship to meet savings goals. Some participants in the American Dream, as well as the Savings Gateway Account pilot, delayed expenditures on necessary items, including dental care, and many deferred modest pleasures such as going to the pub or cinema (Paxton & Maxwell, 2006; Schreiner et al., 2005).
Although the financial asset-building approach is viewed by its proponents as more effective than conventional consumption welfare services, it will be shown later in this book that income transfers in fact have made a significant contribution to poverty alleviation. Although widely believed to promote consumption, these programmes also have an investment effect. Indeed, some social protection programmes, such as conditional cash transfers, contribute to asset building by enhancing human capital. Of course, financial asset-building programmes such as IDAs can play a more effective role in poverty alleviation if larger matches were provided. This would require additional allocations from governments but Schram (2006) is sceptical that sufficient funding from the state will be made available. He claims that governments rhetorically support financial asset programmes but seldom fund them adequately.
The case of Singapore is often cited as an example of how asset building has been used by governments to raise standards of living. However, this interpretation ignores the impact of the wider policies it adopted to promote economic growth, create jobs and enhance the well-being of its citizens. Also, asset policy in Singapore has limitations which are not always recognised. In an interesting evaluation, Asher and Nandy (2006, 2008) contend that rates of return to the Central Provident Fund retirement scheme have not been competitive and by encouraging members to withdraw savings for home purchases, many elderly people have been left without adequate pensions. Although this is mitigated by homeownership and support from family members, they contend that the policy of encouraging early withdrawals jeopardises the well-being of older people. Instead of insisting on asset accumulation, they urge the government to introduce a comprehensive social insurance retirement scheme that will provide adequate protection to the elderly. Other critics, such as Tan (2004), believe that the government's stakeholding agenda is little more than an ideological ploy and does not help the poor.
The question of government involvement raises the wider issue of how asset-building programmes serve ideological agendas. While Sherraden and his colleagues contend that financial asset building is ideologically neutral, Midgley (2005) argues that assets have been configured in ways that support contrasting normative agendas. Scholars such as Mahoney (2006) and Moser (2008) have explicitly linked asset building to the livelihood approach, and Sherraden and his colleagues frequently invoke Sen's theoretical insights on capabilities to frame their work. The concepts of strengths and capabilities in Kretzmann and McKnight's (1993) community asset-building approach reflect similar normative assumptions. Both contend that assets are an effective way of helping families and communities to function autonomously, act rationally and enhance their own well-being. Both also minimise state involvement. It is perhaps for this reason that Schram (2006) criticises IDAs for promoting a neoliberal agenda that places responsibility for poverty on individuals and their families. Midgley (2007a) made a similar argument in a debate with Sherraden. Similarly, DeFillipis and his colleagues (2010, p. 120) contend that Kretzmann and McKnight's work on community assets is 'fundamentally conservative' in that it fails to address the structural causes of deprivation. While this criticism is often made of social development in general, it is true that their community assets-building approach promotes a dubious view of resourceful communities that draw on their own strengths to address their own problems without reference to wider resources or structures of privilege. Equally dubious is the argument that community development can be achieved through creating IDAs and fostering household savings (Shanks et al., 2010; Ssewamala et al., 2010). This argument reduces asset building to individual actions and pays little attention to the role of collective institutions that promote the common ownership of assets at both the community and national levels.
While some scholars criticise the asset approach for promoting a market liberal agenda, others commend the use of assets for this purpose. Stoesz (2000) believes that financial asset building promotes desirable individualist values by forming an integral part of a 'bootstrap capitalism' strategy that integrates poor people into the market. Tanner (2003) of the libertarian Cato Institute in the United States agrees, arguing that Sherraden's research shows that poor people can save and that government involvement should be kept to the minimum. However, the link between assets and market liberalism is perhaps most clearly revealed in the commercially managed individual retirement accounts which, as the Chilean experience reveals, have generated huge profits for commercial investment firms (Borzutzky, 2012). Similar criticisms have been made of microenterprise and microfinance programmes.
Although this does not mean that asset-building programmes have no role to play in social development, a more realistic assessment of the limitations as well as benefits of asset building is needed to determine how best they can promote the goal of enhancing social well-being. In particular, the tendency to promote one form of asset building and to ignore others should be avoided and a comprehensive approach that recognises the contribution the different types of asset programme discussed earlier should be formulated. Financial asset building targeted at individuals and families should be linked to community and national policies to ensure that asset accumulation is promoted at all levels. In addition, asset building should be fully integrated with other social development practice strategies.
The role of governments in promoting assets should also be emphasised. Despite the reluctance of some writers to recognise the need for state intervention, governments should be extensively involved, particularly in promoting asset building among low-income families and communities. Although it was mentioned earlier that Schram (2006) doubts that governments will fund asset-building programmes adequately, many have allocated resources for cash transfers and community development programmes which have contributed to the acquisition of community assets. They should therefore be willing to fund asset building as well. In addition, governments need to regulate asset accumulation and prevent exploitation. By integrating asset building with wider national social development policies, governments can promote asset building and foster social well-being for all.
**Suggested additional readings**
Although much of the literature on assets focuses on financial assets, and particularly matched savings accounts, community-owned and other assets known as the 'Commons' are an important part of asset building in social development. The following provide additional reading about different types of asset programme and policies and the issues that characterise the field.
• Green, G. P. & Haines, A. (2008). _Asset Building and Community Development_. Thousand Oaks, CA: Sage. This helpful overview of local economic development in the United States emphasises the importance of community-level asset-building programmes in improving people's well-being at the local level.
• Kretzmann, J. & McKnight, J. (1993). _Building Communities from the Inside Out: A Path toward Finding and Mobilizing a Community's Assets_. Evanston, IL: Institute for Policy Research, Northwestern University. This classic text on both asset building and community development in the United States has influenced thinking about community development everywhere. Its focus on the strengths rather than deficits of low-income communities has transformed conventional thinking in the field.
• Moser, C. & Dani, A. A. (Eds) (2008). _Assets, Livelihoods, and Social Policy_. Washington, DC: World Bank. This helpful edited collection discusses asset building in a number of developing countries. It also contains case studies that show how asset building forms an integral part of social development.
• Ostrom, E. (1990). _Governing the Commons: The Evolution of Institutions for Collective Action_. New York: Cambridge University Press. Challenging the arguments of market liberals that communities are poor stewards of communal assets such as rivers, common land and forests, and that these assets should be transferred to private ownership, the author draws on a wealth of international data to show that many communities manage the Commons effectively, provided they have a stake in collective ownership and participate in governance institutions that facilitate this task.
• Paxton, W. & White, S. with Maxwell, D. (2006). _The Citizen's Stake: Exploring the Future of Universal Asset Policies_. Bristol: Policy Press. Providing helpful information about asset building in Britain, this book also discusses the history of asset policies and addresses a variety of theoretical issues in the field.
• Shapiro, T. M. & Wolff, E. N. (Eds) (2001). _Assets for the Poor: The Benefits of Spreading Asset Ownership_. New York: Russell Sage Foundation. This edited collection ranges widely over a number of topics related to asset building in the United States and links asset building to policies designed to raise the standards of living of poor people.
• Sherraden, M. (1991). _Assets and the Poor: A New American Welfare Policy_. Armonk, NY: M. E. Sharpe. This book has become a classic in asset building, outlining proposals for financial asset programmes such as child savings accounts and IDAs. It also discusses the theoretical basis for asset building, arguing that consumption based welfare approaches do little to alleviate poverty.
10
SOCIAL PROTECTION AS A SOCIAL DEVELOPMENT STRATEGY
Social protection, or social security as it is also known, was not recognised as a social development practice strategy until recently. Previously, it was narrowly associated with government income maintenance programmes, such as social insurance and social assistance, and believed to typify a consumption, 'welfarist' approach that transfers resources to needy people without involving them in the development process. It was also accepted that social protection schemes are best suited to the Western countries that have sufficient resources to fund them. More recently, however, the concept has been broadened and a variety of programmes, such as disaster and famine relief, microinsurance, food-for-work projects, conditional cash transfers and agricultural commodity subsidies, have now been identified with social protection. The inclusion of social protection in social development has also been fostered by the growing involvement of non-governmental organisations, local community groups, international donors and even commercial firms in the field.
The adoption of social protection as a social development strategy is also due to a greater recognition of its role in poverty alleviation, and in recent years some governments have introduced innovative social protection programmes to raise the incomes of poor families. They include conditional cash transfers in Latin American countries, the expansion of social assistance 'grants', as they are known in South Africa, India's National Rural Employment Guarantee Scheme and the adoption of universal retirement pensions in Botswana, Lesotho and Namibia. Since poverty reduction is a major priority of the Millennium Development Goals, other governments have also introduced social protection, often with the support of international organisations and regional banks.
In addition to playing a major role in poverty alleviation, social protection is also regarded as a social development strategy because it links economic and social policies, enhances participation and functions as a social investment. Although market liberals have long claimed that social protection is an 'unproductive' welfare transfer that harms the economy, others believe that it contributes positively to development by raising household incomes, increasing demand for goods and stimulating local economic activities. Also, there is growing evidence that it promotes school attendance and raises standards of health and nutrition, fostering economic development. In addition, social protection promotes long-term economic stability.
This chapter examines the role of protection as a social development strategy. It traces social protection's historical evolution and examines the way it has been defined. As will be shown, there are disagreements about which types of programme should be included and about their scope and sponsorship. Although social protection is no longer provided exclusively by governments, they fund and manage most of these programmes and, accordingly, social protection is primarily associated with the statist perspective. The chapter describes different types of social protection programme and gives examples of innovative programmes introduced in a number of developing countries. It concludes by reviewing the fiscal, administrative and political challenges facing social protection and discusses how its effectiveness can be enhanced.
**The history of social protection**
The origins of social protection can be traced back to the culturally institutionalised practices found among early hunter-gatherer and agricultural communities that required families and community members to care for the needy. These practices are still widely relied on in many parts of the world today. In addition, communal land was sometimes set aside to cultivate crops for orphans and destitute elderly people. This approach was used among the Inca and Aztecs (Mesa-Lago, 1978) and, in African countries such as Zimbabwe, it has recently been revived (Patel et al., 2012). Familial and community obligations were often supported by religious mandates and, in time, almsgiving became a religious duty. Temples and monasteries were a focal point for delivering aid and subsequently their work was augmented by the creation of residential facilities for destitute people. Social protection was also provided through the guilds, which established communal funds into which regular contributions were paid to provide assistance to their members in times of hardship.
Although governments were seldom involved, early examples of statutes that afforded a measure of social protection can be given. One example is ancient Mesopotamia's Code of Hammurabi, which protected orphans and widows. Similar provisions can be found in Jewish and Islamic law and in Christian teaching. With the exception of the public _Beit ul mal_ treasuries established by the Caliph Umar in the seventh century, governments seldom collected and distributed aid or managed residential institutions. A major change came with the Elizabethan Poor Law of 1601, which established the world's first national system of poor relief. Although similar to the municipal 'poor chests' established in a number of northern European towns at the time, the Elizabethan statute was implemented throughout the country by local parishes and overseen by the central government. However, it was entirely funded by local property taxes known as the Poor Rate.
The enactment of the English Poor Law was a major step in the history of social protection. It paved the way for state involvement in social protection in other parts of the world and especially in Anglophone countries. The Poor Law was replicated in North American colonies such as Massachusetts and Virginia in the 1600s, and was subsequently adopted in other British territories, including Australia, Canada, Jamaica, India, Mauritius and South Africa. Many statutory social assistance programmes in the world today can be traced back to the Poor Law. Although the French and Spanish colonial governments seldom introduced statutory social assistance, they supported the provision of charity and residential care by the church (Mesa-Lago, 1978).
Originally, social assistance provided for orphans, widows, elderly and disabled people who had no relatives to care for them and, generally, beneficiaries continued to live in the community. However, in the early nineteenth century, residential workhouses were established to incarcerate people receiving relief, usually under harsh conditions. These conditions prompted social reformers to call on governments to find alternatives means of caring for those in need. One alternative was social insurance, which had been introduced by the trade unions in the nineteenth century to provide medical care and income benefits to their members. Based on the earlier practices of the guilds and the friendly societies, members of trade unions paid regular contributions into a common insurance fund which was used to meet their needs when they became ill, disabled and unable to work. Recognising that there was growing electoral support for social insurance, the German government of Chancellor von Bismarck established the first national insurance sickness fund in 1873, and in this way outmanoeuvred his political opponents in the Social Democratic Party who had campaigned on the issue. This was followed by work injury and retirement insurance schemes. Other European countries soon followed Germany's example. The government of Austria introduced social insurance in 1887, followed by Italy in 1893. Sweden and the Netherlands adopted social insurance in 1901 and the British government followed in 1911. Social insurance was also introduced in Japan and in South American countries such as Argentina, Chile and Uruguay in the early decades of the twentieth century. Generally, these programmes provided sickness, work injury and retirement benefits.
A parallel development was the introduction of means-tested social assistance retirement pensions in Anglophone nations such as Australia, India and South Africa. Although targeted at low-income elders, these pensions differed from conventional social assistance schemes which focused narrowly on the destitute. As it was generally accepted that elderly people deserved to be provided for, a more generous means test was introduced and more elders were covered. Although Britain's original national retirement pensions system, which was introduced in 1908, was based on social assistance, it was subsequently replaced with social insurance. Employer mandates were also used to provide social protection. First introduced in Britain, Denmark and New Zealand in the late nineteenth century, they were based on statutes that required factory owners to pay compensation to injured workers. Subsequently, the employer liability approach was extended to mandate the payment of sickness benefits, maternity leave and even retirement pensions, but because many employers failed to meet their obligations, these programmes were usually replaced with social insurance.
By the early decades of the twentieth century, voters were inclined to support political parties that promised to expand social protection programmes, and the principle of state responsibility gained further support when the International Labour Organisation (ILO) was established in 1919. Although primarily concerned with labour and employment issues, the organisation has played a major role in promoting social protection, and particularly social insurance. The involvement of governments in social protection was buttressed by the New Deal programmes introduced by President Roosevelt in the United States in the 1930s and by the Beveridge Report in Britain, which was implemented after the Second World War. Another development was the creation of universal social allowances funded from general taxation to pay benefits to families with children, the elderly and people with disabilities irrespective of their income or contribution record. As mentioned earlier in this book, the first proposal for universal pensions was made by Tom Paine in the eighteenth century. Provident funds providing for the accumulation of worker contributions were introduced by the British colonial authorities in a number of territories, including India, Nigeria and Singapore in the 1950s and 1960s (Kaseke et al., 2011). The principle of state responsibility was reaffirmed in 1948 when the United Nations Universal Declaration of Human Rights recognised social protection as a right of citizenship. This idea has since been reiterated in numerous international treaties and conventions, and particularly those adopted by the member states of the ILO.
Although it seemed in the decades following the Second World War that government social protection programmes would continue to expand, this assumption was challenged by the introduction in 1981 of a market-based retirement system by General Pinochet's military government in Chile which privatised the country's social insurance system by creating individual private retirement accounts (Borzutzky, 1991). Although similar to provident funds, they were managed by commercial firms rather than government agencies. As many workers joined the new programme, the existing social insurance system, which had been established in the early twentieth century, was gradually undermined. The Chilean 'reforms', as they are sometimes known, were subsequently emulated in several other Latin American countries and in several post-communist Eastern European nations as well. However, some of these schemes have recently been significantly modified and even abandoned (Borzutzky, 2012; Fultz, 2012).
As noted earlier, non-governmental organisations, grassroots community associations and international organisations have also become involved in social protection, further eroding the idea that social protection is the exclusive prerogative of government. Of course, family and informal community support networks continue to be widely utilised by people in need, particularly in the Global South. Although these developments have created a much more pluralistic system of provision, governments are still the primary sponsors of social protection. This has been reinforced by the Millennium Development Goals, which have fostered the expansion of social protection as a means of reducing poverty.
**The features of social protection**
Although the term 'social protection' has been used for many years, it has only recently become popular. As noted earlier, the term 'social security' was previously preferred and was widely employed in the literature as well as international treaties. Although the two are still used interchangeably, social security is primarily used in the field of social policy, while social protection is favoured in social development circles. While social security is associated with government social insurance and social assistance schemes, social protection has a broader scope and includes a variety of programmes operated by non-governmental organisations, grassroots associations and commercial firms. However, it is still poorly defined and a number of synonyms for social protection have been adopted. These include 'income protection', 'income transfers', 'income security', 'cash transfers' and 'transfer payments', among others.
Reflecting the different connotations of the terms 'social security' and 'social protection', two approaches to definition have now emerged. The first is based the historic association between government income transfers and social protection. This approach is enshrined in the treaties and conventions of the member states of the ILO and the United Nations, of which the ILO's Convention (no. 102) of 1952 is arguably the most important. The Convention prioritises statutory programmes such as social insurance and social assistance, and emphasises their role in protecting people's livelihoods. The second approach is associated with various innovative poverty alleviation projects and programmes in the developing world, such as food for work, microfinance and microinsurance. In addition, conditional cash transfers, which were first introduced in the Latin American countries to subsidise the income of poor families with children, are also associated with this second approach. As mentioned earlier, these and similar programmes are not only administered by government agencies, but by non-profit and grassroots community associations, often with the support of international donors. Of course, in many countries, they coexist with older, conventional government social security schemes, such as social insurance and social assistance.
The first approach to definition, which focuses on income transfers and is exemplified by government social insurance and social assistance schemes, has historically sought to maintain or subsidise income. These programmes maintain income when contingencies such as death, disability, sickness, unemployment and other adverse events terminate, interrupt or reduce family income which was previously sufficient to meet basic needs. Also known as a 'safety net', these programmes prevent families from falling into poverty. Income transfers are also used to alleviate poverty by providing subsidies and supplements to low-income families. These include cash payments, medical care, food vouchers, tax credits and other provisions. In addition to their income maintenance and income subsidy functions, some scholars have argued that social protection should redistribute resources. In this way, it transcends a narrow preoccupation with maintaining income and contributes to the creation of more equal and just societies (Midgley, 1984; Sabates-Wheeler & Devereux, 2008; Titmuss, 1974).
Each of these approaches to defining social protection has limitations. The first is too narrowly focused on government provision, but the second can be so broad that it covers almost any form of welfare intervention. Obviously, this poses a problem for policy makers. One solution, as Midgley (2012a) suggests, is to use social protection as a broad umbrella term to describe a cluster of interventions, all of which are concerned with the alleviation and prevention of poverty and involve various income transfers. Echoing his earlier analysis of the impact of social protection on inequality, Midgley (1984) argues that these transfers should also be designed to redistribute resources and foster social equality. Recently, the ILO (2011) has taken a similar approach, but urged that a commitment to protecting people's incomes and livelihoods be retained as a key element of all social protection schemes. This affirms social protection's long link with the alleviation and prevention of poverty.
Varieties of social protection
Dixon's (1999) comprehensive survey of statutory social protection programmes around the world concluded that social insurance was the single most widely used type of social security provision at the end of the twentieth century. However, he focused only on statutory programmes and it can be argued that non-formal social protection institutions based on family and community support networks are in fact the most widely used. These non-formal institutions play a particularly important role in rural communities in the Global South but they also operate in the Western world. However, they are largely ignored by governments and few, if any, efforts have been made to integrate the non-formal social security system with statutory provisions. In some cases, governments have sought to regulate the non-formal system by requiring the registration of mutual aid associations or by imposing penalties on family members who neglect their older relatives, but these provisions have done little to strengthen non-formal social security activities and enhance their capacity to provide social protection.
On the other hand, social insurance is widely supported by governments. Because social insurance only serves workers in regular wage employment and in formal self-employment, it is often classed as an 'occupationalist' approach to social protection. Social insurance is based on regular contributions paid by insured workers into a government or parastatal fund which pays benefits when specified contingencies occur. The contingencies of sickness, work injury, disability and retirement are covered in most countries. Unemployment is included in the Western countries but some middle-income countries now also cover this contingency. In the Western countries, the vast majority of the population is protected by the social insurance system. On the other hand, in the developing countries, where only small proportion is engaged in formal wage employment, coverage rates are very low. Although this problem has been recognised, much more needs to be done to extend social insurance coverage to all.
Employer mandates require employers, under penalty of law, to pay benefits to their workers when specified contingencies occur. These schemes are also occupationalist in nature and are primarily designed to protect workers in the event of work injury, sickness and maternity. In addition to paying cash benefits, this approach is also used to mandate employers to grant family leave when children or relatives are ill or disabled. A major problem is that employers do not always comply and, for this reason, many governments have now replaced these schemes with social insurance. Until recently, employer mandates were widely used in China to require state-owned enterprises and other rural communes to serve the income protection needs of their workers, but because many had not accumulated sufficient funds to meet their obligations, the Chinese government is also replacing them with social insurance.
Social allowances are funded from general taxation and usually pay benefits to families with children, people with disabilities and elders. No contribution record is required and no means test is imposed. Instead, everyone falling within in a specified category is entitled to receive a benefit. Originally, social allowances were introduced in European countries such as France and Germany in the 1930s to provide child benefits for pro-nationalist rather than social protection purposes, but in England they were established on the recommendation of the Beveridge Report to subsidise the cost of childrearing and to supplement family incomes. Although many experts believe that they are an effective way of raising incomes and also of redistributing resources, they have been replaced with means-tested child benefits in countries such as Canada and the United Kingdom. Some Western countries, such as the United States, have not introduced these schemes. On the other hand, a number of middle-income countries such as Albania and Cyprus have established universal child benefits schemes and in Mauritius, where they are means tested, eligibility criteria are so generous that the majority of families with children are covered. In addition, social allowances are used in some European countries to pay disability benefits to those who have not contributed to social insurance schemes. They have also been established in a few developing countries to pay retirement pensions. Hong Kong was the first to introduce a pension allowance of this kind, but similar schemes have recently been adopted in Botswana, Lesotho and Namibia.
Mandatory savings accounts, also known as provident funds, are based on individual retirement accounts into which employed workers make regular payroll contributions. The accumulated sum is withdrawn when the worker retires or becomes disabled or is made redundant. As was noted earlier in this chapter, they were introduced in a number of developing countries by the British colonial authorities at the time of independence (Dixon, 1982). Although some territories, such as Jamaica, adopted social insurance, provident funds were believed to be economically more viable and preferable to social insurance. However, these funds cover only a small proportion of the population, and over the years a number of governments have converted their provident funds into social insurance schemes. In others, like India, they are still the primary means by which retirement pensions are paid to those in formal wage employment. Although provident funds are managed by governments, the commercial retirement schemes established in Chile and elsewhere use legislative mandates to require workers to save for their own retirement.
Social assistance is a very important form of social protection and, in addition to being operated by governments, it has also been adopted by non-governmental, faith-based and community organisations. It is also one of the oldest forms of social protection, having characterised the poor relief activities of religious organisations, charities and governments for centuries. Its most distinctive feature is the use of the means test to determine eligibility and target resources on those in need. Other conditionalities, such as infirmity, age, residence, citizenship and religious affiliation, have also been imposed. The requirement that children attend school regularly is a feature of the conditional cash transfers mentioned earlier. Requirements relating to acceptable behaviour have also played a significant role in that only those of 'sound reputation' have been assisted. Social assistance is usually denied to able-bodied men and to vagrants and mendicants. Often, benefits are strictly time-limited, and in many countries they are quite meagre. This is the case with conventional social assistance introduced in the Global South by the colonial authorities. Generally, the means test has been used to determine eligibility on an individual or family basis, but in some cases groups of needy people, such as those belonging to particular occupations or castes or those residing in poor communities, have been included. This 'categorical or area targeting' approach is now being more widely used in developing countries to reach the poorest groups.
In addition to using social assistance to provide limited benefits to needy individuals and families, it has also been used to pay long-term retirement pensions, child benefits and disability payments. Social assistance pensions have been paid for many years in Australia and South Africa, and because the means test is relatively generous, large numbers of elderly people are covered. A generous means test is also used in Mauritius. This approach can be contrasted with the meagre and often stigmatising schemes established in many other countries. Although social assistance has often been criticised for being ineffective, these examples reveal that it can be used to alleviate and prevent poverty. Wage subsidies paid through the tax system in some Western countries also target benefits on low-wage workers and, while seldom recognised, they are similar to social assistance. However, this approach avoids stigmatising recipients and is an effective means of subsidising incomes.
Poverty alleviation innovations
Innovative poverty alleviation programmes, often based on social assistance, have been introduced in many developing countries. Many of these are very different from conventional social protection programmes and include food-for-work programmes, microinsurance and credit arrangements provided by government banks, such as those discussed earlier in this book. Conditional cash transfers such as Brazil's Bolsa Família and Mexico's Oportunidades programmes are probably the best known of these non-traditional forms of social protection (Hall, 2006; Levy, 2006). Introduced in the 1990s, they pay cash benefits to poor families provided children attend school regularly, are immunised and have health check-ups. Expecting mothers are also required to attend prenatal clinics on a regular basis. Covering no less than 13 million families, Hall (2012) reports that the Bolsa Família programme has had a significant effect on the incidence of poverty as well as inequality. Conditional cash transfers also have an investment function in that they promote human capital among poor families. Based on the Brazilian and Mexican experience, similar programmes have now been introduced in many other Latin American countries and, with the support of the World Bank (2009), are being adopted in other parts of the developing world as well. In addition to using the means test to determine the eligibility of individual families, categorical targeting has also been used, and in some cases all children attending schools in poor communities are automatically covered. Although these programmes face numerous challenges, their role as a developmental form of social protection is now widely recognised (Barrentios & Hulme, 2008).
India's National Employment Guarantee Scheme is another way of using social assistance to alleviate poverty. Based on the legislation enacted in 2005 (the Mahatma Gandhi National Employment Guarantee Act (India, Ministry of Rural Development, 2010)), the programme was launched in Andra Pradesh the following year and gradually extended throughout the country. It builds on earlier public works and food-for-work programmes and guarantees employment to low-income rural people for 100 days per annum at a minimum wage of 60 Rupees per day. At least a third of all jobs are allocated to women, but their actual participation rate is much higher. Projects established under the scheme are focused on environmental and infrastructural development and include reforestation, erosion management, road building and water supply projects. Administered by the state governments through the local authorities, the central government pays most of the costs and has established a regulatory framework to ensure compliance. For example, if applicants are not assigned jobs, the state governments are obliged to pay compensation. Although the programme has experienced a significant number of implementation problems, coverage has extended significantly and average minimum wages have also risen, enhancing the programme's popularity among poor families. The Indian government revealed that approximately 55 million households were employed in the programme in 2010. About 25 million projects had been completed and another 24 million were ongoing.
A more conventional approach to using social assistance to alleviate poverty comes from South Africa where the Mandela government expanded the country's means-tested retirement pension and child benefit schemes, which had previously catered primarily for the country's white population. Benefit payments were equalised for all population groups and both programmes extended coverage to serve many more poor people. The retirement pension, which is known as the State Old Age Pension (SOAP), reaches more than 2 million elderly people, many of whom live in extended families and share their pensions with other household members (Patel & Triegaardt, 2008). The child benefit programme, which is known as the Child Support Grant (CSG), covered about 10 million poor children in 2011. Benefits amounting to approximately US$35 per month per child are paid directly to mothers or caregivers such as grandparents and relatives. Both schemes inject cash into a poor family's household budget and, as Patel (2012) reports, have been very effective in reducing poverty, especially among poor families in the rural areas.
As these examples reveal, social assistance can alleviate poverty provided the means test is generously employed and the scheme covers the majority of poor people. On the other hand, some governments have preferred to use universal social allowances which pay benefits irrespective of income or contribution record. As mentioned earlier, universal pensions for all elderly people have recently been introduced in Botswana, Lesotho and Namibia. The government of Bolivia established a similar scheme, known as _Renta Dignidad_ , in 2007 which pays pensions to all elderly citizens, of whom the vast majority are poor (Muller, 2009). These developments have been accompanied by proposals to significantly increase the role of cash transfers in developing countries and to combat poverty by 'just giving money to the poor' (Hanlon et al., 2010). In addition, there have been renewed calls for the introduction of a universal basic income benefit to be paid to all citizens, irrespective of their incomes and assets and whether they are working or not (Fitzpatrick, 1999; Standing, 2002; Van Parijs, 1992, 2001). Although quite popular in social policy circles, this proposal has not been implemented anywhere in the world so far.
Another innovative form of social protection that is expanding quite rapidly in the Global South is microinsurance. Based on mutual aid associations, such as burial and benefit societies, and rotating savings and credit associations (ROSCAs), they exist all over the developing world and function primarily to assist their members in times of need or otherwise to help them accumulate capital for various purposes. In recent years, many of these organisations have adopted formal governance and operating procedures, opened bank accounts and increased their membership (Loewe, 2006; Midgley & Hosaka, 2011). Some large non-governmental organisations, such as the Self Employed Women's Association (SEWA) in India, have recently extended microinsurance cover to their members (Okamoto, 2011), and in the Philippines, a mutual aid association known as CARD-MBA has over 600,000 members, the vast majority of whom are poor. Established in 1986 to provide mutual aid benefits to poor agricultural workers, it is now registered both as a bank and insurance firm and has branch offices around the country. Despite its size and achievements, the organisation is still governed by its members (Alip & Amenomori, 2011). On the other hand, most microinsurance organisations are small and operate at the local level, often with limited funding. This is also the case with many community-based non-governmental organisations providing social protection which, as Ellis and his colleagues (2009) reveal, manage local initiatives on a limited, demonstration project basis, often with funding from international donors. A related development is the growth of 'micropensions', which are savings schemes provided by microfinance organisations such as the Grameen Bank (Midgley, 2012b).
Recognising that traditional money lenders charge usurious interest rates to poor people seeking credit when faced with financial adversity, some governments have sought to expand credit facilities through special programmes introduced by state-owned banks. Although this has increased access to credit by poor people experiencing hardship, even the state-owned banks are cautious and do not adequately serve those in need. As was shown earlier in this book, this has fostered the growth of commercial microfinance but resulted in exploitive interest charges and other abuses. To address the problem, some governments have established state-owned pawnshops that have a social protection function in that they serve many low-income clients who borrow in times of illness, unemployment, disability and other adversities. Like commercial pawnshops and money lenders, they require collateral in the form of jewellery, watches and other valuables, but they charge comparatively low interest rates. One example is the Perum Pagadaian chain of pawnshops owned by the Indonesian government that currently has over 4,900 outlets all over the country and served in excess of 21 million clients in 2010. The organisation traces its roots back to the Dutch colonial period when local officials became concerned about the exploitation of poor people by money lenders and pawnbrokers and decided to launch its own pawn credit service. Today the organisation operates a number of programmes, including a conventional short-term credit service which charges a fee of 1.3 per cent for each 15-day loan period. It also offers other specialised loan schemes for small businesses and farmers who require credit at harvest time. The loan is issued against the projected yield of the harvest. It also has a special loan programme to help people pay for the _hajj_ or pilgrimage to Mecca, and it finances the purchase of motorbikes and cars. The organisation provides a safety deposit box service and a valuation service, both of which charge modest fees. Poor people living in informal settlements, who are at high risk of burglary, make frequent use of the safety deposit box service. Since the organisation is a government-owned parastatal, its income is used to subsidise its services.
**Social protection and development: Challenges and opportunities**
A great variety of social protection programmes have now been established around the world. They range from local family and community social support networks to national level social insurance and social assistance programmes that cover large numbers of people and involve significant sums of money. Although they have extended protection to hundreds of millions of families, some critics believe that these programmes, and especially those managed by government, are ineffective and even harmful. As is well known, market liberals have long argued that statutory social protection schemes have impeded economic development by transferring resources out of the productive economy to 'unproductive' people, burdening government budgets, harming work incentives and creating a dependency culture that saps society's vitality. This claim is contested by those who point out that social protection reduces financial risk, fosters economic stability, prevents and alleviates poverty and promotes social solidarity. Despite these different opinions, there is overwhelming evidence that social protection has made a significant contribution to poverty alleviation both in the Western nations and more recently in the Global South. Significant reductions in poverty in countries such as Brazil and South Africa have been directly attributed to social protection and, as many countries seek to achieve the Millennium Development Goal of halving the incidence of poverty by the year 2015, it will continue to play a major role in poverty eradication efforts. In addition, there is growing evidence that social protection contributes positively to economic growth (Midgley, 2008a). Today, social protection's role as a social development strategy is more widely recognised.
However, social protection's effectiveness is hampered by a number of challenges. A major problem has been the importation of social protection programmes from Western countries without considering their relevance to local demographic, social, cultural and economic needs. The adoption of a 'Poor Law' approach to social assistance in many developing countries during colonial times has been criticised for catering to a small group of 'conspicuously needy' people in the cities, ignoring the problem of mass poverty that characterises the lives of the majority (Midgley, 2011). Similarly, social insurance has served the needs of workers in regular employment but ignored those eking out a living in the informal and subsistence agricultural sectors. Although this problem has been recognised, it still characterises conventional social security programmes in the Global South today. However, these problems can be addressed by formulating social protection policies that are adapted to meet the needs and circumstances of different countries.
A closely related problem is the lack of coverage of conventional social protection schemes. Although social protection has generally achieved universal coverage in the Western countries, it serves a relatively small proportion of the population in the Global South. Social assistance coverage rates have historically been low, and with the imposition of structural adjustment in many countries, these schemes were severely retrenched and even terminated. Although this problem has been addressed to some extent with the introduction of conditional cash transfers, social assistance coverage remains low in many parts of the world. Rates of social insurance coverage in many countries are especially low. As Hall and Midgley (2004) reveal, coverage rates in many African countries are as low as 1 per cent of the labour force and, while higher in North African countries such as Morocco and Tunisia, it is still below 25 per cent. In Asian countries such as Thailand, about 10 per cent of the labour force is covered, while in India, the country's Provident Fund covers about 9.5 per cent. Higher coverage rates are reported in Southern Cone Latin American countries such as Argentina and Uruguay, but it is below 15 per cent in poorer countries such as El Salvador, Honduras and Paraguay. Similarly, because of their occupationalist nature, employer mandates protect only a fraction of the labour force.
Attempts to extend coverage have recently been given priority by the ILO and its member states through its 'Social Security for all Campaign' as well as its more recent 'Social Security Floor' initiative (ILO, 2001, 2011), which establishes a minimum level of social protection for all citizens. These initiatives are not only focused on expanding the coverage of conventional schemes such as social insurance, but on introducing innovative programmes which cater for larger numbers of poor families. These efforts are supported by the World Bank, which is actively promoting the adoption of conditional cash transfers, and, of course, the Millennium Development Goals are also fostering the expansion of novel poverty alleviation schemes in the developing world, usually based on social assistance principles.
The challenge of extending coverage is accompanied by the need to ensure that social protection is equitable in the way it caters to all sections of the population. As noted earlier, several writers have argued that social protection should serve wider egalitarian goals and contribute to the creation of just societies. In addition to their historic urban bias, conventional social insurance and social assistance schemes have not met the needs of vulnerable groups such as indigenous and tribal people who often live in remote areas, or immigrants and the members of ethnic minorities and lower castes. Social protection has also discriminated against women. This issue has been raised by feminist social policy writers over the years (Gordon, 1990; Pascall, 1986; Sainsbury, 1996). They have shown that social insurance is based on a male 'breadwinner model' that disadvantages women, who often leave the labour force to raise children, with the result that they receive comparatively lower benefits when they retire. In addition, social assistance schemes in Western countries such as the United States had been accused of seeking to control and regulate women's lives (Abramovitz, 1988; Reese, 2005), and a similar critique has been made of Mexico's Oportunidades programme, which Luccisano (2004) asserts, actually subjugates women to the demands of a patriarchal society.
Inadequate funding and administrative challenges also impede social protection's effectiveness. Although social insurance schemes in many developing countries are solvent because of the relative youth of workers in regular wage employment, this is not the case in many Western countries, where these schemes are often subsidised from general government revenues. Complaints that tax-funded social assistance and social allowance schemes consume an excessively large share of the government's budget have been commonplace. With the recent Great Recession, many of these programmes have suffered cuts. Although innovative poverty alleviation programmes such as conditional cash transfers are generally well-funded, it is not always recognised that they are usually financed through international loans which will, in time, need to be repaid. However, staff at the ILO (Behrendt & Hagemejer, 2009; Cichon & Hagemejer, 2007), who have employed sophisticated modelling techniques to analyse funding issues, believe that most governments in the Global South can afford to establish a social protection floor. They also contend that Western governments can subsidise these programmes at comparatively little cost. Nevertheless, aid is often provided on a haphazard basis and, accordingly, there is a need to formulate sustainable, long-term funding plans. The problem is particularly severe among small, community-based social protection organisations that are often financed on a short-term, demonstration project basis by international donors. If they are to be effective, the challenge of long-term funding will need to be addressed.
Another challenge is the fragmentation of social protection schemes in many countries. As different types of social protection projects and programmes have been introduced by non-governmental organisations, commercial providers and grassroots community groups, problems of duplication, poor coordination, managerial ineffectiveness and limited coverage have become more noticeable. Government programmes also suffer from these problems. Few governments have sought to coordinate the multiple schemes managed by different governmental ministries. In addition, the administrative challenges facing statutory social security schemes, particularly in developing countries, are well known. Often staff are poorly trained, benefit claims require an inordinately long processing time, errors frequently occur and corruption is commonplace. These problems undermined trust in the Chilean social insurance scheme and contributed to its replacement with a commercial retirement system. Ellis and his colleagues (2009) report that corruption has impeded the effectiveness of social protection in a number of African countries, where local civil servants and politicians as well as village headmen often require a 'commission' to participate in these programmes. Of course, the problem is not limited to Africa. However, serious attempts to limit corruption have been made in some countries. Campaigns against corruption in India have made some headway and the government has sought to limit abuse by imposing new and more rigorous audits and checks. As some researchers (Dutta et al., 2010) have found, this has had a positive effect but the problem has not been solved. Even the country's pension scheme, which has a much lower incidence of 'leakage' than other programmes, continues to suffer from demands for 'payments' from administrative staff who process applications and even postal workers who deliver payment vouchers to retirees.
While all of these challenges need to be addressed, comprehensive social protection plans that respond to the problem of fragmentation and coordinate the different types of programme operated by non-governmental, commercial and statutory agencies should be formulated. This is imperative if social protection is to be an effective social development practice strategy. Comprehensive social protection plans should also set national targets and be based on long-term funding projections. The haphazard use of social protection to alleviate poverty should be replaced with plans based on carefully formulated and achievable goals. More extensive use should be made of data and evaluation research. Although few governments have formulated comprehensive social protection plans, van Ginneken (2007) reports that some progress has been made and that some governments have actually implemented plans of this kind.
Priority should also be given to social protection programmes that contribute positively to development through social investments. As was mentioned at the beginning of this chapter, social protection's investment function has been more widely recognised in recent years. Extensive research has been undertaken over the years that supports the contention that social protection contributes to economic development by increasing demand for goods and services and enhancing human capital (Midgley, 2008a). It also facilitates participation in a variety of productive economic projects. For example, Nyanguru (2008) reports that many recipients of retirement pensions in Lesotho use some of their benefits to establish microenterprises or engage in poultry and small animal farming, craft production and vegetable growing. The produce is taken to market and sold, contributing to the productive economy. Similar findings are reported by Patel and Triegaardt (2008), who note that the sizeable funds allocated by the South African government to social protection have not only reduced the incidence of poverty and met other desirable social goals, but also generated a significant return on investment. Social protection innovations have also enhanced the participation of poor people, and particularly poor women and their families, in development. If judiciously incorporated in national plans, social protection will not only enhance social well-being, but play a major role in social development.
**Suggested additional readings**
As noted in this chapter, social protection has only recently been recognised as a social development practice strategy largely because of the increasing use of cash transfers to alleviate poverty. The following sources provide useful additional information about the role of social protection in social development.
• Barrentios, A. & Hulme, D. (Eds) (2008). _Social Protection for the Poor and Poorest: Concepts, Policies and Politics_. New York: Palgrave Macmillan. This edited collection ranges widely over a number of issues and topics relating to social protection in developing countries.
• Ellis, F., Devereux, S. & White, P. (2009). _Social Protection in Africa_. Cheltenham: Edward Elgar. This book examines different types of social protection programme in Africa, focusing primarily on rural, community-based food security projects and cash transfers. In addition to providing useful case studies, key issues relating to social protection are discussed.
• Hanlon, J., Barrientos, A. & Hulme, D. (2010). _Just Give Money to the Poor: The Development Revolution from the Global South_. Sterling, VA: Kumarian Press. Challenging conventional views about the limitations of cash transfers, the authors make a lively case for 'just giving money to the poor', which they contend is an effective way of reducing poverty.
• Hoefer, R. & Midgley, J. (Eds) (2012). _Incomes, Poverty and Social Protection: International Policy Perspectives_. New York: Routledge. This edited collection examines the use of social protection to alleviate poverty around the world and discusses key social protection issues. In addition to providing an overview of the field, it includes a number of country case studies that describe novel social protection programmes.
• Midgley, J. & Hosaka, M. (Eds) (2011). _Grassroots Social Security in Asia: M_ _utual Aid, Microinsurance, and Social Welfare_. New York: Routledge. Although focused on Asian countries, this book provides a general overview of microinsurance and discusses key issues in the field. Case studies are provided to show how microinsurance programmes are extending social protection to those who have been excluded from formal statutory programmes.
• Standing, G. (2002). _Beyond the New Paternalism: Basic Security as Equality_. London: Verso. Building on the pioneering writings of Van Parijs (1992), the author provides a lively account of the basic income approach, arguing that it not only transcends the paternalistic nature of much social protection, but ensures that everyone enjoys a decent income.
11
SOCIAL PLANNING, RIGHTS AND SOCIAL DEVELOPMENT
As a social development practice strategy, social planning is associated with national economic development planning in the Global South, but it is also used at the community level in Western countries and by some non-governmental organisations to plan their activities. Following the creation of national planning agencies by many newly independent countries after the Second World War, social planning was introduced to augment their original focus on economic priorities. Instead of being narrowly concerned with industrial output, trade and agricultural production, national planning sought to alleviate poverty and to achieve social sectoral goals such as improving healthcare, housing and education. Social planners were trained to plan these activities and to link national social goals with sectoral activities. Although many governments introduced social planning, its influence waned after the 1980s when market liberals opposed government intervention and undermined the work of planning agencies. Recently, social planning has been reinvigorated, especially as many governments have recognised the need for planning to achieve the Millennium Development Goals, and today social planning is again more prominent than before. Of course, some countries, such as China, India, Korea and Malaysia, to name only a few, have used social planning to good effect for many decades.
Social planning has a distinctive macro-focus, mobilising and coordinating a large number of social development initiatives at the national level. In addition to supporting the work of health, education, community development, housing, social development and other ministries, it links government with non-governmental initiatives to promote a coherent, integrated approach to social development. Nevertheless, social planning is largely dependent on government intervention giving expression to the statist normative perspective. It utilises the key social development principles discussed earlier in this book and plays a particularly important role in identifying and prioritising social needs and directing resources towards the most disadvantaged groups within a framework of comprehensive interventions. In addition to promoting universalism in social development, it is also an effective means of implementing a rights-based social development agenda.
Like other forms of planning, social planning faces significant challenges. The preparation of comprehensive social plans is a daunting task that requires a great deal of professional skill. It also requires that accurate data, on which decision making can be based, are available. It is also dependent on effective governance, since plans are meaningless if they do not have the support of political leaders or are thwarted by incompetence, indifference and corruption. These problems are often cited by market liberals and other critics who denigrate planning and highlight its failures rather than achievements. The growth of non-governmental organisations which offered an alternative to state-directed development also undermined planning, and it was recognised that social plans (and development plans in general) often failed to reach their goals. Although planning has now made a comeback, its effectiveness depends on addressing these limitations and ensuring that plans are used to allocate budgetary as well as personnel resources on an efficient and rational basis, and link social goals with economic development priorities.
This chapter begins by tracing the history of social planning, showing that while planning has been used for centuries and draws on older utopian ideas, it was only formalised and adopted on a significant scale in the twentieth century. Since social planning shares many similarities with planning in general, the features and theory of planning are discussed and these are linked to social planning. It discusses different types of social planning but emphasises its historic association with national development planning since, as mentioned earlier, it is in this context that social planning has been associated with social development practice. The chapter concludes by examining the challenges facing social planning and discusses how these can be addressed.
**Social planning's historical evolution**
Planning is a basic – even instinctive – human characteristic. People regularly take decisions affecting their future which are based on a rational consideration of the facts and the likely outcome of different courses of action. In this sense, planning has been an everyday feature of the lives of individuals, families, organisations and communities for thousands of years. Hunter-gatherer bands planned and coordinated the pursuit of their prey and nomadic people seasonally moved their herds to secure better pastures. Settled communities engaged in planning to sow, tend and harvest their crops and construct irrigation and flood control systems. Towns and cities in the ancient civilisations were laid out in grid form and supplied with water, roads and sanitary facilities. Planning was used to mount military expeditions and played a vital role in the construction of great monuments, such as the pyramids in Egypt.
Early forms of social planning were accompanied by the first conceptual accounts of how a future ideal society could be planned. Plato was one of the earliest thinkers to design a society of this kind and, since then, the utopian tradition has permeated Western thought. Indeed, many other and sometimes bizarre blueprints for a perfect, future social order have been produced. Of these, Thomas More's eponymous book, which was published in 1516, is probably the best known, but many more utopian publications subsequently emerged, especially after the Enlightenment. Many offered blueprints for small utopian communities based on collective principles and some recruited sizeable numbers of members. A somewhat different approach came from Saint Simon and Comte in the early nineteenth century. They advocated the use of planning to completely reorganise society. They believed that social conditions could be radically improved if plans based on scientific knowledge were formulated and implemented by efficient technocrats. Since scientists and engineers had successfully applied scientific knowledge to provide the cities of Europe with transportation, electricity, water supplies and modern industries, they could surely design a perfect society. Of course, St Simon and Comte assumed that their future planned society would be characterised by equality, social justice and harmony.
Veblen was a major champion of technocratic planning and he exerted a significant influence on social development thinking in the twentieth century. Hobhouse equated planning with judicious government social policy making, while North (1932) favoured a more directive approach, by which trained sociologists would guide social change. Socialist writers of the time also recognised that directive state planning would be needed to manage a collectively owned economy. Marx and Engels laid the foundation for this idea and, while they insisted that planning should only be employed in socialist societies, others on the political left proposed that planning be used in capitalist countries. After the Bolshevik revolution of 1917, economic planning was implemented by the Soviet government to facilitate the collectivisation of agriculture, industry and commercial enterprises, although on a somewhat haphazard basis. However, as the economy stalled and as the civil war created huge disruption, Lenin and his advisers retracted and in 1922 introduced the New Economic Policy, which allowed a greater degree of liberalisation. By the end of the decade, Stalin reintroduced centralised economic planning, which subsequently directed Soviet economic development. Centralised planning was also adopted by other communist countries but in some, such as Czechoslovakia and Hungary, a less prescriptive approach was employed. Although not as directive as the Soviet model, economic planning was also introduced in fascist Italy, Germany and Spain at this time.
On the other hand, there was little support for planning in the Western countries, even though the ideas of Veblen and others who advocated for planned social change became known. A major exception was the creation of the first Garden Cities in Britain. These sought to provide a healthy nurturing environment for working people and to offer an alternative to the squalor of urban life. Situated in the countryside, these planned communities were established in other Western nations as well. They were the precursor of the widespread adoption of urban and regional planning in these countries in the mid-twentieth century. With the Great Depression, planning attracted more support especially after Keynes' work became widely known. Although he did not advocate for centralised planning, his economic management proposals began to influence government policy and were generally accepted after the Second World War.
The war itself showed that planning was indispensable, not only to military operations, but to munitions production and supplying the civilian population with food and other necessities. This had already been recognised during the First World War when the demands of mobilising resources on a huge scale led to the introduction of formative planning techniques. Planning featured prominently in reconstruction after the Second World War, and particularly in the famed Marshall Plan which laid out an economic development agenda for a war-ravaged Europe. It also informed the Beveridge Report, which proposed the introduction of comprehensive social services in Britain after the war. Another important contribution was the GI Bill, which massively expanded veterans' access to education and housing at the time. In addition, the French government adopted what became known as 'indicative' economic planning, which sought to improve inter-industry coordination and set broad economic goals. However, few other Western countries emulated this innovation. Economic planning was abandoned in Britain after the war because of its association with rationing and other austerity measures and was only briefly revived by the Labour government in the 1960s.
Despite their reluctance to engage in planning, some of the European imperial powers had previously introduced planning into their colonies. Waterston (1965) reports that one of the first was a plan in the Belgian Congo in 1906, followed by the Guggisberg Plan in Ghana in 1919, both of which identified infrastructural and public sector budgetary targets. As news of the Soviet five-year plans spread among nationalist organisations in the colonies, many expressed a commitment to comprehensive planning. The Indian Congress embraced the idea of Soviet-style development planning in the 1930s and independence movements in other Asian countries were equally enthusiastic. The Philippines launched its first development plan in 1947, followed by India in 1952. A number of African countries introduced national development plans in the 1960s and 1970s, and in Latin America planning was adopted in nine countries with funding and technical assistance from the Kennedy administration's Alliance for Progress. The prospect of securing international aid to fund development plans also motivated governments in other parts of the Global South.
Most developing countries created specialised planning agencies which employed trained economists and statisticians to prepare five-year plans that set specific targets for agricultural and industrial production, infrastructural investments, exports and other economic activities. These were administered by central planning agencies, often under the direction of a minister and sometimes the president or prime minister. This was the case in India where Nehru personally assumed responsibility for development planning. Industrial investments were emphasised and mathematical planning models based on Keynesian principles were widely employed. Although these models were technically useful, they could not accommodate the implementation and other challenges that impeded planning at the time. Nor did they pay much attention to wider social conditions, assuming that economic growth would of itself raise standards of living.
This problem was recognised by officials at the United Nations who began to question the narrow emphasis on economic growth in development plans and sought to broaden planning to include social goals. As was explained earlier in this book, the concept of 'unified socio-economic planning' was adopted through the influence of Myrdal and others, who urged that poverty reduction be given higher priority in development planning and that plans be formulated to improve health, education, housing and clean water. Planning, they argued, should also foster the creation of more egalitarian societies. Although planning agencies had relied exclusively on economists and statisticians, they now employed social planners with responsibility for these tasks. Working with a number of Western governments, the United Nations promoted the creation of specialised courses in social planning where the relevant knowledge and skills could be acquired. One of these was established at the London School of Economics in the early 1970s and a significant proportion of the students were mid-level planners and administrators, often with degrees in economics (Hardiman & Midgley, 1981). Although this programme still attracts a sizeable number of students, relatively few now come from development planning agencies.
Some Western countries introduced social services planning in the 1960s in the form of budgetary and management planning procedures that required government social services departments to forecast future demand for services, set budgetary priorities and formulate implementation plans. In some countries, such as Britain, where the National Health Service consumed a sizeable proportion of government revenue, budgetary planning was given high priority. In the United States, the Johnson administration adopted planning procedures developed by the RAND Corporation. These were implemented throughout the federal government, particularly in the Department of Health, Education and Welfare (HEW). A variety of planning approaches, including operations research, management by objectives (MBO) and Planning Programming Budgeting Systems (PPBS), were popularised at this time (Midgley & Piachaud, 1984). Similar techniques are still used by many Western governments today even though they do not have separate planning agencies. For example, the British Sure Start programme, which provides childcare to low-income families, emerged as a part of a spending plan developed by the Treasury in the late 1990s (Eisenstadt, 2011). Planning was also adopted in community organisation and in the non-profit sector in the United States (Gilbert & Specht, 1977; Laufer, 1978), but is not as popular as before.
As noted earlier, development planning was challenged as market liberal ideas became ascendant in the 1980s. The Reagan administration and the Thatcher government ridiculed planning, claiming that economic growth would be achieved through individual enterprise rather than the blueprints drawn up by government bureaucrats. The World Bank (1991) abandoned its support for planning and its adoption of a 'market friendly' development strategy ensured that government planning was curtailed. However, as mentioned earlier, social planning is being revived and is playing an increasingly important role in meeting the Millennium Development Goals. In addition, a number of governments have retained, and indeed strengthened, their commitment to social planning.
**The nature of social planning**
Planning is a rational process by which resources are mobilised to meet goals. While this is only one of many formal definitions that pervade the literature, it captures the features of most definitions, namely, the identification of future goals and the use of rational techniques to specify the optimal means of achieving these goals. The planning process usually involves a sequence of discrete steps that begins with identifying the needs or problems that planners seek to address and specifying in operational terms the goals it seeks to achieve. Different ways of achieving goals are identified and often different strategies are produced, with each one being 'costed' in terms of time and financial and personnel resources. Using various techniques, the most cost-effective strategy is chosen and, subject to political approval, it is then implemented by administrators. Planners are usually responsible for monitoring implementation.
It is useful to distinguish between the idea of planning as a _verb_ and planning as a _noun_. While the former emphasises the notion of _process_ , the latter stresses the production of the _plan_ , which is usually a document but can also be a blueprint or design. In the Global South, the development plan is a formal publication prescribing the economic, social and environmental goals that governments wish to achieve over a five-year period, although in some cases, these documents have a shorter time span, such as one or two years. Development plans that cover the economy as a whole are also known as 'national' or 'aggregate' plans and usually also contain chapters dealing with the major sectors, such as agriculture, infrastructure, industry, health and education. Mathematical techniques are used to show how resources can be optimally deployed and plans are usually replete with charts, tables and diagrams. Other types of plan documents, such as urban or regional plans, place more emphasis on maps and spatial representations. This directive approach is known as _rational-comprehensive_ or _synoptic_ planning.
On the other hand, some experts believe that planning can be undertaken without producing formal plans and that planning should comprise an ongoing policy process. This less prescriptive approach involves continuous decision making in which planners work closely with politicians and administrators to formulate policies which are regularly modified to fit changing needs and circumstances. This approach, which exemplifies the idea that planning should be a verb rather than a noun, is known as the _incremental_ planning or sometimes as the _disjointed incremental_ approach. Because it is an evolving and reactive process, proponents of incremental planning, such as Lindblom (1959), believe it is more realistic and effective than the prescriptive synoptic approach. It is also more democratic and less reliant on a top-down planning process. However, development planning is largely based on the synoptic model and it relies extensively on rational decision making; it is also prescriptive and comprehensive, encompassing a variety of economic and social activities. Much social planning is also influenced by the synoptic approach.
Planning also takes place at the regional, local and organisational levels. Regional development plans are usually produced by specialised organisations appointed by central governments to address the needs of geographic areas that are poor and underserved or not economically developed. Many municipalities also produce their own plans to meet transportation, housing, recreational and other needs, and state and provincial governments sometimes formulate plans that are similar to regional development plans. Planning is also undertaken by non-governmental organisations and they play a major role in shaping the activities of large commercial firms, addressing production, personnel, managerial and budgetary needs. Plans have also been produced by international organisations and by inter-regional groupings such as the European Union to coordinate economic collaboration between different countries.
Types of social planning
Generally, three types of social planning can be identified. First, social planning is associated with social services planning and the use of planning techniques by large governmental bureaucracies which set targets and mobilise budgetary, personnel and other resources (Jansson, 2009). Although social service planning is used all over the world, it is probably most extensively employed in the Western countries. Previously viewed as a purely technical activity, there is greater recognition of the role of political factors in social service planning today. Nevertheless, the political case for a particular policy is bolstered by statistical information and careful budgetary estimates. Second, social planning is associated with community organisation, mostly in the Western countries. However, the vogue for community social planning seems to have dissipated even though some large non-governmental organisations, such as the United Way in the United States, use decision-making techniques to coordinate their activities. Third, social planning is directly linked to development planning in the Global South. Although all three forms of social planning have been used to enhance social well-being, this third type is most commonly associated with social development.
The social planning process is normally undertaken by trained professionals, but the extent of professionalisation is linked to different levels and types of social planning. At the national level, social planners are employed by specialised government agencies known as the planning ministry or planning board or commission. These are largely staffed by economists and directed by politicians and senior civil servants. To be effective, social planners need to have appropriate academic and technical qualifications as well as skills. Some are trained in economics but many have other social science qualifications. Generally, social planners are expected to have a sound knowledge of statistics and research methodologies. In sectoral social services agencies, they also have specialised knowledge in their fields, such as health, education, social security and housing, but here again most are familiar with planning technologies and data analysis. Professional planners are seldom employed at the local level, where planning is usually undertaken by community development personnel or by senior staff at regional community development agencies.
In addition to employing the generic planning process described earlier, social planners undertake different tasks in different settings. In national planning agencies, they are concerned with the way economic growth targets are translated into tangible improvements in standards of living, as measured by increases in household income and improvements in education, health, nutrition and other social indicators. They are also responsible for integrating plans produced by the major social sectoral ministries with national plans, and they also help to coordinate the different activities of these ministries. They are likely to spend a good deal of their time working with counterparts in sectoral ministries and attending interdepartmental coordinating committees. Ensuring that economic development results in improvements in social well-being involves a number of discrete tasks. For example, social planners collaborate with economic planners, senior administrators and ultimately ministers on designing programmes, spending plans and fiscal policies. They also work with economic planners and administrators to ensure that economic output, and particularly the productivity gains resulting from economic modernisation, improve the well-being of the population. However, questions of how taxation should redirect economic growth towards social goals involve a political process which is ultimately directed by ministers and other political leaders. Another major task is regular data collection through poverty surveys, and social indicators which assess needs measure outcomes. Finally, questions of how foreign aid, international borrowing and public assets such as land and state-owned enterprises can be used for social purposes also involve social planners.
At the sectoral level, social planners collaborate closely with ministers and senior civil servants to translate social policies into actual plans. They help to identify goals and find the optimal way of achieving these goals. They are also involved in needs assessment and setting priorities. They monitor progress by collecting data through surveys, indicators and service utilisation statistics obtained from regional and local departments. This function has become particularly important in the developing countries where the Millennium Development Goals require regular monitoring. They also coordinate their activities with national planners and representatives from other sectoral social services agencies. In the Western countries, where social planning is not well developed, these tasks are usually undertaken by senior civil servants. Sectoral social planners are also likely to be involved with international development agencies such as the United Nations, the World Bank, UNICEF and the World Health Organisation, and are likely to participate in preparing aid agreements.
Finally, at the local level, social planners work with community development personnel, village leaders, non-governmental organisations and grassroots associations to prepare plans that address local needs. As noted earlier, the link between social planning and community organisation in the Western countries has involved professionals, but in the Global South these tasks are likely to be undertaken by non-professionals. This is especially true of community workers and volunteers employed by non-governmental and grassroots associations. However, training in participatory planning, and particularly in research involving local people in implementing techniques such as rapid rural appraisal, is now provided either on an in-service basis or at community development training academies. This type of research is especially relevant to implementing the 'Quick Win' projects of the Millennium Development Goals, which include the provision of mosquito nets, maternal and child health programmes and immunisation and involve planning at the local and national levels. International commitment to achieve the Goals will undoubtedly continue to facilitate social planning and hopefully harness the resources of the state to improve social well-being.
Planning, targets and rights
The Millennium Development Goals have heightened awareness of the importance of social planning in setting targets and mobilising resources. Although local communities as well as non-governmental and faith-based organisations need to be involved, national governments are ultimately best placed to rally different stakeholders, find the resources and political support and utilise the technical expertise of social planners to achieve the Goals. It is in this regard that the notion of social rights plays a major role in the planning process. Although targets are integral to all forms of planning, they take on a deeper meaning when couched in the language of rights. When defined as rights, planning targets place a legal obligation on governments to commit themselves to attain social development goals.
Beginning with the 1948 Universal Declaration of Human Rights, most of the world's governments have acceded to a plethora of international instruments that promote the well-being of their citizens. These include United Nations-sponsored treaties such as the 1966 International Covenant on Economic Social and Cultural Rights, the 1979 Convention on the Elimination of All Forms of Discrimination against Women (CDAW), and the 1989 Convention on the Rights of the Child, among others. Also relevant are regional treaties such as the European Convention for the Protection of Human Rights and Fundamental Freedoms of 1950, the American Convention on Human Rights of 1969, and the African Charter on Human and People's Rights of 1981. In addition, as Ishay (2004) points out, social and human rights are incorporated into the constitutions of many countries.
Accession to an international treaty commits governments to making good faith efforts to comply and mobilise the necessary resources to uphold rights. This involves the adoption or modification of appropriate legislation which is justicable in the sense that citizens have redress to the courts if rights are not complied with. Despite caveats, international treaties allow citizens to litigate to protect their rights, just as they can through recourse to domestic legislation. In many cases, human rights litigation is undertaken by organisations acting on behalf of citizens or on behalf of interest groups. These organisations play a critical role today not only in social development but in promoting sustainable development and protecting the rights of informal sector workers. They are also active at the international level. Although human rights organisations are often associated with securing the civil rights of political prisoners, they have also championed the rights of indigenous people and the victims of debt bondage and slavery.
However, few governments have incorporated rights into their national development plans, even though notions of rights pervade the Millennium Development Goals as well as earlier commitments, such the ILO's basic needs approach, which presaged the adoption of the Millennium Development Goals. Another more recent development is the formulation by Nussbaum (2011) of a set of ten 'central capabilities' that individuals should have to function effectively. As she herself recognises, they share some similarities with the rights approach, but differ from this approach in that they apply to individuals and the choices they make rather than to the legal and binding commitments made by governments. Although rights are often viewed as a legalistic set of ideals and activities that are quite separate from social planning, by explicitly linking rights to the planning process, goals can be clarified and development plans can be more effectively targeted. In addition, social and human rights that are already incorporated into national legislation can be translated into specific programmes that are linked to budgetary allocations and to an implementation schedule. This promotes a holistic approach by which the efforts of human rights groups and citizens to campaign for their rights are linked to social development and especially to national development plans. As Midgley (2007b) reports, the language of rights has been increasingly used in social development and a rights-based approach has been successfully adopted by activist social development organisations in a number of countries to secure the rights of poor people to education, healthcare, clean water and housing. The rights-based approach also seeks to protect them against arbitrary bureaucratic action that deprives them of their homes and livelihoods. A closer link between these community-level activities and social planners at the national level would promote a more effective, coordinated approach and also facilitate people's participation in the planning process. It would also give tangible expression to the idea that development is a human right (Centre for Development and Human Rights, 2004).
Of course, governments committed to improving the well-being of their citizens have often employed national legislation as well as the administrative process for social welfare purposes. For example, regulatory legislation has been used in many countries to require the payment of minimum wages, prevent the arbitrary eviction of tenants from their homes, limit the interest rates charged by banks and other financial organisations, prohibit discrimination on the grounds of race, gender or ethnicity, and require the immunisation of infants, among many others. Although these provisions have undoubtedly contributed to people's well-being, they are not viewed as giving expression to fundamental human rights, nor are they linked to national planning. Indeed, in many countries, and particularly in the Western nations, regulations and other social welfare policies have made a significant contribution to improvements in people's well-being without being linked to social planning. In many cases also, these improvements have come about because of political pressure from interest groups, including activists, rather than the activities of government planners and administrators. For example, the living wage movement in the United States has been championed by activist organisations such as ACORN (Atlas, 2010), and living wage ordinances adopted by many municipalities around the country have raised the incomes of working families.
However, initiatives originating in activist movements can be more effective if they are incorporated into the social planning process. By linking these and other regulatory provisions with social planning, the coordination of disparate initiatives and monitoring at the national level is enhanced. They also transcend the legal process, which can be cumbersome and lengthy and, as agencies implementing plans are mindful that they are also upholding rights, the process can be infused with greater momentum. Of course, it must be recognised that many governments do not actively promote a rights-based approach to social development and that compliance presents a challenge even in countries where legal procedures and regulations are well established. Nevertheless, by linking rights directly to social planning, social development goals can be more effectively achieved.
**Problems and prospects of social planning**
Planning was favourably regarded in the post-Second World War years, when its role in mobilising resources for social and economic purposes was widely accepted. After all, wartime planning as well as the Marshall Plan had clearly demonstrated the effectiveness of government planning. This was bolstered by the belief that Keynesian economic management had remedied the problems of the Great Depression and that urban planning would address the blight and decay that characterised many Western cities at the time. Soviet planning was widely admired and the defeat of the Nazi war machine by the relatively unprepared Soviet military suggested that Stalin had created a highly efficient planning system. As noted earlier, planning was also viewed positively by nationalist leaders in the colonies, who believed that development planning would modernise their traditional subsistence economies.
Although planning was largely taken for granted, serious academic accounts of its benefits as well as its limitations emerged. One of the first was the debate between Hayek and Mises, on the one hand, and Lange and Lerner, on the other (Hayek, 1935). While Lange and Lerner stressed the role of planning in enhancing economic efficiency, setting goals on a rational basis and mobilising resources, Hayek and Mises argued that planning was inherently inefficient and, to make matters worse, required coercion. In 1944, Hayek reiterated this argument, contending that well-intended government planners and advocates of welfare statism were leading the Western democracies down the road to serfdom. As is well known, his book sold well in the United States but had little appeal in Europe. Keynesians were generally bemused and leading advocates of planning, such as Myrdal, simply ignored Hayek's arguments, insisting that planning was the only way of addressing the problems of mass poverty and deprivation in the developing world.
The governments of most newly independent governments agreed and centralised planning agencies were established throughout the Global South. However, planning's shortcomings were soon recognised, and by the 1980s numerous studies had drawn attention to its failures. Waterston's (1965) pioneering book was clearly in favour of planning but gave many examples of its limitations. Bauer (1971), who was a leading critique of development planning, pointed out that in addition to serious technical challenges, planning was based on the false assumption that government intervention rather than markets would produce rapid economic growth. Drawing on Hayek's insights, he also argued that this would require unacceptable interference by the state, destroying freedom and democracy. He was especially perplexed that many Western intellectuals had embraced planning, reflecting an _avant-garde_ predilection for statist doctrines. Lal (1983) agreed and vigorously challenged what he described as the _dirigisme_ dogmas of conventional development economics. Planning in Africa came in for particularly severe criticism and, as Ayittey (1994) summarised, many critics believed that the region's planning ministries had produced hortatory documents which had no prospect of being implemented.
In many cases, developing countries formulated plans at the behest of international organisations such as the United Nations and the World Bank, and many were motivated by the lure of using planning to obtain development aid. It was also recognised that few developing countries had sufficiently well-trained professional planners and that the data which informed planning were usually unreliable and sometimes non-existent. Many countries were challenged by resource and implementation difficulties and, in addition, plans were often based on inappropriate mathematical models and biased towards urban industrialisation. Although social planning was intended to address this problem, some argued that it had not successfully redirected economic planning towards social goals. In addition, some claimed that it had failed to transcend the entrenched incrementalist tendency in social policy in many developing countries (Hardiman & Midgley, 1982).
Planning was also criticised in the industrial nations. As the limitations of Soviet planning became apparent, and the mistakes of urban slum clearance in Western countries were recognised, planning lost its appeal. Hayek's ideas and those other market liberal economists such as Friedman influenced President Reagan, Prime Minister Thatcher and General Pinochet. The imposition of structural adjustment programmes by the IMF and the World Bank further undermined development planning. In addition, serious methodological criticisms by Lindblom and others challenged its basic principles. As was shown earlier in this chapter, he and other advocates of incrementalism contend that economic and social goals can best be achieved through an ongoing decision-making process rather than formal synoptic plans. They argue that the techniques developed by macroeconomists, mathematicians and operations research experts are out of touch with the rapidly changing real world. It is not surprising, they claim, that prescriptive plans cannot accommodate the complex factors that affect decision making.
In addition to arguing that planning requires coercion, Hayek (1948) argued that planning is simply impossible because no matter how technically sophisticated, planners cannot know how the many millions of individuals who comprise societies make decisions about their needs and wants and decide how to spend their resources. Even with accurate data, surveys and computers, the market is a far superior mechanism for allocating resources. A subtle variation on this idea was offered by Popper (1945, 1957), who argued that planning is based on a false utopian vision which planners are determined to achieve, even if prevailing social and economic conditions prevent its realisation. For example, as it became apparent that the Marxist utopian vision of a perfect communist society was not being realised, Soviet planners invoked the coercive power of the state to force their beliefs on society, with disastrous consequences. Planning has been equally disastrous in other Communist countries, including China, Cuba and Cambodia. Instead of adopting planning, Popper believed that social reform can best be brought about through a piecemeal, incremental approach that sustains the democratic principles of an 'Open Society'.
Advocates of synoptic planning counter that many countries have adopted planning without abandoning democracy. Planning, they contend, is not in itself to blame for totalitarianism. Governments of very different political complexions in many different parts of the world have successfully employed planning and, although it is true that the Soviet model was based on a centralised, directive approach, planning in other Communist countries (such as Czechoslovakia, Hungary and Yugoslavia) was more flexible, fostering incentives as well is decentralised decision making. This type of planning featured prominently in the theory of market socialism advocated by Lange (1938) and others (Bardhan & Roemer, 1993; Pierson, 1994). It is also the case that planning has been used extensively in the Western countries, where it has improved budgetary decision making and fostered urban renewal and regional development. Planning has also been adopted by large commercial corporations that do not see planning as posing a threat to self-determination.
Planning has perhaps been most successfully employed to promote rapid economic and social development in what is often referred to as the East Asian 'developmental states' (Leftwich, 2000). Some, such as Korea and Taiwan, adopted centralised planning while others, such as Japan, employed a sectoral approach in which government agencies such as the Ministry of International Trade and Industry (MITI) shaped the country's impressive economic development performance after the Second World War (Johnson, 1982). In Singapore, the country's centralised planning agency was only one of several instruments of government policy augmenting strong political leadership and collaboration among different interest groups. While it is true that Korea's push for industrialisation was initiated by the military government, and that Taiwan and Singapore were under authoritarian rule, this was not the case in Japan or in other East Asian countries, such as Hong Kong and Malaysia, which also experienced rapid development. Today, planning is still given priority by Korea and Taiwan's democratically elected governments. Another example is the use of planning in Brazil, where two successive democratic governments have adopted a 'development state' strategy to promote rapid growth.
Korea is an interesting case of the use of planning. Initiated by General Park Chung Hee's military government in the 1960s, the country experienced rapid industrialisation and an exponential increase in wage employment, resulting in what Kohli (2004) describes as a 'phenomenal' improvement in living standards. He points out that the Economic Planning Board, which was established in the President's Office, played a major role in setting targets, coordinating the work of sectoral ministries, allocating resources and mobilising emerging commercial corporations in support of the government's industrialisation policy. Although this was achieved in an authoritarian setting which suppressed dissent, the country's impressive economic and social achievements were augmented with political freedom after democratisation in the 1980s. This does not mean, as Kohli and others have emphasised, that Korea has become a utopia. Indeed, the 1997 financial crisis showed just how vulnerable the rapidly industrialising East Asian nations were to economic adversity. However, with a strong government, an educated population, high standards of living and a democratic system, challenges are being addressed. As Ringen and his colleagues (2011) reveal, the Korean nation has lifted itself from poverty and dictatorship to affluence and democracy, and state intervention has played a significant role in achieving this goal.
However, it must be recognised that the effective use of planning in the East Asian developmental states is associated with a number of favourable conditions and that planning may not be as successfully adopted elsewhere. As noted earlier, the failure of planning in a number of countries has been well documented. Kohli (2004) points out that Korea's economic success was dependent on a strong central state which was relatively impervious to rent seeking and corruption, at least in the early years, and that was able to collaborate with entrepreneurs in the commercial sector who are willing to align their own interests with that of the country as a whole. The government also had a relatively well educated and disciplined labour force that accepted its industrialisation agenda, recognising that the expansion of wage employment opportunities would improve their own incomes and standards of living. In addition, Korea, like other East Asian countries, have cultural traditions conducive to a state-directed development process. Obviously, many other countries have very different cultural, social and economic conditions that are not conducive to state-directed planning.
Despite the criticisms levelled against social planning, it has many advantages. One of these is the overriding need to enhance efficiency. Advocates of planning reject the claim that the market is the most efficient way of improving living standards and, while mindful of the limitations of the synoptic approach, they contend that the key features of planning, such as needs assessment, goal setting and the formulation of rational courses of action based on a comparison of costs and resources, is even more efficient, particularly when political arrangements are created to mobilise the contributions of non-governmental organisations, businesses, trade unions and citizens in a coherent way. The market plays an obvious role in economic development but it is not the only way of securing prosperity and, as was argued earlier in this book, a market-centred approach is unlikely to address the problem of distorted development which requires redistributive and other policy instruments implemented through social planning. It is also an important way of mobilising people around common economic and social goals and for promoting social solidarity. However, it must be stressed that planning, of itself, is not able to bring about economic and social development. Even in countries such as Korea and Singapore that have experienced rapid modernisation, planning is only a tool of government policy and only one of several factors contributing to their economic and social transformation.
Today, few advocates of planning favour the centralised, top-down planning model adopted by the Soviet Union and many governments of developing countries in the years following the Second World War. However, they believe that social planning can and should be used to raise standards of living and promote social development. Planning is not incompatible with democracy and, in addition to being subject to democratic control, techniques that enhance people's participation in the planning process are being more widely employed. Today, more governments are using planning and challenging the anti-statist trend of the last 20 years. As was noted earlier, social planning is playing a vital role in implementing the Millennium Development Goals. Although planning is not a panacea, it is an effective social development practice strategy which the world's governments can use to achieve social development goals.
**Suggested additional readings**
Although social planning has been attacked and undermined by market liberals since the 1980s, it is making a comeback, particularly as governments adopt planning to implement the Millennium Development Goals. Although the literature on the subject is limited, the following are useful resources. The literature on the rights-based approach to development, which is linked with social planning in this chapter, should also be consulted.
• Bauer, P. T. (1971). _Dissent on Development_. London: Weidenfeld & Nicolson. Offering a trenchant critique of development planning and other forms of government intervention, this book has become a classic which summarises many of the arguments made by market liberals against planning.
• Ishay, M. R. (2004). _The History of Human Rights: From Ancient Times to the Globalization Era_. Berkeley, CA: University of California Press. This historical overview provides a readable summary of the evolution of human rights thinking and the many issues raised by the human rights discourse over the years.
• Kohli, A. (2004). _State Directed Development: Political Power and Industrialization in the Global Periphery_. New York: Cambridge University Press. This scholarly book discusses the development record in a number of developing countries with reference to the role of governments. Although not primarily concerned with planning, it shows that some countries, such as Korea, have successfully employed development planning to promote economic and social development.
• Leftwich, A. (2000). _States of Development: On the Primacy of Politics in Develop_ _ment_. Cambridge: Polity Press. The development state concept has been used to characterise a number of countries that have successfully employed development planning. In this book, the author discusses the concept of the development state and provides examples of how governments have sought to become successful development states.
• Moser, C. & Norton, A. (2001). _To Claim Our Rights: Livelihood, Security, Human Rights and Sustainable Development_. London: Overseas Development Institute. This brief but comprehensive book provides an excellent introduction to the rights-based approach to development.
• Waterston, A. (1965). _Development Planning: Lessons from Experience_. Baltimore, MD: Johns Hopkins University Press. Although now out of date, this book provides a comprehensive account of the history and features of development planning in the twentieth century, and particularly in the post-Second World War years.
PART IV
CONCLUSION
12
THE AGENDA: ACHIEVING SOCIAL DEVELOPMENT
Since the term 'social development' was first used to describe community development projects in the Global South more than 60 years ago, a great deal has been achieved. Social development is now recognised as a distinctive approach for promoting social well-being not only in the developing but in the Western world as well. From formative community-based projects, a variety of interventions have been introduced and many of these, such as community development programmes, microenterprises, childcare centres, asset accounts and employment generating projects, are now associated with the field. The scope of social development practice has also been enlarged and now encompasses small-scale, local projects, national programmes and international initiatives such as the Millennium Development Goals. In addition, innovative theoretical ideas have emerged and although social development is still primarily a practical affair, different normative perspectives and schools of thought, such as the capabilities and livelihoods approaches, gender-focused social development, the asset approach and sustainable development, provide intellectual foundation for social development practice. Together, theory and practice in social development have combined to promote social well-being.
Despite these achievements, much more needs to be done. While social development has undoubtedly contributed to the social improvements that have taken place around the world over the last half-century, many obstacles to implementing the social development agenda still need to be addressed. Practice is still fragmented and projects are inadequately funded and faced with implementation challenges. Although there have been significant conceptual innovations, few would claim that an acceptable level of theoretical sophistication has been achieved. In addition, disagreements about which normative perspectives are best suited to promoting social development remain unresolved, with the result that competing strategies are being implemented, impeding the realisation of social development goals. Nevertheless, there is a sincere commitment to address these problems and achieve the social development agenda.
This concluding chapter discusses the social development agenda with reference to the book's own normative approach which will be called _institutional structur_ _alism_. This approach is distinctive in that it seeks to address the structural problem of distorted development facing many countries by providing an overarching framework for practice that draws on the different normative perspectives, mobilises different social institutions and agents, and utilises different practice strategies. It does so within a wider corporatist political framework based on cooperation and consensus. Informed by various social sciences theories, this approach is pragmatic, pluralist and flexible, recognising that there is no single, simple solution to the problem of distorted development. It will be argued that proactive governments play a vital role in implementing this approach through a process of what will be called _managed pluralism_. The chapter outlines this approach and discusses its key features and theoretical roots. Intellectual challenges as well as real-world barriers to implementing this approach are examined. Although these must be taken seriously, the chapter concludes optimistically that the social development agenda can be implemented provided that the role of power is recognised and that practitioners and social development scholars are committed to the struggle ahead.
**Social development: Towards institutional structuralism**
As discussed previously in this book, social development is a process of planned change designed to promote the well-being of the population as a whole within the context of a dynamic development process in which social investments and the participation of the population are prioritised. The distinctive features of this process have already been examined and need not be repeated here. However, there are major disagreements about these features and about the theoretical principles on which social development is based. For example, some prioritise projects that target poor people, women and minority groups while others focus on national level social planning. Some stress the need for activism while others contend that improving economic livelihoods should be given priority. Some believe that professionals and paraprofessionals should be responsible for implementation while others argue that grassroots community groups can initiate projects with little, if any, external support. In addition, while social investment is a key feature of the social development approach, its importance is not always recognised. Different opinions on these diverse aspects of social development also reflect preferences for the different normative perspectives discussed earlier in this book and, in turn, reveal deeper ideological differences in the field.
Since ideologies do not tend naturally towards compromise or synthesis, advocates of different perspectives usually champion their own preferences and other approaches are ignored and even dismissed. Although this has resulted in fragmentation, duplication and inefficiency, there is greater awareness today that the different practice strategies discussed in Part III of this book should be integrated within national social development plans if they are to contribute effectively to social development. In addition, social development's inherent pragmatism suggests that diverse normative perspectives can be accommodated within a pluralist interpretation that harnesses and accommodates their respective insights. However, this requires that different agents, practice strategies and social institutions are configured within a coherent normative framework and committed to a process of struggle that mobilises power for social development.
This book contends that it is possible to formulate a framework of this kind. It challenges the popular belief that there are 'quick fix' solutions and contends that social development should involve a process in which the different institutions of society as well as different groups and practice strategies are mobilised. To achieve this goal, _institutional structuralism_ draws on different social institutions and seeks to mobilise them and the groups and associations they represent, to implement the social development agenda. However, in this interpretation, the state plays a key role by directing, guiding and enabling social development effort. As noted earlier, this involves the adoption of an approach to statecraft known as _managed pluralism_ , which, it is argued, is the best way of mobilising different groups and associations as well as different practice strategies. To achieve this goal, corporate and reciprocal relationships between civil society organisations and households and commercial enterprises should be established. In this pluralistic setting, which is best achieved in an open, democratic society, a proactive state is both responsive to and constrained by different institutional forces and can use its considerable resources and power to promote social well-being for all.
Theoretical roots
Unlike orthodox normative conceptions of social change such as market liberalism, Marxism and radical populism, institutional structuralism is rooted in a centuries-old tradition of realism and pragmatism. In its modern form, social development's pragmatism can be traced to social thinkers such as Peirce and Dewey and the Fabians in the nineteenth century, and was reinforced by social liberalism and social democratic thinking in the twentieth century. Although its pragmatism has been widely accepted, this does not mean that social development is atheoretical or devoid of value commitments. Indeed, these value commitments are revealed in the significant efforts made by social development advocates to improve social well-being since the Second World War. While true believers in dogmatic ideologies reject any type of accommodationism or reformism, social development's pragmatism has had a major impact around the world.
The concept of managed pluralism has venerable roots in political theory and social policy (Braybrook & Lindblom, 1964; Dahl, 1961; Gilbert, 2009). However, as noted earlier, social development's pluralism does not adopt an eclectic position in which all normative perspectives and practice strategies have equal validity; instead, they are prioritised, coordinated and structured within a complex, multifaceted planning process. Since social reality is not based on markets alone or on individuals or households or communities or the state, but comprises a complex mix of these different, overlapping institutions, institutional structuralism pragmatically recognises their respective contributions to achieving social progress. As mentioned previously, to mobilise different agents and practice strategies, a proactive, enabling state that uses its power to direct the development process is required. Governments are uniquely able to command resources and they have the authority to promote the social development agenda through managed pluralism. However, there are strong ideological objections as well as formidable practical impediments to this argument as well as efforts by sectional interest to control the state for their own ends.
In addition, there are major theoretical disagreements about the nature and function of the state. Traditional Marxist and Weberian theories that emphasise the use of power by the state have been augmented by pluralist conceptions that see the state as a neutral umpire, mediating between competing interests. Similarly, the monolithic and monofunctional view of the state as the servant of capitalism or otherwise as the enemy of liberty and entrepreneurship has been transcended by accounts that see the state as a site of struggle. In these accounts, which are associated with the work of Bourdieu (1994, 1998), the state is conceptualised as a complex institution comprising multiple groups and political forces that operate within what he calls a bureaucratic field. These theoretical insights and an understanding of how the state uses power (Hearn, 2012) inform the implementation of the social development agenda.
The historic and theoretical roots of institutional structuralism can be traced to the European Renaissance, when utopian and humanist writers laid the foundations for subsequent progressive and reformist ideals which were more widely accepted during the Enlightenment. They also championed the idea of toleration and fostered the acceptance of pluralism and pragmatism in the nineteenth century. However, the authors of the 'grand narratives' of nineteenth-century thought, including nationalists, market liberals, Social Darwinists, Marxists and populists, who claimed to have uncovered the true dynamics of historical change, rejected this approach and insisted that their own prescriptions were the only way of achieving progress. On the other hand, the New Liberals in Britain and the Progressives in the United States as well as social democrats in Sweden and Germany, socialists in France and Spain and the Fabians in Britain, pioneered a pragmatic approach to social change. Although they also drew on the critical ideas of earlier revolutionaries and Marx, Engels and Bakunin, among others, they rejected the apocalyptic insistence on violence and argued that proactive governments utilising technocratic expertise in a democratic context could foster progress.
The ideas of Saint Simon and Comte and especially Veblen informed this approach and inspired a generation of interventionist economists and other social scientists who participated prominently in the New Deal in the United States and the creation of the so-called European 'welfare states' after the Second World War. Keynes drew on similar ideas to demonstrate how judicious planning could not only respond to economic crises but also foster long-term stability. Veblen's critique of market liberalism and his insistence on the importance of social institutions in economic life eponymously shaped the institutional structuralist approach, as did Durkheim's emphasis on strengthening solidaritistic forces in rapidly industrialising societies. His ideas subsequently influenced twentieth century sociologists and political scientists such as the American structural functionalists, as well as social policy writers such as Titmuss and Wilensky, who advocated the institutionalisation of state welfare as an elemental feature of social life (Midgley, 2009). The theory of market socialism which sought to find a compromise between centralised Soviet-style economic planning and unfettered markets has also contributed to the institutional structuralist approach (Bardhan & Roemer, 1993; Pierson, 1994).
Also relevant is the theory of corporatism, which explains the efforts of a number of European governments to forge collaboration between the state, business and unions (Pekkarinen et al., 1992) in an effort to promote social solidarity and stability. Corporatism in Europe is also associated with wider cultural and religious traditions that seek to harmonise diverse social institutions. Indeed, van Kersbergen (1995) notes that European pluralism is heavily influenced by Christian Democracy and the idea that the state, household, market and community should be integrated within complimentary structures that reflect notions of subsidiarity and 'sphere sovereignty'. Similar themes can be found in Confucianism, Buddhism and Islam, and in other cultural traditions where institutions are linked together to form a solidaristic and harmonious structural whole. While, as Monsma (2012) points out, religious interpretations imply that these social structures are ordered and legitimated by God, secular interpretations see them as emerging from a contractarian compromise between different interests in which the state plays a primary role. In this conception, structures are forged over time to define and harmonise the respective roles of the family, community, market and state and to promote social solidarity. However, there are differences in the extent to which the state is given primacy. As Stjerno (2004) shows, there are very different views on this question in European social thought and similar differences are to be found in American social science as well. While neoconservative scholars such as Nisbet (1958) and Berger and Neuhaus (1977) place far more emphasis on civil society and faith-based organisations, communitarians such as Etzioni (1993) are more accommodating of governments. Nevertheless, mediating structures are viewed as countering centrist tendencies and preventing the emergence of totalitarian governments. A similar commitment to balancing the power of the state is to be found in social democratic thinking where pluralism is institutionalised.
These theoretical ideas have contributed to the formulation of this book's institutional structuralist approach. Although based on Midgley's (1995) earlier work, this approach is also shaped by the interpretations of Myrdal and Seers. Concepts similar to institutional structuralism and managed pluralism have also been expressed in more recent normative conceptions, such as Kelly's (2012) notion of the 'generative economy', Schweikart's (2011) concept of 'economic democracy' and what Peet and Hartwick (2009) call 'democratic development'. The World Bank's (2008) commitment to promote 'inclusive growth' through its lending policies expresses similar ideas. Analyses of the most effective mix of policies and programmes for achieving sustained economic growth in the Global South, such as Acamoglu and Robinson's (2012) mammoth study, have reached policy conclusions that reflect many features of the institutional structuralist approach. These findings are echoed by other development scholars who have analysed the successful development experiences of countries in the Global South (Besley & Perrson, 2011; Collier, 2009; Lin, 2012).
A major theme in these accounts is the adoption of policies that promote equality. The challenge of distorted development and a commitment to address this problem reaffirms earlier egalitarian commitments in social development thinking associated with the work of Myrdal, Seers, Townsend and Titmuss, among others. It is heartening that equality is again on the agenda after having been banished from intellectual discourse for several decades. Even in the United States, economists such as Galbraith (2012), Rajan (2010) and Stiglitz (2012), among others, are again focusing on this issue, pointing out that rising inequality poses a serious threat to social and economic well-being. As noted earlier, conservative writers such as Murray (2012) agree, stressing the divisive and destructive effects of social inequality.
Implementing managed pluralism
Obviously, there are formidable challenges to implementing the institutional structuralist approach and mobilising different social institutions, fostering plural, corporate relationships and undertaking strategic social planning, but, as will be shown later, the governments of a number of countries have successfully adopted this approach. By harnessing the power of economic markets, promoting social investments and creating opportunities that facilitate the participation of individuals and their families in the development process, many have addressed the problem of distorted development and many have achieved a high level of prosperity. Most of these countries have created corporatist structures comprising durable alliances between the state and other social institutions within an open democratic system.
A proactive, enabling government committed to mobilising multiple agents and institutions needs to identify and coordinate the roles of different agents and practice strategies to maximise complementarity and efficiency. Although households, communities and markets are mobilised, the state is best able to implement policies that foster economic growth and integrate the various dimensions of the development process. It is also uniquely able to foster social investments on a significant scale. Although non-governmental organisations, families and commercial providers also invest, it is ultimately governments that have the resources and the organisational capacity to achieve this goal. Social planning is a key mechanism by which social investments can be mobilised on a national scale. However, this requires that the state and its policy makers and planners transcend a narrow technocratic approach and proactively accommodate disparate interests and perspectives into social development policies and plans.
Admittedly, this ideal is difficult to achieve, not only on technical but political grounds. As was noted in the last chapter, there are major challenges to formulating and implementing comprehensive social plans which are compounded by the need to accommodate diverse economic, cultural and social conditions and to respond flexibly to changing conditions and different national contexts. On the political front, it has been argued earlier that the exercise of power by the state on behalf of the common good will be challenged on ideological grounds and by vested interests that seek and, as Hearn (2012) points out, too often succeed in controlling state power for their own purposes. Certainly, it cannot be assumed that those who control the state will benignly use their power and resources in the interests of the people. Governments and their political and administrative elites display a perennial predilection towards centralisation, which has too often resulted in bureaucratic indifference and arrogance as well as dictatorship and the brutal exercise of power in the interests of the ruling elite. Even democratically elected governments veer towards centralisation unless countered by democratic institutions and popular participation.
However, as noted earlier, the state is not a monolithic institution with a single purpose but a site of struggle where different groups seek to exercise power for very different purposes. It is in this context that the implementation of the social development agenda takes place in a field of opportunity in which progressive governments are able to exercise power on behalf of their citizens and in which well-trained and committed planners and administrators can implement this agenda. Similarly, interest groups such as community activists, political parties, non-governmental organisations and trade unions also contribute to counter centralisation, corruption and inefficiency. Often, the egregious actions of governments and business elites have been met with media exposure, protest and popular resistance. For these reasons, institutional structuralism and the concept of managed pluralism are based on the notion that achieving the social development agenda involves an ongoing process of struggle in which exercise of power is a key factor.
Community institutions play a vital role in implementing the social development agenda and play a particularly important role in balancing the power of the state and market. In a pluralistic environment, a large number of civil society organisations, including non-profits, faith-based organisations, grassroots associations, political parties, media organisations and trade unions, have restrained the market and pressured governments to act on behalf of the wider community. Unions have been particularly active and organised groups and spontaneous social movements have also campaigned to give voice to women, ethnic minorities, indigenous communities and other oppressed people. Grassroots associations comprised largely of women, particularly in developing countries, have exerted growing influence and their efforts have been supported by the international feminist movement. Although institutional structuralism emphasises the role of government in social development, participation and activism is an integral part of this approach.
Households and families also make a critically important contribution to the social development agenda. Although the livelihoods approach prioritises their role, large numbers of families are too poor to participate fully in the development process and because of poverty and other structural impediments, external resources are needed. Clearly, governments must foster social investments, provide access to services and create opportunities for families to realise their aspirations. They need to foster social investments and address the barriers that impede participation in the economy such as gender oppression and discrimination against minorities and indigenous groups. Non-governmental and faith-based organisations also serve as mediating institutions between states and households. In addition, they can promote democratic participation and promote social solidarity. Women's organisations are often a locus as well as a mechanism for facilitating family participation. Cooperatives have also contributed to household well-being on a significant scale. They foster solidarity and promote economic participation by linking households to markets.
The role of markets and businesses should also be recognised. In the _Communist Manifesto_ (1848), Marx and Engels acknowledged capitalism's productive power and, today, communist countries such as China and Vietnam have realised that markets are a source of prosperity. However, few social development advocates take a balanced view of markets and for many the very mention of the word is anathema. And few recognise that markets are comprised of very different entrepreneurs, ranging from small, family-owned firms to large multinational corporations. These differ greatly in the extent to which they engage in exploitative and predatory practices. Indeed, many businesses are not exclusively driven by profit motives but, as Miller and Lapham (2012) point out, ensure that their workers are fairly compensated, provided with decent benefits and even participate in decision making. This is not only the case with cooperatives, but with family-owned and even larger businesses which have a reputation for promoting decent work. Similarly, not all firms are indifferent to the communities in which they operate and many have adopted socially responsible and environmentally sustainable practices.
On the other hand, the fact that unregulated and predatory commercial interests have exploited workers, polluted the environment and harmed local communities should not be ignored. Large corporations regularly lobby government to protect their interests, and many avoid paying their fair share of taxes, or indeed any taxes at all. They also obtain large subsidies and other advantages, and as Davidson (2012) reveals, many use complex sales and marketing tactics to exploit consumers. Although many are committed to social responsibility, their track record, especially in developing countries, leaves much to be desired. While some will disagree with Korten's (1995) claim that corporations now rule the world, their activities have been widely criticised. Nor should the insights of Keynes and Schumpeter about the destructiveness of markets be overlooked. As the recent Great Recession revealed, unregulated capitalism has wrecked many economies and wrought suffering to hundreds of millions of people. Accordingly, policies that direct and regulate markets to ensure that they serve people rather than elites is a key part of the social development agenda which, admittedly, is difficult to achieve in the current political and economic climate.
While markets have a role to play in social development, greater state direction and control is needed even though many business interests will actively oppose regulation. Cooperatives can also ensure the equitable utilisation of markets by households and communities. Kelly (2012) shows that employer-owned enterprises now employ significant numbers of workers and that many communities have mobilised to manage common resources. In Mexico, between 60 and 80 per cent of forests are communally owned and in Maine in the United States, the lobster fishing industry is managed by cooperatives ensuring its long-term sustainability. In Denmark, many local communities own and manage wind farms. These examples reveal that cooperatives, employee-owned firms and even communities can utilise markets to promote their well-being.
The implementation of the social development agenda requires that civil society organisations, households, businesses and governments collaborate to promote social development. However, the challenges of implementing this agenda and the difficulties of finding a balance with reference to the respective roles of different institutions and agents poses a major challenge. There are formidable difficulties in ensuring that governments are representative of their citizens and act in their interests and are responsive to people's organisations. Similarly, it is difficult to properly regulate and direct markets to create employment, generate decent incomes and foster social well-being. Nevertheless, advocates of the institutional structuralist approach contend that the development process can be people-centred and that the structural impediments to progress, as manifested in the problem of distorted development, can be addressed through the exercise of power by progressive and democratic governments.
**Barrier and challenges**
Many critics will respond with incredulity and even ridicule to the argument that social development can be achieved through the institutional structuralist approach or that governments can promote the well-being of their citizens through a process of managed pluralism. In addition to the perennial opposition of those who oppose any form of statism, intellectual challenges will come from market liberals and postmodernists who are critical of planning and sceptical about the possibility of achieving progress. Traditionalists will condemn the way development is allegedly eroding cherished institutions, values and beliefs, resulting in a decline in order, solidarity and respect. Ecologists will argue that the social development agenda contributes to environmental degradation and that instead of seeking more development, a steady state economy supported by traditional values and institutions is needed. Scholars of the Titmussian 'welfarist' school will also challenge the idea that economic growth is an effective mechanism for achieving social well-being. In addition, social development advocates who champion particular development strategies and normative commitments will reject the call to subsume their own preferences under an overarching framework such as the institutional structuralist approach. Another problem is that many academics prefer to criticise than to identify workable solutions. While it is easy to dismiss proposals such as the one offered here on the grounds that they are unlikely to bring about transformative social change, armchair critics do little, if anything, to contribute to the struggle for progress.
Of these concerns, scepticism about the optimism of the social development agenda should be taken seriously for social change over the last century has indeed been volatile and chaotic. Unfettered markets not only caused havoc during the recent Great Recession but have fostered longer term conditions of distorted development around the world. In addition, many barriers have impeded social development over the years. One of these is institutionalised violence. Although violence has been used throughout history to serve the interests of elites and dominant religious and ethnic groups, and to seize territory and enslave the conquered, the use of modern military technologies has resulted in even more widespread suffering, particularly among civilians. The civil war in Syria devastated local communities as government forces have obliterated residential neighbourhoods, killing thousands of ordinary people. Similar tactics were used by the Soviet military in Chechnya, which turned the capital Grozny into a wasteland, and in Gaza where the Israeli military has used its destructive weapons to crush Palestinian resistance. The World Bank (2011) reports that wars, civil conflicts and other forms of violence now affect the lives of more than 1.5 billion people and that it has obstructed development in many parts of the world. More than 43 million people have been displaced by violence and now live as refugees (United Nations, 2011). Violence is particularly widespread in poor countries with rigid class and ethnic cleavages and limited democratic participation (Collier, 2009). Religious fundamentalism is another major factor today as terrorist organisations affiliated with radical _salafist_ movements resort to violence and terrorism to promote their cause. Organised crime is also having a negative effect on development. Drug cartels in Central and South America, armed gangs that control mineral deposits in the Congo and human traffickers in Europe all impede the social development process. As a recent World Bank study (Narayan-Parker & Petesch, 2009) revealed, many local poverty alleviation programmes have been rendered ineffective because of violence.
Violence exercised through imperialism and unipolarism continues to pose a major challenge to social development, even though the formal empires of Europe, which ruled the world for centuries, have disintegrated. The invasion of Afghanistan and Iraq, two sovereign nations, by the United States and its allies at the beginning of the twenty-first century caused the deaths of hundreds of thousands of civilians and, more than a decade later, the people of both countries continue to suffer. Despite claims to be engaged in nation building and development, it is hard to imagine how occupying armies can promote social development. As new imperial powers emerge within the global world system, it is likely that global violence and subjugation will continue. Particularly obnoxious is the fact that colonial settlement is still taking place today in Palestine and Tibet, despite the collapse of the European imperial project many decades ago.
The problem is exacerbated by the international arms trade which generates large profits for manufacturers, brokers and the governments of several Western countries that claim to be committed to promoting peace and development. It is not surprising that recent efforts by the United Nations to secure support for a global Arms Trade Treaty (ATT) have faltered. The monetary stakes are high and, as Feinstein (2011) points out, attempts to reduce the international supply of weapons will have serious economic consequences not only for producer nations, but for consumer governments and their military, which benefit hugely from these purchases. In many poor countries that are unlikely to go to war with anyone, the purchase of weapons often involves kickbacks and provides a lucrative source of income for politicians, senior civil servants and high-ranking military officers. Today, the international arms trade is a major cause of political corruption and ineffective governance.
Corruption, political indifference and bad governance are indeed major barriers to implementing the social development agenda. Since managed pluralism requires a proactive state operating in an open democratic environment, countries with authoritarian governments characterised by corruption and incompetence are unlikely to achieve this agenda. Many developing countries richly endowed with natural resources have failed to use their wealth to promote the well-being of their people, impeding social development efforts. However, contrary to popular stereotypes, bad governance and corruption are not confined to the Global South. The extraordinary sums of money spent in the United States during presidential elections and, as numerous writers (Davidson, 2007; Hacker & Pierson, 2010; Lessig, 2011) have shown, the powerful influence of lobbyists in the Congress ensures that corporate and other interests are well served. Although the United States is widely regarded as a bastion of free market capitalism, its federal and state governments also provide massive subsidies to commercial firms, industry, agriculture and other interests (Miller & Lapham, 2012; Zepezuaer, 2004). Indeed, some writers, such as Galbraith (2008) and Ferguson (2012), believe that rent seeking has now become so pervasive that the country has become a 'predatory state'. Numerous political corruption scandals in European countries also demonstrate that the problem is widespread. Corruption is a major barrier to social development in many parts of the world and, as Nallari and Griffith (2011) point out, undermines the social development agenda.
Bad governance is often a reflection of the institutionalisation of oppressive practices and in some countries oppression is a way of life. This is the case in societies where gender inequality is deeply institutionalised and supported by long-standing cultural beliefs about women's supposedly traditional roles. The failure of some governments to suppress dowry, child marriage, debt bondage and even slavery is reprehensible, not only on moral grounds but for creating barriers that prevent people from realising their potential. Astonishing as it may seem, slavery is still practised today (Androff, 2011; Bales, 1999). In Mauritania, an institutionalised caste system and historical tradition of slavery yoke more than 800,000 people, and particularly women, to landowners and other elites. As many as 27 million people around the world labour in debt bondage, thousands of women in Europe have been trafficked for prostitution, and in excess of 300,000 child soldiers have been dragooned by militias to engage in acts of unspeakable violence. These militias also conscript thousands of girls as sex slaves, servants and fighters.
Institutionalised discrimination, racism, religious hatred, ethnic conflict and entrenched inequalities also pose a barrier to social development. Divisions on grounds of ethnicity and religion are widespread around the world, and often minority groups are seriously disadvantaged. These divisions are tragically manifested in ongoing conflicts in the Congo, Kashmir, Occupied Palestine, Tibet and elsewhere, where people's legitimate aspirations have been suppressed, fostering discontent and violence. Similar barriers prevent religious, ethnic and indigenous communities from realising their potential. Indigenous people live on the margins of many societies, including Western nations such as Australia and the United States. Although Western countries no longer have rigid caste-like structures of inequality, the concentration of income and wealth among a small minority threatens social cohesion and poses a major challenge to social development. Particularly problematic is the perpetuation of gender inequality in these countries, where affirmative action policies have undoubtedly had a positive impact but have nevertheless failed to ensure that equally qualified men and women earn the same salaries. Another problem is the persistence of discrimination against elderly people and people with disabilities, who are still denied access to education and employment in many parts of the world. Unfortunately, the social development literature has paid little attention to their needs.
These inequalities are associated with disparities in access to health, education and nutrition, which also present barriers to social development. The AIDS pandemic has decimated whole communities, particularly in Africa, where young people, who are the future of their nations, have been disproportionately affected. Other contagious diseases such as tuberculosis and malaria also debilitate hundreds of millions of people, limiting their ability to contribute to development. In some countries, the denial of access to schooling among children, and particularly girls, as well as limited opportunities for talented young people to obtain higher education also has a negative effect on social development. Environmental pollution and the threat of climate change affect the livelihoods of millions of people who are endangered by floods associated with rising seawater levels and more volatile weather systems. In addition to the destruction of crops and infrastructure, many social development projects are damaged. At the same time, desertification is driving pastoralists out of their traditional grazing grounds, disrupting their livelihoods and well-being. Environmental degradation and injustice continue to present a major barrier to social development today.
**Opportunity, power and struggle**
The intellectual challenges and real-world barriers to achieving the social development agenda, such as those discussed previously, should not foster despondency or a pessimistic conclusion that nothing can be done to improve the human condition. Understandably, many who ponder the current situation will despair about the widespread conditions of poverty, deprivation, oppression and violence that characterise the modern world. But opportunities to implement the social development agenda do exist and should be seized. This requires that the complexities of achieving this agenda be recognised for there are no simple remedies based on a single practice strategy or normative perspective. Also, it must be recognised that bringing about progressive change involves a process of struggle in which power plays a key role.
In addition, past achievements should be acknowledged. Despite the persistence of poverty, violence and oppression, much has been accomplished. There have been real improvements in local social conditions around the world and many communities that lived in abject poverty just a generation ago, now have schools, access to clean water and healthcare services even though they remain poor by international standards (Kenny, 2011; United Nations, 2011; UNDP, 2013). Many endemic diseases that killed or debilitated millions of people have been brought under control and some have even been eliminated. In the relatively short time since Western colonialism and Soviet hegemony formally ended, many more countries today have democratically elected governments that are to varying degrees responsive to the needs of their citizens. Of particular interest is the fact that more heads of state today are women. There has also been significant progress in achieving women's rights (UNRISD, 2004; World Bank, 2012). Even relatively mundane events such as the recent decision by the High Court of Botswana to modify the country's customary law so that wives have preferential inheritance rights over male relatives is a step forward.
Despite the pervasiveness of violence in the modern world, the examples of Nepal, Northern Ireland and South Sudan reveal that peace agreements can be forged. In fact, Pinker (2011) contends that there are signs that violence is declining. In addition, progress is being made to address the pervasive challenges of corruption, bad governance and dictatorship (Spector, 2005). As events in the Middle East in 2011 reveal, even oppressive governments supported by brute power can be toppled when people collectively resist (Mason, 2012). Gee's (2011) review of activism over the years is also optimistic, concluding that challenges to entrenched power by popular movements can bring about transformative social change. Despite the continuing threats of environmental damage and climate change, efforts to address these problems are continuing. Although slavery is given minimal attention in international development circles, Bales (2007) shows that groups working to abolish this repugnant practice have achieved some success. Similarly, international efforts to reintegrate child soldiers into society are making some headway (Ozerdem & Sukanya, 2011). Less dramatically, there have also been gains in reducing discrimination against people with disabilities and improving the quality of their lives (Midgley & Knapp, 2010; Shakespeare, 2012).
Social progress around the world owes much to the implementation of the social development agenda described in this book. It has already been shown that the Copenhagen Declaration and the Millennium Development Goals, which give expression to social development principles, have produced positive results. This has been achieved largely because governments have sought to combine economic development and social goals, to foster social investments and participation and to use multiple agents and institutions to achieve social development. They have effectively utilised non-governmental organisations, developed participatory practices and, in the context of a wider democratic political system, have implemented various social development interventions. As mentioned earlier, this contention is supported by several studies of successful development in the Global South. In their comprehensive analysis, Acamoglu and Robinson (2012) conclude that responsive and democratic states have effectively promoted economic growth, and Kohli (2004) agrees, showing that good governance and effective planning are primary mechanisms for achieving prosperity. Besley and Perrson (2011) reach a similar conclusion. Kenny's (2011) analysis also finds that governments working in concert with civil society organisations have promoted global development and that, largely because of this approach, 'things are getting better'. They have also cooperated with international bodies such as the United Nations, the International Labour Organisation and the World Bank to develop historically unprecedented global strategies to promote social development.
Many examples of countries that have successfully implemented the social development agenda outlined earlier can be given. The East Asian 'developmental states' are often cited as having adopted this agenda. These countries have proactive governments that are committed not only to economic growth but also to full employment and to ensuring that the population as a whole participates in and benefit from the development process. They have invested extensively in their people, and their achievements since suffering the devastation of the Second World War have rightly been recognised. In the 1950s and 1960s, the governments of Costa Rica, Mauritius and Sri Lanka were among the first to adopt a social democratic approach to social development and they were often referred to as the 'welfare states' of the Global South. All made effective use of social planning. More recently, progressive social democratic leaders such as Michelle Bachelet in Chile and Fernando Henrique Cardosa and Luiz Inàcio Lula da Silva in Brazil adopted development policies that combined economic growth with extensive social investments, highlighting the need for employment as well as education and social services. Brazil's Bolsa Família conditional cash transfer programme, which supplements the incomes of about 13 million families, is an instructive example of how governments can effectively combine social investments with economic policies. The programme has not only decreased the incidence of poverty but, as Hall (2012) reveals, reduced inequality. It also demonstrates how social investments can foster greater equality and social justice.
Many European countries that based their national development policies on a social democratic, corporatist model have also prospered. Among these, the Nordic welfare states have arguably been the most successful. Their governments have ensured that markets serve the interests of the population and they have successfully combined economic growth with social development; they have also given high priority to social investments. They have also been able to respond to new challenges such as economic downturns. A good example is the adoption of the 'flexicurity' model by the government of Denmark that was mentioned earlier in this book. A similar approach has been incorporated into the European Union's Lisbon Treaty, which was adopted by its member states in 2000. Both reveal the pragmatism of the social democratic agenda, ensuring that governments and civil society utilise markets to promote social well-being. It is hard to imagine how European survivors of the Great Depression and the Second World War could have foreseen that their devastated region would re-emerge as a major economic power characterised by regional cooperation, peace and widespread prosperity. The award of the 2012 Nobel Peace Prize to the Union and its people is a laudable, symbolic testimony to these achievements.
However, these achievements give little ground for complacency. Reactionary forces that oppose progressive social change remain active and, as was shown earlier, many real-world barriers to achieving the social development agenda still need to be overcome. The assassination attempt on the 14-year-old Pakistani schoolgirl Malala Yousafzai in 2012 for campaigning for the right to have an education is just one dramatic example of how concerted attempts to thwart progress continue to be made. These are to be found not only in traditional societies but also in modern Western nations where far right groups continue to spew hatred against minorities and immigrants and sometimes use violence for this purpose. In addition, significant numbers of people in Western countries oppose women's rights to abortion and the right of gay and lesbian couples to marry. Although those who now oppose progress are passionate in their beliefs, those who upheld slavery or denied women the right to vote more than just a century ago were equally convinced of the correctness of their views. Fortunately, they are now an historic artefact and, with continued struggle, the current opposition to progress can also be overcome.
Nor is it inevitable that social development will continue on an upward path, even in countries that have experienced significant social progress. As the recent Great Recession demonstrated, the European 'welfare states' have not been immune to economic vicissitudes originating in policy mismanagement. Since the 1990s, the Japanese economy has slowed and, some would claim, stagnated. There is growing concern in Korea about heightened inequality and the economic power of dynastic elites who control the country's _chaebols_. Although South Africa achieved freedom after decades of apartheid and implemented a social development agenda under the Mandela presidency, high levels of unemployment and corruption and infighting among its political leaders has been disheartening. Sri Lanka's impressive post-Second World War achievements, which, as Jayasuriya (2010) poignantly reveals, resulted in significant reductions in poverty and soaring life expectancy, were sullied when its government failed to address underlying ethnic conflicts which resulted in a tragic and destructive civil war.
In addition, efforts to mobilise governments at the international level for social purposes are not always successful. Despite the impressive achievements of the Millennium Development Goals, progress has been uneven and in some areas, such as gender equality, housing and international cooperation, much more needs to be done. Similarly, efforts to address environmental pollution have faced enormous obstacles and, as the Rio+20 Summit in 2012 revealed, it is extremely difficult to forge an international consensus on environmental issues. Efforts to promote greater equity in global trade have been equally problematic and proposals to replace existing trade treaties agreed under the Doha Round have stalled. Although the global campaign to eradicate smallpox that culminated in 1979 showed that it is possible for the world's nations to unite against a common enemy, attempts to eradicate polio, cholera and malaria have encountered major difficulties.
As these examples reveal, the social development agenda involves a process of struggle in which power plays a central role. When power is concentrated in the hands of elites, it is unlikely that this agenda can be achieved, but when responsive to people needs, it can be used effectively for social ends. Indeed, the social development agenda is most likely to be implemented when civil society, communities, households and the market combine with proactive governments to adopt progressive social development plans and forge a common vision for progress. It is in this context that the much abused concept of empowerment in social development can be helpful since it restates the need for everyone, including poor families and members of minorities and indigenous communities, to participate fully in development.
This vision can be influenced by academic scholarship committed to promoting social development, provided that those who contribute to the field transcend simple solutions and easy remedies and recognise the complexity of the task ahead. Also, those who currently enjoy the comforts of academic life and dismiss social development's pragmatism and pluralism as being supportive of the _status quo_ or otherwise of having truck with neoliberalism should recognise that they have an ethical duty to join the struggle. There are lessons to be learned from scholars who have recognised the need for struggle. In a moving obituary to the late Elinor Ostrom, _The Economist_ magazine (2012) reports that she often spoke of how her campaigns to secure access to the commons for ordinary people involved a hard, ongoing process of struggle. When, shortly before his death in 1883, Marx was asked by an American reporter what he thought the purpose of his life had been, the great social thinker replied 'struggle' (Whean, 1999). It is by recognising struggle around power that scholars can seize the opportunity to contribute to the social development agenda and promote people's well-being everywhere.
**Suggested additional readings**
The normative framework for social development outlined in this chapter draws on numerous sources that have approached the pressing issues facing human societies in ways that share similarities with the author's own approach. The following bibliographic sources elaborate or complement this approach.
• Acamoglu, D. & Robinson, J. A. (2012). _Why Nations Fail: The Origins of Power, Prosperity, and Poverty_. New York: Crown Business. This magisterial enquiry into the reasons why countries fail to achieve sustainable economic and social development elaborates the argument outlined in this chapter that appropriate human action and institutions as well as good governance are required to achieve long-lasting success.
• Besley, T. & Persson, T. (2011). _Pillars of Prosperity: The Political Economics of Development Clusters_. Princeton, NJ: Princeton University Press. Like the previously cited book by Acamoglu and Robinson, these authors examine the factors associated with successful development in the Global South. They use extensive statistical data to show that democratic governments using a pragmatic approach that is inclusive and committed to peace and participation have experienced positive economic social development.
• Kelly, M. (2012). _Owning Our Future: The Emerging Ownership Revolution_. San Francisco, CA: Berrett-Koehler. Arguing that 'free market' capitalism has failed to bring prosperity to the population as a whole, the author argues for an alternative style of development based on cooperation, participation and egalitarianism. Kelly believes that cooperatives should form the basis for social development, and although she does not address the role of governments in much detail, her views are similar to those expressed in this chapter.
• Kenny, C. (2011). _Getting Better: Why Global Development is Succeeding and How We Can Improve the World Even More_. New York: Basic Books. This very balanced account of social progress around the world identifies some of the reasons why, as the author argues, 'things are getting better'. It provides a useful overview of the current world situation and of social development's achievements.
• Midgley, J. (1999). Growth, Redistribution and Welfare: Toward Social Investment. _Social Service Review_ , 73 (1), 3–21. As was argued in this book, social investment is a key social development principle. This article was one of the first to discuss the role of social investment in social policy, arguing that government social expenditures can be configured as investments that harmonise the seemingly incompatible goals of promoting growth while at the same time redistributing resources.
• Nallari, R. & Griffith, B. (2011). _Understanding Growth and Poverty. Theory, Policy and Empirics_. Washington, DC: World Bank. Although focused on economic development and poverty, this useful book contains material that is relevant to many of the issues discussed in this chapter.
• Townsend, P. & Gordon, D. (Eds) (2004). _World Poverty: New Policies to Defeat an Old Enemy_. Bristol: Policy Press. This edited collection on world poverty adopts a position on social development similar to that taken in this book. Reflecting the important work of the social policy scholar, Peter Townsend, it emphasises the need for policies that promote equality, social solidarity and social justice.
• World Bank (2008). _The Growth Report: Strategies for Sustained Growth and Inclusive Development_. Washington, DC: World Bank. Based on an extensive study commissioned by the World Bank, this book provides an in-depth account of the many complex factors that foster long-term, sustainable growth. Written by economists, it discusses many issues of relevance to social development.
GLOSSARY
**Activism** A vigorous style of political and social mobilisation used in social development to promote social well-being and social justice.
**Aid** _See_ International Aid
**Assets** A category of resources that have market value and comprise the property or wealth of their owners.
**Basic education** Primary and non-formal education that provides essential knowledge and skills.
**Basic needs** The minimum material and non-material needs required for a decent standard of living. Also used as targets for development interventions.
**Capability** The ability of individuals and households to achieve desirable functionings and goals.
**Capitalism** An economic and political theory that places primary importance on the individual ownership of property and stresses the role of markets and capital investments in the creation of wealth. _See also_ Liberalism
**Casual work** Work on an intermittent basis usually for low wages.
**Child labour** The employment (and exploitation) of children in the labour market.
**Civil society** Those groups and institutions that do not form part of government, including non-governmental organisations, the church, local communities, trades unions, social movements and the private sector.
**Class** Hierarchical arrangements in societies by which people are categorised according to their income, wealth, status and ability to exercise influence over others.
**Colonialism** The advocacy of establishing colonies of settlers from one society in another society. Colonialism is closely linked to imperialism.
**Commons** Collectively owned assets such as forests, rivers, lakes, the sky, parks and open land, usually managed by governments.
**Community action** Activism and mobilisation at the local level to promote community participation and social well-being.
**Community building** A process of strengthening community social capital by mobilising participation in community activities and local associations.
**Community development** A process by which local communities collaborate with government and voluntary organisations to enhance their well-being. The term is also used as an umbrella term for community building, community action and community economic development.
**Community economic development** A form of community development that emphasises the role of local economic projects.
**Community organising** A process of mobilising local people for various community activities.
**Community participation** The participation of local community members in local economic, political and social activities.
**Community social service planning** Planning the activities and coordination of local community social services organisations.
**Conscientization** A literal translation from the Portuguese _conscientização_ , meaning a process through which people are made aware of their surroundings and the forces which affect their daily lives.
**Cooperatives** Associations based on common ownership, cooperative production and shared income and benefits.
**Cultural capital** Demeanours, tastes and skills that enhance individual capabilities.
**Decent Work** Employment that is adequately remunerated, fair and gratifying **.**
**Dependency theory** A theoretical perspective alleging that the development of the South is conditioned by and dependent on the development of the industrialised nations.
**Development** A process of economic, social and political change that produces improvements in standards of living, social well-being and political participation.
**Developmental social welfare** Social policies and human service programmes that contribute positively to economic development.
**Elites** Groups and classes that exercise disproportionate political and economic power over others.
**Employer mandates** Social security benefits that governments require employers to provide to their employees.
**Employment** Work for a wage or salary on a regular basis.
**Empowerment** The acquisition of power to control or influence the course of events, often assumed to be an essential feature of social development, especially at the grassroots level.
**Foreign aid** _See_ International Aid
**Gender** A social construct based on sex that defines the identity and roles of men and women.
**Globalisation** A process of international exchange and integration involving increased economic activities, social interactions, political cooperation and improved communications.
**Global South** _See_ South/North
**Green Revolution** The huge increase in grain production experienced during the post-war period as a result of the development of new hybrid, high-yielding varieties of rice, wheat and corn.
**Gross national product (GNP)** The total domestic and foreign output claimed by a country.
**HIV/AIDS** HIV is the virus that causes AIDS (acquired immune deficiency syndrome), attacking the body's immune system and leaving it vulnerable to opportunistic infections.
**Human capital** The productive capacity of human beings in the process of economic development supported by investments in education, health and other programmes.
**Human rights** Legally defined opportunities to be accorded equal prerogatives and responsibilities with other people.
**Human services** Organised programmes provided by government and non-profit organisations with the purpose of improving people's welfare.
**Imperialism** The exercise of political and economic power by one society over others.
**Incremental welfare** The gradual expansion of social service provision, often in response to demands exerted by interest groups.
**Individual Development Accounts (IDAs)** Matched asset savings accounts.
**Inequality** The unequal and inequitable distribution of income, wealth and political power in a society.
**International Aid** Resources allocated for development by international organisations or donor governments to recipient nations in the Global South. Usually contains a subsidy (concessional) element and is intended to support economic and social projects.
**Keynesianism** Named after the British economist John Maynard Keynes (1883–1946), this approach advocates government intervention to correct market failure and generate employment. Keynesianism stands in contrast to the neoliberal belief that markets are self-regulating and prosperity is inevitable in the long run.
**Labour** Work that contributes to production which, together with land and capital, comprises a factor of production.
**Labour force** The proportion of the population engaged in the labour market.
**Labour market** The market where people in the labour force seeks and find remunerated work.
**Liberalism** An ideology that emphasises the importance of individual choice and responsibility in social and economic life. It is closely linked to market or neoliberal beliefs.
**Liberalisation** The withdrawal of government regulation in financial markets, capital markets and trade.
**Livelihoods** The activities, assets and access to resources that determine the standard of living experienced by individuals and households.
**Microcredit** A synonym for microfinance although some use the term to refer specifically to loans for microenterprises.
**Microfinance** Loans provided by government, voluntary organisations or commercial firm to fund microenterprises.
**Microenterprise** Small businesses usually owned and operated by low-income people with assistance from government or voluntary organisations.
**Microinsurance** The provision of low-cost insurance services by mutual aid and savings and credit associations.
**Millennium Development Goals/ Millennium Declaration** Adopted at a special session of the United Nations General Assembly in September 2000, the Declaration commits the organisation's member states to meet eight major social goals, subdivided into 18 specific targets, related to issues such as poverty reduction, improvements in health, education and gender equality, mostly by 2015.
**Modernity** A historical period beginning in the eighteenth century associated with industrialisation that emphasises the importance of rationality in social life.
**Modernisation** The process of becoming modern and of promoting modernity through industrialisation.
**Mutual aid associations** Grassroots associations that engage in cooperative activities, mostly microinsurance.
**Neoliberalism** A resuscitation of nineteenth-century _laissez-faire_ political theory advocating capitalism and limited government intervention in economic and social affairs on the grounds that markets are self-regulating in the long run. _See also_ Capitalism, Liberalisation, Washington Consensus
**Non-formal education (NFE)** Education for academic or vocational purposes that is not provided through the formal school system. _See also_ Basic education
**Non-formal social security** Institutionalised social security practices that operate in the traditional cultures of societies.
**Non-formal welfare** Institutionalised welfare practices that operate in the traditional cultures of societies.
**Oppression** Domination and subjugation of individuals and groups by powerful elites.
**Participation** A catch-all term widely used to denote any form of beneficial involvement in development projects or programmes. Such participation ranges from minimalist cost sharing and consultation to active empowerment. _See also_ Community participation
**Planning** A rational process by which resources are mobilised to meet goals.
**Poor Laws** A series of statutes enacted in Britain and elsewhere to provide services to poor people and to control vagrancy and begging.
**Popular education** Literally 'education for the people', it refers to group- or community-based non-formal education activities geared primarily towards local development. _See also_ Conscientization
**Populism** An ideology that emphasises the importance of 'the people', communities and social movements in social and economic life.
**Postmodernism** The theoretical analysis and advocacy of postmodernity.
**Postmodernity** A historical period beginning in the twentieth century that stresses the role of uncertainty, local identity and non-rationality in social life.
**Poverty** A condition of material and social deprivation in which people fall below a socially acceptable minimum standard of living or in which they experience deprivation relative to others in a society. _See also_ Basic needs.
**Poverty line** A monetary measure of poverty that establishes a socially acceptable minimum standard of living.
**Power** The exercise of authority and control over other people.
**Primary healthcare** Healthcare that emphasises preventive and public health measures based on low-cost techniques to reach the maximum number of people, as opposed to expensive, hospital-based secondary healthcare.
**Privatisation** The process of transferring government-owned enterprises and services to private ownership. The term is also used to refer to the contracting out of government services to commercial firms.
**Provident funds** Mandatory savings funds managed by governments to provide income benefits to workers when they retire.
**Relative poverty** A condition of social deprivation in which people experience deprivation relative to others in a society.
**Residual welfare** An approach to social policy based on delivering or targeting basic services to deal with social pathologies and extreme poverty, relying heavily on the voluntary sector and with a minimum of direct state intervention.
**Safety net** Economic and social programmes designed to assist or 'catch' the poorest in society so that they do not fall through the 'net' of a basic minimum income.
**Self-employment** Work by those who own and manage their own enterprises.
**Social allowances** Universal social security programmes that provide benefits to certain categories of people, such as the elderly, children and families, irrespective of their incomes or means.
**Social assistance** Means-tested social security programmes targeted at low-income people.
**Social capital** Social relationships and networks that bind people together and facilitate coordinated action.
**Social change** Changes over time to the culture, organisation and social structure of a society.
**Social class** _See_ Class
**Social development** A process of planned social change designed to improve the welfare of the population as a whole in conjunction with economic development.
**Social exclusion** The exclusion of certain groups from an acceptable standard of living or basic level of social and political participation.
**Social Funds** Financial resources provided by international organisations such as the World Bank for short-term projects to help alleviate poverty arising from structural adjustment programmes.
**Social indicators** Measures of standards of living, both quantitative and qualitative.
**Social insurance** Contributory social security programmes that pool resources to provide benefits when needed.
**Social investment** Resources allocated by governments (and other organisations) for social purposes that enhance human capabilities, produce a rate of return to individuals, communities and society and contribute to economic development.
**Social movement** An organised or loosely organised effort that mobilises many people to bring about social change.
**Social planning** The use of planning for social purposes. The term is also used to refer to social service, community and national development planning.
**Social policy** A measure adopted by governments that affects people's well-being usually through the provision of social services but also through regulations, mandates, subsidies and other means.
**Social progress** A process of social improvement involving positive economic, social and political change.
**Social protection** Social programmes designed to protect people's income during times of economic adversity. In some countries, the term also includes health services, famine relief and food for work programmes, among others. Similar but broader than social protection.
**Social rights** Legally defined opportunities to be accorded equal access to social services and social benefits.
**Social security** Cash transfers provided by governments to protect people's income during times of economic adversity. Conventionally, social security is comprised of social insurance, social assistance and social allowance schemes.
**Social services** _See_ Human services
**Social welfare** A condition of well-being in which needs are met, problems are managed and opportunities maximised.
**Social welfare services** A subcategory of human service provided by social workers and social services agencies and focused mostly on low-income people.
**Social work** A profession concerned with promoting the welfare of individuals and their families, as well as groups and communities.
**Socialism** An ideology that emphasises the importance of collectives and cooperation in social and economic life.
**South/North** The 'South' refers to countries mostly in Africa, Asia and South America once labelled 'developing' or the 'Third World'. Correspondingly, the 'North' denotes the Western, industrialised nations. Other relevant terms include the 'developing world' or 'majority world'. However, these terms are imprecisely used and also evoke controversies about their value implications.
**Stakeholder** A person, group or organisation with a direct or indirect interest or involvement in a project or programme.
**Statism** The advocacy of state involvement in social and economic affairs.
**Structural adjustment** The process through which countries are meant to undertake structural changes to their economy as a precondition to qualify for loans from the International Monetary Fund and World Bank.
**Sustainable development** An approach to development that emphasises environmental protection and the replenishment of natural resource extraction to benefits subsequent generations.
**Third Way** An economic and political theory that seeks a middle ground between 'free market' capitalism and democratic socialism.
**Third World** This term was used and popularised by the leaders of the non-aligned movement of countries in the 1950s to connote their independence from the Western liberal democracies and Soviet-led communist countries. It has been replaced by the term Global South.
**Traditionalism** An ideology that emphasises the importance of cultural value and traditions in social and economic life. Also known as conservatism.
**Underclass** A group of people living in deprived conditions, usually in inner-city areas, whose lives are marked by high rates of crime and other social problems.
**Underemployed** Work, mostly in the agricultural or informal sectors, but whose potential is underutilised. _See also_ Casual work
**Unemployment** A lack of regular employment or self-employment among those who are seeking paid work.
**Universal social services** Human services provided by governments to all citizens who fall into designated demographic and need categories irrespective of their income.
**Voluntary organisations** Non-governmental organisations providing human services on a non-profit basis.
**Washington Consensus** A term coined by economist John Williamson to denote a set of neoliberal policies imposed since the 1980s by Washington-based international financial institutions, notably the IMF, as a precondition for providing financial assistance to debt-strapped developing countries. These comprise trade liberalisation, privatisation and fiscal austerity.
**Welfare to work** Government programmes designed to promote employment among those who receive social security benefits. Also known as labour activation.
**West, Western countries** _See_ South/North
**World Summit for Social Development/Copenhagen Declaration** The Summit was convened by the United Nations in Copenhagen in 1995 and was attended by 117 heads of state. The Declaration which committed the organisation's member states to address numerous social problems paved the way for the adoption of the Millennium Development Goals five years later.
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INDEX
_60 Minutes_ (tv program),
Abed, Fazle Hasan,
Abel-Smith, Brian,
abortion,
ACCION International, , , ,
Acemoglu, Daron, ,
Ackerman, Bruce,
ACORN,
activism
community action and, –
community development and, –,
community participation and, , –,
institutional structuralism and,
social change and,
social development and,
social planning and, –
Addams, Jane,
Adorno, Theodor W.,
adult literacy programmes,
Afghanistan,
Africa
AIDS pandemic in, ,
community development in,
community economic development in,
hunger in,
microenterprise and microfinance in, ,
role of governments in, –
social planning in, ,
_See also_ _specific countries_
African Charter on Human and People's Rights (1981),
Aga Khan Foundation,
agency. _See_ interventions
agents, , –
aggregate indicators, , ,
_Agrarian Justice_ (Paine),
AIDS, ,
Alaska Permanent Fund,
Albania,
Alinsky, Saul, , ,
Alliance for Progress, ,
Alma Ata Declaration (1978), , ,
Alstott, Anne,
American Convention on Human Rights (1969),
American Dream Demonstration (ADD) project, ,
Amul Dairy (Gujerat, India),
anarchism,
_animation rurale_ ,
anti-development school, –,
anti-discrimination legislation,
anti-globalisation demonstrations,
anti-union legislation, , ,
Appel, Jacob,
Argentina
education in,
microfinance in,
social protection in, ,
arms trade,
Arms Trade Treaty (ATT),
Armstrong, Annie Laurie,
Asher, Mukul G.,
Asia
microenterprise and microfinance in,
_See also_ East Asia; _specific countries_
Aspalter, Christian,
asset-based community development (ABCD), , –, , , –
assets
definition of,
history of, –
role of, –, –
types of, –
_See also_ community-owned assets; financial assets; national assets
Assets for Independence Act of 1998 (United States),
Assistance to Resources Institutions for Enterprise Support Project (AIRES),
_ateliers_ (state-owned factories, France),–
Augustine, Saint,
austerity measures, , –
Australia
distorted development in,
inequality in,
social protection in, , ,
Austria,
Ayittey, George B. N.,
Aztecs, –
baby bonds. _See_ child savings accounts
Bachelet, Michelle,
bad governance, ,
Bakunin, Mikhail, ,
Baldwin, Peter,
Bales, Kevin,
BancoSol (Bolivia), ,
Banerjee, Abhijit V.,
Bangladesh
cooperatives in, –
_See also_ Comilla Project (Bangladesh); Grameen Bank (Bangladesh)
Bangladesh Rural Advancement Committee (BRAC), ,
Bank Rayat Indonesia, ,
Barnes, Peter,
Bartik, Timothy J.,
Barua, Dipal Chandra,
basic needs approach, –, , ,
Bateman, Milford, ,
Batten, Thomas Reginald,
Bauer, Peter Thomas, , –
Becker, Gary S.,
Beegle, Kathleen, –
Belgium
childcare in,
social planning and,
Beneria, Lourdes,
Berger, Peter L.,
Bernstein, Jared,
Besharov, Douglas J.,
Besley, Timothy,
Beveridge Report (Britain), , –, , , ,
Bhattacharyya, Sudhindra Nath,
Birchall, Johnston,
Birdsall, Nancy, –
Bishop, Matthew,
Bismarck, Otto von, , , –
Blair, Tony, ,
Blanc, Louis,
Boeke, Julius H.,
Bolivia
microenterprise and microfinance in, ,
social protection in,
Bollier, David, ,
Bolsa Família programme (Brazil), , –,
Bolshevik revolution,
Boonyabancha, Somsook,
Bornstein, David,
Boserup, Ester, , –
Botswana
national assets in,
retirement pensions in,
social protection in, ,
women's rights in,
Bourdieu, Pierre, , ,
Brandt Report, ,
Brayne, Frank, –
Brazil
Bolsa Família programme and, , ,
distorted development in,
education in,
social democratic approach in,
social planning in,
social protection in,
standard economic development model and,
Britain
anti-union legislation in,
asset policies in, , , , –
childcare in,
employment and employment policies in, ,
social planning in, , ,
social protection in, , ,
_See also_ England
British Empire
education in, –
origins of social development in, –
social protection in,
_See also_ India
Brokensha, David,
Brundtland Commission, –,
Brundtland, Gro Harlem,
Buddhism, ,
Cambodia
microfinance in, ,
social planning in,
Campfens, Hubert,
Canada
child savings accounts in,
social protection in, ,
capabilities, , , ,
CARD (Center for Agriculture and Rural Development, Philippines),
CARD-MBA (Philippines),
Cardoso, Fernando Henrique, ,
CARITAS,
Case, Anne, ,
cash benefits,
cash-for-work schemes, –
Catherine the Great, Empress of Russia,
Catholic Church, –
Center for Agriculture and Rural Development (CARD, Philippines),
Central Government Pension Fund (CPF, Norway),
Central Provident Fund retirement scheme (Singapore),
Ceylon. _See_ Sri Lanka
Chambers, Edward,
Chambers, Robert,
Chambliss, Rollin,
Charity Organisation Society,
Chaskin, Robert,
Chechnya,
Chen, Martha,
Chenery, Hollis, ,
Cheung, Monit,
child labour, , –
child mortality,
child savings accounts, , , –
child soldiers,
Child Support Grant (CSG, South Africa), –
Child Trust Fund (Britain), , ,
childcare, , –, ,
children
community building and,
hunger and,
oppression and,
rights and, ,
social protection and, , –
_See also_ education; street children
Chile
market liberalism in,
national assets in,
retirement accounts in, , , , –, ,
social democratic approach in,
social insurance programmes in,
social planning in,
China
distorted development in,
education in,
employment and employment policies in,
Great Recession and,
market liberalism and,
markets in,
role of government in,
social planning in, ,
social protection in,
Soviet development planning in, –,
Soviet Union and,
standard economic development model and,
cholera,
Christian Aid,
Christian Democracy,
Christy-McMullin, Kameri,
civil conflicts, , –, –
civil society,
class conflict,
climate change, ,
Clinton administration, ,
Clinton, Bill,
Clinton, Hillary,
Club of Rome, ,
Code of Hammurabi, ,
Cohen, Shana,
Coleman, James S., ,
collectivism,
Collier, Paul, ,
Columbia,
Comilla Project (Bangladesh), , ,
_The Commonwealth of Oceana_ (Harrington),
_Communist Manifesto_ (Marx and Engels),
community action, –, , –
community building, , –
community development
activism and, –
history of, –, –
impact of, –
origins of term, –,
social capital and, , –,
_See also_ community action; community building; community economic development; community participation
Community Development Block Grants,
Community Development Corporations (CDCs, United States), , –
community economic development, , –
community institutions,
Community Investment Act of 1977 (United States),
community organisation,
community-owned assets, , , –, , –,
community participation
activism and, –
community development and,
health and,
history of, , –, –
populism and,
use of term,
community planning,
community social planning, ,
Compartamos (Mexico), , –
Comte, Auguste, , ,
Conference on the Human Environment (Stockholm, 1972),
conflicts and wars, , , –, , –
confrontational tactics, ,
Confucianism,
Congo
conflict in,
national assets in,
social planning in,
violence in,
Conley, Amy, –,
_conscientization_
community action and, –,
community participation approach and, , ,
education and, –
Consultative Group to Assist the Poor (CGAP),
Convention on the Elimination of All Forms of Discrimination against Women (CEDAW, 1979), ,
Convention on the Rights of the Child (1989), ,
cooperatives
childcare and,
community development and,
community economic development and, –
community-owned assets and,
employment and,
history of, , –,
institutional structuralism and,
microenterprise and, , ,
Copenhagen Alternative Declaration,
Copenhagen Declaration. _See_ World Summit for Social Development (Copenhagen, 1995)
Cord, Robert,
corporate social responsibility,
corporatism,
corruption, , , , ,
cost-benefit analysis,
Costa Rica,
Cox, David R.,
Crouch, Colin,
Cuba, –,
cultural capital,
culture of poverty school,
Cunningham, Gordon, , ,
Cyprus,
Czechoslovakia, ,
Dahl, Espen,
Dalai Lama,
Daley, Herman, ,
Darwin, Charles, ,
Datta, Vrinda,
De Zoysa, Richard,
Deacon, Bob,
decent work, , , , –,
DeFilippis, James, , ,
defined contribution plans (stakeholder pensions), , –, ,
Delavega, Elena,
democracy
community development and,
managed pluralism and, ,
social planning and,
spread of,
democratic development,
Denmark
cooperatives in,
flexicurity model in, ,
social protection in,
dependency theory, , ,
dependent development,
deprivation. _See_ original condition
desertification,
developing countries
use of term,
_See also_ Global South
development economics,
development planning,
development studies,
developmental states, , ,
Dewey, John, ,
DiCaprio, Lisa,
Dichter, Thomas, –
_dirigisme_ ,
discrimination, , –, –, ,
disjointed incremental planning,
distorted development, –, –, ,
_See also_ original condition
Dixon, John, –
Doha Round,
Dominelli, Lena,
Dore, Ronald,
Dowla, Asif,
drinking water, –
drug cartels,
Dubos, René, ,
Duflo, Esther,
Duncan, Greg J.,
Durkheim, Émile,
Eade, Deborah,
Earned Income Tax Credit (EITC, United States),
East Asia, , , ,
_See also_ developmental states; _specific countries_
economic democracy,
Economic Opportunity Act of 1964 (United States),
Economic Planning Board (Korea),
education
criticism of, –
girls and, , , ,
history of, –
human capital and, , –, –
improvements in,
inequality and,
poverty and,
Edwards, Karen,
El Salvador,
elderly people
discrimination and,
microenterprise and,
_See also_ retirement pensions
electoral process,
Elementary Education Act of 1870 (England),
Elizabethan Poor Law of 1601 (England), ,
Elliott, T.S.,
Ellis, Frank, ,
Ellwood, David,
emergency food relief,
employment
challenges and opportunities, –
decent work and, , –
definition of,
history of, –
employment _cont_.
income and, –
macroeconomic policy framework and, –, –
projects and programmes for, –
empowerment
community development and, , –
community participation approach and, ,
women and,
Engels, Friedrich
on capitalism,
Hobhouse and,
on original condition,
progress and,
social planning and,
on the state,
working conditions and,
England
education in,
employment in,
social protection in,
_See also_ Britain
enterprise perspective, –,
_See also_ microenterprise; microfinance
environment, –, ,
_See also_ sustainable development
environmental pollution,
equality
institutional structuralism and,
standard economic development model and,
World Bank and,
Escobar, Arturo, –
Esping-Andersen, Gosta,
Estes, Richard J.,
Ethiopia,
ethnic conflicts, –, –
Etzioni, Amitai,
Europe
education in, –
employment and employment policies in, –, –
human trafficking in,
retirement accounts in,
social democratic approach in, , –
_See also_ _specific countries_
European Convention for the Protection of Human Rights and Fundamental Freedoms (1950),
European Union,
evidence-based practice,
evolutionary sociology, ,
Fabian Society, ,
fair globalisation,
fair trade movement,
Fairbourne, Jason,
faith-based organisations
activism and,
childcare and, –
community action and,
community building and,
community development and, ,
conscientization and, –
education and, , –
healthcare and,
institutional structuralism and,
microcredit and,
role of, –
social planning and, –
Faletto, Enzo,
families and households
childcare and, –
institutional structuralism and,
livelihoods approach and, ,
social capital and,
family leave policies,
Fanon, Franz,
Fantasia, Rick,
far right groups,
feeder roads,
Feinstein, Andrew,
feminism, , ,
Ferguson, Charles,
financial assets, , –, –
fiscal austerity,
Fisher, Thomas,
Fitzpatrick, Tony,
flexicurity, ,
food-for-work programmes, ,
Ford Foundation,
Foundation for International Community Assistance (FINCA), ,
Fourier, Charles, ,
France
_animation rurale_ and,
childcare in,
education in,
employment in, –
social planning in,
social protection in,
socialism in,
Frank, Andre Gunder,
Frederick the Great, King of Prussia,
freedom,
Freire, Paulo
community action and, –,
community participation approach and,
education and, , –,
Friedman, Milton, , ,
Gabon
distorted development in,
national assets in,
Galbraith, James, ,
Gambrill, Eileen,
Gandhi, Mohandas Karamchand
community development and, , –,
on progress, –
standard economic development model and,
Garden Cities (Britain),
Gaza,
Gee, Tim, ,
gender inequality, , ,
gender perspective, –,
generative economy,
Germany
education in,
employment and employment policies in, , –
social democracy in,
social insurance programmes in, –
social planning in,
social protection in,
Ghana, ,
Ghilarducci, Teresa, –
GI Bill of 1944 (Servicemen's Readjustment Act, United States),
Global South
child mortality in,
community building in,
community development in, , –
community economic development in,
cooperatives in,
education in, , ,
employment and employment policies in,
financial assets in, –, –
health and healthcare in, –
industrialisation in, xi
institutional structuralism in,
life expectancy in,
origin and use of term, ,
social planning in, –, –,
trade unions in,
_See also_ _specific countries_
globalisation, , –
Gold Coast (Ghana), ,
governments
childcare and, –
community development and, –, , ,
education and, –
employment policies and, –, –
healthcare and, –
managed pluralism and, –
microenterprise and, –, ,
microfinance and, –,
national assets and, –
role of, –, –,
social planning and, –, –, –
social progress and, –
social protection and, , –, –
_See also_ Keynesianism; statism
Grameen Bank (Bangladesh)
features of, –
micropensions and,
peer lending concept and, , –
Yunus and, , , , ,
Grameen Bank II (Bangladesh), –, –
Granovetter, Mark,
Grant, Peter,
Great Depression
asset policies and,
employment policies and, ,
social planning and, ,
Great Recession
capitalism and,
causes of,
education and,
employment and, , , , –
Germany and, –
microenterprise and, ,
social protection and, –
welfare states and,
Greece, , –
Green, Gary Paul, –
Green, Maia,
Green, Michael,
Griffin, Keith B., , ,
Griffith, Breda, ,
Guevara, Ernesto,
Guggisberg Plan (Ghana), ,
Hacker, Jacob S.,
Hacsi, Timothy A.,
Haines, Anna, –
Hall, Anthony
on Bolsa Família programme, –,
on definition of poverty,
on education,
on health and healthcare, –
on Social Funds,
on social protection,
Hamilton, Alexander,
Hammurabi, King of Babylon, ,
Haq, Mahbub ul,
Hardin, Garrett, –
Harper, Malcolm, –
Harrington, James,
Hartwick, Elaine,
Hartz proposals (Germany), –
Hasina, Sheikh,
Haveman, Robert, , ,
Hayek, Friedrich A. von, , , –
Head Start (United States), ,
health and healthcare
history of, , –
human capital and, –, –
improvements in,
inequality and,
Hearn, Jonathan,
Heckman, James J.,
Hegel, Georg Wilhelm Friedrich,
Helmore, Kristin,
Henderson, Paul,
HIV/AIDS, ,
Hobhouse, Leonard Trelawny, , , ,
Hodge, Peter,
Hollister, C. D.,
Holmøy, Erling,
Homestead Act of 1862 (United States),
homosexuality,
Honduras,
Hong Kong
child savings accounts in, –
social planning in,
social protection in,
Horkheimer, Max,
Hoselitz, Bert F.,
households. _See_ families and households
Hoyt, Ann,
Hulme, David,
human agency,
human capital
childcare and, –,
criticism of, –
definition of, , –
education and, , –, –
health and, –, –
history of, –
nutrition and, , –
standard economic development model and, –
human capital accounts,
human development,
Human Development Index (HDI),
human trafficking,
Humboldt, Wilhelm von,
Hungary
child savings accounts in, –
social planning in, ,
hunger, –
Hutton, Will,
Illich, Ivan, ,
imperialism
assets and,
dependency theory on,
social planning and, –
violence and,
Inca, –
incremental planning,
Index of Social Progress (ISP),
India
childcare in, ,
community action in,
community development in, –, –
community economic development in,
cooperatives in,
corruption in,
distorted development in,
education in, , ,
India _cont_.
employment in, –
Great Recession and,
health and healthcare in,
microfinance in, , –, ,
role of government in, –
SEWA in, , ,
social planning in, , –
social protection in, , , , , ,
standard economic development model and,
_See also_ Gandhi, Mohandas Karamchand
Individual Development Accounts (IDAs), –, , –, , –
individual property rights,
individualism, , ,
Indonesia
education in,
informal sector employment in,
microfinance in, ,
national assets in,
social protection in,
Industrial Areas Foundation (United States),
industrialisation
education and,
employment and,
Global South and, xi
inequality and,
progress and, –
social planning and,
inequality
basic needs approach and,
distorted development and, –
industrialisation and,
institutional structuralism and, –
in Korea,
original condition and,
infant mortality,
inflation,
informal sector employment, , , , –, –,
infrastructural development projects, –
institutional structuralism
challenges to, –
features of, –
opportunities, –
institutionalised violence, –
Integrated Child Development Services (ICDS, India), ,
International Conference on Primary Health Care (Alma-Ata, 1978). _See_ Alma Ata Declaration (1978)
International Consortium for Social Development,
International Covenant on Economic Social and Cultural Rights (1966),
International Labour Organisation (ILO)
child labour and,
Decent Work and, , , –
employment and, ,
International Labour Organisation (ILO) _cont_.
Millennium Development Goals and,
participation and,
role of governments and, ,
social planning and,
social protection and, , –,
standard economic development model and, , –
International Monetary Fund (IMF), , , , ,
international organisations
role of, –, –,
social planning and,
social protection and,
_See also_ faith-based organisations; non-governmental organisations; non-profit organisations; _specific organisations_
International Women's Year (1975),
International Year of Cooperatives (2012),
International Year of Microcredit (2005),
internet, ,
interventions
definition of,
distinctive features of, –
overview, –, –
Iran,
Iraq,
Ishay, Micheline,
Islam, , ,
Italy
austerity measures in, –
childcare in,
community development in,
social insurance programmes in,
social planning in,
Iversen, Roberta Rehner,
Jackson, Tim,
Jamaica, ,
Japan
economy in,
education in,
social insurance programmes in,
social planning in,
welfare developmentalism in,
Jayasuriya, Laksiri, –
Jefferson, Thomas,
Jencks, Christopher,
Jiwanji, Moortaza,
Johnson administration, , , –
Johnston, David Cay,
Jones, John Finbarr, –
Jurik, Nancy C., , –, ,
Kanji, Nazneen, , ,
Karlan, Dean,
Karunakara, Unni,
Kashmir,
Kaufman, Cynthia,
Keller, Suzanne,
Kelly, Marjorie, , , ,
Kendrick, John W.,
Kennedy administration, –
Kenny, Charles, ,
Kenya, ,
Keynes, John Maynard
economic planning and,
on government intervention, , –,
on markets,
social planning and,
Keynesianism, , , ,
Khan, Akhtar Hameed,
KIVA, ,
Kohli, Atul, ,
Konantambigi, Rajani M.,
Korea
child savings accounts in, –
inequality in,
social planning in, , –
standard economic development model and,
welfare developmentalism in,
Korten, David,
Kretzmann, John, , , –, ,
Krishna, Anirudh,
Krugman, Paul,
Kuznets, Simon,
Kwon, Huck-ju,
labour,
labour force,
labour market,
_laissez-faire_ ,
Lal, Deepak, , , ,
Lange, Oskar R., ,
Lapham, Mike,
Latin America
Alliance for Progress and,
education in, , –
employment and employment policies in,
life expectancy in,
microenterprise and microfinance in,
popular social movements in,
retirement accounts in,
social planning in,
social protection in, ,
violence in,
_See also_ _specific countries_
Lazar, Sian,
Le Grand, Julian,
Lee, James,
Leighninger, Robert D., –
Leiserson, Alcira,
Lenin, Vladimir,
Leninism,
Lerner, Abba P.,
Lesotho
retirement pensions in,
social protection in, ,
Lewis, David, , ,
Lewis, W. Arthur,
liberation theology,
life expectancy,
Lim, Younghee,
Lindblom, Charles E., , ,
Lindsey, Duncan,
Lipton, Michael,
Lisbon Treaty,
livelihoods approach
families and,
microenterprise and,
original condition and,
overview, , –
Livermore, Michelle, , , ,
living wage movement,
Livingstone, Arthur,
local enterprise,
Locke, John,
Lodemal, Ivar,
Loewe, Markus,
London School of Economics, ,
Luccisano, Lucy,
Luce, Stephanie,
Lula da Silva, Luiz Inácio,
Luther, Martin,
Lyotard, Jean-François,
Maathai, Wangari,
_madrasas_ , ,
Mahatma Gandhi National Employment Guarantee Act (India),
_See also_ National Rural Employment Guarantee Scheme (India)
Mahoney, Tim, –
Mair, Lucy Philip, ,
Majee, Wilson,
Majority World
use of term,
_See also_ Global South
malaria, , ,
Malaysia
national assets in,
social planning in, , ,
malnutrition, –
managed pluralism, –
management by objectives (MBO),
mandatory savings accounts (provident funds),
Mandela, Nelson, ,
Mao Zedong,
market liberalism
community development and, –
cooperatives and,
definition of social development and,
employment and, –, , –
enterprise approach and,
market liberalism _cont_.
institutional structuralism and,
on interventions,
national assets and, –
role of governments and,
social planning and, ,
social protection and,
spread of,
Veblen on,
markets and businesses, –
Marshall, Katherine, ,
Marshall, T. H., –,
Marshall Plan, ,
Marx, Karl
on capitalism,
Hobhouse and,
on human capital,
on original condition,
on progress,
social planning and,
on the state,
on struggle,
working conditions and,
Marxism
on human capital,
interventions and,
social planning and,
on the state,
mass education programmes,
mass literacy programmes,
Mathie, Alison, ,
Mauritania,
Mauritius
social democratic approach in,
social protection in, , ,
Maxwell, Dominic,
McKnight, John L., , , –, ,
McNamara, Robert,
meta-outcome investigations,
Mexico
child savings accounts in, –
cooperatives in,
distorted development in,
microenterprise and microfinance in, , –
Oportunidades programmes in, , ,
standard economic development model and,
Miah, Mizanur R.,
microcredit
use of term,
_See also_ microfinance
Microcredit Summit (Washington, DC, 1997), –1997),
microenterprise
assessment of,
community economic development and,
cooperatives and, , ,
definition of, –
enterprise approach and,
microenterprise _cont_.
evolution of, –
features of, –
informal sector employment and,
microfinance and,
poverty and, –
social assistance pensions and,
types of, –
microfinance
commercialisation of, , –
enterprise approach and,
evolution of, –
features of, , –
microenterprise and,
poverty and, –,
social protection and, –
use of term,
_See also_ Grameen Bank (Bangladesh)
microfranchises, ,
microinsurance, , ,
microlending
use of term,
_See also_ microfinance
micropensions, ,
microsavings, –
middle-class social entrepreneurs,
Midgley, James
on assets, ,
on axioms of social development,
on colonial policy, ,
on community development,
on definition of poverty,
on distorted development,
on education,
on health and healthcare, –
on ideological roots of social development,
on institutional structuralism,
on investment strategies, –
on microenterprise, –
on participation,
on rights,
on role of governments, ,
on social capital,
on Social Funds,
on social investments, , ,
on social protection, ,
on United Nations,
on universalism,
on welfare states,
Miguel, Edward,
Millennium Declaration, , , ,
Millennium Development Goals
adoption of, xii, , ,
cooperatives and,
criticism of,
education and, , ,
employment and, ,
faith-based organisations and,
gender and,
healthcare and, ,
Millennium Development Goals _cont_.
human capital and,
hunger and,
practice strategies and, –
results of, –,
role of governments and, ,
social planning and, , , , ,
social protection and, , ,
Miller, Brian,
Mincer, Jacob,
Mishan, E. J., ,
missionaries, ,
Molyneux, Maxine D.,
Monsma, Stephen V., –
Moore, Karen,
Morazes, Jennifer Lynne,
More, Thomas,
Morgan, Lewis H.,
Morocco,
Morrill Act of 1862 (United States),
Morris, Morris D.,
Moser, Caroline, , , , –
multiculturalism,
Murnane, Richard,
Murray, Charles, , ,
Myrdal, Gunnar
equality and,
on original condition,
on role of governments, , –,
social planning and,
on standard economic development model,
unified socio-economic planning and, –
Nallari, Raj, ,
Namibia
retirement pensions in,
social protection in, ,
Nandy, Amarendu,
National Agricultural and Rural Bank (India),
national assets, , –
National Health Service (Britain),
national parks and forests, ,
National Rural Employment Guarantee Scheme (India), –, ,
National Trust (Britain),
natural resources, , , –,
_See also_ national assets
neocolonialism, –
neoliberalism,
Nepal,
Netherlands,
Neuhaus, Richard John,
New Deal, , –, , ,
New Economic Policy (USSR),
New Liberals (Britain), ,
New Zealand
child savings accounts in, –
social protection in,
Newman, Otto,
Nicaragua,
Nigeria,
Nisbet, Robert, ,
Nissan, David,
Nkrumah, Kwame, –
Nobel Peace Prize, , , ,
Non-Aligned Movement, –
non-governmental organisations
activism and,
childcare and, –
community action and,
community development and, ,
community participation approach and, ,
Copenhagen Alternative Declaration and,
healthcare and,
institutional structuralism and,
livelihoods approach and,
microinsurance and,
Quick Win projects and, –
social planning and, , , , –
social progress and,
social protection and,
_See also_ non-profit organisations
non-profit organisations
community development and, , ,
education and,
employment and, ,
enterprise perspective and,
institutional structuralism and,
microenterprise and, –,
microfinance and, –
microsavings and, –
national assets and,
role of, –
social investments and,
_See also_ non-governmental organisations
North, Cecil Clare,
Northern Ireland,
Norway
education in,
national assets in,
retirement pensions in,
Norwegian Government Oil Fund,
Nussbaum, Martha, , , ,
nutrition, , –,
Nyanguru, Andrew C.,
Nyerere, Julius,
Obama administration,
oil shocks, ,
Omer, Salima,
Open Society,
operations research,
Oportunidades programmes (Mexico), , –,
opportunity, –
oppression, , –, –,
organised crime,
original condition, –
_See also_ distorted development
Osterman, Paul,
Ostrom, Elinor, ,
Owen, Robert,
Oxfam, , , , –
Paine, Tom, –, ,
Paiva, F. J. X.,
Pakistan,
Palestine, ,
Pandey, Rama S.,
paraprofessionals, –, ,
Park Chung Hee,
participation, –
_See also_ community participation
Patel, Leila, ,
Pawar, Manohar S.,
Paxton, Will,
peace,
Peet, Richard,
Peirce, Charles Sanders,
people-centred development,
people with disabilities
discrimination and, ,
employment and,
microenterprise and, ,
social protection and, ,
Persson, Torsten,
Perum Pagadaian (Indonesia),
Pettit, Becky,
philanthrocapitalism,
Philippines
microenterprise and microfinance in, , , , –,
microinsurance in,
role of government in, –
social planning in, –
United Nations and,
Physical Quality of Life Index (PQLI),
Piachaud, David,
Pigou, Arthur Cecil,
Pilgram, Arno,
Pinker, Steven, ,
Pinochet, Augusto, , , ,
Planned Parenthood Federation,
Planning Programming Budgeting Systems (PPBS),
plans,
Plato, ,
pluralism, –
_See also_ managed pluralism
Polak, Paul,
policies,
polio, ,
Poor Laws (England), ,
Popper, Karl,
popular education, –
popular social movements, –
populism, ,
Porter, Michael E., , ,
Porto Alegre Manifesto,
postmodernism,
poverty
use of term,
_See also_ original condition
poverty alleviation programmes, , –
_See also_ food-for-work programmes
power,
practice strategies
assessment of, –
overview, –
use of term, –
_See also_ _specific strategies_
pragmatism, , –
_See also_ institutional structuralism
Prahalad, C. K., , ,
predatory states,
process, –,
PRODEM (Bolivia), ,
productivism, –, ,
professional personnel, –, , –
Program for Investment in the Small Capital Enterprise Sector (PISCES),
programme budgeting,
programmes,
progress, , –, –
Progressives (United States), ,
progressivism,
projects,
propaganda,
prostitution,
Proudhon, Pierre-Joseph,
Provident Fund (India),
Prussia,
Psacharopoulos, George, , ,
psychology,
public works programmes,
Putnam, Robert, ,
Quick Win projects, –,
Quieta, Romeo C., ,
racism, –
Rainford, Will,
Rajan, R.G., ,
Ramos, Fidel,
Rand, Ayn,
RAND Corporation, –
randomised trials,
Rasmussen, Anders Fogh,
rational choice theory,
rational-comprehensive planning (synoptic planning), ,
Reagan administration, , , , ,
religious fondamentalism,
religious hatred, –
religious schools, , ,
Remenyi, Joseph,
_Renta Dignidad_ (Bolivia),
Reserve Bank of India,
resource curse,
Restakis, John,
retirement accounts, , , ,
retirement pensions
asset building and,
history of, , , –, , –
microfinance and, –
_See also_ stakeholder pensions
rights
children and, ,
original condition and,
social planning and, –
women and, , ,
workers and, –
_See also_ Universal Declaration of Human Rights (1948)
rights-based approach, , ,
Ringen, Stein,
Rio+20 (United Nations Conference on Sustainable Development), ,
Robinson, James A., ,
Rochdale Pioneers (England),
Rodney, Walter,
Rodrik, Dani,
Rogers, Barbara, ,
Romans,
Roosevelt administration, , , ,
Rosenstein-Rodan, Paul,
Rosser, Andrew,
Rostow, W. W., –
rotating savings and credit associations (ROSCAs), , ,
Roy, Ananya, –, ,
Rubin, Herbert,
Russia
education in,
employment in,
_See also_ Soviet Union
Sachs, Jeffrey D.,
Sachs, Wolfgang,
safety net,
Saint-Simon, Henri de, , ,
Sarraf, Maria,
Save the Children Fund, , ,
Savings Gateway Account scheme (Britain), , , –
Schram, Sanford F., , , ,
Schreiner, Mark,
Schultz, Theodore W., , , ,
Schumacher, E. F.,
Schumpeter, Joseph, ,
Schweikart, David,
SEEDS for Kids programme,
Seers, Dudley
equality and,
on original condition,
on role of governments, ,
on standard economic development model,
Segerfeldt, Fredrik,
self-determination, , , ,
Self Employed Women's Association (SEWA, India), , ,
self-employment,
Self-Employment Assistance – Kaunlaran Program (SEA-K, Philippines), –
Self-Employment Assistance Program (SEAP, Philippines), ,
self-esteem,
self-help, , , ,
self-help groups (SHGs), , –
Sen, Amartya
on capabilities, , ,
on freedom, ,
livelihoods approach and,
settlement movement, , ,
Shanks, Trina Williams,
Sherraden, Margaret,
Sherraden, Michael, , , –, , –
Shiva, Vandana,
Shore Bank (United States),
Shulman, Beth,
Sidel, Ruth,
Sierra Leone,
Singapore
asset policies in, , ,
social planning in,
social protection in,
welfare developmentalism in,
Singh, Naresh,
Singh, Surendra,
Sinha, Jill Witmer,
Sinn, Hans-Werner,
Skidelsky, Robert,
slavery, , ,
smallpox, ,
Smillie, Ian,
Smith, Adam,
Smith, Jackie, –
Smith, Philip,
Smith, Stephen,
Smock, Kristina,
social assistance, –
social business,
social capital
childcare and,
community development and, , , , –,
human capital and,
Social Darwinism, ,
social democracy, , , , –
social development
definitions of, xi, –
features of, –, –
goals of, xii, –
history of, xi–xii, , –
idea of development and, –
_Social Development_ (Hobhouse),
_Social Development Issues_ (journal),
social economy, ,
social entrepreneurship, ,
Social Funds, , ,
social insurance programmes, , –
social investments, , , , , , –
social justice, ,
social liberalism,
social planning
history of, –, , –
institutional structuralism and,
nature of, –
problems and prospects of, –
rights and, –
role of, –
social democratic approach and,
statism and,
types of, –
social policy, –, –
social protection
challenges and opportunities, –
features of, , –
history of, –
poverty alleviation programmes and, –
role of, –
use of term,
varieties of, –
_See also_ retirement pensions
social security. _See_ social protection
social service planning, –
social well-being, ,
social work,
socialism, ,
sociology,
Somalia,
Soto, Hernando de, , –, ,
South Africa
distorted development in,
employment in,
microfinance in,
retirement pensions in, , –
role of volunteers in, –
social protection in, , , , –, ,
unemployment and corruption in,
South Asia, ,
_See also_ _specific countries_
South Korea,
South Sudan,
sovereign wealth funds,
Soviet development planning
criticism of,
democracy and,
employment and, –,
history of, –,
idea of development and, ,
Soviet Union
China and,
collapse of, ,
_See also_ Russia
Spain
austerity measures in, –
social planning in,
socialism in,
Speenhamland system (England),
Spencer, Herbert, ,
Spengler, Oswald,
Spergel, Irving,
Sri Lanka
civil war in, –
education in,
employment and,
social democratic approach in, ,
stagflation,
stakeholder pensions, , –, ,
stakeholding, ,
Stalin, Joseph, –,
standard economic development model
critique of, –, –
employment and,
human capital and, –
overview,
State Old Age Pension (SOAP, South Africa), –
statism
criticism of, –, , ,
overview, , –
social planning and,
Steinert, Heinz,
Stiglitz, Joseph, ,
Stiles, Jon,
Stjernø, Steinar,
Stoesz, David,
Stone, Susan,
street children, , , –
Streeten, Paul,
structural functionalism,
struggle,
Sumner, William Graham, ,
Sunday School movement,
Sure Start programme (Britain),
sustainable development, –, , , –
Sweden
productivism in,
social democracy in,
social insurance programmes in,
synoptic planning (rational-comprehensive planning), ,
Syria, –
Tagore, Rabindranath, , –,
Taiwan
social planning in,
standard economic development model and,
welfare developmentalism in,
Tan, Ern Ser,
Tanner, Michael D.,
Tanzania,
tax sheltered savings plans,
Taylor, John B., ,
technology,
Telenor, –
Thailand
community-owned assets in,
social protection in, –
Thatcher, Margaret, , , ,
Third World
use of term,
_See also_ Global South
Thomas, Rebecca,
Thurman, Eric,
Tibet, , ,
Tinbergen, Jan,
Titmuss, Richard M.
equality and,
institutional structuralism and,
on original condition,
on safety approach,
on social policy, –
on state welfare,
Tobin, James,
Townsend, Peter, ,
trade unions
anti-union legislation and, , ,
community development and,
education and,
institutional structuralism and,
social insurance programmes and, –
working conditions and, , ,
transformation,
transformative social change,
Trickey, Heather,
Triegaardt, Jean,
tuberculosis, ,
Tunisia,
Tylor, E.B.,
Umar, Caliph,
underclass,
underdevelopment
use of term,
_See also_ original condition
underemployment,
unemployment, –, –, , ,
unemployment insurance, ,
unified socio-economic planning, –
unipolarism,
United Kingdom. _See_ Britain
United Nations
arms trade and,
community development and, –,
community participation approach and,
cooperatives and,
Copenhagen Alternative Declaration and,
on education, –
employment and, ,
United Nations _cont_.
microenterprise and,
social planning and, ,
social protection and,
statism and,
sustainable development and, –
unified socio-economic planning and, –
women and, ,
_See also_ Millennium Development Goals
United Nations Children's Fund (UNICEF), , , , , ,
United Nations Decade for Women,
United Nations Development Programme (UNDP), , , , , ,
United Nations Environment Programme, –
United Nations Research Institute for Social Development (UNRISD), , ,
United States
Alliance for Progress and,
anti-union legislation in, , ,
asset policies in, –, ,
bad governance and corruption in,
childcare in, ,
community action in,
community development in, , ,
community economic development in,
community-owned assets in, –
cooperatives in,
criticism of progress in,
education in, , , ,
employment and employment policies in, ,
equality in,
healthcare in,
inequality in, –,
microenterprise and microfinance in, , , –,
national assets in, ,
non-profit organisations in, –
social planning in, –,
social protection in,
violence and,
World Bank and,
United Way (United States), ,
Universal Declaration of Human Rights (1948), –, , –,
universalism, –, , –, ,
universities, –, , , –
University of London,
urban migration,
Uruguay
education in,
social protection in, ,
USAID (United States Agency for International Development ), , ,
utopia, , –
_Utopia_ (More),
Van Ginneken,
Van Kersbergen,
Van Saanen, Marisa, ,
Veblen, Thorstein, , , ,
Venables, Anthony J.,
Vietnam, , –,
Village project (Los Angeles), ,
Vinovskis, Maris A.,
violence, –,
_See also_ conflicts and wars
voice,
voluntary organisations. _See_ non-profit organisations
volunteers, –, , ,
Voss, Kim,
vulnerable employment,
Wah, Chan Kam,
Wahl, Asbjørn,
Wald, Lillian,
Wallerstein, Immanuel,
Wankel, Charles,
War on Poverty (United States), ,
Ward, Barbara, ,
Warner, Andrew M.,
Warren, Bill,
Warren, Naomi,
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| {
"redpajama_set_name": "RedPajamaBook"
} | 5,362 |
\section{Introduction}
Siegel's theorem on integral points on affine curves asserts that an affine curve $C$ over a number field $k$ has only finitely many integral points if $C$ has at least $3$ points at infinity (over $\overline{k}$). This statement implies the more usual version of Siegel's theorem which requires the condition at infinity only if $C$ is rational (e.g., see \cite[Remark 7.3.10]{BG}). A new line of results opened up when Corvaja and Zannier \cite{CZ02} gave a novel proof of Siegel's theorem using Schmidt's subspace theorem from Diophantine approximation. Following subsequent work of Corvaja and Zannier \cite{CZ04b}, the second author proved the following generalization of Siegel's theorem to surfaces.
\begin{theorem}[{\cite[Theorem 11.5A]{levin_annals}}]
\label{Levin}
Let $X$ be a non-singular projective surface defined over a number field $k$. Let $D_1,\ldots, D_q$ be effective ample divisors on $X$, defined over $k$, in general position and let $D=\sum_{i=1}^qD_i$.
\begin{enumerate}
\item If $q\geq 4$ then $X\setminus D$ is arithmetically quasi-hyperbolic.
\item If $q\geq 5$ then $X\setminus D$ is arithmetically hyperbolic.
\end{enumerate}
\end{theorem}
The conclusion of arithmetic quasi-hyperbolicity means roughly that $S$-integral points on $X\setminus D$ are contained (up to finitely many points) in a proper closed subset $Z\subset X$ which is {\it geometric}, that is, independent of the number field and set of places $S$. More formally, given a variety $V=X\setminus D$ defined over a number field $k$, we say that $V$ is {\it arithmetically quasi-hyperbolic} if there exists a proper closed subset $Z\subset X$ such that for every number field $k'\supset k$, every finite set of places $S$ of $k'$ containing the archimedean places, and every set $R$ of ($k'$-rational) $(D,S)$-integral points on $X$, the set $R\setminus Z$ is finite. We say that $X\setminus D$ is {\it arithmetically hyperbolic} if all sets of $(D,S)$-integral points on $X$ are finite (i.e., one may take $Z=\emptyset$ in the definition of quasi-hyperbolicity). We refer the reader to \cite[Ch.~1,~\S4]{Vojta_LNM} for the notion of $(D,S)$-integral sets of points. If $X$ is a projective variety of dimension $n$, we say that effective (possibly reducible) Cartier divisors $D_1,\ldots, D_q$ on $X$ are in {\it general position} if for any subset $I\subset\{1,\ldots, q\}$ with $|I|\leq n+1$ we have $\codim \cap_{i\in I} \Supp D_i\geq |I|$, where $\Supp D_i$ denotes the support of $D_i$ and we use the convention that $\dim \emptyset=-1$.
In general, a conjecture of the second author \cite[Conjecture 5.4A]{levin_annals} (slightly modified) states:
\begin{conjecture}
\label{LevConj}
Let $X$ be a projective variety, defined over a number field $k$, of dimension $n$. Let $D_1,\ldots, D_q$ be effective ample Cartier divisors on $X$, defined over $k$, in general position, and let $D=\sum_{i=1}^qD_i$.
\begin{enumerate}
\item If $q\geq n+2$, then $X\setminus D$ is arithmetically quasi-hyperbolic. \label{conjparta}
\item If $q\geq 2n+1$, then $X\setminus D$ is arithmetically hyperbolic.\label{conjpartb}
\end{enumerate}
\end{conjecture}
It was also observed in \cite{levin_annals} that when $X$ is non-singular and $D$ has normal crossings, part \eqref{conjparta} of the conjecture follows from (Bombieri-Lang-)Vojta's conjecture on the quasi-hyperbolicity of varieties of log general type and Mori theory \cite[Lemma 1.7]{Mori}.
Shortly after work of Corvaja, Levin, and Zannier \cite{CLZ}, Autissier proved the following result towards Conjecture \ref{LevConj}\eqref{conjparta}:
\begin{theorem}[{\cite[Th\'eor\`eme 1.3, Remarque 2.3]{Aut11}}]
\label{Autissier}
Let $X$ be a Cohen-Macaulay projective variety, defined over a number field $k$, of dimension $n\geq 2$. Let $D_1,\ldots, D_q$ be effective ample Cartier divisors on $X$, defined over $k$, in general position and let $D=\sum_{i=1}^qD_i$. If
\begin{align*}
q\geq 2n,
\end{align*}
then $X\setminus D$ is arithmetically quasi-hyperbolic.
\end{theorem}
Towards Conjecture \ref{LevConj}\eqref{conjpartb}, we have:
\begin{theorem}
\label{Levin2}
Under the hypotheses of Conjecture \ref{LevConj}, if $n\geq 2$ and
\begin{align*}
q\geq 2n^2,
\end{align*}
then $X\setminus D$ is arithmetically hyperbolic.
\end{theorem}
This was proved in \cite[Theorem 9.11A]{levin_annals} assuming the inequality $q\geq 2n^2+1$. The slight improvement given here comes from applying the same proof as in \cite{levin_annals}, but with an improved estimate of Autissier \cite[Lemme 4.2, Corollaire 4.3]{Aut09}.
It is essential in Theorem \ref{Autissier} that the divisors satisfy ampleness or some other positivity condition of similar strength. Indeed, if $X$ contains a Zariski dense set of $D$-integral points, then by blowing up points in $D$, one obtains a variety $\tilde{X}$ and a divisor $\tilde{D}$ on $\tilde{X}$ with an arbitrarily large number of components and $X\setminus D\cong \tilde{X}\setminus \tilde{D}$ (and hence there will be a Zariski dense set of $\tilde{D}$-integral points on $\tilde{X}$). Thus, without a positivity assumption of some sort, there is no inequality on the number of components $q$ sufficient to guarantee Zariski non-density of integral points. However, as is well known, each time we blow up the variety $X$ the rank of the Picard group increases by one. Taking into account the rank of the subgroup in $\Pic X$ generated by $D_1,\ldots, D_q$, Vojta proved:
\begin{theorem}[{\cite[Theorem 2.4.1]{Vojta_LNM}}]
\label{Vojta1}
Let $X$ be a projective variety, defined over a number field $k$, of dimension $n$. Let $D=\sum_{i=1}^qD_i$ be a sum of distinct prime Cartier divisors on $X$ defined over $k$. Let $r$ be the rank of the subgroup in $\Pic X$ generated by $D_1,\ldots, D_q$. If
\begin{align*}
q\geq n+r+1,
\end{align*}
then all sets of $(D,S)$-integral points on $X$ are not Zariski dense.
\end{theorem}
More generally, as an application of results on integral points on semiabelian varieties, Vojta proved a result depending on the rank in the N\'eron-Severi group $\NS X$.
\begin{theorem}[{\cite[Corollary 0.3]{vojta_inv_math_1996}}]
\label{Vojta2}
Let $X$ be a projective variety, defined over a number field $k$, of dimension $n$. Let $D=\sum_{i=1}^qD_i$ be a sum of distinct prime Cartier divisors on $X$ defined over $k$. Let $r$ be the rank of the subgroup in $\NS X$ generated by $D_1,\ldots, D_q$. If
\begin{align*}
q\geq n+r-h^1(X,\mathcal{O}_X)+1,
\end{align*}
then all sets of $(D,S)$-integral points on $X$ are not Zariski dense.
\end{theorem}
In both Theorems \ref{Vojta1} and \ref{Vojta2} it is easy to see (e.g., from Examples \ref{P2lines} and \ref{P1squared}) that the conclusions cannot be strengthened to quasi-hyperbolicity statements.
Under a combined ampleness and general position assumption, Noguchi and Winkelmann proved a finiteness statement.
\begin{theorem}[{\cite[Theorem 9.7.6]{NW}}]
\label{NW}
Let $X$ be a projective variety, defined over a number field $k$, of dimension $n$. Let $D=\sum_{i=1}^qD_i$ be a sum of ample effective Cartier divisors in general position on $X$ defined over $k$. Let $r$ be the rank of the subgroup in $\NS X$ generated by $D_1,\ldots, D_q$. If
\begin{align*}
q\geq 2n+r,
\end{align*}
then $X\setminus D$ is arithmetically hyperbolic.
\end{theorem}
It should be pointed out that we have stated the above three theorems in terms of ranks associated to the given divisors $D_1,\ldots, D_q$, while these results are mostly stated in the literature in terms of absolute invariants (e.g., the Picard number) which are independent of the given divisors.
In this note, we initiate the study of arithmetic (quasi-)hyperbolicity in the context of nef divisors. From one point of view, our main result is in the vein of Theorems \ref{Vojta1}--\ref{NW}, with the rank replaced by an appropriate analogous quantity involving the number of generators of the cone in the real N\'eron-Severi vector space generated by the divisors $D_i$. From another point of view, as discussed below, the main result goes towards a version of Conjecture \ref{LevConj} for nef divisors. We now state the main result, yielding (quasi-)hyperbolicity statements under weak positivity assumptions on the divisors. We use $\equiv$ to denote numerical equivalence of integral as well as $\mathbb{Q}$- and $\mathbb{R}$-divisors (see \cite[Ch.\ 1.3]{PAGI}).
\begin{theorem}
\label{mthm}
Let $X$ be a projective variety, defined over a number field $k$, of dimension $n$. Let $E_1,\ldots, E_r$ be nef Cartier divisors on $X$ with $\sum_{j=1}^rE_j$ ample. Let $D_1,\ldots, D_q$ be non-zero effective (possibly reducible) Cartier divisors in general position on $X$ and let $D=\sum_{i=1}^qD_i$. Suppose that $D_i\equiv \sum_{j=1}^ra_{i,j}E_j$, $i=1,\ldots, q$, where the coefficients $a_{i,j}$ are non-negative real numbers. Let $P_i=(a_{i,1},\ldots, a_{i,r})\in \mathbb{R}^r$, $i=1,\ldots, q$. Assume that for any proper subset $T$ of the set of standard basis vectors $\{e_1,\ldots, e_r\}\subset\mathbb{R}^r$, at most $(\#T)\left\lfloor\frac{q}{r}\right\rfloor$ of the vectors $P_1,\ldots, P_q$ are supported on $T$.
\begin{enumerate}
\item If
\begin{align*}
q&\geq r(n+1)+1, && r=1,2,\\
q&\geq r(n+1)+\frac{(r-1)(r-2)}{2}, && r\geq 3,
\end{align*}
then $X\setminus D$ is arithmetically quasi-hyperbolic.
\label{mthma}
\item If
\begin{align*}
q\geq 2nr+r^2,
\end{align*}
then $X\setminus D$ is arithmetically hyperbolic.
\label{mthmb}
\end{enumerate}
\end{theorem}
Let $\mathcal{C}$ be the convex cone generated by the numerical equivalence classes of $E_1,\ldots, E_r$ in the real N\'eron-Severi vector space. Then the classes of the divisors $D_i$ lie in $\mathcal{C}$, and the condition that $\sum_{j=1}^rE_j$ is ample is equivalent to the convex cone $\mathcal{C}$ containing an ample class. The condition involving the supports of the vectors $P_i$ in terms the standard basis of $\mathbb{R}^r$ ensures that the classes of the divisors $D_i$ are sufficiently ``spread out" in the cone $\mathcal{C}$. Some such condition is necessary to avoid counterexamples such as Example~\ref{P1squared} in Section \ref{examples}, where all of the numerical equivalence classes of the divisors are multiples of some non-ample class.
In view of Theorem \ref{mthm} and the results of Section \ref{proofb}, it seems reasonable to conjecture the following analogue of Conjecture \ref{LevConj}:
\begin{conjecture}
\label{conj2}
Assume the hypotheses of Theorem \ref{mthm}.
\begin{enumerate}
\item If
\begin{align*}
q\geq r(n+1)+1,
\end{align*}
then $X\setminus D$ is arithmetically quasi-hyperbolic.
\label{conja}
\item If
\begin{align*}
q\geq 2nr+1,
\end{align*}
then $X\setminus D$ is arithmetically hyperbolic.
\label{conjb}
\end{enumerate}
\end{conjecture}
We show in Example \ref{conjbex} in Section \ref{examples} that the inequality in part \eqref{conjb} of the conjecture is best possible. We are not sure if the inequality in part (a) of the conjecture is best possible; however, in Example \ref{conjaex} we show that in general $r(n+1)$ cannot be replaced by anything better than $r(n-r+2)$.\par
Observe that Theorem \ref{mthm}\eqref{mthma} proves Conjecture \ref{conj2}\eqref{conja} when $r\leq 3$. Note that in Theorem \ref{mthm}\eqref{mthma}, despite the identity $(3-1)(3-2)/2 =1$, we have grouped the case $r=3$ together with the general case as the general method of proof starts to apply from $r=3$ onwards, with the cases $r=1,2$ being easy specializations of the general argument. In general, we may view Theorem \ref{mthm} as approximating Conjecture \ref{conj2}, with the inequalities involving an ``error term" depending only on $r$. For arbitrary $r$, we suspect that Lemma \ref{mainl} in the next section holds true with a stronger conclusion (namely, $n_j(Q,P_1,\ldots, P_q)\geq \lfloor \frac{q}{r}\rfloor$ for $j=1,\ldots, r$) which would yield Conjecture \ref{conj2}\eqref{conja}. However, proving such improved inequalities seems to be a surprisingly difficult combinatorial problem. \par
When $r$ is large compared to the dimension $n$, we are able to obtain the following better bound.
\begin{theorem}
\label{mthm2}
Assume the hypotheses of Theorem \ref{mthm} and that $n\geq 2$.
\begin{enumerate}
\item If $X$ is Cohen-Macaulay and $q\geq 2nr$, then $X\setminus D$ is arithmetically quasi-hyperbolic.
\item If $q\geq 2n^2r$, then $X\setminus D$ is arithmetically hyperbolic.
\end{enumerate}
\end{theorem}
In Section 3, we will derive Theorem \ref{mthm}\eqref{mthmb} and Theorem \ref{mthm2} from Theorem \ref{Autissier}, Theorem \ref{Levin2}, and Theorem \ref{NW}. The majority of the paper is devoted to the proof of Theorem \ref{mthm}\eqref{mthma}, which may be regarded as the primary new result. Theorem \ref{mthm}\eqref{mthma} does not seem to na\"ively follow from previous results (and the method of Section \ref{proofb}), and in fact in certain cases gives a non-trivial improvement to Autissier's Theorem~\ref{Autissier}. For instance, when $r\leq 4$, Theorem \ref{mthm}\eqref{mthma} implies Conjecture \ref{LevConj}\eqref{conjparta} when each ample divisor $D_i$ splits as a sum of $r$ non-zero effective nef divisors which satisfy, in totality, the hypotheses of Theorem \ref{mthm} (and when $r\geq 5$, Theorem \ref{mthm}\eqref{mthma} implies, under similar hypotheses, arithmetic quasi-hyperbolicity on the complement of $q\geq n+1+(r-2)/2$ ample effective divisors). We discuss a further application of Theorem \ref{mthm}\eqref{mthma} in Example \ref{appex}.
The proof of Theorem \ref{mthm}\eqref{mthma} is based on the following result from our recent work \cite{HL17}.
\begin{theorem}
\label{Cor2}
Let $X$ be a projective variety of dimension $n$ defined over a number field $k$. Let $S$ be a finite set of places of $k$. Let $D_1,\ldots, D_q$ be effective Cartier divisors on $X$, defined over $k$, and in general position. Let $A$ be an ample Cartier divisor on $X$, and $\epsilon>0$. Let $c_i$ be rational numbers such that $A-c_iD_i$ is a nef $\mathbb{Q}$-divisor for all $i$. Then there exists a proper Zariski closed subset $Z\subset X$, independent of $k$ and $S$, such that for all but finitely many points $P\in X(k)\setminus Z$,
\begin{equation*}
\sum_{i=1}^q c_i m_{D_{i},S}(P)< (n+1+\epsilon)h_A(P).
\end{equation*}
\end{theorem}
Here, $m_{D,S}(P)=\sum_{v\in S} \lambda_{D,v}(P)$ is a sum of local height functions $\lambda_{D,v}$, associated to the divisor $D$ and place $v$ in $S$, and $h_A$ is a global (absolute) height associated to $A$.
Theorem \ref{Cor2} may be viewed as a generalization of work of Evertse and Ferretti \cite{ef_festschrift} and Corvaja and Zannier \cite{CZ}, which dealt with the case when the divisors $A,D_1,\ldots, D_q$ have a common multiple up to linear equivalence (or work of the second author \cite{levin_duke} when the divisors have a common multiple up to numerical equivalence). More generally, building on the work of Evertse and Ferretti \cite{ef_festschrift}, Corvaja and Zannier \cite{CZ}, McKinnon and Roth \cite{McK_R} and others, a version of Theorem \ref{Cor2} was proved in \cite{HL17} for closed subchemes (in place of divisors) and with the constants $c_i$ replaced by suitably-defined Seshadri constants. The fact that $Z$ can be chosen independently of $k$ and $S$ in Theorem \ref{Cor2} (and its generalizations) relies on Vojta's result \cite{vojta_ajm_87} on the exceptional set in Schmidt's subspace theorem, and that the proof of Theorem \ref{Cor2} ultimately relies on an application of Schmidt's theorem.
The proof of Theorem \ref{mthm}\eqref{mthma} proceeds through Theorem \ref{Cor2}, and takes advantage of the freedom in choosing the ample divisor $A$ in Theorem \ref{Cor2}. Roughly speaking, the idea of the proof of Theorem \ref{mthm}\eqref{mthma} is to choose an ample divisor $A$ in Theorem \ref{Cor2} whose image in the relevant convex cone $\mathcal{C}$ is centrally located relative to the classes of $D_1,\ldots, D_q$ in $\mathcal{C}$. In practice, we achieve this by choosing an $A$ which achieves a certain lexicographical minimax.
Under the standard correspondence between statements in Diophantine approximation and Nevanlinna theory, there exist analogous degeneration statements for entire curves in Nevanlinna theory. This line of reasoning is by now well known and we omit the details.
\section{Proof of Theorem \ref{mthm}\eqref{mthma}}
The proof of Theorem \ref{mthm}\eqref{mthma} is based on the following proposition.
\begin{proposition}\label{keyprop}
Let $X$ be a projective variety of dimension $n$ defined over a number field $k$. Let $E_1,\ldots, E_r$ be nef Cartier divisors on $X$ with $\sum_{j=1}^rE_j$ ample. Let $D_1,\ldots, D_q$ be non-zero effective (possibly reducible) Cartier divisors in general position on $X$. Suppose that $D_i\equiv \sum_{j=1}^ra_{i,j}E_j$, $i=1,\ldots, q$, where the coefficients $a_{i,j}$ are non-negative real numbers. Let $P_i=(a_{i,1},\ldots, a_{i,r})\in \mathbb{R}^r$, $i=1,\ldots, q$. Assume that for any proper subset $T$ of the set of standard basis vectors $\{e_1,\ldots, e_r\}\subset\mathbb{R}^r$, at most $(\#T)\left\lfloor\frac{q}{r}\right\rfloor$ of the vectors $P_1,\ldots, P_q$ are supported on $T$. If
\begin{align*}
q&\geq r(n+1)+1, && r=1,2,\\
q&\geq r(n+1)+\frac{(r-1)(r-2)}{2}, && r\geq 3,
\end{align*}
then there exist an ample divisor $A$ and positive rational constants $c_1,\ldots,c_q, \delta$ such that for all $i=1,\ldots, q$:
\begin{align*}
A-c_iD_i&\text{ is $\mathbb{Q}$-nef}
\end{align*}
and
\begin{align*}
\sum_{i=1}^q c_iD_i-(n+1+\delta)A &\text{ is $\mathbb{Q}$-nef.}
\end{align*}
\end{proposition}
Assuming Proposition \ref{keyprop}, the proof of Theorem \ref{mthm}\eqref{mthma} proceeds as follows.
\begin{proof}[Proof of Theorem \ref{mthm}(a)]
Let $A$, $c_1,\ldots, c_q$, and $\delta$ be as in the conclusion of Proposition~\ref{keyprop}. Let $\epsilon<\delta$ be a positive rational number. First, note that
\begin{align*}
\sum_{i=1}^q c_iD_i-(n+1+\epsilon)A = \sum_{i=1}^q c_iD_i-(n+1+\delta)A +(\delta-\varepsilon)A
\end{align*}
is an ample $\mathbb{Q}$-divisor, as it is the sum of a nef $\mathbb{Q}$-divisor (by Proposition \ref{keyprop}) and an ample $\mathbb{Q}$-divisor. Now, since $A-c_iD_i$ is $\mathbb{Q}$-nef for all $i=1,\ldots,q$, by Proposition \ref{keyprop}, we may apply Theorem \ref{Cor2} to conclude that there exists a proper Zariski closed subset $Z\subset X$, independent of $k$ and $S$, such that for all $P\in X(k)\setminus Z$,
\begin{equation*}
\sum_{i=1}^q c_im_{D_i,S}(P)< (n+1+\epsilon)h_A(P).
\end{equation*}
Furthermore, if $R\subset X(k)$ is a set of $(D,S)$-integral points on $X$, then for $P\in R\setminus Z$,
\begin{equation*}
\sum_{i=1}^q c_im_{D_i,S}(P)=\sum_{i=1}^q c_ih_{D_i}(P)+O(1)< (n+1+\epsilon)h_A(P)+O(1).
\end{equation*}
Since $\sum_{i=1}^q c_iD_i-(n+1+\epsilon)A$ is $\mathbb{Q}$-ample, by Northcott's theorem the inequality $\sum_{i=1}^q c_ih_{D_i}(P)< (n+1+\epsilon)h_A(P)+O(1)$ has only finitely many solutions $P\in X(k)$. It follows that $R\setminus Z$ is finite.
\end{proof}
It remains to prove Proposition \ref{keyprop}. To this end, we establish the following lemma. Note that we naturally interpret division of a positive number by zero as (positive) infinity.
\begin{lemma}
\label{mainl}
Let $P_i=(a_{i,1},\ldots, a_{i,r})\in \mathbb{R}^r\setminus \{0\}$, $i=1,\ldots, q$, be vectors with non-negative coordinates. Let $e_j$, $j=1,\ldots, r,$ be the standard coordinate vectors. Suppose that for any proper subset $T\subset \{e_1,\ldots, e_r\}$ of cardinality $t$, at most $t\left\lfloor\frac{q}{r}\right\rfloor$ of the vectors $P_i$ are supported on $T$. For $Q=(b_1,\ldots, b_r)\in \mathbb{R}^r$ with positive coordinates, define
\begin{align*}
n_j(Q,P_1,\ldots, P_q)=\#\left\{i\in \{1,\ldots,q\}\mid \min_{l=1,\ldots,r} \frac{b_l}{a_{i,l}}=\frac{b_j}{a_{i,j}}\right\}, \quad j=1,\ldots, r.
\end{align*}
Assume additionally that for all $i\neq i',j\neq j'$, we have
\begin{equation}\label{generic}
a_{i,j}a_{i',j'}-a_{i,j'}a_{i',j}\neq 0,
\end{equation}
unless both terms on the left are $0$. Then there exists $Q=(b_1,\ldots, b_r)\in \mathbb{Q}^r$ with positive coordinates such that
\begin{align*}
n_j(Q,P_1,\ldots, P_q)\geq \frac{q}{r}-\frac{r-1}{2}, \quad j=1,\ldots, r,
\end{align*}
and
\begin{align}
\left(\frac{1}{2}\min \frac{a_{i,j}}{a_{i',j'}}\right)^r\leq \frac{b_l}{b_{l'}}\leq \left(2\max \frac{a_{i,j}}{a_{i',j'}}\right)^r, \quad \text{ for all }l, l', \label{bineq}
\end{align}
where the minimum and maximum are taken over all $i,j,i',j'$ such that $a_{i,j}a_{i',j'}\neq 0$.
\end{lemma}
\begin{proof}
To a point $Q=(b_1,\ldots, b_r)\in \mathbb{R}^r$ with positive coordinates, we associate the point $n(Q)=(n_1,\ldots, n_r)\in \mathbb{N}^r$, where $n_j=n_j(Q)=n_j(Q,P_1,\ldots, P_q)$, $j=1,\ldots, r$. Let $\mathcal{A}\subset\mathbb{R}^r$ be the subset of $Q=(b_1,\ldots, b_r)$ with positive coordinates such that
\begin{enumerate}
\item The non-zero coordinates of the vector $(a_{i,1}/b_1,\ldots, a_{i,r}/b_r)$ are distinct for any fixed $i=1,\ldots, q$.\label{cond1}
\item The ratios of all distinct non-zero coordinates of $(a_{i,1}/b_1,\ldots, a_{i,r}/b_r)$ (over all $i$) are distinct.\label{cond2}
\end{enumerate}
Then $\mathcal{A}$ is clearly an open subset of $\mathbb{R}^r$. By condition \eqref{generic}, $\mathcal{A}$ is non-empty. The condition \eqref{cond1} ensures that for $Q\in \mathcal{A}$, every point $P_i$ contributes to a unique $n_j(Q,P_1,\ldots, P_q)$. In particular, for $Q\in \mathcal{A}$, $\sum_{j=1}^rn_j(Q,P_1,\ldots, P_q)=q$.\par
We consider $\mathbb{N}^r$ with the usual lexicographical ordering. Let $Q\in \mathcal{A}$ be such that it realizes the lexicographical minimax
$$\min_{P\in \mathcal{A}}\ \max\{\sigma(n(P)): \sigma \in S_r\},$$
where $S_r$ is the symmetric group on $r$ letters. After permuting the coordinates, we can assume without loss of generality that $n(Q)=(n_1,\ldots, n_r)$ satisfies $n_1\geq n_2\geq \ldots \geq n_r$. \par
We claim that $n_j-n_{j+1}\in \{0,1\}$ for $1\leq j\leq r-1$. Suppose otherwise, and let $j_0$ be the smallest index such that $n_{j_0}-n_{j_0+1}\geq 2$. We consider the family of points
\begin{align*}
Q_\lambda=(\lambda b_1,\ldots, \lambda b_{j_0}, b_{j_0+1},\ldots, b_r)=(b_{\lambda, 1},\ldots, b_{\lambda,r}), \quad \lambda \geq 1.
\end{align*}
By assumption, there are at most $j_0\left\lfloor\frac{q}{r}\right\rfloor$ vectors $P_i$ supported on $e_1,\ldots, e_{j_0}$. Since $\sum_{j=1}^{j_0}n_j>j_0\left\lfloor\frac{q}{r}\right\rfloor$, this implies that for some $\lambda>1$, $n(Q_\lambda)\neq n(Q)$. Condition \eqref{cond1} implies that there is a minimal such value $\lambda>1$. From the form of $Q_\lambda$ and condition \eqref{cond2}, for this value of $\lambda$ there is a unique $j_1\leq j_0$, $j_2>j_0$, and $i$ such that
\begin{align*}
\min_{l=1,\ldots,r} \frac{b_{\lambda,l}}{a_{i,l}}=\frac{\lambda b_{j_1}}{a_{i,j_1}}=\frac{ b_{j_2}}{a_{i,j_2}}.
\end{align*}
Then for sufficiently small $\epsilon>0$, $Q_{\lambda+\epsilon}\in \mathcal{A}$, $n_{j_1}(Q_{\lambda+\epsilon})=n_{j_1}(Q)-1$, $n_{j_2}(Q_{\lambda+\epsilon})=n_{j_2}(Q)+1$, and $n_{j}(Q_{\lambda+\epsilon})=n_{j}(Q)$ if $j\not\in \{j_1,j_2\}$. Since $n_{j_1}-n_{j_2}\geq n_{j_0}-n_{j_0+1}\geq 2$, this implies that
\begin{align*}
\max\{\sigma(n(Q_{\lambda+\epsilon})): \sigma \in S_r\}< n(Q),
\end{align*}
contradicting the definition of $Q$ and proving the claim.
Now, we note that $n_j-n_{j+1}\in \{0,1\}$ for $1\leq j\leq r-1$ implies the inequalities
\begin{align*}
rn_r\leq q=\sum_{j=1}^rn_j\leq rn_r+\frac{r(r-1)}{2}.
\end{align*}
The last inequality implies
$$(n_1\geq n_2\geq \ldots \geq)\ n_r\geq \frac q r - \frac{r-1}{2}.$$
Due to the condition (a) imposed on the set $\mathcal{A}$, it is clear that we may replace $Q$ by a sufficiently close point with rational coefficients and maintain the above chain of inequalities. Lemma \ref{mainl} is now proven except for the bounds \eqref{bineq}. By symmetry, it suffices to prove that we can choose $Q=(b_1,\ldots, b_r)$ satisfying
\begin{align*}
\frac{b_l}{b_{l'}}\leq \left(2\max \frac{a_{i,j}}{a_{i',j'}}\right)^r \quad \text{ for all }l, l',
\end{align*}
where the maximum is over all $i,j,i',j'$ such that $a_{i,j}a_{i',j'}\neq 0$. Let $Q=(b_1,\ldots, b_r)$ be one choice of $Q$ satisfying the lemma except for possibly the inequality \eqref{bineq}. For simplicity, after reindexing, we may assume that $0<b_1\leq b_2\leq \ldots \leq b_r$. Suppose that for some index $l$,
\begin{align*}
\frac{b_{l+1}}{b_l}>2\max \frac{a_{i,j}}{a_{i',j'}}.
\end{align*}
Let $\lambda$ be a rational number satisfying
\begin{align*}
\frac{b_l}{b_{l+1}}\max \frac{a_{i,j}}{a_{i',j'}}< \lambda < 2\frac{b_l}{b_{l+1}}\max \frac{a_{i,j}}{a_{i',j'}}<1,
\end{align*}
and let
\begin{align*}
Q'=(b_1',\ldots, b_r')=(b_1,\ldots, b_l, \lambda b_{l+1},\lambda b_{l+2},\ldots, \lambda b_r).
\end{align*}
Note that $Q'$ again has positive rational coordinates. We claim that
\begin{align*}
n_j(Q,P_1,\ldots, P_q)\leq n_j(Q',P_1,\ldots, P_q), \quad j=1,\ldots, r.
\end{align*}
Let $j\in \{1,\ldots, r\}$ and $i\in \{1,\ldots,q\}$ be such that
\begin{align*}
\min_{m=1,\ldots,r} \frac{b_m}{a_{i,m}}=\frac{b_j}{a_{i,j}}.
\end{align*}
In particular, $a_{i,j}\neq 0$. Suppose first that $j\leq l$. For $m\geq l+1$ we have
\begin{align*}
\frac{b_m'}{b_j'}=\frac{\lambda b_m}{b_j} > \max \frac{a_{i',j'}}{a_{i,j}}.
\end{align*}
For $m\leq l$ we have
\begin{align*}
\frac{b_m'}{b_j'}=\frac{ b_m}{b_j}.
\end{align*}
It follows that
\begin{align*}
\min_{m=1,\ldots,r} \frac{b_m'}{a_{i,m}}=\frac{b_j'}{a_{i,j}}=\frac{b_j}{a_{i,j}}.
\end{align*}
Suppose now that $j\geq l+1$. Let $m\leq l$. If $a_{i,m}\neq 0$, then
\begin{align*}
\frac{b_m}{b_j}< \frac{1}{2}\min \frac{a_{i',j'}}{a_{i,j}}<\frac{a_{i,m}}{a_{i,j}},
\end{align*}
contradicting the choice of $i$ and $j$. Therefore $a_{i,m}=0$. If $m\geq l+1$ then
\begin{align*}
\frac{b_m'}{b_j'}=\frac{b_m}{b_j}.
\end{align*}
It follows that
\begin{align*}
\min_{m=1,\ldots,r} \frac{b_m'}{a_{i,m}}=\frac{b_j'}{a_{i,j}}=\lambda\frac{b_j}{a_{i,j}}.
\end{align*}
Therefore
\begin{align*}
n_j(Q',P_1,\ldots, P_q)\geq n_j(Q,P_1,\ldots, P_q)\geq \frac{q}{r}-\frac{r-1}{2}, \quad j=1,\ldots, r,
\end{align*}
and replacing $Q$ by $Q'$, we now have the inequality
\begin{align*}
\frac{b_{l+1}}{b_l}\leq 2\max \frac{a_{i,j}}{a_{i',j'}}.
\end{align*}
Repeating this argument finitely many times, we find a suitable $Q=(b_1,\ldots, b_r)$ with positive rational coordinates such that for $l=1,\ldots, r-1$,
\begin{align*}
\frac{b_{l+1}}{b_l}\leq 2\max \frac{a_{i,j}}{a_{i',j'}},
\end{align*}
which implies \eqref{bineq}.\end{proof}
\begin{proof}[Proof of Proposition \ref{keyprop}]
We take $$\alpha_{1,1}(\kappa),\ldots,\alpha_{1,r}(\kappa),\alpha_{2,1}(\kappa),\ldots,\alpha_{2,r}(\kappa),\ldots,\alpha_{q,1}(\kappa),\ldots,\alpha_{q,r}(\kappa)$$
to be (discontinuous) functions of $\kappa\in (0,1]$ with the following properties. The function $\alpha_{i,j}(\kappa)$ is identically equal to $0$ if $a_{i,j}=0$. If, on the other hand, $a_{i,j}\not =0$, then $\alpha_{i,j}(\kappa)$ takes on positive real values such that we have the limits
$$\lim_{\kappa\searrow 0} \alpha_{i,j}(\kappa) = 0.$$
Moreover, the $\mathbb{R}$-divisors $B_i(\kappa) = \alpha_{i,1}(\kappa)E_1+\ldots+ \alpha_{i,r}(\kappa)E_r$ are such that
$$D_i'(\kappa):=D_i+B_i(\kappa)\equiv \sum_{j=1}^r a'_{i,j}(\kappa) E_j,\quad i=1,\ldots,q,$$
have rational coefficients $a'_{i,j}(\kappa) = a_{i,j} + \alpha_{i,j}(\kappa)$ and the vectors
$$P'_1(\kappa)=(a'_{1,1}(\kappa),\ldots, a'_{1,r}(\kappa)),\ldots, P'_q(\kappa)=(a'_{q,1}(\kappa),\ldots, a'_{q,r}(\kappa))$$
satisfy the assumptions of Lemma \ref{mainl}. Therefore, we can conclude that, for all $\kappa$, there exists a vector $Q'(\kappa)=(b'_1(\kappa),\ldots,b'_r(\kappa))$ as in Lemma~\ref{mainl} with respect to $P'_1(\kappa),\ldots,P'_q(\kappa)$. We normalize the coordinates so that $b'_1=1$. Then from the definitions and Lemma \ref{mainl}, for a sufficiently small choice of $\hat \kappa>0$ (we now fix one such choice), there exist positive rational constants $\gamma_1, \gamma_2, \gamma_3$, and $\gamma_4$ such that for all $0<\kappa<\hat \kappa$,
\begin{align*}
\gamma_1<a_{i,j}'(\kappa)<\gamma_2
\end{align*}
for all $i$ and $j$ such that $a_{i,j}'(\kappa)\neq 0$ (or equivalently, $a_{i,j}\neq 0$), and
\begin{align*}
\gamma_3<b_j'(\kappa)<\gamma_4, \quad j=1,\ldots, r.
\end{align*}
We now choose a fixed positive rational number $\delta<\frac{\gamma_1\gamma_3}{2\gamma_2\gamma_4}$ and a fixed $0< \kappa_0=\kappa(\delta)<\hat\kappa $ such that
\begin{align}\label{delta_div}
\delta\gamma_3\sum_{j=1}^r E_j-\frac{\gamma_4}{\gamma_1} \sum_{i=1}^qB_i(\kappa_0)
\end{align}
is $\mathbb{Q}$-nef. We now set $Q'=Q'(\kappa_0)=(b'_1,\ldots,b'_r)$ with $b_1'=1$ and let
\begin{align*}
A=b'_1E_1+\ldots+ b'_rE_r.
\end{align*}
Then $A$ is $\mathbb{Q}$-ample. \par
We define positive rational numbers
\begin{align*}
c_i:=\min_{j=1,\ldots,r} \frac{b_j'}{a_{i,j}'(\kappa_0)}< \frac{\gamma_4}{\gamma_1},\quad i=1,\ldots,q.
\end{align*}
For $\mathbb{R}$-divisors $F_1$ and $F_2$, we write $F_1\geq F_2$ if the difference $F_1-F_2$ is a nef $\mathbb{R}$-divisor. Then
\begin{align*}
A-c_iD_i&\geq A-c_iD_i'(\kappa_0)\\
&\equiv \sum_{j=1}^r (b_j'- c_i a_{i,j}'(\kappa_0))E_j,
\end{align*}
which implies that $A-c_iD_i$ is a nef $\mathbb{Q}$-divisor for $i=1,\ldots,q$.\par
We now deal only with the general case $r\geq 3$, as the cases $r=1,2$ are easy specializations of the following argument.\par
Since
\begin{align*}
q\geq r(n+1)+\frac{(r-1)(r-2)}{2}=rn+\frac{r(r-1)}{2}+1,
\end{align*}
we have
\begin{align*}
n_j(Q',P_1'(\kappa_0),\ldots, P_q'(\kappa_0))\geq \frac q r - \frac{r-1} 2> n, \quad j=1,\ldots, r.
\end{align*}
Therefore,
\begin{align}
\label{njeq}
n_j(Q',P_1'(\kappa_0),\ldots, P_q'(\kappa_0))\geq n+1, \quad j=1,\ldots, r,
\end{align}
as $n_j(Q',P_1'(\kappa_0),\ldots, P_q'(\kappa_0))$ is an integer. Let $j\in \{1,\ldots, r\}$. By hypothesis, at most $(r-1)\lfloor \frac{q}{r}\rfloor\leq q-\frac{q}{r}$ of the vectors $P_1,\ldots, P_q$ lie in $\Span(\{e_1,\ldots, e_r\}\setminus \{e_j\})$. Since $q>r(n+1)$, it follows that there are at least $\lceil\frac{q}{r}\rceil\geq n+2$ points $P_i'(\kappa_0)$ with $a_{i,j}'(\kappa_0)>0$. Combined with \eqref{njeq}, this implies that
\begin{align*}
\sum_{i=1}^q c_iD_i'(\kappa_0)&\geq \sum_{j=1}^r (n+1)b'_jE_j+\sum_{j=1}^r \left(\min_i c_i\right)\left(\min_{\substack{i, a_{i,j}'(\kappa_0)\neq 0}}a_{i,j}'(\kappa_0)\right)E_j\\
&\geq (n+1)A+\frac{\gamma_1\gamma_3}{\gamma_2}\sum_{j=1}^rE_j\\
&\geq \left(n+1+\frac{\gamma_1\gamma_3}{\gamma_2\gamma_4}\right)A.
\end{align*}
Finally, we find the inequalities
\begin{align*}
&\sum_{i=1}^q c_iD_i-\left(n+1+\delta\right)A\\=& \sum_{i=1}^q c_iD_i'(\kappa_0)-(n+1+2\delta)A+\delta A-\sum_{i=1}^q c_iB_i (\kappa_0)\\
\geq & \left(n+1+\frac{\gamma_1\gamma_3}{\gamma_2\gamma_4}\right)A-(n+1+2\delta)A +\delta\gamma_3\sum_{j=1}^rE_j-\frac{\gamma_4}{\gamma_1}\sum_{i=1}^q B_i(\kappa_0)\\
\geq & \underbrace{ \left(\frac{\gamma_1\gamma_3}{\gamma_2\gamma_4}-2\delta\right)}_{>0} A,
\end{align*}
where the last inequality is due to \eqref{delta_div}. Therefore,
\begin{align*}
\sum_{i=1}^q c_iD_i-\left(n+1+\delta\right)A
\end{align*}
is $\mathbb{Q}$-ample and in particular $\mathbb{Q}$-nef. Finally, by rescaling the coefficients $b_j'$ appearing in $A$ (and rescaling the $c_i$ by the same factor), we can assume that $A$ is an ample divisor (and not just an ample $\mathbb{Q}$-divisor).
\end{proof}
\section{Proof of Theorem \ref{mthm}\eqref{mthmb} and Theorem \ref{mthm2}}
\label{proofb}
We use the following simple lemma.
\begin{lemma}
\label{thmblem}
Let $P_i\in \mathbb{R}^r\setminus \{0\}$, $i=1,\ldots, q$, be vectors with non-negative coordinates. Let $e_1,\ldots, e_r$ be the standard coordinate vectors. Suppose that for any proper subset $T\subset \{e_1,\ldots, e_r\}$ of cardinality $t$, at most $t\left\lfloor\frac{q}{r}\right\rfloor$ of the vectors $P_i$ are supported on $T$. Then there exist pairwise disjoint subsets $I_1,\ldots, I_{\left\lfloor \frac{q}{r}\right\rfloor}\subset \{1,\ldots, q\}$ of cardinality $r$ such that the vector
\begin{align*}
\sum_{i\in I_j}P_i
\end{align*}
has positive coordinates for $j=1,\ldots, \left\lfloor \frac{q}{r}\right\rfloor$.
\end{lemma}
\begin{proof}
We prove the result by induction on the dimension $r$. For $r=1$ the result is trivial. Suppose now that $r\geq 2$ and the result holds in dimension $r-1$. By dropping some of the $P_i$ and replacing $q$ by $r \left\lfloor \frac{q}{r}\right\rfloor$, it suffices to prove the case that $q$ is divisible by $r$. Let $\pi:\mathbb{R}^r\to\mathbb{R}^{r-1}$ denote the projection onto the first $r-1$ coordinates. By hypothesis, there are at most $\frac{q}{r}$ vectors $P_i$ with $\pi(P_i)=0$, and hence at least
\begin{align*}
q':=q-\frac{q}{r}=\frac{q(r-1)}{r}
\end{align*}
vectors $P_i$ such that $\pi(P_i)\neq 0$. Similarly, taking $t=r-1$, there are at most $q'$ vectors $P_i$ whose last coordinate is $0$ (and necessarily $\pi(P_i)\neq 0$ for such $P_i$). Then after reindexing, we can assume that $\pi(P_i)\neq 0$, $i=1,\ldots, q'$, and that $P_{q'+1},\ldots, P_q$ have positive $r$th coordinate. Since $\frac{q'}{r-1}=\frac{q}{r}$ as well, we can apply the inductive hypothesis to $\pi(P_1),\ldots, \pi(P_{q'})\in \mathbb{R}^{r-1}\setminus \{0\}$. It follows that there exist disjoint subsets $I'_1,\ldots, I'_{\frac{q'}{r-1}}\subset\{1,\ldots, q'\}$ of cardinality $r-1$ such that
\begin{align*}
\sum_{i\in I_j'}\pi(P_i)
\end{align*}
has positive coordinates in $\mathbb{R}^{r-1}$ for $j=1,\ldots, \frac{q'}{r-1}=\frac{q}{r}$. Let $I_j=I_j'\cup \{q'+j\}$, $j=1,\ldots, \frac{q}{r}$. Then
\begin{align*}
\sum_{i\in I_j}P_i
\end{align*}
has positive coordinates for $j=1,\ldots, \frac{q}{r}$ as desired.
\end{proof}
Lemma \ref{thmblem} has the following consequence in the context of Theorem \ref{mthm}.
\begin{proposition}
Let $X$ be a projective variety. Let $E_1,\ldots, E_r$ be nef Cartier divisors on $X$ with $\sum_{j=1}^rE_j$ ample. Let $D_1,\ldots, D_q$ be non-zero effective (possibly reducible) Cartier divisors in general position on $X$, and suppose that $D_i\equiv \sum_{j=1}^ra_{i,j}E_j$, $i=1,\ldots, q$, where the coefficients $a_{i,j}$ are non-negative real numbers. Let $P_i=(a_{i,1},\ldots, a_{i,r})\in \mathbb{R}^r$, $i=1,\ldots, q$. Assume that for any proper subset $T$ of the set of standard basis vectors $\{e_1,\ldots, e_r\}\subset\mathbb{R}^r$, at most $(\#T)\left\lfloor\frac{q}{r}\right\rfloor$ of the vectors $P_1,\ldots, P_q$ are supported on $T$. Then there exist $q'= \left\lfloor \frac{q}{r}\right\rfloor$ ample effective divisors $A_1,\ldots, A_{q'}$ in general position on $X$ with support contained in the support of $\sum_{i=1}^qD_i$.
\end{proposition}
\begin{proof}
Let $I_1,\ldots, I_{q'}\subset \{1,\ldots, q\}$ be as in Lemma \ref{thmblem} (with respect to $P_1,\ldots, P_q$) and let
\begin{align*}
A_m=\sum_{i\in I_m}D_i, \quad m=1,\ldots, q'.
\end{align*}
Since the divisors $D_1, \ldots, D_q$ are in general position on $X$ and the sets $I_m$ are pairwise disjoint, it is elementary that the divisors $A_1,\ldots, A_{q'}$ are in general position on $X$. Moreover, since $\sum_{j=1}^rE_j$ is ample, $E_1,\ldots, E_r$ are nef divisors, and by construction, $A_m$ is numerically equivalent to a positive linear combination of $E_1,\ldots, E_r$, it follows that each divisor $A_m$ is ample.
\end{proof}
Theorem \ref{mthm}\eqref{mthmb} is now an immediate consequence of the preceding proposition combined appropriately with Theorem \ref{NW}, as the rank of the subgroup in $\NS X$ generated by $D_1,\ldots, D_q$ is no greater than the number of nef divisors $E_1,\ldots,E_r$ in the assumptions of Theorem \ref{mthm}. Moreover, Theorem \ref{mthm2} is now an immediate consequence of Theorem \ref{Autissier} and Theorem \ref{Levin2}. Here, we use the fact that if $X\setminus E$ is arithmetically (quasi-)hyperbolic and $\Supp E\subset \Supp D$, then $X\setminus D$ is arithmetically (quasi-)hyperbolic.
\section{Examples}
\label{examples}
We first give two examples showing that in Vojta's Theorems \ref{Vojta1} and \ref{Vojta2} the conclusions cannot, in general, be strengthened to quasi-hyperbolicity statements. In the first example the divisors $D_i$ are ample, but not in general position, and in the second example the divisors $D_i$ are in general position, but are not ample.
\begin{example}
\label{P2lines}
Let $X=\mathbb{P}^2$ and let $D$ be a sum of at least $4$ lines passing through a fixed point $P\in \mathbb{P}^2(k)$. Theorems \ref{Vojta1} and \ref{Vojta2} imply that any set of $(D,S)$-integral points is not Zariski dense in $\mathbb{P}^2$ (in fact, by Siegel's theorem, this already holds when $D$ consists of the sum of just $3$ lines passing through $P\in \mathbb{P}^2(k)$, as in this case $\mathbb{P}^2\setminus D\cong \mathbb{A}^1\times (\mathbb{P}^1\setminus \{0,1,\infty\})$). On the other hand, it is easy to see that any line $L$ through $P$ not contained in the support of $D$ contains an infinite set of $(D,S)$-integral points (for some $k$ and $S$). Thus, $X\setminus D$ is not arithmetically quasi-hyperbolic.
\end{example}
\begin{example}
\label{P1squared}
Let $X=\mathbb{P}^1\times \mathbb{P}^1$ and let $D$ be a sum of at least $5$ fibers of the first natural projection. Theorems \ref{Vojta1} and \ref{Vojta2} imply that any set of $(D,S)$-integral points is not Zariski dense in $\mathbb{P}^1\times \mathbb{P}^1$ (again, $3$ fibers are actually sufficient from an $S$-unit equation argument). On the other hand, it is easy to see that any fiber of the first projection (not contained in the support of $D$) contains an infinite set of $(D,S)$-integral points (for some $k$ and $S$). Then $X\setminus D$ is not arithmetically quasi-hyperbolic.
\end{example}
Next we give a sample application of Theorem \ref{mthm}\eqref{mthma} which does not seem to follow na\"ively from other previous results.
\begin{example}
\label{appex}
Let $X$ be a non-singular projective variety of dimension $n$, defined over a number field $k$, with nef effective divisors $E_1,E_2,E_3$ on $X$ such that $E_1+E_2+E_3$ is ample, but $E_i+E_j$ is not ample, or even big, for all $i,j\in \{1,2,3\}$ (for instance, one could take $A$ an ample effective divisor on a non-singular projective $Y$, let $X=Y^3$, and let $E_i=\pi_i^*A$, $i=1,2,3$, where $\pi_i$ is the $i$th natural projection map $\pi_i:X\to Y$). Let $D_{i,j,k}$ be an effective divisor numerically equivalent to some positive (rational) linear combination $a_{i,j,k}E_i+b_{i,j,k}E_j$ for $1\leq i<j\leq 3$, $1\leq k\leq n+2$. Suppose that the $3n+6$ effective divisors $D_{i,j,k}$ are in general position on $X$ and let $D=\sum_{i,j,k}D_{i,j,k}$. Then by Theorem \ref{mthm}\eqref{mthma}, $X\setminus D$ is arithmetically quasi-hyperbolic.
It does not seem straightforward to deduce this consequence, in general, from earlier results without using arguments similar to the present ones. For instance, with Autissier's Theorem \ref{Autissier} in mind, there is not a way to generate more than $\frac{3}{2}n+3$ ample effective divisors in general position from the $D_{i,j,k}$ (assuming they are irreducible) nor (in view of \cite[Th.~3.2]{levin_duke}) a way to generate $n+2$ numerically equivalent ample effective divisors in general position from the $D_{i,j,k}$ (for general choices of $a_{i,j,k}$ and $b_{i,j,k}$). We emphasize that the arithmetic quasi-hyperbolicity of $X\setminus D$ is the key aspect here (Zariski non-density of integral points follows easily from, say, Vojta's Theorem \ref{Vojta2}).
The above example can be naturally extended to the case of arbitrary
$r\geq 3$ and thus shows that our result is genuinely new. On the
other hand, with some additional considerations in the spirit of Lemma
\ref{mainl}, the cases $r=1,2$ of Theorem \ref{mthm}\eqref{mthma} may
be reduced to \cite[Th.~3.2]{levin_duke}).
\end{example}
The last two examples concern the sharpness of Conjecture \ref{conj2}.
\begin{example}
\label{conjaex}
Let $r$ and $n$ be positive integers with $r\leq n$, and let $Y_1,\ldots, Y_{r-1}$ be codimension $2$ linear spaces in $\mathbb{P}^n$ defined over a number field $k$ and in general position (i.e., all intersections among them have the expected dimension). Let $\pi:X_{n,r}\to\mathbb{P}^n$ be the blowup along $Y_1\cup\cdots\cup Y_{r-1}$. Let $H_{1,j},\ldots, H_{n-r+2,j}$, $j=1,\ldots, r$ be hyperplanes over $k$ passing through $Y_j$ for $j=1,\ldots, r-1$ (with no such condition when $j=r$) and let $H_{i,j}'$ be the strict transform of $H_{i,j}$ in $X_{n,r}$, $i=1,\ldots, n-r+2, j=1,\ldots, r$. We additionally choose the hyperplanes $H_{i,j}$ so that the divisors $H_{i,j}'$ are in general position on $X_{n,r}$ and let $D_{n,r}=\sum_{i,j}H_{i,j}'$. We prove by induction on $r$ that $X_{n,r}\setminus D_{n,r}$ is not arithmetically quasi-hyperbolic. If $r=1$ then $X_{n,r}=\mathbb{P}^n$ and $D$ is a sum of $n+1$ hyperplanes in general position. It is well-known that in this case for any appropriate finite set of places $S$ with $|S|>1$ there is a Zariski-dense set of $(D_{n,r},S)$-integral points on $X_{n,r}$.
If $r>1$, let $H$ be a hyperplane containing $Y_{r-1}$, distinct from any hyperplane $H_{i,j}$, and let $H'$ be its strict transform in $X_{n,r}$ (note that $H'\cap H'_{i,r-1}=\emptyset$, $i=1,\ldots, n-r+2$). For a general choice of $H$ (subject to the condition that it contains $Y_{r-1}$), $H'\setminus D_{n,r}$ is isomorphic to a variety of the form $X_{n-1,r-1}\setminus D_{n-1,r-1}$ (for a suitable choice of parameters). Then by induction, $H'\setminus D_{n,r}$ is not arithmetically quasi-hyperbolic. As the union of such $H'$ is Zariski dense in $X_{n,r}$ we find that $X_{n,r}\setminus D_{n,r}$ is not arithmetically quasi-hyperbolic. Finally, we note that $D_{n,r}$ is a sum of $r(n-r+2)$ divisors which are easily checked to satisfy the hypotheses of Theorem \ref{mthm} (with the choice $E_j=H'_{1,j}$, $j=1,\ldots, r$). Thus, in Conjecture \ref{conj2}\eqref{conja}, if $r\leq n$ then for the conclusion to hold it is necessary at least that $q\geq r(n-r+2)+1$.
\end{example}
\begin{example}
\label{conjbex}
Let $T=\{P_1,\ldots, P_s, Q,R\}$ be a set of distinct collinear points in $\mathbb{P}^n(k)$ lying on a line $L$. Let $H_1,\ldots, H_{2n(s+1)}$ be hyperplanes over $k$ in $\mathbb{P}^n$ such that each $H_i$ contains exactly one point in $T$, the intersection of any $n+1$ of the hyperplanes is contained in $T$, and
\begin{align*}
\bigcap_{i=(j-1)(2n)+1}^{j(2n)}H_i&=\{P_j\}, \quad j=1,\ldots, s,\\
\bigcap_{i=(2s)n+1}^{(2s+1)n}H_i&=\{Q\}, \\
\bigcap_{i=(2s+1)n+1}^{(2s+2)n}H_i&=\{R\}.
\end{align*}
Let $\pi:X\to \mathbb{P}^n$ be the blowup at the $s$ points $P_1,\ldots, P_s$ and let $D_i$ be the strict transform of $H_i$ in $X$, $i=1,\ldots, 2n(s+1)$. Let $r=s+1$. Then the divisors $D_1,\ldots, D_{2nr}$ are easily seen to satisfy the hypotheses of Theorem \ref{mthm}, where $E_i=D_{2in}$, $i=1,\ldots, r$. Let $L'$ denote the strict transform of $L$. Then $L'$ intersects $D=\sum_{i=1}^{2nr}D_i$ only in the points $\pi^{-1}(Q)$ and $\pi^{-1}(R)$, and so $X\setminus D$ admits a non-constant morphism from $\mathbb{G}_m$. It follows that $X\setminus D$ is not arithmetically hyperbolic and that the inequality in Conjecture \ref{conj2}\eqref{conjb} is sharp (if true).
\end{example}
| {
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During this Yoga Teacher Training the students are continuously assessed throughout the course at all levels. There will be a practical test and written exams to evaluate the understanding and skills of the students and then a certificate will be given.
We are associates of neo yoga recognized by Yoga Alliance in USA & Canada as RYS 200 (Registered Yoga School) This allows you to use our yoga teacher training certificate for insurance and taxation purpose. And with our yoga teacher training certificate you can also register as RYT 200 online from www.yogaalliance.org – for your career and job opportunities. | {
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Linderås en ort i Tranås kommun i Jönköpings län, kyrkby i Linderås socken, som ligger sydväst om Tranås.
I byn ligger Linderås kyrka.
Källor
Orter i Tranås kommun
Småorter i Sverige | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 8,760 |
One of the greatest charms is the amount of hiking routes that exist in Cocentaina. They are an incentive to be able to enjoy nature, see many different landscapes and leave our urban lives and daily routines behind us. Behind the PRV-37, interesting trips like climbing the Montacabrer mountain or visiting the caves of Agres may be taken. The water which emerges into many different fountains, makes this route even more beautiful and more interesting for nature lovers. | {
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Girovce jsou obec na Slovensku v okrese Vranov nad Topľou v Prešovském kraji v údolí řeky Oľky poblíž přehrady Veľká Domaša. Žije zde obyvatel.
Geografie
Obec se nachází v jižní části Nízkých Beskyd v Ondavské vrchovině, na dolním toku řeky Oľky v povodí Ondavy, východně od vodní nádrže Veľká Domaša a je vzdáleno 22 km od Humenného a 23 km od Vranova nad Topľou. Většinu území zabírá pohoří Stykovica, kde se nachází nejvyšší bod Giroviců. Katastrálním územím protéká řeka Žarnovec, která pramení v lese po vrchem Stykovica (377 m n. m.) a vlévá se do řeky Oľky. Na území obce se částečně nacházejí Košarovské rybníky. Mírně zvlněný pahorkatinový povrch, který tvoří terciérní flyš a kvartérní naplaveniny, leží v nadmořské výšce 140–350 m n. m., střed obce leží ve výšce 147 m. Území obce je z větší části zalesněné nesouvislým lesním porostem habrů a buků.
Sousedními obcemi jsou Košarovce na severu, Lukačovce na severovýchodě a východě, Jasenovce na jihu a jihozápadě, Giglovce na západě a Holčíkovce na severozápadě.
Historie
První písemná zmínka o obci je z roku 1408 kde je uvedena jako Gerauich nebo Gerauicz, Gerowicz. Další historické názvy jsou Gerouych, Geronych z roku 1410, Gerocz z roku 1430 a Gyrowcze z roku 1773. V letech 1863–1902 nesla název Giróc v letech 1907–1913 Gerlefalva a od roku nese název Girovce. Obec byla původně součástí panství Stropkov, v 18. století ji vlastnili Vécseyové a v 19. století Larischové. V roce 1598 platila ves daň z šesti port. V roce 1715 zde bylo sedm opuštěných a čtyři obydlené domácnosti. V roce 1787 žilo v 11 domech 106 obyvatel, v roce 1828 zde žilo 111 obyvatel v 15 domech, kteří se živili pastevectvím, chovem dobytka a prací v lese, v 19. století byla v obci pila.V letech 1880 až 1900 se mnoho obyvatel vystěhovalo.
Do roku 1918 patřila obec, která ležela v Zemplínské župě, k Uherskému království a poté k Československu následně Slovensku. Za první Československé republiky byly Girovce zemědělskou obcí, ale obyvatelé byli také řemeslníky a také pracovali jako dělníci v kamenolomu. Během Slovenského národního povstání v oblasti operovali partyzáni, zejména skupina Čapajev Dne 4. října 1944 byla obec obsazena a následně zcela vypálena nacistickými německými vojsky. Po druhé světové válce poskytl stát finanční a materiální podporu na obnovu. Část obyvatel dojížděla za prací do Vranova nad Topľou, Strážského a Košic, část obyvatel byli soukromí zemědělci.
Církev a kostel
Farnost Girovce náleží pod farnost Jankovce děkanát Humenné arcidiecéze košická. Je zde barokní římskokatolický filiální kostel Nanebevzetí Panny Marie postavený kolem roku 1700 je národní kulturní památkou Slovenska.
Kostel je jednolodní barokní stavba na půdorysu obdélníku s půlkruhovým zakončením kněžiště a malou střešní věží z roku 1741. Věž za posazena za štítem na valbové střeše má deštěné zvonové patro a je zakončena jehlanem. V 19. století a po roce 1967 prošel úpravami. Loď je zaklenutá valenou klenbou s lunetami, v západní části je kruchta. Fasády jsou hladké se segmentově zakončenými okny.
Odkazy
Reference
Literatura
KROPILÁK, Miroslav, ed. Vlastivedný slovník obcí na Slovensku I. 1. vyd. Bratislava : VEDA, 1977. 526 s.
Externí odkazy
Obce v okrese Vranov nad Topľou
Obce v regionu Horní Zemplín | {
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Home WinBuzzer News A Microsoft Teams for Linux Client Is Officially in the Works
A Microsoft Teams for Linux Client Is Officially in the Works
Microsoft says it's "actively working" on a Teams for Linux client, but is yet to indicate when users can expect a release.
Ryan Maskell
September 10, 2019 11:37 am CEST
Microsoft has confirmed plans for a Teams for Linux client after telling customers to stay tuned. On a UserVoice post from November 2016, Team's engineer Alex noted that work is underway.
"We know many of you are waiting for a Teams client for Linux, and we're pleased to confirm we're actively working on it," she said. "Stay tuned for more information".
A Teams for Linux client would plug a gap in Microsoft's infrastructure and ensure employees can communicate effectively across all platforms. Though a web client for the app does exist, it naturally isn't as fully featured and optimized as a native one would be.
The Slack War Heats Up
It's also a platform Slack, Microsoft's main competitor, supports. By bundling its workplace chat app with its hugely popular Office 365 suite, Microsoft hopes to win the market. However, Slack CEO Stewart Butterfield believes his app's user experience will win large clients over.
In a recent talk, Butterfield noted that Microsoft Teams can't meet the needs of some Fortune 100 clients. A Linux client would be a step towards making the app more desirable, but common complaints about performance and bloat still need to be addressed.
In 2018, Microsoft's Shuphatra previously told UserVoice voters that their request for a Linux client had been denied.
"Hey guys, it has been two years since you asked for this and two years that I have been asking engineering for this and about this," she said. "At this point, there is no dedicated resource to creating a Linux client and I don't want to string any of you along about it anymore. I'm marking this as declined so we can focus on your other requests."
After an outpouring of feedback, Microsoft did an about-face the next day, and placed the client on the backlog again. However, it was only in July that it hinted development would happen.
There's no release estimate for the client, and requests for comment from ZDNet have been met with no additional information.
VIAZDNet
SOURCEMicrosoft
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https://ryanmaskell.co.uk
Ryan has had a passion for gaming and technology since early childhood. Fusing the skills from his Creative Writing and Publishing degree with profound technical knowledge, he enjoys covering news about Microsoft. As an avid writer, he is also working on his debut novel.
Microsoft Teams Gets New Features, including Full Walkie Talkie Launch
Microsoft Teams Rooms Gets New Group Chat Feature
Court Rules German State Hessen Must Continue to Use Microsoft Office Products | {
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{"url":"https:\/\/math.stackexchange.com\/questions\/2207269\/is-this-result-based-on-factorials-true","text":"# Is this result based on factorials true?\n\nWhile solving some questions based on factorials, I noticed a pattern and sat down to prove what I had been observing, for all $n$.\n\nI solved some questions like this one:\n\nSolve for $x$ - $$\\frac{1}{6!} + \\frac{1}{7!} = \\frac{x}{8!}$$\n\nOn computing, I found out that the value of $x$ came out to be $8^2 = 64$.\n\nOn solving some other similar questions, I noticed that the value of $x$ came out to be the square of the denominator of $x$ itself. In other words, I can express it as follows -\n\nSolve for $x$ - $$\\frac{1}{n!} + \\frac{1}{(n+1)!} = \\frac{x}{(n+2)!}$$\n\nSo, the value of $x$ in such situations came out to $(n+2)^2$. Here is how I proved it -\n\n$(n+1)! = (n+1).n!$\n$(n+2)! = (n+2).(n+1).n!$\n\nSo, LHS becomes, $\\frac{n+2}{(n+1).n!} = \\frac{x}{(n+2).(n+1).n!}$\n\n$\\implies x = (n+2)^2$\n\nIs my intuition correct? The pattern which I noticed led me to this result. Is this result valid?\n\n\u2022 Yeah, it looks good. \u2013\u00a0Simply Beautiful Art Mar 28 '17 at 17:36\n\u2022 You're right. :) \u2013\u00a0pie314271 Mar 28 '17 at 17:37\n\u2022 Nice spot, looks like simply beautiful art to me \u2013\u00a0mrnovice Mar 28 '17 at 17:37\n\u2022 yes you are right, the result is $64$ \u2013\u00a0Dr. Sonnhard Graubner Mar 28 '17 at 17:38\n\u2022 Thanks a lot to all of you who have appreciated my efforts. \u2013\u00a0Saksham Mar 28 '17 at 18:59\n\nEssentially, you are seeing $m(m-1) + m=m^2$, where $m=n+2$.","date":"2019-08-18 04:11:32","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\": 1, \"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\": 0.565728485584259, \"perplexity\": 487.5605827797262}, \"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-2019-35\/segments\/1566027313589.19\/warc\/CC-MAIN-20190818022816-20190818044816-00387.warc.gz\"}"} | null | null |
Classes start on 1 September 2018; applications open.
Big Data and Data Science double degree master's programme is a joint project of National Research Tomsk State University and Goldsmiths, University of London. The two-year programme has Tomsk and London as study destinations. Big Data specialist is one of the most sought-after IT professions in the modern world. Graduates will be able to process bulk data and use the results to solve problems at the juncture of computer, natural and social sciences. They can make stock market forecasts, monitor the condition of sophisticated facilities and analyse socio-political processes. Contact university staff for more information on tuition fee and admission requirements using your account on studyinrussi.ru. Follow the link to sign into the website and write directly to Tomsk State University; you can expect a reply within ten days.
National Research Tomsk State University provides quality education in most sought-after fields. TSU cooperates with many well-known universities such Maastricht University, Netherlands, University of Rouen, France, University of Coimbra, Portugal etc. | {
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package org.Webgatherer.Controller.Api;
import com.google.gson.Gson;
import org.Webgatherer.Utility.Service.WebServiceClient;
import org.codehaus.jackson.map.DeserializationConfig;
import org.codehaus.jackson.map.ObjectMapper;
/**
* @author Rick Dane
*/
public class BaseApiCommunication {
private static final Gson gson = new Gson();
private static String apiHeader = "application/json";
protected static <T> T apiPost(Object inputObj, String endPoint, Class<T> clazz) {
String jsonStr = gson.toJson(inputObj);
WebServiceClient webService = new WebServiceClient(endPoint);
String apiResponse = webService.servicePost("", jsonStr, apiHeader);
T object = null;
try {
object = deserializeFromJson(apiResponse, clazz);
} catch (Exception e) {
}
return object;
}
protected static <T> void apiPost(Object inputObj, String endPoint) {
String jsonStr = gson.toJson(inputObj);
WebServiceClient webService = new WebServiceClient(endPoint);
String apiResponse = webService.servicePost("", jsonStr, apiHeader);
}
protected static <T> void apiPut(Object inputObj, String endPoint) {
String jsonStr = gson.toJson(inputObj);
WebServiceClient webService = new WebServiceClient(endPoint);
String apiResponse = webService.servicePut("", jsonStr, apiHeader);
}
private static <T> T deserializeFromJson(String response, Class<T> clazz) {
ObjectMapper mapper = new ObjectMapper();
mapper.configure(DeserializationConfig.Feature.FAIL_ON_UNKNOWN_PROPERTIES, false);
T object = null;
try {
object = mapper.readValue(response, clazz);
} catch (Exception e) {
//e.printStackTrace();
}
return object;
}
}
| {
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\section{Introduction}
Nuclear Track Detectors (NTDs) have been used in charged particle detection for many decades in fields ranging from physics to geology~\citep{Fleischer:1975ya,CECCHINI2008S144}. NTDs are dielectric solids (e.g., polymer sheets of thickness $\sim100~\upmu$m). A charged particle, while passing through the NTD material, loses energy by ionizing the medium. If the energy loss is above a certain threshold, then the particle leaves behind a permanent damage trail, essentially broken polymer chains in case of plastics, called a \textquotedblleft latent track\textquotedblright. Obviously, this threshold will be different for different NTD materials. Such damaged regions become chemically more reactive compared to the undamaged bulk material. When such an NTD containing any \textit{latent track} is treated with a suitable chemical reagent, called etchant, materials along the damage trail are etched out at a much faster rate compared to the surrounding bulk material, resulting in etch pits large enough (of the order of micron) to be observed under optical microscopes. The geometry of such etch-pits can reveal crucial information on the identity of the particles forming such tracks. Because of their low cost, ease of handling and existence of natural thresholds of registration (which helps in reducing the background), NTDs are often the detectors of choice in the search for rare heavily ionizing hypothesized particles (e.g., magnetic monopoles, strangelets) in cosmic rays as well as particle accelerators~\citep{Acharya2016,Balestra:2008ps}. It may be mentioned here we are aiming to use a low cost, commercially available polymer, identified as Polyethylene Terephthalate (PET), as NTD in the search for strangelets through the deployment of large-area arrays at mountain altitudes~\citep{1475-7516-2017-04-035}.
\par
In such searches employing NTDs, the task of scanning of etched NTDs to locate the etch-pit openings on their surface is extremely labour intensive as the researchers are required to scan large areas of NTDs under high magnification.
The difficulty of finding a track due to any rare event is compounded by the presence of background, which can come from other ionizing radiations and also from structural defects in the plastic which creeps in during the polymerization process. Therefore, challenges of rare event search with NTDs are primarily technological with the conventional image analysis software often coming up short in the task of track identification.
\par
In this paper, we are proposing a novel approach for etch-pit image identification and counting in NTDs, which shows much-improved performance compared to more \textquotedblleft classical\textquotedblright~ (employing cuts based on just grey level, size, etc.) approaches to image analysis.
\section{Experimental technique}
This section describes the image analysis techniques that are applied to the unprocessed surface images of exposed and etched NTDs, captured by QWin software using a Leica DM4000B optical microscope. The etch-pits appear dark as compared to the background of NTD surface; however, the challenge is to separately recognize them from the other artifacts generated during chemical etching and scratches and defects, which also appear dark, as shown in Fig~\ref{fig1}. For this study, we have used the etch-pit images from Columbia Resin \#39 (CR-39) and Polyethylene terephthalate (PET) NTDs exposed to open-air at Darjeeling in Eastern Himalayas (altitude 2.2 km above mean sea level), India~\citep{1475-7516-2017-04-035} and $3.9$ MeV/nucleon $~^{32}$S ions from pelletron accelerator at Inter University Accelerator Centre, New Delhi~\citep{BHOWMIK2011197}, respectively. It may be mentioned here that for accelerator exposed NTDs (e.g., PET in this case), the bulk etch-rate ($V_B$) remains the same with that of the unexposed one (i.e., for PET $V_B=1.0\pm0.05~\upmu$m/h at $55.0\pm0.1$ $^{\circ}$C in 6.25 N NaOH aqueous solution), whereas typical values of $V_B$ for CR-39 increased by several factors (from $V_B=1.4\pm0.07~\upmu$m/h for unexposed one to $V_B=11.7\pm0.7~\upmu$m/h at $70.0\pm0.1$ $^{\circ}$C in 6.25 N NaOH aqueous solution) as the surface undergoes some degradation because of prolonged open-air exposure.
\begin{figure}[h]
\centering
\includegraphics[width=250px,height=200px]{1a.png}
\includegraphics[width=250px,height=200px]{1b.png}
\caption{Microscopic surface images at 50x objective magnification of (a) CR-39 (NTD) exposed to open-air at Darjeeling after 4 h of etching, where the etch-pits are formed due to local radon alphas, neutron recoiling, cosmic rays and (b) PET (NTD) exposed to 3.7 MeV/nucleon scattered $~^{32}$S ions at an angle $30^{\circ}$ from accelerator after 3 h of etching. The sizes of the image frames are $234~\upmu$m $\times$ $174~\upmu$m. Typical scratches and/or other defects are shown inside the red circle. It may be noted here that the surface quality of the NTDs which get open-air exposure are worsened due to harsh environmental conditions.}
\label{fig1}
\end{figure}
\par
The image analysis technique that we have applied here is based on sequential application of blind de-convolution and convolution with a suitable mask size obtained from the analysis of the area occupied by the two-dimensional elliptical opening (circular opening in case of normally incident ion) of the three-dimensional etch-pit cone. Before going to the application of the technique, a few considerations regarding image quality and image acquisition are described below:
\par
The typical sizes of etch-pit openings used here are roughly $\sim1-10~\upmu$m. As mentioned earlier, there are artifacts of similar sizes, which may be wrongly counted. Convolutions with the original size of the opening of etch-pits, therefore, need to be augmented with the shape of the pit-openings. It is known that the typical shape of the opening of the etch-pits will be elliptical, and in special cases circular (for normal incidence of the incoming ion), as shown in Fig.\ref{fig5} and Fig.\ref{fig4} respectively.
\par
First of all, among all the present etch-pit openings, the biggest one in shape and size is ascertained. Then a similar convolution circular mask is formed which is convolved with the entire etch-pit opening. As discussed, it provides a huge advantage since the convolution peak, generated at the centre of the etch-pit, helps to determine the position of a track. If any of the etch-pit openings within the captured image can be expressed as $N(x,y)$, considering its two-dimensional form and the circular mask mentioned above, is expressed as $M(x,y)$, then their convolution can be written as
\begin{equation}
f_c (x,y) = \iint \limits_{-\infty}^{+\infty} N(x-x_0,y-y_0)M(x_0,y_0)dx_0dy_0
\end{equation}
The above expression is commonly written as $f_c(x,y)=N(x,y) * M(x,y)$ and is routinely used in different domains of optics and signal processing~\citep{Gaskill_1978}. The advantage of using convolution is that in the case of the circular mask convolving with circular or elliptical opening of etch-pits, the peak values are produced at the centre provided that the shapes and sizes are nearly equal. In general, this is true for NTD surfaces. As a typical example, the average diameter of the etch-pit openings shown in Fig.\ref{fig1}(a) corresponds to nearly 120 pixels ($\sim12~\upmu$m). Fig.\ref{fig2} is an illustration by simulation where a one-dimensional representation of convolution is shown between an etch-pit and a mask of the same size. In one-dimensional representation, the functions are represented with a single variable provided in terms of pixels with an analogy to the images. Therefore, when $N(x)$ (Fig.\ref{fig2}(a)), essentially a one-dimensional projection of the etch-pit opening profile, gets convolved with the mask $M(x)$ (Fig.\ref{fig2}(b)), the result is a well-known triangular function as shown in Fig.\ref{fig2}(d) with a dotted line.
\begin{equation}
f_c (x,y) = \iint \limits_{-\infty}^{+\infty} N(x-x_0,y-y_0)M(x_0,y_0)dx_0dy_0
\end{equation}
The above expression is commonly written as $f_c(x,y)=N(x,y) * M(x,y)$ and is routinely used in different domains of optics and signal processing~\citep{Gaskill_1978}. The advantage of using convolution is that in the case of the circular mask convolving with circular or elliptical opening of etch-pits, the peak values are produced at the centre provided that the shapes and sizes are nearly equal. In general, this is true for NTD surfaces. As a typical example, the average diameter of the etch-pit openings shown in Fig.\ref{fig1}(a) corresponds to nearly 120 pixels ($\sim12~\upmu$m). Fig.\ref{fig2} is an illustration by simulation where a one-dimensional representation of convolution is shown between an etch-pit and a mask of the same size. In one-dimensional representation, the functions are represented with a single variable provided in terms of pixels with an analogy to the images. Therefore, when $N(x)$ (Fig.\ref{fig2}(a)), essentially a one-dimensional projection of the etch-pit opening profile, gets convolved with the mask $M(x)$ (Fig.\ref{fig2}(b)), the result is a well-known triangular function as shown in Fig.\ref{fig2}(d) with a dotted line.
\begin{figure}[h]
\centering
\includegraphics[width=180px,height=120px]{2a.png}
\includegraphics[width=180px,height=120px]{2b.png}
\includegraphics[width=180px,height=120px]{2c.png}
\includegraphics[width=180px,height=120px]{2d.png}
\caption{One dimensional representation of only convolution and then de-convolution followed by convolution process. (a) One dimensional representation of the opening of etch-pit profile $N(x)$ (width $\sim120$ pixel); (b) The circular mask $M(x)$ (width $\sim120$ pixels); (c) The Gaussian mask used in de-convolution $G(x)$ (half-width $\sim120$ pixels); (d) Comparison of convolution $f_c(x)$ and de-convolution followed by convolution $f_{dc}(x)$.}
\label{fig2}
\end{figure}
\par
For actual cases in NTDs, however, the other artifacts or the scratches are of different shapes and sizes, will result in similar convolution peaks. Therefore, for enhancing the peak values near the centres of etch-pit openings, a de-convolution process with a Gaussian mask as shown in Fig.\ref{fig2}(c) of similar shape (half-width $\sim 120$ pixels) is introduced~\citep{Ulmer_2013}. This provides higher peaks compared to simple convolution for definitive shapes of NTDs as shown in Fig.\ref{fig2}(d). Theoretically, this can be represented considering a Fourier domain explanation where $G(x)$ (Fig.\ref{fig2}(c)) is a one-dimensional representative Gaussian function centred at origin given by
\begin{equation}
G(x)=\exp(-ax^2)
\end{equation}
The Fourier transform of the above Gaussian function, is also a Gaussian function when written in terms of spatial frequency along X-direction $k_x$
\begin{equation}
F\{G(x)\}= \uvec{G}(k_x)=\sqrt{\frac{\pi}{a}}\exp(\frac{-\pi^2{k_{x}^{2}}}{a})
\end{equation}
Therefore, de-convolution in Fourier domain can be expressed as
\begin{equation}
\label{eqn4}
\uvec{f}_d(k_x)=\frac{\uvec{N}(k_x)}{\uvec{G}(k_x)}
\end{equation}
where $\uvec{f}_d(k_x)$ and $\uvec{N}(k_x)$ represent the Fourier transforms of the respective functions introduced already. As described in Ref.~\citep{Ulmer_2013}, the technique of applying Gaussian in de-convolution reduces a lot of problems since the characters of the functions in both domains are well-known~\citep{Ulmer_2013}. Next, inverse Fourier transform is applied followed by another convolution operation with the standard circular mask described previously (in its one dimensional representation) to enhance the peak at the centre of the opening of etch-pit as shown in Fig.\ref{fig2}(d). This is expressed in terms of convolution operator as
\begin{equation}
\label{eqn6}
f_{dc}(x)=f_d(x) * M(x)
\end{equation}
where$f_d(x)$ is the is inverse Fourier transform of $\uvec{f}_d(k_x)$. A comparison is shown in Fig.\ref{fig3}(d) which clearly indicates that $f_{dc}(x)$, function due to Gaussian de-convolution followed by convolution (Eq.~(\ref{eqn6})) with mask, produces higher peaks compared to simple convolution operation represented by $f_c(x)$. Without any loss of generality, the two-dimensional simulation results corresponding to the above operations are presented in Fig.\ref{fig3}, where the effects of shape variations of etch-pit openings are also considered.
\begin{figure}[h]
\centering
\includegraphics[width=150px,height=150px]{3a.png}
\includegraphics[width=150px,height=150px]{3b.png}
\includegraphics[width=180px,height=150px]{3c.png}
\includegraphics[width=150px,height=150px]{3d.png}
\includegraphics[width=150px,height=150px]{3e.png}
\caption{Two dimensional representation of only convolution and then de-convolution followed by convolution process. (a) Simulated images of openings of etch-pits of both circular and elliptical shape (diameter $\sim120$ pixel); (b) The circular mask (diameter $\sim120$
pixels); (c) The Gaussian mask used in de-convolution (half-width $\sim120$ pixels); (d) De-convolution followed by convolution $f_{dc}(x)$. (e) Two-dimensional projection of $f_{dc}(x)$ for circular and elliptical etch-pit opening.}
\label{fig3}
\end{figure}
In the case of actual microscopic NTD surface images, the background being whitish, the dark openings of etch-pits have a significantly higher signal to noise ratio where this operation produces a better result. Another advantage is that in cases of noise removal of corresponding frequency domain processing can be done since the convolution process lends itself easily to convolution and de-convolution.
\section{Image analysis and results}
The novel image analysis technique employed here is tested with multiple
microscopic images of NTDs using the copyrighted software Cell Counter~\citep{name}. As described before, images of etch-pit openings due to accelerator exposed NTDs (Fig.\ref{fig4} and Fig.\ref{fig5}) are often used as reliable guidance. Fig.\ref{fig4}(a) shows an image frame with a normal incidence of ions from accelerator; the image has multiple defects and scratches, even of sizes similar to that of the actual etch-pit openings. Clearly, the etch-pits have been separated from the rest and counted (as well as marked) correctly as shown in Fig.\ref{fig4}(b).
\begin{figure}[h]
\centering
\includegraphics[width=400px,height=200px]{4a.png}
\includegraphics[width=400px,height=200px]{4b.png}
\caption{(a) Etch-pit openings due to normally incident 3.4 MeV/nucleon scattered $~^{32}$S ions on PET after 2 h of etching at the above mentioned etching conditions. This image also shows scratches (dark as compared to the whitish background); (b) Judicially counting of etch-pits among multiple types of defects. The etch-pits are correctly identified from the background. The size of the image frames are $97~\upmu$m $\times$ $97~\upmu$m.}
\label{fig4}
\end{figure}
\begin{figure}[h]
\centering
\includegraphics[width=400px,height=200px]{5a.png}
\includegraphics[width=400px,height=200px]{5b.png}
\caption{(a) Etch-pit openings on PET after 3 h of etching due to the 3.7 MeV/nucleon scattered $~^{32}$S ions striking at $30^{\circ}$ angle of incidence, showing darker etch-pit openings and defects or scratches; (b) Counting of etch-pits separately from multiple types of defects. The size of the image frames are $97~\upmu$m $\times$ $97~\upmu$m.}
\label{fig5}
\end{figure}
We have tested our proposed method with $~^{32}$S ion exposed PET for both normal (resulting circular etch-pit opening (Fig.\ref{fig4}(a))) and angular (resulting elliptical etch-pit opening(Fig.\ref{fig5}(a))) incidences. Besides, in order to check the robustness of the proposed method, we have applied it on the open-air exposed CR-39 having degraded surface quality and containing etch-pits openings of different shapes and sizes (Fig.\ref{fig6}(a)) and $~^{252}$Cf exposed CR-39 having higher track density and overlap region (Fig.\ref{fig7}(a)). In each of the cases, the surfaces are riddled with different types of defects, but as shown in Fig.\ref{fig4}(b), Fig.\ref{fig5}(b), Fig.\ref{fig6}(b) and Fig.\ref{fig7}(b), the same algorithm yields good results and most of the tracks are correctly recognized.
\par
We have examined hundreds of similar samples and in most of the cases, approximately all the etch-pits are identified, making error percentage extremely small as given in Table 1. It may be mentioned here that the proposed method is based on the convolution with a suitable mask. Judicial choice of the mask size plays the key role here for identifying the etch-pit openings. In the cases where the size and/or shape of defects of the material mimic the actual etch-pit opening (as shown in bottom-right of Fig.\ref{fig8}(a)), those artifacts may be wrongly counted (Fig.\ref{fig8}(b)).
\begin{figure}[h]
\centering
\includegraphics[width=400px,height=200px]{6a.png}
\includegraphics[width=400px,height=200px]{6b.png}
\caption{(a) Etch-pit openings due to charged particles with different angle of incidences on CR-39 (NTD) exposed to open-air at Darjeeling, India after 4 h of etching; (b) Counting of etch-pits separately from multiple-type of defects. The size of the image frames are $97~\upmu$m $\times$ $97~\upmu$m.}
\label{fig6}
\end{figure}
\begin{figure}[h]
\centering
\includegraphics[width=400px,height=200px]{7a.png}
\includegraphics[width=400px,height=200px]{7b.png}
\caption{(a) 6 h etched $~^{252}$Cf exposed CR-39. Here track density is $\sim10^9$ m$^{-2}$.(b) Identification and counting of etch-pit openings at the overlapped region as well as at the extreme edges of the figure.}
\label{fig7}
\end{figure}
\begin{figure}[h]
\centering
\includegraphics[width=400px,height=200px]{8a.png}
\includegraphics[width=400px,height=200px]{8b.png}
\caption{(a) One circular etch-pit opening due to normally incident $~^{32}$S exposed PET at the middle of the figure and a defect of similar size and shape at the bottom-right side. (b) One typical case among the very few misjudgments where a defect is wrongly counted.}
\label{fig8}
\end{figure}
\begin{table*}
\centering
{
\begin{tabular}{|c|c|c|c|} \hline
\bf Images of etch-pit & \bf Manual & \bf Automated & \bf Percentage \\
\bf openings from & \bf count & \bf count & \bf error \\ \hline
Accelerator exposure & $301$ & $302$ & $0.33\%$ \\ \hline
Open-air exposure & $152$ & $147$ & $3.3\%$ \\ \hline
\end{tabular}}
{
\caption{Results of the manual and automatic counts of etch-pits on 58 and 53 images of accelerator exposed PET and open-air exposed CR-39 films respectively.}}
\label{table1}
\end{table*}
\section{Comparison with other methods}
Any shape detection algorithm such as Hough transform or shape fitting etc. works for a definite shape. Even if there are slight deviations from the actual shape, most of these algorithms fail to detect the shape. In the present case, etch-pit openings can be both circular and elliptical but with wide variations in their size. Our attempts with conventional image analysis methods didn't yield any good results. These techniques can't be easily applied for counting without using morphological techniques as well. Contrary to conventional methods, using the proposed convolution method, the detection of a peak at the location of the etch-pits is much better and it simultaneously provides its coordinates as well. The proposed method is simpler yet more robust than some well-known shape detecting algorithms like Hough Transform, morphological operations, watershed segmentation~\citep{1397242,Sharif_2016,774169} etc. A few other advantages are listed below:
\begin{itemize}
\item No simultaneous frequency domain processing is required for this technique.
\item Even at the overlapping regions of two or more etch-pit openings, which are difficult to handle with other image analysis methods, tracks can be easily recognized and counted by this technique.
\item By virtue of this technique, it is possible to identify etch-pit openings even at the extreme edges of the image frame.
\end{itemize}
\section{Conclusion}
A novel image analysis technique based on convolution is shown to generate much better results compared to many other techniques for etch-pit detection in NTDs. It promises to substantially speed up the task of track identification and analysis, which is the chief technical challenge for any experiments employing large area NTD arrays. To the best of our knowledge, this is the first application of this particular technique to the problem of NTD image analysis.
\section*{Acknowledgments}
The authors are grateful to Dr. Debapriyo Syam for many useful suggestions.
KP and JC wish to acknowledge TEQIP-III, University of Calcutta and Department of Applied Optics and Photonics, University of Calcutta.
RB wishes to acknowledge Project No. SERB/PHY/2016/041 and SB/S2/RJN-29/2013 for financial support. This work is partially funded by IRHPA (Intensification of Research in
High Priority Areas) Project (IR/S2/PF-01/2011 dated 26.06.2012)
of the Science and Engineering Research Council (SERC), DST,
Government of India, New Delhi.
\section*{References}
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 4,694 |
\section{Introduction} \label{S:intro}
Given a group $G$, let $\Cent(G)$ denote the set of centralizers of $G$, i.e., $\Cent(G)=\lbrace C(x) \mid x \in G\rbrace $, where $C(x)$ is the centralizer of the element $x$ in $G$. The study of finite groups in terms of $|\Cent(G)|$, becomes an interesting research topic in last few years. Starting with Belcastro and Sherman \cite{ctc092} in 1994 many authors have been studied and characterised finite groups $G$ in terms of $\mid \Cent(G)\mid$. More information on this and related concepts may be found in \cite{ed09, amiri2019, amiri20191, amiri17, rostami, en09, ctc09, ctc091, ctc099, baishya, baishya1, baishya2, zarrin0941, zarrin0942, non}.
While studying the number of distinct element centralizers of a finite group $G$, we observe that there are lots of examples of finite groups (including family of finite groups) for which $|\Cent(G)|=\mid G' \mid+2$, where $G'$ is the commutator subgroup of $G$ (the smallest example of such group being $S_3$). We have also observed that such groups have many interesting properties (for example, in most of the cases $G'$ is abelian, proper element centralizers are abelian etc). This motivates us to introduce the notion of CG-group with a hope that this might give some new solvability criterian for a finite group. We call a finite group $G$ to be a CG-group if $\mid \Cent(G) \mid =\mid G' \mid+2$. In this paper, we give some examples of CG-groups and some necessary and sufficient conditions for a finite group to be a CG-group. Apart from these, we also give a negative answer to the conjecture \cite[Conjecture 2.3]{con} given by K. Khoramshahi and M. Zarrin.
In this paper, all groups are finite (however Lemma \ref{rem144} and Remark \ref{rem1} holds for any group) and all notations are usual. For example $G'$, $Z(G)$ denotes the commutator subgroup and the center of a group $G$ respectively, $C_n$ denotes the cyclic group of order $n$, $D_{2n}$ denotes the dihedral group of order $2n$, $A_n$ denotes the alternating group of degree $n$, $S_n$ denotes the symmetric group of degree $n$ and $ C_n {\rtimes}_\theta C_p$ denotes semidirect product of $C_n$ and $C_p$, where $\theta : C_p \longrightarrow \Aut(C_n)$ is a homomorphism.
\section{Some Examples and basic results}
We begin with some examples and counter examples of finite CG-groups. As we have already mentioned, the smallest CG-group is $S_3$ (in fact in view of \cite[Corollary 2.5]{baishya}, any group with central quotient of order $pq$ is a CG-group, where $p, q$ are primes, not necessarily distinct). The next higher order CG-groups are $D_8$ and $Q_8$. We will see that any non-abelian group order $pqr$ or $p^4$, where $p, q, r$ are primes not necessarily distinct is a CG-group.
On the other hand, in view of \cite[Theorem 7]{ctc092}, no finite perfect group is a CG-group (recall that a group $G$ is said to be perfect if $G'=G$). Consequently, no finite simple, semisimple group (a group is said to be semisimple if it is a direct product of non-abelian simple groups) is a CG-group and $A_4$ is the only CG-group among the alternating groups $A_n, n\geq 3$. We now give some more examples of finite CG-groups:
\begin{prop}\label{EX111}
The generalized dihedral group $D(m, n)= \langle a, b \mid a^m=b^n=1, bab^{-1}=a^{-1} \rangle$; $m \geq 3, n \geq 2$ and $n$ even is a CG-group.
\end{prop}
\begin{proof}
By \cite[Fact 2]{gd}, we have $Z(D(m, n))=\langle a^{\frac{m}{2}}, b^2\rangle$ or $\langle b^2 \rangle$ according as $m$ is even or odd. Therefore $\langle \langle a \rangle, Z(D(m, n)) \rangle$ is an abelian normal subgroup of $D(m, n)$ of prime index. Now, the result follows using \cite[Theorem 2.3]{baishya}.
\end{proof}
As an immediate corollary we have the following result:
\begin{cor}\label{EX1}
The dihedral group $D_{2n}, n \geq 3$ is a CG-group.
\end{cor}
\begin{prop}\label{EX2}
Let $\frac{G}{Z(G)} \cong C_n {\rtimes}_\theta C_p$ be non-abelian, $n$ be an integer, $p$ be a prime and $\theta : C_p \longrightarrow \Aut(C_n)$ is a non-trivial homomorphism. Then $G$ is a CG-group.
\end{prop}
\begin{proof}
See \cite[Proposition 2.9]{baishya}.
\end{proof}
\begin{prop}\label{EX12}
The generalized quaternion group $Q_{4m}=\langle a, b \mid a^{2m}=1, b^2=a^m, bab^{-1}=a^{-1} \rangle, m \geq 2 $ is a CG-group.
\end{prop}
\begin{proof}
It is well known that $\frac{Q_{4m}}{Z(Q_{4m})} \cong D_{2m}$, for any $m \geq 2$. Therefore by Proposition \ref{EX2}, $G$ is a CG-group.
\end{proof}
Let $I(G)$ be the set of all solutions of the equation $x^2=1$ in $G$. Define $\alpha(G)=\frac{\mid I(G)\mid}{\mid G \mid}$. Then we have the following result:
\begin{prop}\label{EX3}
Let $G$ be a finite group of order $2^nm$, where $n$ is any integer and $m>1$ is an odd integer. If $\alpha(G)> \frac{1}{2}$, then $G$ is a CG-group.
\end{prop}
\begin{proof}
See \cite[Corollary 2.6] {baishya}.
\end{proof}
\begin{prop}\label{EX5}
The semidihedral or quasidihedral group $SD_{2^n}=\langle x, y \mid x^{2^{n-1}}=y^2=1, yxy^{-1}=x^{2^{n-2}-1}\rangle$ is a CG-group for any $n \geq 3$.
\end{prop}
\begin{proof}
It follows from \cite[Theorem 2.3]{baishya}, noting that $SD_{2^n}, n \geq 3$ has an abelian normal subgroup of prime index.
\end{proof}
\begin{prop}\label{EX6}
The modular $p$-group $Mod_n(p)=\langle x, y \mid x^{p^{n-1}}=y^p=1, yxy^{-1}=x^{1+p^{n-2}}\rangle$ is a CG-group for any $n \geq 3$.
\end{prop}
\begin{proof}
It follows from \cite[Theorem 2.3]{baishya}, noting that $Mod_n(p), n \geq 3$ has an abelian normal subgroup of prime index.
\end{proof}
\begin{prop}\label{EX7}
The group $U_{6n}=\langle x, y \mid x^{2n}=y^3=1, x^{-1}yx=y^{-1}\rangle$ is a CG-group for any $n$.
\end{prop}
\begin{proof}
It follows from Proposition \ref{EX2}, noting that $\frac{U_{6n}}{Z(U_{6n})} \cong S_3$ (see \cite[Lemma 2.7]{ctc09}).
\end{proof}
The linear groups plays a significant role in the theory of finite groups. We now study the CG-groups among the linear groups of degree two. In the following results, the groups $GL(2, q), SL(2, q), PGL(2, q)$ and $PSL(2, q)$ denote the general linear, special linear, projective general linear and projective special linear groups respectively of degree $2$ over the field of size $q$, where $q$ is a prime power.
\begin{prop}\label{EX9}
The group $G=GL(2, q)$ is a CG-group if and only if $q=2$.
\end{prop}
\begin{proof}
If $q=2$, then $G=S_3$ is a CG-group. Next, suppose $q> 2$. In view of \cite[Proposition 3.26]{abc}), the proper centralizers of $G$ are precisely the members of the family $\lbrace xDx^{-1}, xIx^{-1}, xPZ(G)x^{-1} \mid x \in G\rbrace$, where
\begin{enumerate}
\item $D$ is the subgroup of all diagonal matrices in $G$, and the number of conjugates of $D$ in $G$ is $\frac{q(q+1)}{2}$,
\item $I$ is a cyclic subgroup of $G$, and the number of conjugates of $I$ in $G$ is $\frac{q(q-1)}{2}$,
\item $P$ is the Sylow $p$-subgroup of $G$ consisting of all upper triangular matrices with $1$ in the diagonal, and the number of conjugates of $PZ(G)$ in $G$ is $q+1$.
\end{enumerate}
Therefore $\mid Cent(G) \mid= \frac{q(q+1)}{2}+\frac{q(q-1)}{2}+(q+1)+1=q^2+q+2$. Also by \cite[Theorem 3.1.19]{PGL}, for $q>2$, we have $G'=SL(2, q)$ having order $q(q-1)(q+1)$. In the present scenario, one can easily verify that $G$ is not a CG-group.
\end{proof}
\begin{prop}\label{EX22}
The group $G=SL(2, q)$ is a CG-group if and only if $q=2$ or $3$.
\end{prop}
\begin{proof}
It is easy to verify that $SL(2, 2)$ and $SL(2, 3)$ are CG-groups. On the otherhand, if $q> 3$, then by \cite{ija}, we have $G=G'$ and consequently using \cite[Theorem 7]{ctc092}, $G$ is not a CG-group.
\end{proof}
We now compute the number of distinct element centralizers of $PGL(2, q)$.
\begin{prop}\label{EX25}
Let $G=PGL(2, q)$. Then
\[
\mid \Cent(G) \mid=
\begin{cases}
2q^2+q+2 &\;\text{if \, $q$ \, is odd, $q>3$}\\
q^2+q+2 &\;\text{if \, $q$ \, is even, $q > 4$}\\
5 &\;\text{if \, $q=2$}\\
14 &\;\text{if \, $q=3$}\\
22 &\;\text{if \, $q=4$}
\end{cases}
\]
\end{prop}
\begin{proof}
If $q$ is even, then $PGL(2, q)=PSL(2, q)$ (see \cite{msuzuki}). Now, the result follows from \cite[Theorem 1.1]{zarrin094}.
Now, suppose $q$ is odd. We have $G=PGL(2, 3)=S_4$ and $\mid \Cent(G) \mid=14$. Next, suppose $q\geq 5$. In view of \cite[Page 5]{hassani}, it follows that the centralizer of any involution (element of order $2$) in $G$ is either $D_{2(q-1)}$ or $D_{2(q+1)}$. Hence by \cite[Proposition 2.4]{abcd}, $\mid \Cent(PGL(2, 5)) \mid=57$, noting that the size of element centralizers in $PGL(2, 5)=S_5$ are $4, 5, 6, 8$ and $12$. On the other hand, if $q>5$, then using \cite[Table 4]{nichols}, it follows that the size of the proper element centralizers of $G$ are $q, q-1, q+1, 2(q-1)$ and $2(q+1)$. Again, let $a$ and $b$ be any two distinct involutions in $G$. Suppose $C(a)=C(b)$. Since $C(a), C(b) \in \lbrace D_{2(q-1)}, D_{2(q+1)} \rbrace$, therefore $a=b$ noting that $Z(C(a))=Z(C(b))$, which is a contradiction. Therefore $C(a) \neq C(b)$. In the present scenario, in view of \cite[Proposition 2.4]{abcd},
$\mid Cent(G) \mid= (q+1)+q(q+1)+q(q-1)+1=2q^2+q+2$.
\end{proof}
As an immediate corollary, we have the following results, noting that $(PGL(2, q))'=PSL(2, q)$ for $q \geq 3$ (see \cite{msuzuki}):
\begin{cor}\label{EX227}
$PGL(2, q)$ is a CG-group if and only if $q=2$ or $3$.
\end{cor}
\begin{cor}\label{EX2223}
$S_5$ is not a CG-group.
\end{cor}
For $PSL(2, q)$, we have the following result:
\begin{prop}\label{EX228}
$PSL(2, q)$ is a CG-group if and only if $q=2$ or $3$.
\end{prop}
\begin{proof}
For $q>3$ we have $PSL(2, q)$ is a simple group (see \cite{msuzuki}) and hence by \cite[Theorem 7]{ctc092}, $G$ is not a CG-group. On the otherhand $PSL(2, 2)=S_3$ and $PSL(2, 3)=A_4$ are CG-groups.
\end{proof}
We conclude the section with the following lemmas:
\begin{lem}\label{CG20}
Let $G$ be a finite group such that $\mid G' \cap Z(G)\mid =1$. Then $G$ is a CG-group if and only if $\frac{G}{Z(G)}$ is a CG-group.
\end{lem}
\begin{proof}
The proof follows using \cite[Lemma 3.1]{en09}, noting that if $\mid G' \cap Z(G)\mid =1$, then $\mid (\frac{G}{Z(G)})' \mid= \mid G' \mid$.
\end{proof}
\begin{lem}\label{CG22}
Let $G$ be a finite group such that all sylow subgroups are abelian. Then $G$ is a CG-group if and only if $\frac{G}{Z(G)}$ is a CG-group.
\end{lem}
\begin{proof}
In the present scenario, we have $\mid G' \cap Z(G)\mid =1$ (see \cite[p. 118]{suzuki1}). Therefore the result follows from the previous lemma.
\end{proof}
\section{The main results}
In this section, we prove the main results of the paper. However, we begin with the following lemma.
\begin{lem}\label{rem144}
Let $G$ be any group. If $\mid \frac{G}{Z(G)} \mid=pqr$ where $p, q, r$ are primes (not necessarily distinct), then $C(x)$ is abelian for any $x \in G \setminus Z(G)$.
\end{lem}
\begin{proof}
Let $x \in G \setminus Z(G)$. If $\frac{C(x)}{Z(G)}$ is cyclic, then $C(x)$ is abelian. Now, suppose $\mid \frac{C(x)}{Z(G)} \mid=pq$. Then $o(xZ(G))=p, q$ or $pq$. If $o(xZ(G))=pq$, then $C(x)$ is abelian. Next suppose $o(xZ(G))\neq pq$. Then there exists some $y \in C(x)$ such that
$\frac{C(x)}{Z(G)}= \langle xZ(G), yZ(G) \rangle$. Consequently, $C(x)=\langle x, y, Z(G) \rangle$ and hence $C(x)$ is abelian. If $\mid \frac{C(x)}{Z(G)} \mid=pr$ or $qr$, then using similar arguments we can show that $C(x)$ is abelian.
\end{proof}
\begin{rem}\label{rem1}
Recall that a group $G$ is said to be a CA-group if $C(x)$ is abelian for any $x \in G \setminus Z(G)$. It is easy to see that for such groups $C(x) \cap C(y)=Z(G)$ for any two distinct proper centralizers $C(x)$ and $C(y)$. Also we have seen that if $\mid \frac{G}{Z(G)} \mid=pqr$ where $p, q, r$ are primes (not necessarily distinct), then $G$ is a CA-group.
\end{rem}
The authors in \cite[Proposition 3.6]{con} showed that if $G$ is a finite group such that $\frac{G}{Z(G)}$ is isomorphic to a simple group, then then $G$ and $G'$ are isoclinic groups.
In the following we generalize this result as follows:
\begin{prop}\label{CG118}
Let $G$ be a finite group such that $\frac{G}{Z(G)}$ is perfect. Then $G$ and $G'$ are isoclinic groups.
\end{prop}
\begin{proof}
Suppose $\frac{G}{Z(G)}$ is perfect. Then $\frac{G}{Z(G)}=(\frac{G}{Z(G)})'=\frac{G'Z(G)}{Z(G)}$ and consequently, $G'Z(G)=G$. Therefore in view of \cite[Lemma 2.7]{pL95}, $G$ is isoclinic to $G'$.
\end{proof}
As an immediate consequence we have the following necessary condition for a finite CG-group.
\begin{prop}\label{CG111}
Let $G$ be a finite group such that $\frac{G}{Z(G)}$ is perfect. Then $G$ is not a CG-group.
\end{prop}
\begin{proof}
Suppose $\frac{G}{Z(G)}$ is perfect. Then by Proposition \ref{CG118}, $G$ is isoclinic to $G'$ and consequently, using \cite[Lemma 2.3]{non}, we have $\mid \Cent(G) \mid =\mid \Cent(G') \mid$. Now, if $G$ is a CG-group, then $\mid \Cent(G) \mid =\mid \Cent(G') \mid=\mid G' \mid+2$, which is impossible by \cite[Theorem 7]{ctc092}.
\end{proof}
The following result follows using technique similar to \cite[Lemma 2.7]{en09}.
\begin{prop}\label{CG10}
Let $p$ be the smallest prime divisor of the order of a group $G$ and $\mid G' \mid=p$. Then $G$ is a CG-group if and only if $\frac{G}{Z(G)} \cong C_p \times C_p$.
\end{prop}
As an application to this we have the following result. Given a group $G$, $\omega(G)$ denotes the size of a maximal set of pairwise non-commuting elements of $G$.
\begin{prop}\label{CG191}
Let $G$ be a finite non-abelian metacyclic $p$-group, where $p>2$ is a prime. Then $G$ is a CG-group if and only if $\frac{G}{Z(G)} \cong C_p \times C_p$.
\end{prop}
\begin{proof}
In view of \cite{fouladi5}, we have $\omega(G)=\frac{\mid G'\mid}{p}(1+p)$. Now, suppose $G$ is a CG-group. Then $\mid G' \mid+2 \geq \omega(G)+1=\frac{\mid G'\mid}{p}(1+p)+1$. Consequently, we have $\mid G' \mid=p$. Now, the result follows using Proposition \ref{CG10}.
\end{proof}
The following proposition gives a sufficient condition for a finite group to be a CG-group.
\begin{prop}\label{CG7}
Let $G$ be a finite non-abelian group with an abelian normal subgroup of prime index. Then
\begin{enumerate}
\item $G$ is a CG-group.
\item If $\frac{G}{Z(G)}$ is abelian, then $\frac{G}{Z(G)}$ is elementary abelian.
\item If $\frac{G}{Z(G)}$ is non-abelian, then $\frac{G}{Z(G)}$ a CG-group. In particular, if $\frac{G}{Z(G)}$ is of order $p^r$ for some prime $p$, then $\mid Cent(G) \mid= p^{r-1}+2$.
\end{enumerate}.
\end{prop}
\begin{proof}
a) See \cite[Theorem 2.3]{baishya}. It may be mentioned here that \cite[Theorem 3.4]{fouladi}) is a particular case of this result, where the author obtained the result for $p$-groups ($p$ a prime )only, noting that $\mid Cent(G) \mid=\omega(G)+1$ if and only if $G$ is a CA-group (\cite[Lemma 2.6]{ed09}).
b) By \cite[Theorem A]{ctc095}, $G$ is a CA-group and consequently, $\lbrace \frac{C(x)}{Z(G)} / x \in G \setminus Z(G)\rbrace$ is a partition of $\frac{G}{Z(G)}$ (see \cite[Remark 2.1]{ed09}). Therefore if $\frac{G}{Z(G)}$ is abelian, by \cite[ p. 571]{zappa}, we have $\frac{G}{Z(G)}$ is elementary abelian.
c) Suppose $\frac{G}{Z(G)}$ is non-abelian. Let $N$ be an abelian normal subgroup of $G$ of prime index. Then $N=C(x)$ for some $x \in G \setminus Z(G)$. In the present scenerio, we have $\frac{C(x)}{Z(G)}=C(xZ(G))$, and consequently, $C(xZ(G))$ is an abelian normal subgroup of $\frac{G}{Z(G)}$ of prime index. Therefore by \cite[Theorem 2.3]{baishya}, $\frac{G}{Z(G)}$ is a CG-group.
Again, suppose $\frac{G}{Z(G)}$ is non-abelian of order $p^r$ for some prime $p$. By \cite[Theorem A]{ctc095}, $G$ is a CA-group. Therefore $C(x) \cap C(y) = Z(G)$ for any $x,y \in G \setminus Z(G), xy \neq yx$. Now, $N=C(x)$ is a centralizer of $G$ of index $p$. Clearly $C(x)$ will contain exactly $p^{r-1}$ distinct right cosets of $Z(G)$. Therefore the number of right cosets of $Z(G)$ (other than $Z(G)$) left for the remaining proper centralizers is $p^r-p^{r-1}=p^{r-1}(p-1)$. In the present scenario, one can verify that any proper centralizer other than $C(x)$ will contain exactly $p$ distinct right cosets of $Z(G)$. Hence $\mid Cent(G) \mid= p^{r-1}+2$.
\end{proof}
As an application of the above proposition, we have the following result for minimal non-abelian group. Recall that a minimal non-abelian group is a non-abelian group all of whose proper subgroups are abelian. By \cite[Aufgaben III. 5.14]{huppert}, we have if $G$ is a finite minimal non-abelian group, then $G$ can have at the most two distinct prime divisors and if $G$ is not a prime power group, then $G=PQ$, where $P$ is a cyclic $p$-Sylow subgroup of $G$ and $Q$ is the elementary abelian minimal normal $q$-Sylow subgroup of $G$.
\begin{prop}\label{CG6}
Let $G$ be a finite minimal non-abelian group. Then
\begin{enumerate}
\item $G$ is a CG-group. In particular, (see \cite[Proposition 2.2]{rostami}) if $G$ is a $p$-group ($p$ a prime), then we have $\mid Cent(G) \mid= p+2$. Otherwise, $G$ is a primitive $\mid Q \mid+2$ centralizer group, where $Q$ is the normal Sylow subgroup of $G$.
\item If $G$ is a $p$-group ($p$ a prime), then $\frac{G}{Z(G)} \cong C_p \times C_p$. Otherwise, $\frac{G}{Z(G)}$ is a CG-group.
\end{enumerate}.
\end{prop}
\begin{proof}
a) Let $G$ be a finite minimal non-abelian group. If $G$ is a $p$-group, for some prime $p$, then $G$ has an abelian normal subgroup of prime index and hence by Proposition \ref{CG7}, $G$ is a CG-group.
Next, suppose $G$ is not a $p$-group. Let $P$ be a cyclic Sylow subgroup and $Q$ be the elementary abelian Sylow subgroup of $G$ respectively. Then $P$ has a normal subgroup $H$ of prime index and consequently, $QH$ is an abelian normal subgroup of $G$ of prime index. Therefore by Proposition \ref{CG7}, $G$ is a CG-group.
Now, if $G$ is a $p$-group, then $\mid Cent(G) \mid= p+2$, noting that we have $\mid G' \mid=p$ by \cite[Lemma 2.5]{niketora}. On the otherhand, in view of \cite[Lemma 3.1]{en09}, we have $G$ is a primitive $\mid Q \mid+2$ centralizer group, where $Q$ is the normal Sylow subgroup of $G$, niting that in the present scenario, we have $G'=Q$ and $\mid G' \cap Z(G) \mid =1$.
b) If $G$ is a $p$-group, then the result follows from Peoposition \ref{CG10}, noting that we have $\mid G' \mid=p$ by \cite[Lemma 2.5]{niketora}. On the other hand, if $G$ is not a prime power group, then $\frac{G}{Z(G)}$ is not a prime power group, noting that in the present scenario, we have $Z(G) \subsetneq P$, where $P$ is a cyclic Sylow subgroup of $G$. Now, the result follows from Proposition \ref{CG7}.
\end{proof}
Recall that a Frobenius group $G$ is said to be minimal if no proper subgroup of $G$ is Frobenius. In this connection we have the following result:
\begin{prop}\label{CG1}
Let $G$ be a Frobenius group with kernel $K$ and complement $H$.
\begin{enumerate}
\item If $G$ is minimal Frobenius, then $G$ is a CG-group,
\item If $K$ is cyclic, then $G$ is a CG-group,
\item If $H$ is abelian, then $G$ is a CG-group if and only if $G'$ is abelian.
\end{enumerate}.
\end{prop}
\begin{proof}
a) If $G$ is a minimal Frobenius group, then by \cite[Theorem 3.2.14]{perumal}, $K$ is elementary abelian and $H$ has prime order. Again, by \cite[Theorem 2.2]{herzog}, $G'=K$. Therefore from the definition of Frobenius group, $G$ is a CG-group.
b) If $K$ is cyclic, then in view of \cite{Fcyclic}, $H$ is cyclic. In the present scenario, by \cite[Theorem 2.2]{herzog}, we have $G'=K$. Therefore from the definition of Frobenius group, $G$ is a CG-group.
c) If $H$ is abelian, then by \cite[Theorem 2.2]{herzog}, we have $G'=K$. Now, if $G$ is a CG-group, then $G'$ must be abelian.
Again, if $G'$ is abelian, then from the definition of Frobenius group, $G$ is a CG-group.
\end{proof}
\begin{rem}\label{Remark3}
If $G$ is a finite solvable group in which centralizers of non-identity elements are abelian, then $G$ is a Frobenius group with abelian kernel and cyclic complement (see \cite[Proposition 3.1.1, Proposition 1.2.4]{elizabeth}). In this connection we have the following result:
\end{rem}
\begin{prop}\label{CG3}
Let $G$ be a finite group such that $C(x)$ is abelian for every non-identity element $x \in G$. Then $G$ is a CG-group if and only if $G$ is a Frobenius group with abelian kernel and cyclic complement.
\end{prop}
\begin{proof}
Suppose $G$ is a CG-group. If $G$ is non-solvable, then by \cite[Lemma 3.9]{abc}, $G$ is simple and consequently using \cite[Theorem 7]{ctc092}, $G$ is not a CG-group. Therefore $G$ is solvable. Now, the result follows from Remars \ref{Remark3}.
Conversely, suppose $G$ is a Frobenius group with abelian kernel $K$ and cyclic complement. By \cite[Theorem 2.2]{herzog}, we have $G'=K$. Therefore from the definition of Frobenius group, $G$ is a CG-group.
\end{proof}
As an immediate consequence we have the following result:
\begin{prop}\label{CG4}
If $G$ is a non-abelian group of order $pqr$, $p,q,r$ being primes (not necessarily distinct), then $G$ is a CG-group.
\end{prop}
\begin{proof}
If $\mid Z(G) \mid =1$, then in view of Remark \ref{rem1}, $G$ is a solvable CA-group and therefore by Proposition \ref{CG3}, $G$ is a CG-group. Again, if $\mid Z(G) \mid \neq 1$, then $\mid \frac{G}{Z(G)} \mid $ is a product of two primes and hence by \cite[Corollary 2.5]{baishya}, $G$ is a CG-group.
\end{proof}
\begin{prop}\label{CG5}
If $G$ is a non-abelian group of order $p^4$, $p$ being prime, then $G$ is a CG-group.
\end{prop}
\begin{proof}
It is well known that if $G$ is a non-abelian group of order $p^4$, $p$ being prime, then $G$ has an abelian normal subgroup of prime index and hence by Proposition \ref{CG7}, $G$ is a CG-group.
\end{proof}
We need the following result to prove our next proposition:
\begin{prop}{(Lemma 12.12 \cite{imisaacs})}\label{isaacs}
Let $G$ be a finite group. If $A \vartriangleleft G$ with $A$ abelian and $G/A$ cyclic, then $\mid A \mid= \mid G' \mid \mid A \cap Z(G) \mid$.
\end{prop}
We now give another sufficient condition for a finite group to be a CG-group.
\begin{prop}\label{CG17}
Let $G$ be a finite group such that $\frac{G}{Z(G)}=\frac{K}{Z(G)} \rtimes \frac{H}{Z(G)}$ is a Frobenius group with $K$ and $H$ abelian. Then $G$ is a CG-group.
\end{prop}
\begin{proof}
Using the third isomorphic theorem, we get $\frac{G}{K} \cong \frac{H}{Z(G)}$. Consequently, we have $K$ is an abelian normal subgroup of $G$ such that $\frac{G}{K}$ is cyclic. In the present scenario, in view of Proposition \ref{isaacs}, $\mid K \mid=\mid G' \mid \mid K \cap Z(G) \mid$ which forces $\mid \frac{K}{Z(G)}\mid=\mid G' \mid$. Therefore by \cite[Proposition 3.1]{amiri2019}, $G$ is a CG-group.
\end{proof}
As a consequence we have the following corollaries:
\begin{cor}\label{CG17cor}
Let $G$ be a finite group such that $\frac{G}{Z(G)}=\frac{K}{Z(G)} \rtimes \frac{H}{Z(G)}$ is a Frobenius group with $H$ abelian. If $G'$ is abelian, then $G$ is a CG-group.
\end{cor}
\begin{proof}
Note that $H$ is abelian implies $\frac{H}{Z(G)}$ is cyclic and consequently, using \cite[Theorem 2.2]{herzog}, we have $(\frac{G}{Z(G)})'=\frac{G'Z(G)}{Z(G)}=\frac{K}{Z(G)}$. Now, if $G'$ is abelian, then $G'Z(G)$ is abelian and therefore, by Proposition \ref{CG17}, $G$ is a CG-group.
\end{proof}
\begin{cor}\label{CG24}
Let $G$ be a finite group such that $\frac{G}{Z(G)}$ is minimal Frobenius group. If $G'$ is abelian, then $G$ is a CG-group.
\end{cor}
\begin{proof}
In view of \cite[Theorem 3.2.14]{perumal}, $\frac{G}{Z(G)}$ is a Frobenius group with cyclic complement and therefore, the result follows from Corollary \ref{CG17cor}.
\end{proof}
\begin{cor}\label{CG31}
Let $G$ be a finite group such that $\frac{G}{Z(G)}$ is a Frobenius group with cyclic kernel. Then $G$ is a CG-group.
\end{cor}
\begin{proof}
In view of \cite{Fcyclic}, $\frac{G}{Z(G)}$ has cyclic Frobenius complement and therefore the result follows from Proposition \ref{CG17}.
\end{proof}
In this connection we would like to mention the following three lemmas:
\begin{lem}\label{CG18}
Let $G$ be a finite group such that $\frac{G}{Z(G)}=\frac{K}{Z(G)} \rtimes \frac{H}{Z(G)}$ is a Frobenius group with $K$ and $H$ abelian. Then $\mid G' \cap Z(G) \mid=1$.
\end{lem}
\begin{proof}
In the present scenario, from Proposition \ref{CG17} and \cite[Theorem 2.2]{herzog}, we have $\mid G' \mid= \mid \frac{K}{Z(G)}\mid=\mid(\frac{G}{Z(G)})'\mid$ and hence the result follows.
\end{proof}
\begin{lem}\label{CG181}
Let $G$ be a finite group such that $\frac{G}{Z(G)}$ is a Frobenius group with cyclic kernel. Then $\mid G' \cap Z(G) \mid=1$.
\end{lem}
\begin{proof}
In view of \cite{Fcyclic}, $\frac{G}{Z(G)}$ has cyclic Frobenius complement and therefore the result follows from Lemma \ref{CG18}.
\end{proof}
\begin{lem}\label{CGcor18}
Let $G$ be a finite group such that $\frac{G}{Z(G)}=\frac{K}{Z(G)} \rtimes \frac{H}{Z(G)}$ is a Frobenius group with $H$ abelian. If $G'$ is abelian, then $\mid G' \cap Z(G) \mid=1$.
\end{lem}
\begin{proof}
Using arguments similar to Corolary \ref{CG17cor} and Lemma \ref{CG18} we get the result.
\end{proof}
As a consequence of Proposition \ref{CG17}, we have the following three results:
\begin{prop}\label{CG112}
Let $G$ be a finite group such that $G'$ is of prime order $p$ and $G' \cap Z(G)=\lbrace 1 \rbrace$. Then $G$ is a CG-group.
\end{prop}
\begin{proof}
In the present scenario, we have $(\frac{G}{Z(G)})'$ is of prime order $p$ and $Z(\frac{G}{Z(G)})$ is of order $1$. Therefore in view of \cite[Proposition 5]{dR79}, $\frac{G}{Z(G)}$ is a Frobenius group with cyclic kernel and cyclic complement. Therefore $G$ is a CG-group by Corollary \ref{CG31}.
\end{proof}
\begin{prop}\label{CG11}
If $G$ is a finite group such that $\mid \frac{G}{Z(G)} \mid =pqr$ or $p^2q$ for any primes $p<q<r$, then $G$ is a CG-group.
\end{prop}
\begin{proof}
Suppose $\mid \frac{G}{Z(G)} \mid =pqr$. By \cite[Proposition 2.5]{baishya2}, we have $\mid Z(\frac{G}{Z(G)}) \mid =1$ and therefore in view of Remark \ref{rem1}, $\frac{G}{Z(G)}$ is a solvable CA-group. But then using Remark \ref{Remark3}, we have $\frac{G}{Z(G)}$ is a Frobenius group with cyclic kernel and cyclic complement. Now, the result follows using Proposition \ref{CG17}.
Next, suppose $\mid \frac{G}{Z(G)} \mid =p^2q$. For $q=3$, we have $\frac{G}{Z(G)} \cong A_4$ or $D_{12}$. If $\frac{G}{Z(G)} \cong A_4$, then
$\frac{G}{Z(G)} \cong \frac{K}{Z(G)} \rtimes \frac{H}{Z(G)}$ is a Frobenius group with kernel of order $4$ and complement of order $3$. In the present scenario, we have $K$ and $H$ both are abelian, and therefore by Proposition \ref{CG17}, $G$ is a CG-group. On the otherhand if $\frac{G}{Z(G)} \cong D_{12}$, then by \cite[Proposition 2.8, Proposition 2.9]{baishya}, $G$ is a CG-group.
Now, we consider the case when $q>3$. Using \cite[Proposition 2.11]{baishya2}, we have
$\mid Z(\frac{ G}{Z(G)})\mid=1$ or $p$. Now, If $\mid Z(\frac{G}{Z(G)}) \mid =p$, then by \cite[Proposition 2.11]{baishya2}, $\frac{G}{Z(G)} \cong C_{pq} \rtimes C_p$ and so $G$ is a CG-group by \cite[Proposition 2.9]{baishya}.
Again, if $\mid Z(\frac{G}{Z(G)}) \mid =1$, then in view of Remark \ref{rem1} and Remark \ref{Remark3}, $ \frac{G}{Z(G)}$ is a Frobenius group with cyclic kernel and cyclic complement of order $p^2$. Now, the result follows using Corollary \ref{CG31}.
\end{proof}
\begin{prop}\label{CG14}
If $G$ is a finite group such that $\mid \frac{G}{Z(G)} \mid =pqr $ or $pq^2$, $p<q<r$ be primes, then $\mid G' \cap Z(G) \mid=1$.
\end{prop}
\begin{proof}
By \cite[Proposition 2.5, Proposition 2.11]{baishya2}, we have $\mid Z(\frac{G}{Z(G)})\mid=1$ and hence in view of Remark \ref{rem1} and Remark \ref{Remark3}, $\frac{G}{Z(G)} \cong \frac{K}{Z(G)} \rtimes \frac{H}{Z(G)}$ is a Frobenius group with abelian kernel and cyclic complement. In the present scenario, one can verify that $K$ and $H$ both are abelian. Therefore the result follows using Lemma \ref{CG18}.
\end{proof}
For finite groups with central quotient of order $p^3$, $p$ being prime, we have the following result:
\begin{prop}\label{CG15}
Let $G$ be a finite group such that $\mid \frac{G}{Z(G)} \mid =p^3$, $p$ being prime. Then $G$ is a CG-group if and only if $G$ has an abelian normal subgroup of prime index.
\end{prop}
\begin{proof}
Let $G$ be a CG-group. In view of Remark \ref{rem1}, we have $G$ is a CA-group and $C(x) \cap C(y) = Z(G)$ for any $x,y \in G \setminus Z(G), xy \neq yx$. Now, suppose $G$ has no centralizer of index $p$. Then $\mid C(x) \mid =\frac{\mid G \mid}{p^2}$ for all $x \in G \setminus Z(G)$ and consequently by \cite{ito}, $G=A \times P$, where $A$ is an abelian group and $P$ is a $p$-group. In the present scenario, each proper centralizer of $G$ will contain exactly $p$ distinct right coset of $Z(G)$. Therefore $\mid Cent(G) \mid= p^2+p+2$. But then $\mid G' \mid=p(p+1)$, which is impossible. Therefore $G$ must have a centralizer of prime index $p$, say, $C(y)$ for some $y \in G \setminus Z(G)$. Clearly, in view of \cite[Exercise 3 (p. 9)]{kur}, $G$ cannot have another centralizer of index $p$ and consequently $C(y) \lhd G$. Thus $G$ has an abelian normal subgroup of prime index.
Conversely, if $G$ has an abelian normal subgroup of prime index, then by Proposition \ref{CG7}, $G$ is a CG-group.
\end{proof}
As an application of Proposition \ref{CG17}, we also have the following result:
\begin{prop}\label{CG9}
Let $G$ be a finite non-abelian solvable group. If $N_G(H)=H$ for all non-abelian $H \leq G$, then $G$ is a CG-group.
\end{prop}
\begin{proof}
If $G$ is a nilpotent group, then in view of \cite[Proposition 2.6]{niketora}, $G$ is a minimal non-abelian $p$-group for some prime $p$ and therefore by Proposition \ref{CG6}, $G$ is a CG-group.
Next, suppose $G$ is non-nilpotent. Then by \cite[Theorem 2.13]{niketora}, we have $\frac{G}{Z(G)}$ is a Frobenius group with complement of prime order $p$. Moreover, by \cite[Proposition 2.2]{niketora}, we have $G'$ is abelian. Therefore by Corollary \ref{CG17cor}, $G$ is a CG-group.
\end{proof}
It may be mentioned here that all the examples of CG-groups given in the earlier section are CA-groups. However, there exists CG-groups which are not CA-groups. For example, it can be verify that $S_4$ is a CG-group but not a CA-group. In this connection, we give the following result on CG-groups whose central quotient is $S_4$.
\begin{prop}\label{CG12}
Let $G$ be a finite group such that $\frac{G}{Z(G)} \cong S_4$. Then $G$ is a CG-group if and only if $G' \cong A_4$.
\end{prop}
\begin{proof}
If $G' \cong A_4$, then we have $\mid G' \cap Z(G) \mid=1$ noting that $\mid(\frac{G}{Z(G)})'\mid=\mid \frac{G'}{G' \cap Z(G)} \mid =\mid A_4 \mid$. Therefore by \cite[Lemma 3.1]{en09}, $\mid Cent(G) \mid= \mid Cent(\frac{G}{Z(G)}) \mid=\mid G' \mid+2$.
Conversely, suppose $\mid Cent(G) \mid=\mid G' \mid+2$. In view of \cite[Theorem 1.3]{rostami}, we have $\mid Cent(G) \mid= \mid Cent(\frac{G}{Z(G)}) \mid$ and consequently, $\mid G' \mid=\mid (\frac{G}{Z(G)})'\mid=\mid \frac{G'}{G' \cap Z(G)} \mid$, forcing $\mid G' \cap Z(G) \mid=1$. Therefore we have $A_4 \cong (\frac{G}{Z(G)})'=G'$.
\end{proof}
\begin{rem}\label{CGREM}
Recall that a minimal non-nilpotent group is a non-nilpotent group all of whose proper subgroups are nilpotent. If $G$ is a finite minimal non-nilpotent group then $G$ is a solvable group of order $p^mq^n$ ($p, q$ are distinct primes) with a unique Sylow $p$-subgroup $P$ and a cyclic Sylow $q$-subgroup $Q$. Moreover, we have $G'=P$ (see \cite{tar}).
\end{rem}
\begin{prop}\label{CG19}
Let $G$ be a finite minimal non-nilpotent group.
\begin{enumerate}
\item If $G'$ is abelian, then $G$ is a CG-group.
\item $\frac{G}{Z(G)}$ is a CG-group.
\end{enumerate}.
\end{prop}
\begin{proof}
a) By Remark \ref{CGREM}, we have $G'=P$. Again, by \cite[Lemma 2.3]{amiri17}, we have $\frac{G}{Z(G)} = \frac{PZ(G)}{Z(G)} \rtimes \frac{QZ(G)}{Z(G)}$ is a Frobenius group with cyclic complement. Now, if $G'$ is abelian, then $PZ(G)$ will be abelian and hence $G$ is a CG-group by Proposition \ref{CG17}.\\
b) Let $G$ be a minimal non-nilpotent group. By \cite[Lemma 2.3]{amiri17}, $\frac{G}{Z(G)}$ is a Frobenius group with elementary abelian kernel $\frac{K}{Z(G)}$ and complement of prime order. Again, by \cite[Theorem 2.2]{herzog}, $(\frac{G}{Z(G)})' =\frac{K}{Z(G)}$. Therefore from the definition of Frobenius group, $\frac{G}{Z(G)}$ is a CG-group.
\end{proof}
\begin{prop}\label{CG203}
Let $G$ be a finite group such that $\frac{G}{Z(G)}$ is minimal non-nilpotent. If $G'$ is abelian, then $G$ is a CG-group.
\end{prop}
\begin{proof}
In view of Remark \ref{CGREM}, we have $\frac{G}{Z(G)} = \frac{G'Z(G)}{Z(G)} \rtimes \frac{Q}{Z(G)}$, where $Q$ is a subgroup of $G$ such that $\frac{Q}{Z(G)}$ is cyclic. Now, if $G'$ is abelian, then $G'Z(G)$ will be abelian and consequently, by third isomprphic theorem, we have $\frac{G}{G'Z(G)} \cong \frac{Q}{Z(G)}$. Therefore in view of Proposition \ref{isaacs}, we have $\mid G'Z(G) \mid= \mid G' \mid \mid G'Z(G) \cap Z(G) \mid = \mid G' \mid \mid Z(G) \mid$ and hence $\mid G' \cap Z(G)\mid=1$. Therefore using \cite[Lemma 3.1]{en09} and Proposition \ref{CG19}, we have
$\mid Cent(G) \mid= \mid Cent(\frac{G}{Z(G)}) \mid= \mid (\frac{G}{Z(G)})'\mid +2=\mid G' \mid+2$.
\end{proof}
\begin{prop}\label{CG23}
Let $G$ be a finite group such that $\frac{G}{Z(G)}$ is minimal non-abelian which is not a $p$-group, $p$ being prime. If $G'$ is abelian, then $G$ is a CG-group.
\end{prop}
\begin{proof}
In the present scenario, in view of \cite[Theorem 1.1]{rostami}, $\frac{G}{Z(G)}$ is a Frobenius group with cyclic complement. Now, the result follows using Corollary \ref{CG17cor}.
\end{proof}
Finally, we conclude the paper with a counterexample to the following conjecture \cite[Conjecture 2.3]{con} which is also a counterexample to \cite[Question 1.2]{con} :
\begin{conj}\label{conj}
Let $G$ and $S$ be finite groups. Is it true that if $\mid \Cent(G) \mid= \mid \Cent(S) \mid$
and $\mid G' \mid= \mid S' \mid$, then $G$ is isoclinic to $S$?
\end{conj}
Consider any non-abelian group $G$ of order $27$ and $S_3$. In view of \cite[Corollary 2.5]{baishya}, we have $\mid \Cent(G) \mid= \mid \Cent(S_3) \mid=5$ and $\mid G' \mid= \mid {S_3}' \mid=3$. But $G$ is not isoclinic to $S_3$.
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From the Act Now: End AIDS Coalition - Statement on the President's Fiscal Year 2020 Budget Proposal
Jeremiah Johnson, jeremiah.johnson@treatmentactiongroup.org, 303-910-9330 Jaron Benjamin, j.benjamin@housingworks.org, 347-834-1560
Statement on the President's Fiscal Year 2020 Budget Proposal
The Act Now End AIDS coalition (Act Now End AIDS) expresses deep disappointment with the President's Fiscal Year 2020 (FY 20) budget proposal for its failure to provide the fiscal resources, policy leadership, and political vision needed to end the HIV epidemic in the United States. Instead, the administration chooses to drastically reduce resources for programs that provide lifesaving support to communities living with and vulnerable to HIV, negating the $291 million increase in Department of Health and Human Services (HHS) resources for HIV prevention and care. This proposed budget fundamentally undermines the ambitions laid out in the federal Ending the HIV Epidemic: A Plan for America (Ending the HIV Epidemic) strategy that was announced in February 2019.[1]
The administration's proposed cuts to Medicaid would fuel rather than curb our domestic HIV epidemic. Access to comprehensive healthcare is central to ending the epidemic in the United States, and Medicaid is the single largest domestic payer for HIV care, treatment, and prevention services. Instead of recognizing and building on the strategic importance of this essential program, the administration's budget proposal seeks to actively dismantle Medicaid coverage by reducing Medicaid funding by $1.5 trillion over 10 years, reversing expansion, instituting work requirements, and block-granting the program. Work requirements have been approved by waiver in some of the very states and counties that were identified as priority areas in Ending the HIV Epidemic (Arkansas, Arizona (Maricopa), Indiana (Marion), Kentucky, and Michigan (Wayne)). In Arkansas, work requirements resulted in the loss of coverage to 18,164 individuals during 2018.[2] Act Now End AIDS strongly opposes all items in the proposed budget that create barriers to Medicaid access.
While the community applauds a much-needed funding increase for the safety net HIV health services provided by the Ryan White program, this modest increase cannot begin to address the significant coverage gaps created by reductions to Medicaid that are orders of magnitude larger than total Ryan White funding. Further, the vital HIV-specific Ryan White program is not designed to and cannot meet the complex heath care needs of people with HIV, which necessitate access to comprehensive primary and specialty care. Nor can Ryan White funds be used to pay for PrEP and other HIV prevention services. Without resources to improve healthcare access and active efforts by the administration to facilitate Medicaid expansion, the administration simply cannot realize their stated goal to end the U.S. HIV epidemic by 2030.
These continued and growing gaps in health coverage also drive the worsening syndemics of sexually transmitted infections (STIs), opioid dependence, hepatitis C (HCV) and tuberculosis (TB) that both heighten the risk for HIV infection and worsen health outcomes for persons living with HIV. Like HIV, these syndemics are compounded daily by the lack of access to comprehensive health care, yet the federal Ending the Epidemic strategy fails to acknowledge or respond to these interrelated health issues, and the administration's budget proposes essentially flat funding for the federal programs responsible for tackling increasing rates of STIs and HCV and the lack of progress in TB elimination. And while the administration's budget proposal does include a modest $53 million increase in CDC funding to address the country's opioid crisis, this investment falls far short of the response required by a worsening epidemic of avoidable deaths and infectious disease transmission. There was a record 70,237 overdose deaths in 2017, at least 70 percent of new cases of HCV, and one in ten new HIV infections a direct result of injection drug use. Nor does the federal response to the related opioid, HIV and HCV epidemics reflect or fund widespread adoption of syringe access, and other harm reduction strategies demonstrated to improve drug user health and provide a path to substance use treatment.
Drastic proposed cuts to federal housing programs, food assistance, disability benefits and other critical social protection programs will exacerbate demonstrated barriers to HIV prevention and care, further worsening already stark HIV health disparities. A wealth of research evidence and years of experience demonstrate that it is simply not possible to end HIV without addressing the social and structural factors that drive new infections and poor HIV health outcomes. Any funding increase in HIV programs administered by HHS must be viewed within the context of proposed cuts that would slash the full range of lifesaving programs that support HIV prevention and care among persons made vulnerable by poverty, disability, homelessness and social marginalization. When access to safe housing has been repeatedly proven essential to achieving and maintaining viral suppression, how can the administration propose a $63 million dollar cut to the successful Housing Opportunities for People with HIV/AIDS (HOPWA) program?
The administration continues to fail to provide leadership and vision to address the persistent stigma that continues to be a barrier to outreach, engagement, and care of vulnerable and marginalized communities. Stigma is not alleviated, but rather heightened by the administration's ongoing attacks on communities of color, women, transgender people, immigrants, and people who use drugs. Without a roll-back of these policies and strong leadership to end stigma through social protection programs, no amount of funding will achieve an end to the epidemic among these priority populations.
We must also note our alarm at the administration's proposals to cut U.S. support for the Global Fund to Fight AIDS, Tuberculosis and Malaria by 29% and funding for the President's Emergency Plan for AIDS Relief (PEPFAR) by 30%. It is impossible to understand these drastic cuts, which will affect millions of lives, in light of the President's State of the Union pledge to "defeat AIDS in America and beyond [emphasis added]."
The Act Now End AIDS Coalition urges the administration to consider the policy and funding recommendations in the community's Ending the Epidemic Roadmap, so that federal budget and policy priorities are consistent with what is needed to truly end the HIV epidemic. Without additional resources and policy alignment with the community plan, ending the epidemic in those jurisdictions targeted in the initiative will be arduous, and the many communities, cities, and states not targeted by the federal plan are being left behind. We call on our champions in Congress to reject the President's budget proposal and work with us to catalyze the necessary resources, policies, and political commitment to end AIDS everywhere in the U.S.
[1] Ending the HIV Epidemic: A Plan for America, U.S. Department of Health and Human Services, February 5, 2019, accessed at https://www.hhs.gov/blog/2019/02/05/ending-the-hiv-epidemic-a-plan-for-america.html
[2] January State Data for Medicaid Work Requirements in Arkansas, Kaiser Family Foundation, February 25, 2019 accessed at https://www.kff.org/medicaid/issue-brief/state-data-for-medicaid-work-requirements-in-arkansas/
Jennifer Johnson-Avril
Housing Works is a healing community of people living with and affected by HIV/AIDS. Our mission is to end the dual crises of homelessness and AIDS through relentless advocacy, the provision of lifesaving services, and entrepreneurial businesses that sustain our efforts.
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Biografia
Discesista puro, ottenne il primo piazzamento in Coppa del Mondo il 10 dicembre 1978 a Schladming classificandosi 6º e tale risultato sarebbe rimasto il migliore di Giardini nel massimo circuito internazionale. Ai XIII Giochi olimpici invernali di , sua unica presenza olimpica, si piazzò al 15º posto; in Coppa del Mondo bissò il suo miglior risultato il 17 gennaio 1981 a Kitzbühel (6º), ottenne l'ultimo piazzamento il 6 marzo dello stesso anno ad Aspen (14º) e gareggiò almeno fino al 1983.
Palmarès
Coppa del Mondo
Miglior piazzamento in classifica generale: 65º nel 1981
Campionati italiani
1 medaglia:
1 bronzo (discesa libera nel 1981)
Note
Collegamenti esterni | {
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{"url":"http:\/\/www.ams.org\/mathscinet-getitem?mr=93k:32043","text":"MathSciNet bibliographic data MR1194110 32G15 (30C20 30F60) Sugawa, Toshiyuki The Bers projection and the $\\lambda$$\\lambda$-lemma. J. Math. Kyoto Univ. 32 (1992), no. 4, 701\u2013713. Article\n\nFor users without a MathSciNet license , Relay Station allows linking from MR numbers in online mathematical literature directly to electronic journals and original articles. Subscribers receive the added value of full MathSciNet reviews.","date":"2017-07-28 03:09:27","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 1, \"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\": 0.9979628324508667, \"perplexity\": 7141.87293341429}, \"config\": {\"markdown_headings\": true, \"markdown_code\": false, \"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-2017-30\/segments\/1500549436321.71\/warc\/CC-MAIN-20170728022449-20170728042449-00380.warc.gz\"}"} | null | null |
\section{Introduction}
Entropy theory in dynamics has recently been extended from actions of the integers (and more generally, amenable groups) to actions of sofic groups \cite{bowen-jams-2010} and arbitrary countable groups \cite{seward-kreiger-1, seward-kreiger-2, alpeev-seward}. Here we begin to investigate generic properties of measure-preserving actions of countable groups with an eye towards understanding their entropy theory.
Our starting point is a result due to Rokhlin \cite{rokhlin-1959}: the generic automorphism $T \in \Aut(X,\mu)$ has zero entropy. To be precise, $(X,\mu)$ denotes a Lebesgue probability space and $\Aut(X,\mu)$ is the group of measure-preserving automorphisms $\phi:X \to X$ in which automorphisms that agree almost everywhere are identified. This group has a natural Polish topology: a sequence $\{T_i\} \subset\Aut(X,\mu)$ converges to $T$ if for every measurable subset $A \subset X$, $\mu(T_i A \vartriangle TA) \to 0$ as $i\to\infty$. The claim is that the subset of all transformations $T \in \Aut(X,\mu)$ that have zero entropy contains a dense $G_\delta$ subset so that it is residual in the sense of Baire category.
In order to consider the analogous question for general countable groups, we first need a notion of entropy. So suppose we have a countable group $\Gamma$ and a probability-measure-preserving action $\Gamma {\curvearrowright} (X,\mu)$. Assuming the action is ergodic, its {\bf Rokhlin entropy}, denoted $h^{Rok}_\Gamma(X,\mu)$, is the infimum of $H_\mu(\cP)$ over all generating partitions $\cP$. Recall that a partition $\cP$ of $X$ is {\bf generating} if the smallest $\Gamma$-invariant sigma-algebra containing it is the full Borel sigma-algebra (modulo null sets) and the Shannon entropy is defined by
$$H_\mu(\cP) : = -\sum_{P\in \cP} \mu(P)\log\mu(P).$$
Rokhlin entropy agrees with Kolmogorov-Sinai entropy for essentially free actions whenever $\Gamma$ is amenable \cite{seward-tucker-drob} and Rokhlin entropy upper-bounds sofic entropy when $\Gamma$ is sofic (this is immediate from the definition in \cite{bowen-jams-2010}).
We also need a space of actions. This can be handled in two different ways. We consider the space $A(\Gamma,X,\mu)$ of all homomorphisms $\alpha:\Gamma \to \Aut(X,\mu)$ equipped with the topology of pointwise convergence (see \cite{Kechris-global-aspects} for details). Alternatively, let $\Ca$ denote the usual middle thirds Cantor set and let $\Gamma$ act on $\Ca^\Gamma$ by $(fx)(g)=x(f^{-1}g)$ (where $x\in \Ca^\Gamma$ is represented as a function $x:\Gamma \to \Ca$). This action is by homeomorphisms when we equip $\Ca^\Gamma$ with the product topology. We let $\Prob_\Gamma(\Ca^\Gamma)$ denote the space of all $\Gamma$-invariant Borel probability measures on $\Ca^\Gamma$ with respect to the weak* topology. A fundamental result of Glasner-King \cite{GK98} together with the weak Rokhlin property \cite{glasner2006every} implies that if $\cP$ is any property of actions that is invariant under measure-conjugacy then the set of all actions $\alpha \in A(\Gamma,X,\mu)$ that have $\cP$ is a residual set if and only if the set of all measures $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ such that $\Gamma {\curvearrowright} (\Ca^\Gamma,\mu)$ has $\cP$ is a residual set\footnote{More precisely, Glasner and King proved this result with the unit interval in place of the Cantor set. However, in \cite{bowen-hartman-tamuz-1} it was shown to hold for any perfect Polish space in place of the unit interval.}. Therefore, we can choose to study either $A(\Gamma,X,\mu)$ or $\Prob_\Gamma(\Ca^\Gamma)$, whichever one is most convenient for the problem at hand. For most of the paper, we use $\Prob_\Gamma(\Ca^\Gamma)$ and state the results in terms of $A(\Gamma,X,\mu)$.
The first result of this paper is:
\begin{thm}\label{thm:zero}
For any countably infinite group $\Gamma$, the subset of actions ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}} \in A(\Gamma,X,\mu)$ with zero Rokhlin entropy is residual in the sense of Baire category.
\end{thm}
As mentioned above, because Rokhlin entropy is an upper bound for sofic entropy, this implies that the generic action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}} \in A(\Gamma,X,\mu)$ has nonpositive sofic entropy with respect to all sofic approximations of $\Gamma$.
The main difficulty in proving Theorem \ref{thm:zero} is showing that the subset of actions with zero entropy is dense. If $\Gamma$ is amenable then the argument is due to Rudolph (see the Subclaim after Claim 19 in \cite{foreman-weiss}). It is essentially a consequence of the Rokhlin Lemma which implies if an action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}} \in A(\Gamma,X,\mu)$ is essentially free then its measure-conjugacy class is dense in $A(\Gamma,X,\mu)$. If $\Gamma$ is nonamenable, then this no longer holds: for example if ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is strongly ergodic (e.g. if it is a Bernoulli shift) then the closure of its measure-conjugacy class does not contain any nonergodic actions.
Assuming $\Gamma$ is nonamenable, we take advantage of the fact that entropy can {\em increase} under a factor map. The first example of this phenomenon is due to Ornstein and Weiss \cite{OW87}; they showed that the 2-shift over the rank 2 free group factors onto the 4-shift. This was generalized in several ways: Ball proved that if $\Gamma$ is any nonamenable group then there exists some probability space $(K,\kappa)$ with $|K|<\infty$ such that the Bernoulli shift $\Gamma {\curvearrowright} (K,\kappa)^\Gamma$ factors onto all Bernoulli shifts over $\Gamma$ \cite{ball-factors1}. I proved that if $\Gamma$ contains a nonabelian free group then in fact all Bernoulli shifts over $\Gamma$ factor onto each other \cite{bowen-ornstein-2011}. It is still unknown whether this conclusion holds for all nonamenable $\Gamma$. Lastly, Seward proved there is some number $r(\Gamma)<\infty$ depending only on $\Gamma$ such that if $\Gamma {\curvearrowright} (X,\mu)$ is an arbitrary measure-preserving action then there exists another action $\Gamma {\curvearrowright} (\tX,\tmu)$ with Rokhlin entropy $\le r(\Gamma)$ that factors onto it \cite{seward-small-action}. In other words, every action has an extension with bounded Rokhlin entropy. Our next result shows we can take $r(\Gamma)=0$:
\begin{thm}\label{thm:extension}
If $\Gamma$ is nonamenable and $\Gamma {\curvearrowright} (X,\mu)$ is essentially free, ergodic and probability-measure-preserving, then there exists an action $\Gamma {\curvearrowright} (\tX,\tmu)$ with zero Rokhlin entropy that extends $\Gamma {\curvearrowright} (X,\mu)$.
\end{thm}
Here is a quick sketch of the proof: using the ideas of Gaboriau-Lyons \cite{gaboriau-lyons} and the fact that, for free groups, all Bernoulli shifts factor onto each other \cite{bowen-ornstein-2011}, it is shown that there exists an inverse limit of factors of Bernoulli shifts which (a) has zero Rokhlin entropy and (b) factors onto all Bernoulli shifts. (By contrast, if $\Gamma=\Z$ consequences of Ornstein theory imply that inverse limits and factors of Bernoulli shifts are Bernoulli \cite{ornstein-1970c, MR0447525}). Without loss of generality, we may assume $\Gamma {\curvearrowright} (X,\mu)$ has positive Rokhlin entropy. Using Seward's recent spectacular generalization of Sinai's Factor Theorem \cite{seward-sinai} the extension $\Gamma {\curvearrowright} (\tX,\tmu)$ is constructed as a relatively independent joining of $\Gamma {\curvearrowright} (X,\mu)$ and this inverse limit over a common Bernoulli factor. A standard argument shows that since $\Gamma {\curvearrowright} (X,\mu)$ is a factor of a zero entropy action, it is also a limit of zero entropy actions (see Lemma \ref{lem:2}), proving that zero entropy actions are dense .
\subsection{Strengthenings of zero entropy}
Theorem \ref{thm:extension} highlights the fact that, if $\Gamma$ is nonamenable, zero entropy actions can have positive entropy factors. So we consider the following stronger notions of zero entropy for an action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}=\Gamma {\curvearrowright} (X,\mu)$:
\begin{enumerate}
\item ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has {\bf completely zero entropy} (this means every essentially free factor of ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero Rokhlin entropy);
\item ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is disjoint from all Bernoulli shifts over $\Gamma$;
\item ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is disjoint from all R-CPE (completely positive Rokhlin entropy) actions of $\Gamma$;
\item every factor of every self-joining (including infinite self-joinings) of ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero Rokhlin entropy;
\item ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero naive entropy (naive entropy is defined in \S \ref{sec:naive}).
\end{enumerate}
If $\Gamma$ is amenable then all five notions agree with zero entropy. In \S \ref{sec:strengthening} it is shown that (for any group $\Gamma$) $1 \Leftarrow 2$ and $3 \Leftarrow 4 \Leftarrow 5$. Moreover, if $\Gamma$ is sofic then $2 \Leftarrow 3$. It is an open problem whether all of these properties are equivalent.
To state the next result, recall that a group $\Gamma$ has property MD if the measure-conjugacy class of direct product of the action of $\Gamma$ on its profinite completion by left-translations with the trivial action on the unit interval is dense in the space $A(\Gamma,X,\mu)$ of actions \cite{kechris-2012}. For example, free groups, surface groups and fundamental groups of hyperbolic 3-manifolds have MD (Theorem \ref{thm:md10} below). The final result shows that, for some groups, zero naive entropy is generic:
\begin{thm}\label{thm:md2}
Suppose $\Gamma$ either has property MD or has the form $\Gamma = G \times H$ where $H$ is an infinite amenable residually finite group. Then the subset of all actions ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}} \in A(\Gamma,X,\mu)$ with zero naive entropy is residual in the sense of Baire category.
\end{thm}
It is an open problem whether this conclusion holds for every group $\Gamma$. Indeed, it is unknown whether every group $\Gamma$ admits an essentially free action with zero naive entropy.
The notion of weak containment of actions was introduced by Kechris \cite{kechris-2012} as an analog to weak containment of unitary representations. For a given action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ it is an open problem whether the generic action that is weakly equivalent to ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero Rokhlin entropy. However, if ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is a Bernoulli shift then we show this is the case in the last section \S \ref{sec:weak}.
\subsection{Organization}
\S \ref{sec:prelim} introduces notation and recalls important terminology. \S \ref{sec:rokhlin} reviews Rokhlin entropy and proves that zero Rokhlin entropy is a $G_\delta$ condition for essentially free, ergodic actions. \S \ref{sec:inverse-limit} constructs an inverse limit of factors of Bernoulli shifts that has zero Rokhlin entropy and factors onto all Bernoulli shifts. \S \ref{sec:extension} proves Theorem \ref{thm:extension}. \S \ref{sec:zero} proves Theorem \ref{thm:zero}. \S \ref{sec:naive} introduces naive entropy. \S \ref{sec:strengthening} introduces five strengthenings of zero entropy. \S \ref{sec:zne} proves Theorem \ref{thm:md2}. The last section \S \ref{sec:weak} formulates the open problem: for a given weak equivalence classes of actions, is zero entropy generic?
{\bf Acknowledgements}. I am deeply grateful to Robin Tucker-Drob and Brandon Seward. Many of the ideas presented here were obtained during conversations with each of them, spanning over a year. Also thanks to Miklos Abert for suggesting the problem of determining whether zero entropy is generic in each weak equivalence class. And thanks to Pierre-Antoine Guih\'eneuf for the reference \cite{rokhlin-1959} and Benjy Weiss for informing me of Rudolph's result in \cite{foreman-weiss}.
\section{Preliminaries}\label{sec:prelim}
Throughout this paper, $\Gamma$ always denotes a countable discrete group and $(X,\mu), (Y,\nu)$ denote standard probability spaces. We are mainly concerned with {\bf probability-measure-preserving} actions which is abbreviated as `pmp actions'. Let $\Ca$ denote the standard middle thirds Cantor set, $\Gamma {\curvearrowright} \Ca^\Gamma$ the action $(gx)(f) = x(g^{-1}f)$. This action is by homeomorphisms when $\Ca^\Gamma$ is given the product topology. We let $\Prob_\Gamma(\Ca^\Gamma)$ denote the space of $\Gamma$-invariant Borel probability measures on $\Ca^\Gamma$. We give $\Prob_\Gamma(\Ca^\Gamma)$ the weak* topology which means that a sequence $\{\mu_n\}$ converges to a measure $\mu$ if and only if $\int f~\mu_n \to \int f~d\mu$ for every continuous function $f$ on $\Ca^\Gamma$. In this topology, $\Prob_\Gamma(\Ca^\Gamma)$ is compact and metrizable (by the Banach-Alaoglu Theorem). When discussing measures $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ we say such a measure is essentially free, ergodic or has zero Rokhlin entropy to mean that the associated action $\Gamma {\curvearrowright} (\Ca^\Gamma,\mu)$ is essentially free, ergodic or has zero Rokhlin entropy.
Given a topological space $X$, a subset $Y \subset X$ is a $G_\delta$ if it can be expressed as a countable intersection of open sets. A subset $Y \subset X$ is {\bf residual} in $X$ if it contains a dense $G_\delta$ subset. If $X_0 \subset X$ then the statement `the generic element of $X$ is contained in $X_0$' means that $X_0$ is residual.
All functions, partitions and actions considered in this paper are measurable unless explicitly stated otherwise. If $\cP$ is a partition of a measure space $(X,\mu)$, $\Gamma {\curvearrowright} (X,\mu)$ is a pmp action and $T \subset \Gamma$ is finite then $\cP^T: = \bigvee_{t\in T} t^{-1}\cP$ is the coarsest partition containing $t^{-1}\cP$ for all $t\in T$. If $T$ is infinite then $\cP^T$ is the smallest sigma-algebra containing $t^{-1}\cP$ for all $t\in T$.
Let $\cB_X$ denote the Borel sigma-algebra on $X$. If $\cF \subset \cB_X$ is a sigma-algebra and $\cP$ is a partition then the {\bf Shannon entropy of $\cP$ relative to $\cF$} is
$$H_\mu(\cP|\cF) = \int -\log \E[\chi_{\cP(x)}|\cF](x)~d\mu(x)$$
where $\cP(x)$ denotes the part of $\cP$ containing $x$, $\chi_{\cP(x)}$ denotes the characteristic function of $\cP(x)$ and $\E[\chi_{\cP(x)}|\cF]$ denotes the conditional expectation of $\chi_{\cP(x)}$ with respect to $\cF$.
\section{Rokhlin entropy}\label{sec:rokhlin}
For any subcollection $\cF \subset \cB_X$, we let $\sigma\textrm{-alg}(\cF) \subset \cB_X$ denote the sub-sigma-algebra generated by $\cF$ and, if $\Gamma {\curvearrowright} X$ is a measurable action then we let $\sigma\textrm{-alg}_\Gamma(\cF)$ denote the smallest sub-sigma-algebra containing $gF$ for every $g \in \Gamma$ and $F \in \cF$. We do not distinguish between sigma-algebras that agree up to null sets. Thus we write $\cF_1=\cF_2$ if $\cF_1$ and $\cF_2$ agree up to null sets.
\begin{defn}
The {\bf Rokhlin entropy} of an ergodic pmp action $\Gamma {\curvearrowright} (X,\mu)$ is defined by
$$h^{Rok}_\Gamma(X,\mu) = \inf_\cP H_\mu(\cP)$$
where the infimum is over all partitions $\cP$ with $\sigma\textrm{-alg}_\Gamma(\cP)=\cB_X$. For any $\Gamma$-invariant $\cF \subset \cB_X$ the {\bf relative Rokhlin entropy} is defined by
$$h^{Rok}_\Gamma(X,\mu|\cF)= \inf_\cP H_\mu(\cP|\cF)$$
where the infimum is over all partitions $\cP$ such $\sigma\textrm{-alg}_\Gamma(\cP \cup \cF) = \cB_X$. If $\Gamma {\curvearrowright} (X,\mu)$ is nonergodic then the Rokhlin entropy is defined by
$$h^{Rok}_\Gamma(X,\mu) = \inf_\cP H_\mu(\cP|\textrm{Inv})$$
where $\textrm{Inv}$ is the sigma-algebra of $\Gamma$-invariant Borel sets. Given a collection $\cC$ of Borel subsets of $X$ then the {\bf outer Rokhlin entropy} relative to $\cF$ is defined by
$$h^{Rok}_{\Gamma,\mu}(\cC|\cF) = \inf_\cP H_\mu(\cP|\cF)$$
where the infimum is over all partitions $\cP$ such that $\cC \subset \sigma\textrm{-alg}_\Gamma(\cP) \vee \cF$. We also write $h^{Rok}_{\Gamma,\mu}(\cC)$ instead of $h^{Rok}_{\Gamma,\mu}(\cC|\cF)$ when $\cF$ is trivial. These notions were introduced and studied by B. Seward in the series \cite{seward-kreiger-1, seward-kreiger-2}.
\end{defn}
\begin{lem}\label{lem:g-delta0}
The subset of ergodic measures in $\Prob_\Gamma(\Ca^\Gamma)$ is a $G_\delta$ set.
\end{lem}
\begin{proof}
This is well-known. Here is a short proof for the reader's convenience. Fix a metric $d$ on $\Prob_\Gamma(\Ca^\Gamma)$. For $n=1,2,3,\ldots$, let $X_n$ be the set of all measures $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ such that there exist measures $\mu_1,\mu_2 \in \Prob_\Gamma(\Ca^\Gamma)$ with $d(\mu_1,\mu_2) \ge 1/n$ and $\mu= \frac{\mu_1+\mu_2}{2}$. So $X_n$ is a closed subset and $\cup_{n=1}^\infty X_n$ is an $F_\sigma$ set. The lemma now follows from the fact that the subset of ergodic measures is the complement of $\cup_{n=1}^\infty X_n$.
\end{proof}
Next we prove that the set of ergodic measures in $\Prob_\Gamma(\Ca^\Gamma)$ with zero Rokhlin entropy form a $G_\delta$ subset. For the next three lemmas we assume $\Gamma {\curvearrowright} (X,\mu)$ is an ergodic pmp action and $\cP,\cQ$ are measurable partitions of $X$ with finite Shannon entropy.
\begin{lem}\label{lem:estimate}
$$h^{Rok}_{\Gamma,\mu}(\cP) \le H_\mu(\cQ) + H_\mu(\cP | \sigma\textrm{-alg}_\Gamma(\cQ)).$$
\end{lem}
\begin{proof}
Corollary 2.6 of \cite{seward-kreiger-2} implies
$$h^{Rok}_{\Gamma,\mu}(\cP) \le h^{Rok}_{\Gamma,\mu}(\cQ) + h^{Rok}_{\Gamma,\mu}(\cP| \sigma\textrm{-alg}_\Gamma(\cQ)) \le H_\mu(\cQ) + H_\mu(\cP | \sigma\textrm{-alg}_\Gamma(\cQ)).$$
\end{proof}
Let $\sP(X,\mu)$ denote the set of all partitions of $(X,\mu)$ with finite Shannon entropy in which we identify partitions that agree up to measure zero. Given partitions $\cP,\cQ \in \sP(X,\mu)$ define
$$d^{Rok}(\cP,\cQ):= H_\mu(\cP|\cQ)+H_\mu(\cQ|\cP).$$
This is the {\bf Rokhlin metric}. It is a complete separable metric on $\sP(X,\mu)$.
\begin{lem}\label{lem:outer1}
Let $\sD$ be a dense subset of $\sP(X,\mu)$. Then
$$h^{Rok}_{\Gamma,\mu}(\cP) = \sup_{\epsilon>0} \inf \{ H_\mu(\cQ):~ \cQ \in \sD, ~H_\mu(\cP|\sigma\textrm{-alg}_\Gamma(\cQ)) < \epsilon\}.$$
\end{lem}
\begin{proof}
The inequality $\le$ follows from Lemma \ref{lem:estimate}. To see the opposite inequality, let $\epsilon>0$ and let $\cS$ be a partition with $\cP \subset \sigma\textrm{-alg}_\Gamma(\cS)$ and $H_\mu(\cS) \le h^{Rok}_{\Gamma,\mu}(\cP) + \epsilon$. Since $H_\mu(\cP| \cS^\Gamma)=0$, there exists a finite subset $F \subset \Gamma$ such that $H_\mu(\cP | \cS^F) < \epsilon/2.$ Since $\sD$ is dense, there exists a partition $\cR \in \sD$ such that $d^{Rok}(\cR,\cS)<\epsilon |F|^{-1}/2$. Since
$$H_\mu(\cR^F|\cS^F) \le \sum_{f\in F} H_\mu(f^{-1}\cR| \cS^F) \le \sum_{f\in F} H_\mu(f^{-1}\cR| f^{-1}\cS) = |F|H_\mu(\cR|\cS),$$
$$d^{Rok}(\cR^F,\cS^F) \le |F| d^{Rok}(\cR,\cS) < \epsilon/2.$$
Therefore,
$$H_\mu(\cP | \sigma\textrm{-alg}_\Gamma(\cR)) \le H_\mu(\cP | \cR^F) \le H_\mu(\cP | \cS^F) + d^{Rok}(\cS^F,\cR^F) < \epsilon.$$
It follows that
$$\inf \{ H_\mu(\cQ):~ \cQ \in \sD, ~H(\cP|\sigma\textrm{-alg}_\Gamma(\cQ)) < \epsilon\} \le H_\mu(\cR) \le H_\mu(\cS) + d^{Rok}(\cR,\cS) \le h^{Rok}_{\Gamma,\mu}(\cP) +2 \epsilon.$$
The Lemma follows by taking the limit as $\epsilon \searrow 0$ on both sides.
\end{proof}
\begin{lem}\label{lem:outer2}
Suppose $\cP_1 \le \cP_2\le \cdots$ are an increasing sequence of partitions of $(X,\mu)$ with finite Shannon entropy such that $\bigvee_n \cP_n$ is the Borel sigma-algebra. Then $h^{Rok}_\Gamma(X,\mu) =0$ if and only if $h^{Rok}_{\Gamma,\mu}(\cP_n)=0$ for all $n$.
\end{lem}
\begin{proof}
The definitions of Rokhlin and outer Rokhlin entropy imply $h^{Rok}_\Gamma(X,\mu) \ge h^{Rok}_{\Gamma,\mu}(\cP_n)$ for every $n$. This proves one implication. To see the other, suppose $h^{Rok}_{\Gamma,\mu}(\cP_n)=0$ for all $n$. Let $\epsilon>0$. For every $n$, there exists a partition $\cQ_n$ of $X$ such that $H_\mu(\cQ_n)<\epsilon 2^{-n}$ and $\cP_n \subset \sigma\textrm{-alg}_\Gamma(\cQ_n)$. Therefore, $\bigvee_n \cQ_n$ is generating and has entropy $<\epsilon$. This shows $h^{Rok}_\Gamma(X,\mu) < \epsilon$. Since $\epsilon$ is arbitrary, $h^{Rok}_\Gamma(X,\mu) = 0$.
\end{proof}
\begin{lem}\label{lem:g-delta1}
The set
$$E_0:=\{ \mu \in \Prob_\Gamma(\Cantor^\Gamma):~ h^{Rok}_\Gamma(\Ca^\Gamma,\mu) =0~ \textrm{and}~\Gamma {\curvearrowright} (\Ca^\Gamma,\mu)~\textrm{ergodic}\}$$
is a $G_\delta$ set.
\end{lem}
\begin{proof}
Let $\cP_n$ be an increasing sequence of finite partitions of $\Ca^\Gamma$ such that all elements of $\cP_n$ are clopen (=closed and open) and $\bigvee_n \cP_n$ is the full Borel sigma-algebra. Let
$$E_n:=\{ \mu \in \Prob_\Gamma(\Cantor^\Gamma):~ h^{Rok}_{\Gamma,\mu}(\cP_n) =0~ \textrm{and}~\Gamma {\curvearrowright} (\Ca^\Gamma,\mu)~\textrm{ergodic}\}.$$
By Lemma \ref{lem:outer2}, $E_0 = \cap_n E_n$. So it suffices to show each $E_n$ is a $G_\delta$. Let $\sD$ denote the collection of clopen partitions of $\Ca^\Gamma$. Then $\sD$ is dense in $\sP(\Ca^\Gamma,\mu)$ for every Borel probability measure $\mu$. For any $\cQ \in \sD$ and finite $F \subset \Gamma$, the maps $\mu \mapsto H_\mu(\cQ)$ and $\mu \mapsto H_\mu(\cP_n | \cQ^F)$ are continuous (because all partitions involved are clopen). So for any $\epsilon>0$, the set
$$\{ \mu \in \Prob_\Gamma(\Cantor^\Gamma):~ H_\mu(\cP_n | \cQ^F) < \epsilon\}$$
is open. Let $\sO(\epsilon)$ denote the set of all measures $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ such that there exist $\cQ \in \sD$ and finite $F \subset \Gamma$ with $H_\mu(\cQ)<\epsilon$ and $H_\mu(\cP_n | \cQ^F) < \epsilon$. Then $\sO(\epsilon)$ is open. By Lemma \ref{lem:outer1},
$$E_n = \bigcap_{m=1}^\infty \sO(1/m) \cap \{\mu:~ \Gamma {\curvearrowright} (\Ca^\Gamma,\mu)~\textrm{ergodic}\}.$$
By Lemma \ref{lem:g-delta0}, this implies $E_n$ is a $G_\delta$.
\end{proof}
\section{A zero entropy action that surjects every Bernoulli shift}\label{sec:inverse-limit}
Bernoulli shifts are defined as follows: let $(K,\kappa)$ denote a standard probability space and $(K,\kappa)^\Gamma$ the product measure space. Let $\Gamma$ act on $K^\Gamma$ by $(gx)(f)=x(g^{-1}f)$ for $x \in K^\Gamma, g,f \in \Gamma$. This action is measure-preserving and is called the {\bf Bernoulli shift over $\Gamma$ with base $(K,\kappa)$}.
This section constructs a zero Rokhlin entropy action that factors onto all Bernoulli shifts (assuming $\Gamma$ is nonamenable). The main part of the argument is in the next proposition: that there are factors of Bernoulli shifts with small entropy that factor onto all Bernoulli shifts.
\begin{prop}\label{prop:small-ext}
Let $\Gamma$ be a countable nonamenable group. Then for every $\epsilon>0$ there exists a pmp action $\Gamma {\curvearrowright} (Y,\nu)$ satisfying:
\begin{itemize}
\item $\Gamma {\curvearrowright} (Y,\nu)$ is a factor of a Bernoulli shift,
\item $h^{Rok}_\Gamma(Y,\nu)<\epsilon$,
\item $\Gamma {\curvearrowright} (Y,\nu)$ factors onto every Bernoulli shift over $\Gamma$.
\end{itemize}
\end{prop}
The proof uses the fact that, for nonabelian free groups, all Bernoulli shifts factor onto each other. In order to apply this we need some concepts from measured equivalence relations. So: given an action $\Gamma{\curvearrowright} (X,\mu)$ the {\bf orbit-equivalence relation} is the relation $\cR_\Gamma:=\{(x,\gamma x) \in X \times X:~x\in X, \gamma \in \Gamma\}$. A {\bf subequivalence relation} is any measurable subset $\cS \subset \cR_\Gamma$ that is an equivalence relation in its own right. It is {\bf finite} if for almost every $x\in X$ the $\cS$-class of $x$ is finite. It {\bf hyperfinite} if there exists an increasing sequence $\cS_1 \subset \cS_2 \subset \cdots$ of finite subequivalence relations such that $\cS= \cup_i \cS_i$. A subset $Y \subset X$ is {\bf $\cS$-saturated} if $Y$ is a union of $\cS$-equivalence classes. The subequivalence $\cS$ is {\bf ergodic} if every measurable $\cS$-saturated subset is either null or co-null. A {\bf graphing} of $\cS$ is a subset $\cG \subset\cS$ such that
\begin{itemize}
\item $(x,y) \in \cG \Rightarrow (y,x) \in \cG$;
\item for every $(x,y) \in \cS$ there exists $x=x_0,x_1,\ldots, x_n=y$ such $(x_i,x_{i+1}) \in \cG$ for all $0\le i <n$.
\end{itemize}
A graphing $\cG$ determines a graph with vertex set $X$ and edges consisting of unordered pairs $\{x,y\}$ such that $(x,y) \in \cG$. If the connected components of this graph are trees then $\cG$ is called a {\bf treeing} and $\cS$ is said to be {\bf treeable}. Intuitively, graphings are treated in a manner similar to Cayley graphs and treeable subequivalence relations are analogous to free subgroups.
\begin{lem}\label{lem:GL}
Let $\Gamma {\curvearrowright} (X,\mu)$ be an essentially free factor of a Bernoulli shift and suppose that its orbit-equivalence relation contains a non-hyperfinite treeable subequivalence relation $\cS$. Then for every pair of probability spaces $(K,\kappa), (L,\lambda)$ the direct product action
$$\Gamma {\curvearrowright} (X \times K^\Gamma, \mu \times \kappa^\Gamma)$$
factors onto the Bernoulli shift $\Gamma {\curvearrowright} (L,\lambda)^\Gamma$.
\end{lem}
\begin{proof}
I claim that we can choose $\cS$ to be ergodic. Since $\cS$ is non-hyperfinite, $\Gamma$ must be nonamenable. Then the main result of \cite{MR2647134} implies that there exists a measurable subset $Y \subset X$ with positive measure such that $\cS$ restricted to $Y$ is ergodic. Let $\phi:X \to Y$ be any measurable map such that (a) the graph of $\phi$ is contained in the orbit-equivalence relation and (b) $\phi$ restricted to $Y$ is the identity map. Now let $\cS'$ be the equivalence relation given by $(x,y) \in \cS'$ if and only if $(\phi x, \phi y) \in \cS$. This is a subequivalence relation of the orbit-equivalence relation; it is ergodic because any nonnull $\cS'$-invariant measurable subset necessarily contains $Y$ (since $\cS$ is ergodic and $\cS' \cap Y\times Y = \cS$) and therefore contains $X$ (up to measure zero). It is also treeable. Indeed if $\cG$ is a treeing of $\cS \cap Y \times Y$ then we define a treeing $\cG'$ of $\cS'$ by $\cG' = \cG \cup \{ (x,\phi(x)), (\phi(x),x):~ x\in X - Y\}$. So we can choose $\cS$ to be ergodic.
By \cite[Prop. 14]{gaboriau-lyons} the existence of an ergodic non-hyperfinite treeable subequivalence relation implies the existence of an essentially free ergodic pmp action $\F_2 {\curvearrowright} (X,\mu)$ of the rank 2 free group whose orbits are contained in $\Gamma$-orbits (the main part of this argument is due to Hjorth \cite{hjorth-cost-attained}). Let $c:\F_2 \times X \to \Gamma$ denote the cocycle
$$c(f,x)=g \Leftrightarrow fx =gx.$$
Also, for $x \in X$ and $y \in K^\Gamma$ define $F_x(y) \in K^{\F_2}$ by
$$F_x(y)(f) = y(c(f^{-1},x)^{-1}).$$
By \cite{bowen-ornstein-2011} there exists a factor map $\Phi:(K,\kappa)^{\F_2} \to (L,\lambda)^{\F_2}$. So we define $\Psi:X \times K^\Gamma \to L^\Gamma$ by
$$\Psi(x,y)(\gamma) = \Phi(F_{\gamma^{-1} x}(\gamma^{-1} y))(1_{\F_2}).$$
It is routine to check that this is the required factor. For the sake of clarity, here is an explanation without the algebra. An element $x\in X$ has the property that its $\Gamma$-orbit is partitioned into $\F_2$-orbits. We consider an element $y \in K^\Gamma$ as a coloring of $\Gamma$ with colors in $K$. By identifying $\Gamma$ with the orbit of $x$, we may also think of $y$ as a coloring of the orbit of $x$. This coloring does not change if we replace the pair $(x,y)$ with $(gx,gy)$ for $g\in \Gamma$. By restriction, we can also view $y$ as a coloring of the $\F_2$-orbits that make up the $\Gamma$-orbit of $x$. By identifying each $\F_2$-orbit with $\F_2$ itself we can view $y$ as a coloring of $\F_2$ (actually several copies of $\F_2$, one for each $\F_2$-orbit making up the $\Gamma$-orbit). We can apply $\Phi$ to such a coloring to obtain a new coloring of (several copies of) $\F_2$ with values in $L$. By identifying each such copy of $\F_2$ with the $\F_2$-orbits in $\Gamma x$, we obtain again a coloring of the $\F_2$-orbits of $x$ contained in the $\Gamma$-orbit of $x$ and therefore, we obtain a coloring of $\Gamma$ by $L$. This is what the map $\Psi$ does.
\end{proof}
In order to use the lemma above to prove Proposition \ref{prop:small-ext}, we need to construct the factor $\Gamma {\curvearrowright} (Y,\nu)$ in such a way that its orbit equivalence relation contains a non-hyperfinite treeable subequivalence relation. This will be accomplished through percolation theory for which we will need a bit of background. So let $G=(V,E)$ be a graph and $p \in [0,1]$ a parameter. The {\bf Bernoulli bond percolation} with parameter $p$ is the random subset $\omega_p \subset E$ defined by: if $e \in E$ is an edge then $e \in \omega_p$ with probability $p$. Moreover the events $\{e\in \omega_p:~e\in E\}$ are jointly independent. This is also called {\bf $p$-bond percolaton}. We consider $\omega_p$ to be a random subgraph of $G$. A {\bf cluster} is a connected component of $\omega_p$. The {\bf critical bond percolation} of $G$ is the number $p_c(G)$ equal to the infimum over all $p>0$ such that Bernoulli bond percolation with parameter $p$ has an infinite cluster almost surely. See \cite{blps-group-perc} for background.
\begin{lem}\label{lem:alpha}
Let $D>2$ be an integer. There exists $0<\alpha,\beta<1$ such that the following holds. Let $G$ be a tree such that every vertex in $G$ has degree at least 3 and at most $D$. Then $\alpha$-Bernoulli bond percolation on $G$ has an infinite cluster a.s. and every such cluster is a tree with infinitely many ends. Also, for any vertex $v$ of $G$, the probability (with respect to $\alpha$-bond percolation) that $v$ is contained in a finite cluster is at least $\beta$.
\end{lem}
\begin{proof}
Note that $G$ contains a copy of the 3-regular tree $T_3$. Therefore $p_c(G) \le p_c(T_3)$. It is well-known that $p_c(T_3)<1$. This follows, for example, from the more general statement that $p_c(H)<1$ whenever $H$ is the Cayley graph of a nonamenable group \cite{blps-nonamenable} (observe that $T_3$ is the Cayley graph of $\Z/2\Z * \Z/2\Z * \Z/2\Z$). So let $\alpha=(p_c(T_3)+1)/2$. Let $\omega \subset E(G)$ denote $\alpha$-bond percolation on $G$. Since $G$ is a tree, $\omega$ is a forest a.s. By \cite{haggstrom-peres-1999}, each infinite cluster of $\omega$ has infinitely many ends a.s. (for a simpler proof, see \cite{lyons-schramm-indistinguishability}).
The probability that a vertex $v$ is contained in a finite cluster of $\omega$ is at least the probability that $v$ is itself a cluster. The latter probability is $(1-\alpha)^{\textrm{deg}(v)} \ge (1-\alpha)^{D} =:\beta$.
\end{proof}
\begin{proof}[Proof of Proposition \ref{prop:small-ext}]
Let $\Gamma_0\le \Gamma$ be a finitely generated nonamenable subgroup. By \cite{pak-nagnibeda}, there exists a finite generating set $S \subset \Gamma_0$ such that bond-percolation on the Cayley graph $\Cay(\Gamma_0,S)$ has a nontrivial uniqueness phase. In other words, there exists $p \in (0,1)$ such that $p$-bond-percolation on $\Cay(\Gamma_0,S)$ has infinitely many infinite clusters. It follows by inclusion that $p$-bond-percolation on $\Cay(\Gamma,S)$ also has infinitely many infinite clusters. Here $\Cay(\Gamma,S)$ is the graph with vertex set $\Gamma$ and edges of the form $(g,gs)$ for $g\in \Gamma, s\in S$. This need not be a connected graph since $S$ need not generate $\Gamma$.
Let $\omega_0 \subset E(\Cay(\Gamma,S))$ denote the set of edges of $p$-bond-percolation on $\Cay(\Gamma,S)$. By \cite{haggstrom-peres-1999}, each infinite cluster of $\omega_0$ has infinitely many ends a.s. (for a simpler proof, see \cite{lyons-schramm-indistinguishability}). For $x\in \Gamma$, let $K_0(x)$ denote the cluster of $\omega_0$ containing $x$.
By \cite[Lemma 7.4]{blps-group-perc}, there exists a percolation $\omega_1 \subset \omega_0$ such that conditioned on the cluster $K_0(x)$ being infinite, the cluster $K_1(x)$ of $\omega_1$ containing $x$ is a tree with infinitely many ends (almost surely). Moreover the proof shows that we can choose $\omega_1$ to be the minimal spanning forest associated with an iid process. In particular, we can choose $\omega_1$ so that its law is a factor of a Bernoulli process. After removing some edges if necessary, we may also assume that every finite cluster of $\omega_1$ consists of a single vertex.
Let $\alpha,\beta$ be as in Lemma \ref{lem:alpha}.
{\bf Claim}. There exist random subgraphs $\omega_1 \supset \omega_2 \supset \cdots$ satisfying:
\begin{itemize}
\item each infinite cluster of $\omega_i$ is a tree with infinitely many ends (a.s.),
\item every finite cluster of $\omega_i$ is a single vertex,
\item the probability that $1_\Gamma$ is contained in an infinite cluster of $\omega_{i+1}$ is at most $\beta$ times the probability that $1_\Gamma$ is contained in an infinite cluster of $\omega_i$.
\item each $\omega_{i}$ is a factor of a Bernoulli shift.
\end{itemize}
\begin{proof}
For induction, we assume $\omega_1,\ldots, \omega_n$ has been constructed.
We cannot directly apply Lemma \ref{lem:alpha} because some vertex might have degree $<3$ in $\omega_n$. After repeatedly removing all edges incident to a degree 1 vertex if necessary, we may assume that no vertex of $\omega_n$ has degree 1. Next define $\omega'_n$ as follows: the vertices of $\omega'_n$ are the vertices of $\omega_n$ that have degree at least 3. There is an edge in $\omega'_n$ from $v$ to $w$ if there is a path in $\omega_n$ from $v$ to $w$ such that all of the intermediate vertices have degree 2.
Let $\omega'_{n+1} \subset \omega'_n$ be the random subgraph obtained from Bernoulli $\alpha$-bond-percolation on $\omega'_n$. By Lemma \ref{lem:alpha}, $\omega'_{n+1}$ contains infinite clusters a.s. Moreover each infinite cluster is a tree with infinitely many ends (since each infinite cluster of $\omega'_n$ is a tree with infinitely many ends). We let $\omega''_{n+1}$ be the subgraph of $\omega_n$ that is induced from $\omega'_{n+1}$. More precisely, recall that every edge $e$ of $\omega'_{n+1}$ corresponds to a path $e_1,e_2,\ldots,e_k$ of edges in $\omega_n$ such that each intermediate vertex has degree 2. We let $\omega''_{n+1}$ be the subgraph containing all such edges $e_1,\ldots, e_k$. Finally we let $\omega_{n+1}$ be the subgraph obtained from $\omega''_{n+1}$ by removing all edges that are contained in finite clusters. The properties in the claim are easily verified for $\omega_{n+1}$. This completes the induction.
\end{proof}
Let $\delta>0$ be such that
$$\delta |S|\log (2) - \delta\log(\delta) - (1-\delta)\log(1-\delta)<\epsilon/2.$$
It follows from the claim above that there exists a random subgraph $\omega_n$ of $\Cay(\Gamma,S)$ (for some $n$) such that:
\begin{itemize}
\item the probability that $\omega_n$ does not contain any edges incident to $1_\Gamma$ is at least $1-\delta$,
\item the law of $\omega_n$ is a factor of a Bernoulli shift,
\item with probability one, some cluster of $\omega_n$ is a tree with infinitely many ends.
\end{itemize}
Let $X$ be the space of all subgraphs of $\Cay(\Gamma,S)$ and $\mu$ the law of $\omega_n$. For $x\in X$, let $\phi(x) =\{s\in S:~(1_\Gamma,s)\in \omega_n\}$. Let $\cP$ be the partition of $X$ induced by $\phi$: this means that $x,y \in X$ are in the same part of $\cP$ if and only if $\phi(x)=\phi(y)$. The Shannon entropy of $\cP$ satisfies the bound:
$$H_\mu(\cP)\le \delta |S|\log (2) - \delta\log(\delta) - (1-\delta)\log(1-\delta)<\epsilon/2$$
(because there are $2^{|S|}$ subsets of $S$ and the probability that $\phi(x)$ is empty (when $x\in X$ is random with law $\mu$) is at least $1-\delta$). The partition $\cP$ is generating for $\Gamma {\curvearrowright} (X,\mu)$. Therefore
$$h^{Rok}_\Gamma(X,\mu)<\epsilon/2.$$
Because each $\omega_n$ contains an infinite tree with infinitely many ends, the orbit-equivalence relation of $\Gamma {\curvearrowright} (X,\mu)$ contains a non-hyperfinite treeable subequivalence relation. To see this, let $Y \subset X$ be the set of all $\omega \in X$ such that $1_\Gamma$ is in an infinite cluster of $\omega$. Let $\cF \subset Y \times Y$ be the Borel equivalence relation on $Y$ given by $(g\omega, \omega) \in \cF$ if and only if $g^{-1}$ and $1_\Gamma$ are in the same infinite cluster of $\omega$. This is a non-hyperfinite treeable equivalence relation since its equivalence classes are in 1-1 bijection with the infinite clusters of $\omega$. Let $\Phi:X \to Y$ be any Borel map with graph contained in the orbit-equivalence relation of $\Gamma$ such that $\Phi$ restricted to $Y$ is the identity map. Finally let $\tcF \subset X \times X$ be the equivalence relation $(x,y) \in \tcF$ if and only if $(\Phi x, \Phi y) \in \cF$. Then $\tcF$ is the required non-hyperfinite treeable subequivalence relation. In fact, if $\cG \subset Y \times Y$ is a treeing of $\cF$ then $\tcG:=\cG \cup \{(x,\Phi(x)):~x\in X\}$ is a treeing of $\tcF$.
If $\Gamma {\curvearrowright} (X,\mu)$ is not essentially free then let $(L,\lambda)$ be a nontrivial probability space with Shannon entropy small enough so that the Rokhlin entropy of the direct product $\Gamma {\curvearrowright} (X\times L^\Gamma, \mu \times \lambda^\Gamma)$ is $< \epsilon/2$. Because $\Gamma {\curvearrowright} (X,\mu)$ is a factor of a Bernoulli shift, this direct product is also a factor of a Bernoulli shift. Moreover, it is essentially free. Also its orbit-equivalence relation contains a non-hyperfinite treeable subequivalence relation (this can be obtained by pulling back a non-hyperfinite treeable subequivalence relation of $\Gamma {\curvearrowright} (X,\mu)$ by way of the projection map). So without loss of generality, we may assume $\Gamma {\curvearrowright} (X,\mu)$ is essentially free.
Let $(K,\kappa)$ be any nontrivial probability space with Shannon entropy $<\epsilon/2$. Lemma \ref{lem:GL} now implies that the product action
$$\Gamma {\curvearrowright} (X\times K^\Gamma, \mu \times \kappa^\Gamma)$$
satisfies the statement of the Theorem.
\end{proof}
\begin{cor}\label{cor:inverse limit}
Let $\Gamma$ be any countable nonamenable group. There exists a pmp action $\Gamma {\curvearrowright} (Z,\zeta)$ satisfying:
\begin{itemize}
\item $\Gamma {\curvearrowright} (Z,\zeta)$ is an inverse limit of factors of Bernoulli shifts,
\item $h^{Rok}_\Gamma(Z,\zeta)=0$
\item $\Gamma {\curvearrowright} (Z,\zeta)$ factors onto all Bernoulli shifts over $\Gamma$.
\end{itemize}
\end{cor}
\begin{proof}
By Proposition \ref{prop:small-ext} there exists a sequence $\Gamma {\curvearrowright} (Y_i,\nu_i)$ ($i\in \N$) of pmp actions satisfying
\begin{itemize}
\item each $\Gamma {\curvearrowright} (Y_i,\nu_i)$ is a factor of a Bernoulli shift,
\item $h^{Rok}_\Gamma(Y_i,\nu_i)<2^{-i}$,
\item each $\Gamma {\curvearrowright} (Y_i,\nu_i)$ factors onto all Bernoulli shifts over $\Gamma$.
\end{itemize}
It follows that there exist factor maps $\Phi_i:Y_i \to Y_{i-1}$ for $i\ge 2$. Let $\Gamma {\curvearrowright} (Z,\zeta)$ denote the inverse limit of this system. It suffices to show $h^{Rok}_\Gamma(Z,\zeta)=0$. This follows from \cite[Corollary 4.9]{seward-kreiger-2}. Alternatively, it can be proven directly as follows. Let $\epsilon>0$. Then there exists an infinite subsequence $\{n_i\}_{i=1}^\infty$ such that
$$\sum_i h^{Rok}_\Gamma(Y_{n_i},\nu_{n_i}) < \epsilon/2.$$
Let $\cP_i$ be a generating partition of $Y_{n_i}$ with $H_\mu(\cP_i) < h^{Rok}_\Gamma(Y_{n_i},\nu_{n_i}) + \epsilon 2^{-i-1}$. By pulling back, we may consider $\cP_i$ to be a partition of $Z$. Then $\bigvee_i \cP_i$ is a generating partition for $\Gamma {\curvearrowright} (Z,\zeta)$ and
$$H_\mu\left(\bigvee_i \cP_i \right) \le \sum_i H_\mu(\cP_i) \le \sum_i h^{Rok}_\Gamma(Y_{n_i},\nu_{n_i}) + \epsilon 2^{-i-1} < \epsilon.$$
Because $\epsilon>0$ is arbitrary, this proves $h^{Rok}_\Gamma(Z,\zeta)=0$.
\end{proof}
\section{Zero entropy extensions}\label{sec:extension}
\begin{thm}\label{thm:zero-extension}
Let $\Gamma$ be a nonamenable countable group and $\Gamma {\curvearrowright} (X,\mu)$ a free ergodic action. Then there exists a free ergodic action $\Gamma {\curvearrowright} (\tX,\tmu)$ that factors onto $\Gamma {\curvearrowright} (X,\mu)$ and has zero Rokhlin entropy.
\end{thm}
\begin{remark}
Seward \cite{seward-small-action} proved, under the same hypotheses as Theorem \ref{thm:zero-extension}, the existence of an extension $\Gamma {\curvearrowright} (\tX,\tmu)$ of $\Gamma {\curvearrowright} (X,\mu)$ such that $\Gamma {\curvearrowright} (\tX,\tmu)$ admits a generating partition with at most $n$ parts where $n=n(\Gamma)$ depends only on $\Gamma$. By Seward's generalization of Krieger's Generator Theorem \cite{seward-kreiger-1}, Theorem \ref{thm:zero-extension} implies that we can take $n=2$.
\end{remark}
We will need Seward's generalization of Sinai's Factor Theorem \cite{seward-sinai}:
\begin{thm}[Seward \cite{seward-sinai}]\label{thm:seward-sinai}
For any countable group $\Gamma$ and any ergodic essentially free action $\Gamma {\curvearrowright} (X,\mu)$ with positive Rokhlin entropy there exists a Bernoulli factor such that the Rokhlin entropy of $\Gamma {\curvearrowright} (X,\mu)$ relative to this Bernoulli factor is zero.
\end{thm}
\begin{proof}[Proof of Theorem \ref{thm:zero-extension}]
Without loss of generality, we may assume $\Gamma {\curvearrowright} (X,\mu)$ has positive Rokhlin entropy. By Theorem \ref{thm:seward-sinai}, there exists a Bernoulli factor $\Gamma {\curvearrowright} (B,\beta)$ of $\Gamma{\curvearrowright} (X,\mu)$ such that
$$h^{Rok}_\Gamma(X,\mu | \cB_{B}) = 0$$
where $\cB_{B}$ denotes the sigma-algebra associated with $B$. Let $\Gamma {\curvearrowright} (Z,\zeta)$ be as in Corollary \ref{cor:inverse limit}. Fix a factor map of $\Gamma {\curvearrowright} (Z,\zeta)$ onto $\Gamma {\curvearrowright} (B,\beta)$. Let $\Gamma {\curvearrowright} (\tX,\tmu)$ be the independent joining of $\Gamma {\curvearrowright} (Z,\zeta)$ and $\Gamma {\curvearrowright} (X,\mu)$ over $\Gamma {\curvearrowright} (B,\beta)$.
It suffices to show $h^{Rok}_\Gamma(\tX,\tmu)=0$. By \cite[Corollary 2.6]{seward-kreiger-2},
$$h^{Rok}_\Gamma(\tX,\tmu) \le h^{Rok}_\Gamma(\tX,\tmu|\cB_{B}) + h^{Rok}_{\Gamma,\tmu}(\cB_B).$$
Because outer Rokhlin entropy is upper-bounded by the Rokhlin entropy of any intermediate factor,
$$h^{Rok}_{\Gamma,\tmu}(\cB_B) \le h^{Rok}_\Gamma(Z,\zeta) = 0.$$
So it suffices to prove $h^{Rok}_\Gamma(\tX,\tmu|\cB_{B})=0$.
Let $\epsilon>0$, $\alpha$ be a generating partition of $Z$ with $H_\zeta(\alpha)<\epsilon$ and let $\beta$ be a partition of $X$ with $H_\mu(\beta|\cB_B)<\epsilon$ such that $\sigma\textrm{-alg}_\Gamma(\beta \cup \cB_{B}) = \cB_X$ (up to measure zero). By pulling back, we may consider $\alpha$ and $\beta$ as partitions on $\tX$. Clearly, $\alpha \vee \beta$ is generating for the action $\Gamma {\curvearrowright} (\tX,\tmu)$ and $H_{\tmu}(\alpha\vee \beta|\cB_B)<2\epsilon$. Since $\epsilon>0$ is arbitrary, this implies the claim.
\end{proof}
\section{Zero entropy is generic}\label{sec:zero}
In this section, the proof of Theorem \ref{thm:zero} is completed. Most of our results so far hold only for essentially free ergodic actions. In order to generalize them, first we show that essentially free actions are generic. The next lemma will be helpful twice.
\begin{lem}\label{lem:2}
Let ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}=\Gamma {\curvearrowright} (X,\mu)$ be a pmp action and $\Phi:X \to \Ca^\Gamma$ a $\Gamma$-equivariant measurable map. Then there exists a sequence of measures $\mu_i \in \Prob_\Gamma(\Ca^\Gamma)$ such that
\begin{itemize}
\item $\Gamma {\curvearrowright} (\Ca^\Gamma,\mu_i)$ is measurably-conjugate to ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ for all $i$;
\item $\mu_i \to \Phi_*\mu$ in the weak* topology as $i\to\infty$.
\end{itemize}
\end{lem}
\begin{proof}
Let $\Psi:X \to \Cantor^\Gamma$ be a $\Gamma$-equivariant measurable map such that $\Gamma {\curvearrowright} (\Ca^\Gamma,\Psi_*\mu)$ is measurably conjugate to ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$. To see that such a map exists, identify $\Ca$ with $\{0,1\}^\N$ (where the latter has the product topology). We consider an element $x\in \{0,1\}^\N$ to be a function $x:\N \to \{0,1\}$. Choose a sequence $\psi_i:X \to \{0,1\}$ of measurable maps such that for all distinct elements $x,y \in X$ there exists some $i$ such that $\psi_i(x) \ne \psi_i(y)$. Then define $\Psi(x)(1_\Gamma)(n) = \psi_n(x)$ and in general, define $\Psi(x)(g)=\Psi(g^{-1}x)(1_\Gamma)$. It is routine to check that this satisfies the claim.
Define $\Gamma$-equivariant maps $\Phi_{n}:X \to \Cantor^\Gamma$ so that the first $n$-coordinates of $\Phi_n(x)$ agree with those of $\Phi(x)$ and the last coordinates agree with $\Psi(x)$. In other words, for every $g\in \Gamma$,
$$\Phi_n(x)(g) = (\Phi(x)(g)(1),\ldots, \Phi(x)(g)(n), \Psi(x)(g)(1), \Psi(x)(g)(2),\ldots).$$
As above we are identifying $\Ca$ with $\{0,1\}^\N$. Clearly, $\Phi_n$ is $\Gamma$-equivariant, is an isomorphism onto its image and $\lim_{n\to\infty} \Phi_{n*}\mu = \Phi_*\mu$. To finish the lemma, set $\mu_i:=\Phi_{n*}\mu$.
\end{proof}
Let $\Prob^{erg}_\Gamma(\Ca^\Gamma) \subset \Prob_\Gamma(\Ca^\Gamma)$ denote the subset of ergodic measures.
\begin{lem}\label{lem:ess-free}
The subset of all essentially free measures in $\Prob_\Gamma(\Ca^\Gamma)$ is a $G_\delta$ set. Moreover, this subset is dense in $\Prob_\Gamma(\Ca^\Gamma)$ and its intersection with $\Prob^{erg}_\Gamma(\Ca^\Gamma)$ is dense in $\Prob^{erg}_\Gamma(\Ca^\Gamma)$.
\end{lem}
\begin{proof}
For any element $g \in \Gamma$, let $\Fix(g)=\{x \in \Ca^\Gamma:~gx=x\}$. Then $\Fix(g)$ is compact in $\Ca^\Gamma$. By the Portmanteau Theorem, for every $\epsilon>0$, the set $\{\mu \in \Prob_\Gamma(\Ca^\Gamma):~ \mu(\Fix(g)) < \epsilon\}$ is open. Therefore,
$$\bigcap_{g\in \Gamma-\{1_\Gamma\}} \bigcap_{n=1}^\infty \{\mu \in \Prob_\Gamma(\Ca^\Gamma):~ \mu(\Fix(g)) < 1/n\}$$
is a $G_\delta$ set. The above set is the same as the subset of essentially free measures. This proves the first claim.
To prove the second claim, let $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ be arbitrary. We observe that the direct product of $\Gamma {\curvearrowright} (\Ca^\Gamma,\mu)$ with a Bernoulli shift is essentially free and factors onto $\Gamma {\curvearrowright} (\Ca^\Gamma,\mu)$. Moreover this product is ergodic if $\mu$ is ergodic. So Lemma \ref{lem:2} implies that $\mu$ is a weak* limit of essentially free measures and these measures can be chosen to be ergodic if $\mu$ is ergodic.
\end{proof}
The next step shows that the generic {\em ergodic} measure has zero Rokhlin entropy.
\begin{prop}\label{prop:ergodic}
The subset of measures $\mu \in \Prob^{erg}_\Gamma(\Ca^\Gamma)$ such that the corresponding action $\Gamma {\curvearrowright} (\Ca^\Gamma,\mu)$ is essentially free and has zero Rokhlin entropy is a dense $G_\delta$.
\end{prop}
\begin{proof}
Lemmas \ref{lem:ess-free} and \ref{lem:g-delta1} show that this subset is a $G_\delta$. If $\Gamma$ is nonamenable then it is dense by Lemmas \ref{lem:2}, \ref{lem:ess-free} and Theorem \ref{thm:zero-extension}. If $\Gamma$ is amenable then the result is due to Rudolph (see the Subclaim after Claim 19 in \cite{foreman-weiss}). This uses the fact that Rokhlin entropy agrees with classical entropy by \cite{seward-tucker-drob}.
\end{proof}
Next we prove that any property that is residual for ergodic measures is automatically residual for all measures. To make this precise, let
$$\beta: \Prob( \Prob_\Gamma^{erg}(\Ca^\Gamma) ) \to \Prob_\Gamma(\Ca^\Gamma)$$
$$\pi: \Prob_\Gamma(\Ca^\Gamma) \to \Prob( \Prob_\Gamma^{erg}(\Ca^\Gamma) )$$
denote the barycenter map and the ergodic decomposition map respectively. To be precise,
$$\beta(\omega): = \int \mu~d\omega(\mu)$$
and $\pi$ is the inverse of $\beta$.
\begin{prop}\label{prop:non-ergodic}
Let $\cZ_0 \subset \Prob^{erg}_\Gamma(\Ca^\Gamma)$ be Borel and define
$$\cZ = \{\mu \in \Prob_\Gamma(\Ca^\Gamma):~ \pi(\mu)(\cZ_0)=1\}.$$
If $\cZ_0$ is residual in $\Prob^{erg}_\Gamma(\Ca^\Gamma)$ then $\cZ$ is residual in $\Prob_\Gamma(\Ca^\Gamma)$.
\end{prop}
First we need a lemma:
\begin{lem}\label{lem:gw}
The barycenter map $\beta$ is continuous. The ergodic decomposition map $\pi$ is continuous if and only if $\Gamma$ has property (T) in which case it is a homeomorphism.
\end{lem}
\begin{proof}
The first statement is straightforward. The main result of \cite{glasner1997kazhdan} states that if $\Gamma$ has property (T) then $\Prob_\Gamma^{erg}(\Ca^\Gamma)$ is a closed (and therefore compact) subset of $\Prob_\Gamma(\Ca^\Gamma)$. On the other hand, if $\Gamma$ does not have (T) then $\Prob_\Gamma^{erg}(\Ca^\Gamma)$ is dense in $\Prob_\Gamma(\Ca^\Gamma)$. Since $\beta$ and $\pi$ are bijective, these two statements imply the lemma.
\end{proof}
\begin{proof}[Proof of Proposition \ref{prop:non-ergodic}]
\noindent {\bf Case 1}. Suppose $\Gamma$ does not have property (T). By \cite{glasner1997kazhdan} $\Prob_\Gamma^{erg}(\Ca^\Gamma)$ is dense in $\Prob_\Gamma(\Ca^\Gamma)$. By Lemma \ref{lem:g-delta0} $\Prob_\Gamma^{erg}(\Ca^\Gamma)$ is a $G_\delta$. Therefore $\Prob_\Gamma^{erg}(\Ca^\Gamma)$ is residual in $\Prob_\Gamma(\Ca^\Gamma)$. So $\cZ_0$ is residual in $\Prob_\Gamma(\Ca^\Gamma)$. Since $\cZ_0 \subset \cZ$, this proves $\cZ$ is also residual.
\noindent {\bf Case 2}. Suppose $\Gamma$ has property (T). Let
$$\cY=\{\omega \in \Prob( \Prob_\Gamma^{erg}(\Ca^\Gamma) ):~ \omega(\cZ_0)=1\}.$$
By Lemma \ref{lem:gw} it suffices to prove that $\cY$ is residual. Since $\cZ_0$ contains a dense $G_\delta$, we may assume without loss of generality that $\cZ_0$ is a dense $G_\delta$. So the portmanteau Theorem implies $\cY$ is a $G_\delta$ subset.
Let $d$ be a continuous metric on $\Prob_\Gamma^{erg}(\Ca^\Gamma)$. Because $\cZ_0$ is dense in $\Prob_\Gamma^{erg}(\Ca^\Gamma)$ for every $n\in \N$ there exists a Borel map $\Phi_n:\Prob_\Gamma^{erg}(\Ca^\Gamma) \to \cZ_0$ with $d(x,\Phi_n(x))<1/n$ for all $x$. Then for every $\mu \in \Prob(\Prob_\Gamma^{erg}(\Ca^\Gamma))$, $\Phi_{n*}\mu \to \mu$ in the weak* topology as $n\to\infty$. Since $\Phi_{n*}\mu \in \cY$, this proves $\cY$ is dense.
\end{proof}
\begin{proof}[Proof of Theorem \ref{thm:zero}]
The main theorem of \cite{alpeev-seward} implies that an action has zero Rokhlin if and only if almost every ergodic component has zero Rokhlin entropy. Also \cite[Corollary 4.4]{seward-kreiger-2} shows that $\cZ_0$ is Borel (where $\cZ_0 \subset \Prob_\Gamma^{erg}(\Ca^\Gamma)$ is the set of measures with zero Rokhlin entropy). So Theorem \ref{thm:zero} follows from Propositions \ref{prop:ergodic} and \ref{prop:non-ergodic}.
\end{proof}
\begin{remark}
Here is a brief sketch of an alternative proof of Theorem \ref{thm:zero}. Using the nonergodic version of Seward's generalization of Sinai's Theorem \cite{seward-sinai} in the proof of Theorem \ref{thm:zero-extension}, it can be shown that every essentially free pmp action admits a zero Rokhlin entropy extension (ergodicity is not required). The theory of weak equivalence of actions shows that the measure conjugacy class of any action in $A(\Gamma,X,\mu)$ contains the conjugacy class of each of its factors. Because essentially free actions are dense in $A(\Gamma,X,\mu)$, it follows that zero Rokhlin entropy actions are also dense in $A(\Gamma,X,\mu)$. In \cite[Lemma 8.7]{alpeev-seward}, it is proven that the subset of all zero-Rokhlin entropy actions in $A(\Gamma,X,\mu)$ is a $G_\delta$ subset. Alternatively, this can be proven in a manner similar to the proof of Lemma \ref{lem:g-delta1}.
\end{remark}
\section{Naive entropy}\label{sec:naive}
This section introduces naive entropy. The main result is that zero naive entropy is closed under factors, self-joinings and inverse limits.
\begin{defn}
Let $\Gamma {\curvearrowright} (X,\mu)$ be a pmp action and $\cP$ a partition of $X$. The {\bf naive entropy} of $\cP$ is
$$h^{naive}_\mu(\cP) = \inf_{W\subset \subset \Gamma} |W|^{-1} H_\mu(\cP^W)$$
where $\subset \subset$ means ``a finite subset of''. The {\bf naive entropy} of $\Gamma {\curvearrowright} (X,\mu)$ is
$$h^{naive}_\Gamma(X,\mu) = \sup_\cP h^{naive}_\mu(\cP)$$
where the supremum is over all finite-entropy partitions $\cP$.
\end{defn}
It is an exercise to show that if $\Gamma$ is amenable then naive entropy coincides with Kolmogorov-Sinai entropy (we will not need this fact). However if $\Gamma$ is nonamenable the situation is very different:
\begin{thm}
If $\Gamma$ is nonamenable then every pmp action of $\Gamma$ has naive entropy in $\{0,+\infty\}$.
\end{thm}
\begin{proof}
Suppose $\Gamma {\curvearrowright} (X,\mu)$ and there is a finite-entropy partition $\cP$ of $X$ with $h^{naive}_\mu(\cP)>0$. Let $W \subset \Gamma$ be finite. Then
$$h^{naive}_\mu(\cP^W) = \inf_{F \subset \subset \Gamma} |F|^{-1} H_\mu(\cP^{WF}) = \inf_{F \subset \subset \Gamma} \frac{H_\mu(\cP^{WF})}{|WF|} \frac{|WF|}{|F|} \ge h^{naive}_\mu(\cP) \inf_{F \subset \subset \Gamma} \frac{|WF|}{|F|}.$$
Since $\Gamma$ is nonamenable, for every real number $r>0$ there is a finite $W \subset \Gamma$ such that
$$\inf_{F \subset \subset \Gamma} \frac{|WF|}{|F|}>r.$$
Hence $\sup_{W \subset \subset \Gamma} h_\mu^{naive}(\cP^W) = +\infty$ proving the theorem.
\end{proof}
\begin{defn}
Let ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}_i = \Gamma {\curvearrowright} (X_i,\mu_i)$ be pmp actions (for $i\in I$ where $I$ is some index set). We always assume $I$ is at most countable. A {\bf joining} of these actions is a $\Gamma$-invariant Borel probability measure on the produce space $\prod_i X_i$ whose $i$-th marginal is $\mu_i$. Here $\Gamma$ acts on the product diagonally: $(\gamma x)_i = \gamma x_i$. We also refer to the action $\Gamma {\curvearrowright} (\prod_i X_i, \lambda)$ as a {\bf joining}. The joining is said to be {\bf finite} if $I$ is finite and {\bf infinite} otherwise. In the special case that ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}_i = {\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}_j$ for all $i,j$, the joining is called a {\bf self-joining}.
\end{defn}
The main result here is:
\begin{prop}\label{prop:closure}
Zero naive entropy is closed under factors, self-joinings (both finite and infinite) and inverse limits.
\end{prop}
We will need the following lemma showing that naive entropy is Lipschitz in the space of partitions.
\begin{lem}\label{lem:lipschitz}
Let ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}=\Gamma {\curvearrowright} (X,\mu)$ be a pmp action and $\cP,\cQ$ be measurable partitions of $X$ with finite Shannon entropy. Then for any finite $F \subset \Gamma$,
$$H_\mu(\cP^F) - H_\mu(\cQ^F) \le |F| H_\mu(\cP|\cQ).$$
Thus
$$h^{naive}_\mu(\cP) - h^{naive}_\mu(\cQ) \le H_\mu(\cP|\cQ).$$
\end{lem}
\begin{proof}
Recall that
\begin{eqnarray*}
H_\mu(\cP^F|\cQ^F) &=& H_\mu(\cP^F \vee \cQ^F) - H_\mu(\cQ^F) \\
H_\mu(\cQ^F|\cP^F) &=& H_\mu(\cP^F \vee \cQ^F) - H_\mu(\cP^F).
\end{eqnarray*}
Subtracting, we obtain
\begin{eqnarray*}
H_\mu(\cP^F) - H_\mu(\cQ^F) &=& H_\mu(\cP^F|\cQ^F) - H_\mu(\cQ^F|\cP^F) \le H_\mu(\cP^F|\cQ^F)\\
&\le& \sum_{f\in F} H_\mu(f^{-1}\cP|\cQ^F) \le |F| H_\mu(\cP|\cQ).
\end{eqnarray*}
This proves the first inequality. The second one follows from the first (observe that we need only consider a sequece of $F$'s that realize the naive entropy for $\cQ$).
\end{proof}
\begin{proof}[Proof of Proposition \ref{prop:closure}]
Let us suppose that ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}} = \Gamma {\curvearrowright} (X,\mu)$ is an inverse limit of actions ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}_i = \Gamma {\curvearrowright} (X_i,\mu_i)$ having zero naive entropy. We will show ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero naive entropy. Let $\cF_i$ be the Borel sigma-algebra of $X_i$. After pulling back under the factor map, we may identify $\cF_i$ as a sub-sigma-algebra of the Borel sub-sigma-algebra of $X$ which is denoted here by $\cB_X$. Thus $\cF_1 \subset \cF_2 \subset \cdots$ is an increasing sequence of $\Gamma$-invariant sigma-algebras and $\bigvee_i \cF_i = \cB_X$. Because each action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}_i$ has zero naive entropy, if $\cP$ is any partition of $X$ satisfying $\cP \subset \cF_i$ for some $i$ and $H_\mu(\cP)<\infty$ then necessarily $h^{naive}_\mu(\cP)=0$.
Let $\cP$ be an arbitrary measurable partition of $X$ with finite Shannon entropy. Since $\inf_i H_\mu(\cP|\cF_i) = 0$, for any $\epsilon>0$ there exists an $i$ and a partition $\cQ \subset \cF_i$ with finite Shannon entropy such that $H_\mu(\cP|\cQ) < \epsilon$. By Lemma \ref{lem:lipschitz}, $h^{naive}_\mu(\cP) \le \epsilon + h^{naive}_\mu(\cQ) = \epsilon$. Since $\epsilon$ and $\cP$ are arbitrary, this implies ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero naive entropy and therefore zero naive entropy is closed under inverse limits.
Next suppose ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}} = \Gamma {\curvearrowright} (X,\mu)$ has zero naive entropy and let $\lambda$ be a self-joining of ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$. We regard $\lambda$ as a measure on $X\times X$. If $\cP$ is any partition of $X \times X$ with $H_\lambda(\cP)<\infty$ and $\epsilon>0$ is arbitrary then there exists a partition $\cQ$ of $X$ with finite Shannon entropy such that $H_\lambda(\cP | \cQ \times \cQ) <\epsilon$. So Lemma \ref{lem:lipschitz} implies
$$h^{naive}_\lambda(\cP) \le \epsilon+ h^{naive}_{\lambda}(\cQ \times \cQ).$$
Since $\cQ \times \cQ = (\cQ \times \{X\}) \vee (\{X\} \times \cQ)$,
\begin{eqnarray*}
h^{naive}_{\lambda}(\cQ \times \cQ) &=& \inf_{F \subset \subset \Gamma} \frac{H_\lambda( (\cQ \times \cQ)^F)}{|F|} = \inf_{F \subset \subset \Gamma} \frac{H_\lambda( \cQ^F \times \cQ^F)}{|F|} \\
&\le& \inf_{F \subset \subset \Gamma} \frac{H_\lambda( \cQ^F \times \{X\}) + H_\lambda(\{X\} \times \cQ^F)}{|F|} = \inf_{F \subset \subset \Gamma} \frac{2 H_\mu( \cQ^F) }{|F|} = 2 h^{naive}_\mu(\cQ) = 0.
\end{eqnarray*}
Thus $h^{naive}_\lambda(\cP) \le \epsilon$. Since $\epsilon$ and $\cP$ are arbitrary, this implies $\lambda$ has zero naive entropy and by induction, zero naive entropy is closed under finite self-joinings. Any infinite self-joining is an inverse limit of finite self-joinings. So the above results show that zero naive entropy is closed under infinite self-joinings. It is immediate from the definitions that zero naive entropy is closed under factors.
\end{proof}
I do not know whether zero naive entropy is closed under joinings. For example if two actions have zero naive entropy does their direct product also have zero naive entropy?
\section{Five strengthenings of zero entropy}\label{sec:strengthening}
Here we introduce five strengthenings of the notion of zero entropy. First we need the following definitions:
\begin{defn}
An action $\Gamma {\curvearrowright} (X,\mu)$ has {\bf completely positive Rokhlin entropy} (denoted R-CPE) if every nontrivial factor has positive Rokhlin entropy.
\end{defn}
\begin{defn}
Two actions are said to be {\bf disjoint} if the only joining between them is the product joining.
\end{defn}
\begin{thm}
Let ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}=\Gamma {\curvearrowright} (X,\mu)$ be an ergodic essentially free pmp action. Consider the following five properties:
\begin{enumerate}
\item ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has {\bf completely zero entropy} (this means every essentially free factor of ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero Rokhlin entropy);
\item ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is disjoint from all Bernoulli shifts over $\Gamma$;
\item ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is disjoint from all R-CPE actions of $\Gamma$;
\item every factor of every self-joining (including infinite self-joinings) of ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero Rokhlin entropy;
\item ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has zero naive entropy.
\end{enumerate}
Then $1 \Leftarrow 2$ and $3 \Leftarrow 4 \Leftarrow 5$. Moreover, if $\Gamma$ is sofic then $2 \Leftarrow 3$.
\end{thm}
\begin{remark}
When $\Gamma$ is amenable, all five properties listed above are equivalent because naive entropy and Rokhlin entropy agree with Kolmogorov-Sinai entropy (at least for ergodic essentially free actions). However when $\Gamma$ is nonamenable, it is an open problem whether any or all of the implications above can be reversed.
\end{remark}
\begin{remark}
If $\Gamma$ is nonsofic then we do not know whether Bernoulli shifts over $\Gamma$ have positive Rokhlin entropy. This is why we cannot say whether $2 \Leftarrow 3$ unconditionally. See \cite{seward-kreiger-2} for partial results on this problem.
\end{remark}
\begin{proof}
($1 \Leftarrow 2$) This is immediate from Seward's generalization of Sinai's Factor Theorem \ref{thm:seward-sinai} which states that any ergodic essentially free action with positive entropy surjects onto a Bernoulli shift. Thus if ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has a factor with positive entropy then it has a Bernoulli factor $\phi:X \to Y$. The corresponding factor joining is the measure $(\textrm{id}_X \times \phi)_*\mu$. This is a non-product joining.
($2 \Leftarrow 3$, assuming $\Gamma$ is sofic) Since $\Gamma$ is sofic, Bernoulli shifts have completely positive entropy by \cite{kerr-cpe}. This uses the fact that sofic entropy is a lower bound for Rokhlin entropy.
($3 \Leftarrow 4$) Let $\bfb$ be another pmp action of $\Gamma$ and suppose that $\bfb$ and ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ admit a nonproduct joining. It follows from the relative independence theorem \cite[Theorem 6.25]{glasner-joinings-book} that there exists an infinite self-joining $\lambda$ of ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ such that $\Gamma {\curvearrowright} (X^\N,\lambda)$ and $\bfb$ admit a nontrivial common factor. Therefore, $\bfb$ cannot be R-CPE.
($4 \Leftarrow 5$) This follows from Proposition \ref{prop:closure} and \cite[Theorem 1.5]{seward-weak-containment} which states that the naive entropy of a generating partition is an upper bound for the Rokhlin entropy. Therefore zero naive entropy implies zero Rokhlin entropy.
\end{proof}
\section{Zero naive entropy}\label{sec:zne}
For an arbitrary group $\Gamma$, it is an open problem whether $\Gamma$ has an essentially free pmp action with zero naive entropy. However for special classes of groups we will show not only do such actions exist, they are generic. First we need a definition:
\begin{defn}
The {\bf profinite completion} of $\Gamma$ is the inverse limit of the groups of the form $\Gamma/N$ where $N\vartriangleleft \Gamma$ has finite index in $\Gamma$. It is a compact group on which $\Gamma$ acts by left translations. The group $\Gamma$ is said to be {\bf residually finite} if any one of the following equivalent conditions hold:
\begin{itemize}
\item the action of $\Gamma$ on its profinite completion is essentially free;
\item for every non-identity element $g \in \Gamma$ there exists a finite-index subgroup $H \le \Gamma$ such that $g \notin H$;
\item there exists a decreasing sequence of finite-index normal subgroups $\Gamma \ge H_1 \ge H_2 \ge \cdots$ such that $\cap_i H_i = \{1\}$.
\end{itemize}
\end{defn}
\begin{defn}
Let $p_\Gamma$ denote the action of $\Gamma$ on its profinite completion by left-translations. This is a pmp action where the measure on the profinite completion is its Haar measure. Also let $\iota$ denote the trivial action of $\Gamma$ on the unit interval with respect to Lebesgue measure (the trivial action is the action in which every group element fixes every point).
A group $\Gamma$ has {\bf MD} if the measure conjugacy class of the direct product action $p_\Gamma \times \iota$ is dense in the space of actions $A(\Gamma,X,\mu)$. Equivalently, $\Gamma$ has MD if the subset of measures in $\Prob_\Gamma(\Cantor^\Gamma)$ with finite support is dense in the weak* topology. This definition is due to Kechris \cite{kechris-2012}; it is a strengthening of property FD which was considered earlier by Lubotzky-Shalom \cite{lubotzky-shalom-2004} in their study of unitary representations.
\end{defn}
\begin{thm}\label{thm:md10}
Free groups, surface groups and fundamental groups of closed hyperbolic 3-manifolds have MD.
\end{thm}
\begin{proof}
The case of free groups was proven independently by Kechris \cite{kechris-2012} and Bowen \cite{MR2026846}. The rest was proven in \cite{bowen-tucker-2013}. The case of fundamental groups of closed hyperbolic 3-manifolds relies on Agol's virtual fibering Theorem \cite{agol-virtual-haken}.
\end{proof}
Let {\bf ZNE} denote the subset of measures $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ with zero naive entropy.
\begin{lem}\label{lem:thing2}
For any countable group $\Gamma$, {\bf ZNE} is a $G_\delta$ subset of $\Prob_\Gamma(\Ca^\Gamma)$.
\end{lem}
\begin{proof}
Let $\cP_n$ be an increasing sequence of finite clopen partitions of $\Ca^\Gamma$ such that $\bigvee_n \cP_n$ is the Borel sigma-algebra. Recall that clopen means every part of $\cP_n$ is both closed and open. Let $A_n$ be the subset of all measures $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ such that $h^{naive}_\mu(\cP_n)=0$. We claim that $\cap_n A_n = {\bf ZNE}$. Clearly, $\cap_n A_n \supset {\bf ZNE}$. Suppose $\mu \in \cap_n A_n$. Let $\cQ$ be an arbitrary partition of $\Ca^\Gamma$ with $H_\mu(\cQ)<\infty$. Then for every $\epsilon > 0$ there exists $n$ such that $H_\mu(\cQ|\cP_n)<\epsilon$. By Lemma \ref{lem:lipschitz}, $h^{naive}_\mu(\cQ) \le \epsilon + h^{naive}_\mu(\cP_n) = \epsilon$. Since $\epsilon$ and $\cQ$ are arbitrary this proves $\mu \in {\bf ZNE}$ and therefore, $\cap_n A_n = {\bf ZNE}$ as claimed.
It now suffices to show each $A_n$ is a $G_\delta$ subset. Indeed this follows from the definition
$$h^{naive}_\mu(\cP_n) = \inf_{F \subset \subset \Gamma} |F|^{-1} H_\mu(\cP_n^F)$$
and the fact that $\mu \mapsto H_\mu(\cP_n^F)$ is weak* continuous for every finite $F \subset \Gamma$. The reason this is weak* continuous uses the fact that if $P \subset \Ca^\Gamma$ is clopen then its characteristic function is continuous and therefore induces a continuous functional on $\Prob_\Gamma(\Ca^\Gamma)$.
\end{proof}
\begin{defn}
The {\bf kernel} of an action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}} = \Gamma {\curvearrowright} (X,\mu)$ is the subgroup $\Ker({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}) : = \{g\in \Gamma:~gx=x ~\textrm{for}~\textrm{a.e.} ~x\in X\}$.
\end{defn}
\begin{lem}\label{lem:thing3}
If ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ has infinite kernel then it has zero naive entropy.
\end{lem}
\begin{proof}
Let $\cP$ be an arbitrary partition of $X$ with finite Shannon entropy. Then $\cP^K=\cP$ (up to measure zero) for every $K \subset \ker({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$. Therefore,
$$h^{naive}_\mu(\cP) \le \inf_{F \subset \subset \Ker({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})} |F|^{-1} H_\mu(\cP^F) = |\Ker({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})|^{-1} H_\mu(\cP).$$
In paricular if $\Ker({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$ is infinite then $h^{naive}_\mu(\cP)=0$.
\end{proof}
\begin{proof}[Proof of Theorem \ref{thm:md2}]
By the Glasner-King correspondence mentioned in the introduction, it suffices to show that {\bf ZNE} is a dense $G_\delta$ subset of $\Prob_\Gamma(\Ca^\Gamma)$. By Lemma \ref{lem:thing2} it is a $G_\delta$. If $\Gamma$ has property MD then, by definition, the subset of all measures $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ with finite support is dense in $\Prob_\Gamma(\Ca^\Gamma)$. Each such measure has infinite kernel. So Lemma \ref{lem:thing3} implies {\bf ZNE} is dense. So we assume $\Gamma=G \times H$ where $H$ is infinite, amenable and residually finite.
Because $H$ is residually finite there exists a sequence $H \ge H_1 \ge H_2 \ge \cdots$ of normal finite-index subgroups of $H$ with $\cap_i H_i = \{1_H\}$. By \cite[Theorem 1]{weiss-monotileable}, because $H$ is amenable, there exist right fundamental domains $F_i$ for $H_i$ such that $\{F_i\}$ forms a F\o lner sequence. This means: (1) $H$ is the disjoint union of $H_i f$ over $f \in F_i$ and (2) for any finite $K \subset H$,
$$\lim_{i\to\infty} \frac{ |\{f\in F_i:~ fK \subset F_i|}{|F_i|} = 1.$$
Let $\mu \in \Prob_\Gamma(\Ca^\Gamma)$ be arbitrary. We will show that it is a weak* limit of measures with zero Rokhlin entropy. For $i\in \N$, define $\phi_i:\Ca^\Gamma \to \Ca^\Gamma$ by $\phi_i(x)(g,h) = x(g,f)$ where $g\in G, h \in H$ and $f\in F_i$ is the unique element satisfying $H_ih=H_if$. Observe that $\phi_i(x)$ is $H_i$-invariant and $\phi_i$ is $G$-equivariant. Therefore, the pushforward measure $\phi_{i*}\mu$ is $G\times H_i$-invariant. Also observe that $F_i^{-1}$ is a left fundamental domain in the sense that $H$ is the disjoint union of $f^{-1}H_i$ over $f\in F_i$. Therefore,
$$\mu_i : = |F_i|^{-1} \sum_{f\in F_i} (1_G,f_i^{-1})_*\phi_{i*}\mu$$
is $\Gamma$-invariant. Since $H_i$ is normal, the kernel of the action $\Gamma {\curvearrowright} (\Ca^\Gamma,\mu_i)$ contains $H_i$. By Lemma \ref{lem:thing3}, this action has zero naive entropy.
We claim that $\mu_i \to \mu$ as $i\to\infty$. To see this, let $\Phi_i:\Ca^\Gamma \to \Ca^\Gamma \times \Ca^\Gamma$ denote the graph of $\phi_i$:
$$\Phi_i(x) = (x, \phi_i(x)).$$
Let $\lambda_i =|F_i|^{-1}\sum_{f\in F_i} (1_G,f_i^{-1})_*\Phi_{i*}\mu$. Because $\lambda_i$ is a joining of $\mu$ and $\mu_i$ it suffices to show that for every $(g,h) \in G\times H$,
$$\lambda_i(\{ (x,y):~ x(g,h)=y(g,h)\} ) \to 1$$
as $i\to\infty$. So fix $(g_0,h_0) \in G\times H$. To simplify notation, we let
$$\Delta = \{(x,y) \in \Ca^\Gamma \times \Ca^\Gamma:~x(g_0,h_0) = y(g_0,h_0)\}.$$
It suffices to show that for any $x\in \Ca^\Gamma$,
$$\frac{\#\{f\in F_i:~ (1_G,f_i^{-1})\Phi_i(x) \in \Delta\}}{\#F_i} \ge \frac{ |\{f\in F_i:~ fh_0 \in F_i \} |}{|F_i|}$$
since the latter tends to 1 uniformly in $x$. This follows from
$$\{f\in F_i:~ (1_G,f_i^{-1})\Phi_i(x) \in \Delta \} \supset \{f\in F_i:~ fh_0 \in F_i \}$$
which follows directly from the definitions: if $f\in F_i$ and $fh_0 \in F_i$ then
$$(1_G,f^{-1})\Phi_i(x)(g_0,h_0) = \Phi_i(x)(g_0,fh_0) = (x(g_0,fh_0), x(g_0, fh_0)).$$
This proves the claim. This implies that $\mu_i \to \mu$ as $i\to\infty$ in the weak* topology. Indeed, if $L \subset \Gamma$ is any finite subset and $f:\Ca^L \to \C$ any continuous function then the function $\tf:\Ca^\Gamma \to \C$ defined by composing the restriction map $\Ca^\Gamma \to \Ca^L$ with $f$ satisfies $\int \tf~d\mu_i \to \int f~d\mu$. Since such functions are dense in the space of all continuous functions, it follows that $\mu_i \to \mu$ as claimed. Because $\mu$ is arbitrary, this implies {\bf ZNE} is dense.
\end{proof}
\section{Weak containment}\label{sec:weak}
Given any pmp action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}=\Gamma {\curvearrowright} (X,\mu)$, let $\Factor({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$ denote the set of all measures $\nu \in \Prob_\Gamma(\Cantor^\Gamma)$ such that there is a $\Gamma$-equivariant measurable map $\phi:X \to \Cantor^\Gamma$ with $\phi_*\mu=\nu$. This is the set of {\bf factor measures}. Let $W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$ be the weak* closure of $\Factor({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$.
Now suppose $\bfb=\Gamma {\curvearrowright} (Y,\nu)$ is another pmp action. We say $\bfb$ is {\bf weakly contained} in ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$, denoted $\bfb \prec {\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$, if $W(\bfb) \subset W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$. If $\bfb \prec {\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ and ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}} \prec \bfb$ then we say ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ and $\bfb$ are {\bf weakly equivalent}. This notion was introduced in \cite{kechris-2012}. In \cite{T-D12} it is proven that the definition given in this paper is equivalent to the one introduced in \cite{kechris-2012}. Some basic facts: all Bernoulli shifts over $\Gamma$ are weakly equivalent. In fact the Abert-Weiss Theorem \cite{abert-weiss-2013} states: if ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is any essentially free action of $\Gamma$ then ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ weakly contains a Bernoulli shift. There exists an action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ that weakly contains all actions of $\Gamma$ (this is called the weak Rokhlin property, see \cite{glasner2006every}).
It is an open problem whether, for a given action ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$, the set of all measures $\mu \in W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$ with zero Rokhlin entropy is residual. Of course, this is true if $W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}) = \Prob_\Gamma(\Ca^\Gamma)$ by Theorem \ref{thm:zero}. It is also true if ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is a Bernoulli shift:
\begin{cor}\label{cor:weak-zero}
Let ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ be a Bernoulli shift. Then the generic measure $\mu \in W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$ has zero Rokhlin entropy.
\end{cor}
\begin{proof}
If $\Gamma$ is amenable then $W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})=\Prob_\Gamma(\Ca^\Gamma)$. So the result follows from Theorem \ref{thm:zero}. So we may assume $\Gamma$ is nonamenable. In this case, ${\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}}$ is strongly ergodic and therefore every measure $\mu \in W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$ is ergodic. By Lemma \ref{lem:g-delta1}, the set of all measures $\mu \in W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$ with zero Rokhlin entropy is a $G_\delta$ subset. By Corollary \ref{cor:inverse limit} there exists an action $\bfb$ that is an inverse limit of factors of Bernoulli shifts, that factors onto all Bernoulli shifts and has zero Rokhlin entropy. By Lemma \ref{lem:2}, $W(\bfb)=W({\bf{a}}} \def\bfb{{\bf{b}}} \def\bfc{{\bf{c}}} \def\bfd{{\bf{d}}} \def\bfe{{\bf{e}}} \def\bff{{\bf{f}}} \def\bfg{{\bf{g}}} \def\bfh{{\bf{h}}} \def\bfi{{\bf{i}}} \def\bfj{{\bf{j}}} \def\bfk{{\bf{k}}} \def\bfl{{\bf{l}}} \def\bfm{{\bf{m}}} \def\bfn{{\bf{n}}} \def\bfo{{\bf{o}}} \def\bfp{{\bf{p}}} \def\bfq{{\bf{q}}} \def\bfr{{\bf{r}}} \def\bfs{{\bf{s}}} \def\bft{{\bf{t}}} \def\bfu{{\bf{u}}} \def\bfv{{\bf{v}}} \def\bfw{{\bf{w}}} \def\bfx{{\bf{x}}} \def\bfy{{\bf{y}}} \def\bfz{{\bf{z}})$. By Lemma \ref{lem:2} again, the set of measures in $W(\bfb)$ with zero Rokhlin entropy is dense.
\end{proof}
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 2,517 |
import React, { Children } from "react";
import resolveCellDefaults from "./resolve-cell-defaults";
import resolveColumnCounts from "./resolve-column-counts";
import resolveCellStyles from "./resolve-cell-styles";
const resolveCells = (props) => {
// Resolve the final style defaults for each cell
const {children, style, ...childProps } = props; // eslint-disable-line no-unused-vars
const childrenWithDefaults = Children.map(
props.children, (child) => {
return React.cloneElement(child, resolveCellDefaults(
{...childProps, ...child.props})
);
}
);
// Add column counts to each cell's props
const childrenWithColumnCounts = resolveColumnCounts({
children: childrenWithDefaults,
breakpoints: props.breakpoints
});
// Resolve the final cell styles
return Children.map(childrenWithColumnCounts, (child) => {
return React.cloneElement(child, {
style: resolveCellStyles(child.props)
});
});
};
export default resolveCells;
| {
"redpajama_set_name": "RedPajamaGithub"
} | 6,009 |
Robert L. Estes
Tully Rinckey PLLC
Robert Estes earned a Bachelor of Science degree in Electrical Engineering from Rensselaer Polytechnic Institute in 1968, and a Juris Doctor law degree from Albany Law School in 1971. He was admitted to practice law in the courts of New York State by the Appellate Division, Third Judicial Department, and in the Northern District of the United States District Court, early in 1972.
He was admitted as an attorney and Counselor of the Supreme Court of the United States at Washington, D.C. in 1976. He enjoyed eleven (11) years of private law practice in Walton, N.Y., through 1982. After relocating his family to the County Seat of Delhi, New York, he was elected Judge of the County Court, Surrogate's Court and Family Court of Delaware County New York in 1982.
Robert Estes continued his legal and judicial education by taking countless training courses in the fields of child abuse and maltreatment, domestic violence, juvenile delinquency, civil and criminal case management, and other vital areas of practical application every year since taking office.
Mr. Estes was elected President of the Association of County Judges of the State of New York in 1993, after ten (10) years of service as delegate for the sixth judicial district. On April 30, 1993, a Special Services Award was presented to Judge Estes by the Delaware County Council on Alcoholism and Other Drug Addictions, Inc. "in recognition of (his) dedicated service, outstanding leadership and contributions in the field of Alcoholism and Addictions."
On September 1, 1988, Mr. Estes was appointed to a two-year term as Chairman of the Advisory Committee on Law Guardians for the Third Judicial Department by Hon. A. Franklin Mahoney, Presiding. He was subsequently appointed for two additional terms, serving a total of six years.
The Advisory Committee is responsible for overseeing the operation of the Law Guardian Program in 28 counties of the state from the southern tier to the Canadian border. It recommends standards and procedures for improving the quality of representation by Law Guardians, attorneys appointed by the Family Courts to represent children in proceeding including juvenile delinquency, child abuse and neglect, and custody and visitation.
Mr. Estes oversaw more than 30,000 cases, including numerous felony criminal trials, while serving as Judge. He used innovative measures to manage a family court caseload that nearly doubled during his tenure. He pioneered the use of mediation and other forms of alternative dispute resolution in Family Court, and he laid the groundwork to establish a drug court in the county.
In 2003, the Delaware County Bar Association conferred upon Mr. Estes the Liberty Bell Award, in recognition of his years of outstanding service to the people of Delaware County. The Liberty Bell award is awarded only to those individuals who have promoted better understanding of the rule of law; encouraged a greater respect for law and the courts; stimulated a sense of civic responsibility; and contributed to good government in the community.
What types of cases Attorney Robert L. Estes & Tully Rinckey PLLC can handle?
Tully Rinckey PLLC can handle cases related to laws concerning Family, Domestic Violence, Criminal Defense, Juvenile Law, Child Abuse. We manually verify each attorney's practice areas before approving their profiles and reviews on our website.
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Tully Rinckey PLLC is located at 441 New Karner Rd, Albany, NY 12205, USA. You can reach out to Tully Rinckey PLLC using their phone line (518) 218-7100. You can also check their website tullylegal.com.
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New Karner Road 441
Albany 12205 NY US
Child Abuse Lawyer
Juvenile Law Lawyer
Bennett Boyd Anderson Jr
Gilbert Hennigan Dozier | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 2,260 |
package ch15
import scala.io.Source
object ex05 {
def readAllFromFile(path: String) = {
val src = Source.fromFile(path)
src.getLines.mkString("\n")
}
def main(args: Array[String]): Unit = {
println(readAllFromFile("/etc/passwd"))
}
} | {
"redpajama_set_name": "RedPajamaGithub"
} | 5,418 |
\section{The Estimator}
\label{sec: Types}
If we observed the homogenized equation $X$ rather than the slow process $x^\epsilon$, then it is well known that $\Sigma$ can be estimated efficiently from the quadratic variation
\begin{equation}
D_{2}\left(X\right)_{T}=\lim_{\text{mesh}(\pi_{n}([0.T]))\rightarrow0}\left(\sum_{t_{i}\in\pi_{(n)}([0,T])}(\Delta X((t_{i}))^{2}\right)^{1/2} = \Sigma \cdot\sqrt{T},
\end{equation}
where $\Delta X(t_{i}):=X(t_{i})-X(t_{i-1})$ and $\pi_{(n)}([0,T])=\left\{ 0=t_{0},t_{1},...,t_{n}=T\right\} $ a partition of size $n+1$ on the fixed time interval $[0,T]$ with $\text{mesh}(\pi_{n}([0,T])):=\max_{1\leq i\leq n}(t_{i}-t_{i-1})$. However, if instead we use the bounded variation process $x^\epsilon$, its quadratic variation is be $0$, i.e. $D_{2}\left(x^\epsilon\right)_{T} = 0$. Thus, because of the mismatch between model and data, the standard estimator is not longer useful.
To avoid this problem, in \cite{papavasiliou2011coarse}, the autor suggests using the total $2$-variation of the process (see \cite{lyons2002system}) rather than the quadratic variation, defined as
\begin{equation}
D_{2}^{\text{Total}}\left(x^\epsilon\right)_{T}=\sup_{\mathcal{D}([0,T])}\left(\sum_{t_{i}\in\mathcal{D}([0,T])}(x^\epsilon_{t_{i}}-x^\epsilon_{t_{i-1}})^{2}
\right)^{1/2},
\end{equation}
By taking the supremum over all partitions, the total $2$-variation can only be zero if the path $x^\epsilon$ is constant, so it maintains much more information than quadratic variation. In the case of a piecewise linear path, the supremum is achieved at a subset of the extemal points of the path \cite{Driver13}. However, this is still computationally very inefficient and causes a lot of technical difficulties, which is what limited \cite{papavasiliou2011coarse} to the analysis to the mutliscale Ornstein-Uhlenbeck model.
In this paper, we consider a simplification of the total $2$-variation that we will call the Extrema Quadratic Variation, defined as follows:
\begin{defn}
\label{subsec: ExtQV}
Let $x(t):[0,T]\rightarrow\mathbb{R}$ be a real\textendash valued
continuous path and let $x_{n}(t)$ be the piecewise linear approximation
of $x$ on a homogeneous grid of size $n+1$. We define the {\it Extrema Quadratic Variation} (ExtQV) of the path $x$
on the time interval $[0,T]$ as
\begin{equation}
D_{2}^{\text{Ext}}\left(x\right)_{T}=\lim_{n\rightarrow\infty}\left(D_{2}^{\text{Ext}}\left(x_{n}\right)_{T}\right)=\lim_{n\rightarrow\infty}\left(\sum_{\tau_{i}\in\mathcal{E}_{(n)}([0,T])}(\Delta x_{n}(\tau_{i}))^{2}\right)^{1/2},
\end{equation}
where $\mathcal{E}_{(n)}([0,T])=\left\{0= \tau_{0},\tau_{1},...,\tau_{k}=T\right\} $
is the set of local extremals of $x_{n}(t)$ and $\Delta x_{n}(\tau_{i}):=x_{n}(\tau_{i})-x_{n}(\tau_{i-1})$,
$i=1,...,k$.
\end{defn}
In other words, let $\pi_{n}([0,T]):=\{t_{0},t_{1},...,t_{n}\}=\left\{ i\frac{T}{n},i=0,...,n\right\} $
an equally subdivided partition of $[0,T]$, with time step $\delta:=T/n$
. We say that a point $t_{i}$ in $\pi_{n}([0,T])$ is an extremal
point and we write $t_{i}\in\mathcal{E}_{(n)}([0,T])$ if $\Delta x_{n}(t_{i})\Delta x_{n}(t_{i+1})=\left(x_{t_{i}}-x_{t_{i-1}}\right)\left(x_{t_{i+1}}-x_{t_{i}}\right)<0$.
Figure \ref{fig: extremal_point} illustrates an example of an extremal point. The point $t_{i}$ is an extremal point since $\Delta x_{n}(t_{i})<0$ and $\Delta x_{n}(t_{i+1})>0$.
\begin{figure}[t]
\begin{center}
\begin{tikzpicture}
\draw[->] (0,0) -- (6,0) node[anchor=north] {$t$};
\draw (1,0) node[anchor=north] {$t_{i-1}$}
(3,0) node[anchor=north] {$t_{i}$}
(5,0) node[anchor=north] {$t_{i+1}$};
\draw[->] (0,0) -- (0,4) node[anchor=east] {$x$};
\draw[thick] (1,1) -- (3,3) -- (5,2);
\draw[dotted] (1,0) -- (1,1);
\draw[dotted] (3,0) -- (3,3);
\draw[dotted] (5,0) -- (5,2);
\draw (0,1) node[anchor=east] {$x_{t_{i-1}}$}
(0,3) node[anchor=east] {$x_{t_{i}}$}
(0,2) node[anchor=east] {$x_{t_{i+1}}$};
\draw[dotted] (0,1) -- (5,1);
\draw[dotted] (0,2) -- (5,2);
\draw[dotted] (0,3) -- (5,3);
\draw[dotted] (5,2) -- (5,3);
\draw[dotted] (3,1) -- (3,3);
\draw (5,2.5) node[anchor=west] {$\Delta x_{t_{i+1}}$}
(3,2) node[anchor=west] {$\Delta x_{t_{i}}$};
\end{tikzpicture}
\end{center}
\caption[Graphical representation of an extremal point.]{Graphical representation of an extremal point.}\label{fig: extremal_point}
\end{figure}
The extremal partition corresponding to $x_n$ will be denoted as $\mathcal{E}_{(x_n)}{([0,T])}$ and is defined as the set of local extremals points from the initial partition $\pi_{(n)}([0,T])$. We will use the letter $t$ to denote points in the origianl partition $\pi_{(n)}([0,T])\}$ and the letter $\tau$ to denote points in the extremal partition $mathcal{E}_{(x_n)}{([0,T])}\}$. The computation of the quadratic variation requires
the consideration of all the increments of the original path whereas the extrema quadratic variation the increments of the extremal path. In Figure \ref{fig: OriginalVsExtrema} we illustrate graphically an example of an extremal path. The black line is the original path and the red line is the corresponding extremal path.
\begin{figure}[H]
\begin{center}
\includegraphics[width=11cm,height=6.6cm]{extrema_var.pdf}
\end{center}
\caption[Graphical representation of an extremal path.]{Graphical representation of an extremal path: the original path (black line) and the extremal path (red line).}
\label{fig: OriginalVsExtrema}
\end{figure}
An alternative way to compute the (ExtQV) is presented
below. This way appears
to be very useful in the analytic computation of the expectation of the
(ExtQV). Formula \eqref{eq: ext_QV} suggests that the (ExtQV) is the sum of
squared returns of the original process plus two times the product
of those increments such that the consecutive products of the increments
between these two are all positive.
In what follows we define $C_n(i,j)$ as the subspace of the space of piecewise linear paths on $\pi_n([0,T])$ (denoted by $PL(\pi_n([0,T]))$ that are monotonic between $t_{i-1}$ and $t_j$ with $i<j$, i.e.
$$
C_n(i,j):=\{ z_n \in PL(\pi_n([0,T])): \Delta z_{n}(t_{i})\Delta z_{n}(t_{i+1})>0,...,\Delta z_{n}(t_{i})\Delta z_{n}(t_{j})>0\}.
$$
Using this notation, the (ExtQV) of a piecewise linear process $x_n$ is expressed as follows:
\begin{align}
D_{2}^{\text{Ext}}(x_{n})_{T}& =D_{2}(x_{n})_{T}+2\sum_{i=1}^{j-1}\sum_{j=2}^{n}\bigg(\Delta x_{n}(t_{i})\Delta x_{n}(t_{j})\mathbf{1}_{C_n(i,j)}\left(x_n\right)\bigg), \label{eq: ext_QV}
\end{align}
where
\[
\mathbf{1}_{C_n(i,j)}\left(x_n\right) = \left\{\begin{array}{lr}
1, & \text{if } x_n\in C_n(i,j),\\
0, & \text{otherwise.}
\end{array}\right.
\]
\section{Main Result}
\label{sec: general}
In the section, we extend the results of section \ref{sec: OU} to the general setting of section \ref{sec: setting}. More precisely, we consider the fast/slow systems of SDEs described in \eqref{eq:general_model}, where $\left(x^{\epsilon},y^{\epsilon}\right)\in\R\times\R^d$, $V$ is the standard $d$--dimensional Browinan motion. Moreover, we will assume the following
\begin{ass}
\label{ass: general}
Functions $f(\cdot)$, $g(\cdot)$ and $\beta(\cdot)$ are such that the following hold
\begin{itemize}
\item[1.] Ergodicity: $y^\epsilon$ is an ergodic process with invariant distribution $\rho^\infty$.
\item[2.] Stationarity: $y^\epsilon_0$ distributed according to the invariant distribution $\rho^\infty$.
\item[3.] The diffusion operator $\mathcal{L}$ corresponding to \eqref{eq:general_fast_variable} for $\epsilon=1$ is essentially self-adjoined, which implies that the transition semigroup will be bounded operators, contracting in $L_2$.
\item[4.] Function $f(\cdot)$ is square-integrable with respect to $\rho^\infty$ and twice differentiable.
\item[5.] Centering condition:
\begin{equation}
\mathbb{E}\left( f(y^\epsilon_0) \right) = \int_{\R^d}f(y)\rho^{\infty}(y)dy=0.\label{eq:cenetring_conditon}
\end{equation}
\end{itemize}
\end{ass}
\noindent Assumptions $3$ and $4$ above are needed, so that the functions on which the semigroup operators act are in the domain of the operators.
Assumption $5$ is necessary for the homogenization limit to exist. Under this assumptions, it is a well-known result (see \cite{pavliotis2008multiscale}) that as $\epsilon\rightarrow0$, the process $x^{\epsilon}$ converges weakly to the process $X$ solving the following SDE
\begin{equation}
dX_t=\sigma dW_t,\qquad X_0=x_0,\label{eq:Homo_general_model}
\end{equation}
where $W$ is a standard Brownian motion. The diffusion coefficient $\sigma$, which is constant for this class of models, is given by
\begin{equation}
\sigma^{2}=2\int_{\R^d}f(y)\Phi(y)\rho^{\infty}(y)dy=2\mathbb{E}\left[f(y^{\epsilon}_0)\Phi(y^{\epsilon}_0)\right].
\end{equation}
Function $\Phi(\cdot)$ above is the solution to the Poisson problem
\begin{eqnarray}
\left(\mathcal{L}\Phi\right)(y) & = & -f(y),\nonumber \\
\int_{\R^d}\Phi(y)\rho^{\infty}(y)dy & = & 0.\label{eq:Poisson_problem}
\end{eqnarray}
Notice that for this particular model, the homogenized SDE \eqref{eq:Homo_general_model} does not contain a drift coefficient.
As before, our goal is to find an efficient estimator for $\sigma^2$, given $x^\epsilon$. We will prove that the (ExtQV) estimator defined in \ref{subsec: ExtQV} for $(x^\epsilon,y^\epsilon)$ satisfying \eqref{eq:general_model} is an asymptotically unbiased estimator of the diffusion coefficient of the limiting diffusion process $\sigma^2$. More precisely, we will prove the following
\begin{thm}
\label{thm: general_model_thm}
Let $x^{\epsilon}:[0,T]\rightarrow\mathbb{R}$ be a real\textendash valued
path described by \eqref{eq:general_model}. Then, subject to technical assumptions given in \ref{ass: general} and assumption \eqref{ass: lemma_general} of lemma \ref{lemma: general}, the following holds:
\begin{equation}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\mathbb{E}\left[\left(D_{2}^{\text{Ext}}(x)_{n}\right)\right]=2\mathbb{E}\left[f(y^{\epsilon}_0)\Phi(y^{\epsilon}_0)\right].
\end{equation}
\end{thm}
First, we prove the following
\begin{lem}
\label{lemma: general}
Suppose that $(x^\epsilon,y^\epsilon)$ satisfy \eqref{eq:general_model}. As before, let ${\mathcal D}_n = \{k\delta, k=0,\dots,n\}$ be the homogeneous grid of $[0,T]$, for $T=1$ and $\delta = \frac{1}{n}$ . Then, we can write
\[ \Delta x^\epsilon_{t_i} := x^\epsilon_{t_i} - x^\epsilon_{t_{i-1}} = \frac{\delta}{\epsilon} f(y^\epsilon_{t_{i-1}}) + R_{t_{i-1},t_i}(y^\epsilon),\]
where
\[ {\mathbb E}\left| R^\epsilon_{t_{i-1},t_i}(y^\epsilon)\right | \leq C \delta^{\frac{3}{2}}, \]
for some constant $C>0$ depending on $f,g,\beta$ and $\epsilon$, assuming that
\begin{equation}
\label{ass: lemma_general}
{\mathbb E}\left| A(y^\epsilon_t) \right| \leq C_A\ \ {\rm and}\ \ {\mathbb E}\left( B(y^\epsilon_t)^2 \right) \leq C_B
\end{equation}
uniformly on $t\in[0,1]$, where $A:\R^d\to\R$ and $B:\R^d\to\R$ are given by
\[ A(y) = \triangledown f(y)^* g(y) + \frac{1}{2}{\rm Tr}\left( \beta(y)^* H(f)(y) \beta(y) \right)\]
and
\[ B(y) = \triangledown f(y)^* g(y),\]
for ${z^*}$ denoting the transpose of any vector $z\in\R^d$, ${\rm Tr}\left(\cdot\right)$ denoting the trace of a matrix and $H(f)$ denoting the Hessian of the function $f:\R^d\to\R$.
\end{lem}
\begin{proof}
First, we write
\begin{eqnarray*}
\Delta x^\epsilon_{t_i} &=& \int_{t_{i-1}}^{t_i} dx^\epsilon_u = \int_{t_{i-1}}^{t_i} \frac{1}{\epsilon} f(y^\epsilon_u) du = \int_{t_{i-1}}^{t_i} \frac{1}{\epsilon} \left( f(y^\epsilon_{t_i}) + \int_{t_{i-1}}^u df(y^\epsilon_s) \right) du \\
&=& \frac{\delta}{\epsilon} f(y^\epsilon_{t_{i-1}}) + R_{t_{i-1},t_i}(y^\epsilon),
\end{eqnarray*}
where
\[ R_{t_{i-1},t_i}(y^\epsilon) = \frac{1}{\epsilon}\int_{t_{i-1}}^{t_i} \int_{t_{i-1}}^u df(y^\epsilon_s) du
\]
Using It\^o's formula for $df(y^\epsilon_s)$, $R_{t_{i-1},t_i}(y^\epsilon)$ can be written as
\[ R_{t_{i-1},t_i} =\frac{1}{\epsilon}\int_{t_{i-1}}^{t_i} \int_{t_{i-1}}^u \left(\frac{1}{\epsilon^2}A(y^\epsilon_s) ds + \frac{1}{\epsilon} B(y^\epsilon_s) dV_s \right).
\]
The result follows from \eqref{ass: lemma_general} and It\^o's isometry.
\end{proof}
Now, we are ready to prove the theorem, following the same steps as the proof of theorem \ref{thm: main_theorem_OUmodel}.
\begin{proof}
Following exactly the same arguments as in theorem \ref{thm: main_theorem_OUmodel}, we can show that it is sufficient to prove that
\begin{equation}
\label{eq: reduction1 general}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}2\sum_{k=2}^{n}(n+1-k) \mathbb{E}\left( \Delta x^{\epsilon}_{t_{1}}\Delta x^{\epsilon}_{t_{k}}\prod_{j=1}^{k-1}\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\Delta x^{\epsilon}_{t_{j+1}}\right)\right)
= 2\mathbb{E}\left[f(y^{\epsilon}_0)\Phi(y^{\epsilon}_0)\right].
\end{equation}
Note that, while we can still assume stationarity of increments, we cannot assume symmetry, which is why we now need to consider both cases of all positive or all negative increments. Again, using the same arguments as in theorem \ref{thm: main_theorem_OUmodel} in conjunction with lemma \ref{lemma: general}, \eqref{eq: reduction1 general} can be further reduced to
\begin{equation}
\label{eq: reduction2 general}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2} \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\prod_{j=1}^{k-1}\mathbf{1}_{\R_+}\left(f(y^{\epsilon}_{t_{j-1}})f(y^{\epsilon}_{t_{j}})\right)\right)
= \mathbb{E}\left[f(y^{\epsilon}_0)\Phi(y^{\epsilon}_0)\right].
\end{equation}
Let $\tau^{\delta,\epsilon}$ be the first time that the discretised process $\{ f(y^\epsilon_{t_k}); k\in\N \}$ changes sign, i.e.
\begin{equation}
\label{eq: tau_general}
\tau^{\delta,\epsilon} = \min\{ k\in\N; f(y^\epsilon_{t_0})f(y^\epsilon_{t_k}) \leq0\}.
\end{equation}
Then, the event of ``all $\{f(y^\epsilon_{t_i}), i=0,\dots,k-1\}$ have the same sign'' is the same as the event ``time when process $f(y^\epsilon_{t_i})$ changes sign is greater or equal to $t_k$'', i.e.
\[ \prod_{j=1}^{k-1}\mathbf{1}_{\R_+}\left(f(y^{\epsilon}_{t_{j-1}})f(y^{\epsilon}_{t_{j}})\right) = \mathbf{1}_{[t_k,+\infty)}(\tau^{\delta, \epsilon}).\]
Thus, we can write
\begin{eqnarray}
\label{eq: stopping time in expectation}
\nonumber\mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\prod_{j=1}^{k-1}\mathbf{1}_{\R_+}\left(f(y^{\epsilon}_{t_{j-1}})f(y^{\epsilon}_{t_{j}})\right)\right) = \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\mathbf{1}_{[t_k,+\infty)}(\tau^{\delta, \epsilon})\right)\\
= \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\right) - \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\mathbf{1}_{[0,t_k)}(\tau^{\delta, \epsilon})\right).
\end{eqnarray}
By replacing \eqref{eq: stopping time in expectation} into \eqref{eq: reduction2 general}, the proof is further reduced to proving
\begin{equation}
\label{eq: reduction3_general}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2} \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\right) = \mathbb{E}\left[f(y^{\epsilon}_0)\Phi(y^{\epsilon}_0)\right]
\end{equation}
and
\begin{equation}
\label{eq: reduction4_general}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2} \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\mathbf{1}_{[0,t_k)}(\tau^{\delta, \epsilon})\right) = 0.
\end{equation}
To complete the proof, we need to write the conditional expectation in terms of the solution of the backward Kolmogorov equation expressed in terms of the semi-group generated by the diffusion operator ${\mathcal L}$ corresponding to \eqref{eq:general_fast_variable}, scaled to $\epsilon = 1$, i.e.
\begin{equation}
\label{eq: conditional exp_general}
{\mathbb E}\left( f(y^\epsilon_t )|y^\epsilon_s\right) = (e^\frac{-{\mathcal L}(t-s)}{\epsilon^2}f)(y^\epsilon_s).
\end{equation}
This is well defined, based on assumptions 3 and 4 of \eqref{ass: general}. To prove \eqref{eq: reduction4_general}, we first note that the above formula will still hold when we condition on a stopping time, or, more precisely,
\[
{\mathbb E}\left( f(y^\epsilon_t)|y^\epsilon_{\tau^{\delta, \epsilon}}\right) = (e^\frac{-{\mathcal L}(t-s)}{\epsilon^2}f)(y^\epsilon_{\tau^{\delta,\epsilon}}).
\]
We also note that the semigroup is a contraction in $L_2$, i.e.
\[
{\mathbb E}\left( f(y^\epsilon_t)^2 \right) \leq {\mathbb E}\left( f(y^\epsilon_{\tau^{\delta,\epsilon}})^2 \right),
\]
for $\tau^{\delta,\epsilon}<t$. Thus,
\begin{eqnarray*}
\left| \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})\mathbf{1}_{[0,t_{k}))}(\tau^{\delta, \epsilon})f(y^{\epsilon}_{t_{k-1}})\right) \right|&\leq& \mathbb{E}\left( |f(y^{\epsilon}_{t_{0}})| \cdot |{\mathbb E}\left( f(y^{\epsilon}_{t_{k-1}}) | \tau^{\delta,\epsilon}\right)|\right) \\
& \leq & \mathbb{E}\left( | f(y^{\epsilon}_{t_{0}}) | \cdot |f(y^{\epsilon}_{\tau^{\delta,\epsilon}})|\right) \\
&\leq& \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})^2\right)^\frac{1}{2} \mathbb{E}\left( f(y^{\epsilon}_{\tau^{\delta,\epsilon}})^2\right)^\frac{1}{2},
\end{eqnarray*}
and, consequently,
\begin{equation*}
\left| \sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2} \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\mathbf{1}_{[0,t_k)}(\tau^{\delta, \epsilon})\right)\right| \leq \left( \sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2}\right)\mathbb{E}\left( f(y^{\epsilon}_{t_{0}})^2\right)^\frac{1}{2} \mathbb{E}\left( f(y^{\epsilon}_{\tau^{\delta,\epsilon}})^2\right)^\frac{1}{2}
\end{equation*}
It is easy to see that
\[
\lim_{n\to\infty} \left( \sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2}\right)\mathbb{E}\left( f(y^{\epsilon}_{t_{0}})^2\right)^\frac{1}{2} = C(\epsilon)<\infty,
\]
and thus it remains to show that
\[
\lim_{n\to\infty} \mathbb{E}\left( f(y^{\epsilon}_{\tau^{\delta,\epsilon}})^2\right) = 0.
\]
This follows from the almost sure continuity of the paths $f(y_t)$, which implies that $\tau^{\delta,\epsilon}\to \tau^\epsilon$ with probability 1 as $\delta\to 0$ (or $n\to\infty$), where $\tau^\epsilon = \min\{t>0: f(y_t) = 0\}$. Continuity also implies that $f(y_{\tau^{\delta,\epsilon}})\to f(y_{\tau^\epsilon})$ with probability 1 as $\delta\to 0$, and thus
\[
\lim_{n\to\infty}\mathbb{E}\left( f(y^{\epsilon}_{\tau^{\delta,\epsilon}})^2\right) = \mathbb{E}\left( f(y^{\epsilon}_{\tau^{\epsilon}})^2\right) = 0,
\]
since $f(y^{\epsilon}_{\tau^{\epsilon}}) = 0$, by the definition of $\tau^\epsilon$.
Finally, it remains to show \eqref{eq: reduction3_general}. Using \eqref{eq: conditional exp_general}, we write
\[
\mathbb{E}\left( f(y^{\epsilon}_{t_{0}})f(y^{\epsilon}_{t_{k-1}})\right) = \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})\mathbb{E}\left(f(y^{\epsilon}_{t_{k-1}})| y_{t_0}\right)\right) = \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})(e^\frac{-\mathcal{L}(k-1)}{n\epsilon^2}f)(y^{\epsilon}_{0})\right),
\]
Using the dominated convergence theorem, we can write the left-hand-side of \eqref{eq: reduction3_general} as
\begin{eqnarray*}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2} \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})(e^\frac{-\mathcal{L}(k-1)}{n\epsilon^2}f)(y^{\epsilon}_{0})\right) = \\
\ \ = \mathbb{E}\left( f(y^{\epsilon}_{t_{0}})\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2} (e^\frac{-\mathcal{L}(k-1)}{n\epsilon^2}f)(y^{\epsilon}_{0})\right).
\end{eqnarray*}
Let $\Psi:\R^d\to\R$ be defined as
\[
\Psi(y) = \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=2}^{n}\frac{n+1-k}{n^2\epsilon^2} (e^\frac{-\mathcal{L}(k-1)}{n\epsilon^2}f)(y) = \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=1}^{n-1}\frac{n-k}{n^2\epsilon^2} (e^\frac{-\mathcal{L}k}{n\epsilon^2}f)(y)
\]
If we can show that $\Psi$ solves the Poisson problem \eqref{eq:Poisson_problem}, then the proof would be complete. First, we note that
\begin{eqnarray*}
\mathbb{E}\left( \Psi(y_0)\right)&=& \mathbb{E}\left( \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=1}^{n-1}\frac{n-k}{n^2\epsilon^2} (e^\frac{-\mathcal{L}k}{n\epsilon^2}f)(y_0)\right) \\
&=& \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=1}^{n-1}\frac{n-k}{n^2\epsilon^2}\mathbb{E}\left( (e^\frac{-\mathcal{L}k}{n\epsilon^2}f)(y_0)\right) \\
&=& \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=1}^{n-1}\frac{n-k}{n^2\epsilon^2}\mathbb{E}\left( f(y^\epsilon_{t_k}) \right) \\
&=& \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=1}^{n-1}\frac{n-k}{n^2\epsilon^2}\mathbb{E}\left( f(y^\epsilon_{0}) \right) = 0,
\end{eqnarray*}
where we used the dominated convergence theorem to go from the first line to the second, the tower property and \eqref{eq: conditional exp_general} (for $s=0$, $t = t_k$) to go from second line to the third and stationarity to go from the third line to the fourth. Finally, we write
\begin{eqnarray*}
\Psi &=& \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=1}^{n-1}\frac{n-k}{n^2\epsilon^2} e^\frac{-\mathcal{L}k}{n\epsilon^2}f \\
&=& \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\sum_{k=1}^{n-1}\frac{n-k}{n^2\epsilon^2}\sum_{m=0}^\infty \frac{1}{m!}(\frac{k}{n\epsilon^2})^m (\mathcal{-L})^m f \\
&=& \lim_{\epsilon\rightarrow0}\sum_{m=0}^\infty \frac{1}{m!}\left( \lim_{n\rightarrow\infty}\sum_{k=1}^{n-1}\frac{n-k}{n^2\epsilon^2} (\frac{k}{n\epsilon^2})^m\right) (\mathcal{-L})^m f \\
&=& \lim_{\epsilon\rightarrow0}\sum_{m=0}^\infty \frac{1}{m!} \frac{1}{(m+1)(m+2)\epsilon^{2(m+1)}} (\mathcal{-L})^m f \\
&=& \lim_{\epsilon\rightarrow0}\epsilon^2 \sum_{m=0}^\infty \frac{1}{(m+2)!} \left(\frac{1}{\epsilon^2}\right)^{(m+2)} (\mathcal{-L})^m f,
\end{eqnarray*}
where we used the definition of the exponential of an operator to go from the first line to the second, the fact that limits exists to go from the second line to the third and the appropriate limit identity to go from the third line to the fourth. Finally,
\begin{eqnarray*}
\mathcal{L}^2 \Psi &=& \mathcal{L}^2 \left( \lim_{\epsilon\rightarrow0}\epsilon^2 \sum_{m=0}^\infty \frac{1}{(m+2)!} \left(\frac{1}{\epsilon^2}\right)^{(m+2)} (\mathcal{-L})^m \right) f \\
&=& \lim_{\epsilon\rightarrow0}\epsilon^2 \sum_{m=0}^\infty \frac{1}{(m+2)!} \left(\frac{1}{\epsilon^2}\right)^{(m+2)} (\mathcal{-L})^{(m+2)} f \\
&=& \lim_{\epsilon\rightarrow0}\epsilon^2 \sum_{m=2}^\infty \frac{1}{m!} \left(\frac{1}{\epsilon^2}\right)^{m} (\mathcal{-L})^{m} f \\
&=& \lim_{\epsilon\rightarrow0}\epsilon^2 \left( \sum_{m=0}^\infty \frac{1}{m!} \left(-\frac{1}{\epsilon^2}\right)^{m} \mathcal{L}^{m} - I - \frac{1}{\epsilon^2} \mathcal{L}\right) f \\
&=& \lim_{\epsilon\rightarrow0}\epsilon^2 \left( e^\frac{\mathcal{-L}}{\epsilon^2}- I\right)f - \mathcal{L} f,
\end{eqnarray*}
where we used the continuity of the operator, which allows us to apply it before the limits. Using the contraction property, we can show that
\[ \lim_{\epsilon\rightarrow0}\epsilon^2 \left( e^\frac{\mathcal{-L}}{\epsilon^2}- I\right) f = 0\]
in $L_2$. Thus,
\[ \mathcal{L}^2 \Psi = -\mathcal{L}f,\]
which is also satisfied by $\Phi$. We conclude that $\Psi = \Phi$, as solution is unique.
\end{proof}
\section{Introduction}
\label{chap: intro}
It is often the case that the most accurate models for describing the dynamics of physical or human-driven activity are multiscale in nature. For example, high-frequency financial data often exhibits multiscale characteristics in the sense that disparate structural features are associated with different time scales. These features are usually described by the term market microstructure noise, which contains all different types of market inconsistencies such as non-synchronous trading and bid-ask spread. In \cite{tsay2005analysis}, the author describes each of these effects and gives a comprehensive review. Processes exhibiting multiscale characteristics also appear in other application areas, such as molecular dynamics \cite{schlick2010molecular}, atmospheric sciences or oceanography (see, for example, \cite{majda2001mathematical,majda2006stochastic} and \cite{katsoulakis2004multiscale,katsoulakis2005multiscale}) and network traffic data \cite{abry2002multiscale}.
Finding a coarse-grained model that can effectively describe the dynamics of the initial multiscale model is an important problem and a highly active research area in applied mathematics. This is mainly due to the fact that such models are much more efficient to use in practice. Once the coarse-grained model has been extracted, the corresponding free parameters need to be estimated by fitting the model to the data. In this framework, the problem that one is confronted with is the mismatch between the coarse-grained model and the data generated by the full multiscale system.
The parameter estimation problem in the context of multiscale diffusions can be separated into four different cases, depending on (i) whether the limiting equation is the averaging or homogenization limit and (ii) whether we are interested in estimating the drift or the diffusion coefficient of the limiting equation. In \cite{pavliotis2007parameter}, the authors study all problems but for particular types of diffusions where we can get closed form estimators for the unknown parameters of the limiting equation. In \cite{papavasiliou2009maximum}, the authors discuss the problem in a general context but only for drift estimation. In both papers, the authors suggest using the Maximum Likelihood estimators corresponding to the limiting model with observation of the slow variable that have been sufficiently subsampled. This methodology has been applied to molecular dynamics (see \cite{pavliotis2008parameter}) and high-frequency data (see \cite{sykulski2008multiscale}).
In this paper, we are concerned with the estimation of the diffusion coefficient of the homogenization limit. This has be addressed in \cite{pavliotis2007parameter}, where the authors show that the quadratic variation on subsampled data at intervals of size $\delta$ converges in law to the limiting diffusion coefficient as $\epsilon\to0$, provided that $\delta = \epsilon^\alpha$, for $\alpha\in(0,1)$. They also show that the $L_2$-error is minimized for $\alpha=\frac{1}{2}$ and is of order ${\mathcal O}(\epsilon^\frac{2}{3})$. Some further discussion of these estimators and their properties can be found in \cite{ZhangPapavasiliou}. However, the scale separation variable $\epsilon$ is not known, so one cannot be sure that a chosen $\delta$ leads to the right result, let alone choose the optimal subsampling rate.
This problem has also been addressed in \cite{papavasiliou2011coarse}. The estimator proposed there is the total $p$\textendash variation, defined as the supremum of finite quadratic sums over all possible partitions. It was shown that the estimator is asymptotically unbiased and its $L_2$-error is of order ${\mathcal O}(\epsilon)$, thus improving the $L_2$-error of \cite{pavliotis2007parameter}, while avoiding the issues related to choosing a subsampling rate. However, due to the technical difficulties related to dealing with the total $p$-variation, the paper only discusses the diffusion estimation problem for a mutliscale Ornstein-Uhlenbeck process, with the slow dynamics being of bounded variation (the slow dynamics are often called `natural Brownian motion')
In this paper, we build upon ideas in \cite{papavasiliou2011coarse}. Our estimator, however, is simpler to work with as it does not involve a supremum, making it both more practical and easier to work with. Moreover, in \cite{papavasiliou2011coarse} the author assumes continuous observation of the slow process while we make the more realistic assumption of discrete observations. We consider mutliscale diffusions whose slow dynamics are of bounded variation and the diffusion coefficient of the homogenized is constant.
The remainder of the paper is organised as follows. In section \ref{sec: setting}, we describe the precise class of models and we state the statistical inference question that we are interested in. We, then, suggest a novel estimator. In section \ref{sec: OU}, we prove that our estimator is asymptotically unbiased in the case of the Ornstein-Uhlenbeck (OU) model within the context of the general family of models that we consider. In section \ref{sec: general}, we study the properties of the estimator for a more general class of models than the OU. Finally, in section \ref{sec: numerical_results}, we present a numerical investigation of the properties of our estimator. In particular, we investigate the behaviour of the $L_2$ error and we numerically demonstrate that it is of order ${\mathcal O}(\epsilon)$.
\section{Numerical Results}
\label{sec: numerical_results}
In this section we present numerical results for the performance of the (ExtQV) estimator when it is applied to different examples of multiscale models.
\begin{example}
\label{ex: simple_OU}
We start our numerical study from the the toy example that was introduced in \eqref{subeq: multiOU}. Initially, we present numerical evidence supporting the unbiasedness of our proposed estimator. We also examine how the choice of the parameter $\epsilon$, the step size $\delta=T/n$ and the value of $\sigma$ affects the accuracy of the (ExtQV). Unless stated otherwise, $T=1$.
We generate 1000 realisations of the path $x^{\epsilon}$ with step $\delta = \frac{1}{n}$, using the Euler--Maruyama scheme. For each realisation we evaluate the (ExtQV). We approximate the expectation by the average of these values.
Table \ref{tab:ExtQV-vs} presents the values of the expectation of the (ExtQV) for $\epsilon=(0.05,0.10,0.15,0.20)$, $n=\left(10^{3},10^{4},10^{5},10^{6},10^{7}\right)$ and for $\sigma=1$. The last line of the table corresponds to the theoretical value of the (ExtQV) as $n\rightarrow\infty$ which is given by
\[
\lim_{n\rightarrow\infty}\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n}^{\epsilon})_{T}^{2}\right]=\sigma^{2}\left(1+\epsilon^{2}\left(1-e^{-1/\epsilon^{2}}\right)\right).
\]
\begin{table}[H]
\centering%
\begin{tabular}{|c||c|c|c|c|}
\hline
\multirow{2}{*}{$\mathbb{E}\left[D_{2}^{\text{Ext}}(x^{\epsilon})_{n}^{2}\right]$} & \multicolumn{4}{c|}{$\epsilon$}\tabularnewline
\cline{2-5}
& 0.05 & 0.10 & 0.15 & 0.20\tabularnewline
\hline
\hline
$n=10^{3}$ & 1.4971 & 1.1956 & 1.0706 & 1.0556\tabularnewline
\hline
$n=10^{4}$ & 1.1317 & 1.0569 & 1.0327 & 0.9639\tabularnewline
\hline
$n=10^{5}$ & 1.0400 & 0.9997 & 1.0003 & 0.9682\tabularnewline
\hline
$n=10^{6}$ & 1.0085 & 0.9861 & 0.9599 & 0.9447\tabularnewline
\hline
$n=10^{7}$ & 0.9908 & 0.9904 & 0.9665 & 0.9515\tabularnewline
\hline
Theoretical Value & 0.9975 & 0.9900 & 0.9775 & 0.9600\tabularnewline\hline
\end{tabular}\caption[Expectation of the (ExtQV) for the model \eqref{subeq: multi}. Investigation of its behaviour for different $n$'s and $\epsilon$'s and for $\sigma=1$.]{\label{tab:ExtQV-vs}Expectation of the (ExtQV) for different $n$'s
and $\epsilon$'s and for $\sigma=1$.}
\end{table}
Furthermore, we examine the squared $L_2$ error of the (ExtQV), i.e.
\[
\mathbb{E}\left[\left(\mathbb{E}\left(D_{2}^{\text{Ext}}(x_{n}^{\epsilon})_{T}\right)^{2}-\sigma^{2}\right)^{2}\right].
\]
Table \ref{tab:L2-vs-n_e} shows the squared $L_{2}$--error for different $n$'s, $\epsilon$'s and for fixed $\sigma=1$. These numerical results indicate that the squared $L_2$ error of our estimator is of order ${\mathcal O}(\epsilon^{2})$. This can be seen more clearly in the log--log plot in figure \ref{fig: log_log_L2}.
\begin{table}[H]
\centering%
\begin{tabular}{|c||c|c|c|c|}
\hline
\multirow{2}{*}{$\mathbb{E}\left[\left(D_{2}^{\text{Ext}}(x_{n}^{\epsilon})_{T}^{2}-\sigma^{2}\right)^{2}\right]$} & \multicolumn{4}{c|}{$\epsilon$}\tabularnewline
\cline{2-5}
& 0.05 & 0.10 & 0.15 & 0.20\tabularnewline
\hline
\hline
$n=10^{3}$ & 0.2985 & 0.1785 & 0.1792 & 0.3638\tabularnewline
\hline
$n=10^{4}$ & 0.0476 & 0.1250 & 0.2650 & 0.3548\tabularnewline
\hline
$n=10^{5}$ & 0.0306 & 0.1154 & 0.2380 & 0.3800\tabularnewline
\hline
$n=10^{6}$ & 0.0273 & 0.10 & 0.1986 & 0.3874\tabularnewline
\hline
$n=10^{7}$ & 0.0261 & 0.1008 & 0.1992 & 0.3824\tabularnewline
\hline
\end{tabular}\caption[L$_{2}$\textendash error of the (ExtQV) for data generated by the model \eqref{subeq: multi}. Investigation of its behavior for
different $n$'s and $\epsilon$'s and for $\sigma=1$.]{\label{tab:L2-vs-n_e}L$_{2}$\textendash error of the (ExtQV) for
different $n$'s and $\epsilon$'s and for $\sigma=1$.}
\end{table}
\begin{figure}[H]
\centering
\includegraphics[scale=1]{log_log_L2}
\caption[Investigation of the $L_{2}$--error behaviour with respect to $\epsilon$ through a log--log plot]{Log--log plot between the ration of the $L_{2}$--error corresponding to $k\epsilon$ and $ L_{2}$--error corresponding to $\epsilon$ with respect to $\log(k\epsilon)$.}\label{fig: log_log_L2}
\end{figure}
\begin{example}\label{eq: example_y_3}
Consider the following fast/slow system of SDEs
\begin{subequations}
\begin{align}
dx & =\frac{\sigma}{\epsilon}y^{3}dt,\qquad & x(0)=x_{0},\label{eq:examplel_slow_variable}\\
dy & =-\frac{y}{\epsilon^{2}}dt+\frac{\sqrt{2}}{\epsilon}dV,\qquad & y(0)=y_{0},\label{eq:example_fast_variable}
\end{align}
\label{eq:example_model}\end{subequations}where $V$ is the standard
Brownian motion and has initial conditions $x_{0}$ and $y_{0}$. The invariant density, $\rho^{\infty}$, of the fast
process in \eqref{eq:example_fast_variable} is the standard normal.
Without loss of generality, we assume $\sigma=1$ so that the corresponding
homogenised SDE is given by
\begin{eqnarray*}
dX & = & \left(2\cdot\mathbb{E}\left[f(y)\Phi(y)\right]\right)^{1/2}dW=\sqrt{22}dW,
\label{eq:homo_cubed}
\end{eqnarray*}
where $W$ is a standard Brownian motion and is independent of $V$.
Again, our objective is to examine the performance of the (ExtQV) estimator as an estimator of the diffusion coefficient of the homogenised equation. Table \ref{tab:example_1_model_table} shows the values of the expectation of the (ExtQV) and its corresponding $L_{2}$\textendash error when it is applied to the model \eqref{eq:example_model}. For this table we fix the value of $\sigma$ to $\sigma=0.1$ and we consider five values of $\epsilon=(0.20,0.15,0.10,0.05,0.01)$ and four values of $n=\left(10^{4},10^{5},10^{6},10^{7}\right)$. The corresponding diffusion coefficient of the homogenised equation in this case is $\Sigma^{2}=0.01\cdot22=0.22$.
As it can be seen from Table \ref{tab:example_1_model_table}, as the value of $n$ increases and the value of $\epsilon$ decreases, the expectation of the (ExtQV) tends to the real value of the homogenized diffusion coefficient. Furthermore, for decreasing $n$ and $\epsilon$ the $L_{2}$--error decreases as well and tends to zero.
\begin{table}[H]
\centering%
\begin{tabular}{|c|c||c|c|c|c|c|}
\cline{2-7}
\multicolumn{1}{c|}{} & $\epsilon$ & 0.20 & 0.15 & 0.10 & 0.05 & 0.01\tabularnewline
\hline
\hline
\multirow{2}{*}{$n=10^{4}$ } & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 0.1938 & 0.2087 & 0.2177 & 0.2368 & 1.6072\tabularnewline
\cline{2-7}
& $L_{2}$-error & 0.1260 & 0.0486 & 0.0237 & 0.0071 & 1.9342\tabularnewline
\hline
\multirow{2}{*}{$n=10^{5}$ } & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 0.2059 & 0.2086 & 0.2176 & 0.2281 & 0.2638\tabularnewline
\cline{2-7}
& $L_{2}$-error & 0.0860 & 0.0611 & 0.0257 & 0.0078 & 0.0023\tabularnewline
\hline
\multirow{2}{*}{$n=10^{6}$ } & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 0.1927 & 0.2047 & 0.2169 & 0.2217 & 0.2284\tabularnewline
\cline{2-7}
& $L_{2}$-error & 0.0630 & 0.0439 & 0.0268 & 0.0071 & 0.0004\tabularnewline
\hline
\multirow{2}{*}{$n=10^{7}$ } & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 0.2119 & 0.2075 & 0.211 & 0.2330 & 0.2209\tabularnewline
\cline{2-7}
& $L_{2}$-error & 0.0986 & 0.0434 & 0.0235 & 0.0073 & 0.0003\tabularnewline
\hline
\end{tabular}\caption[Expectation and $L_{2}$--error of the (ExtQV) for data generated by \eqref{eq:example_model}. Investigation of its behavior for different $n$'s
and $\epsilon$'s and for $\sigma=0.10$.]{\label{tab:example_1_model_table}Expectation and $L_{2}$--error of the (ExtQV) for different $\epsilon$'s, $n$'s and for $\sigma=0.10$.}
\end{table}
\end{example}
\begin{example} \label{exa: molel_example_2}Consider the following multiscale
system of SDEs
\begin{eqnarray*}
dx & = & \frac{\sigma}{\epsilon}\left(1-y^{2}\right)dt,\\
dy & = & -\frac{1}{\epsilon^{2}}ydt+\frac{\sqrt{2}}{\epsilon}dV,
\end{eqnarray*}
where $V$ is the standard Browian motion and initial conditions $x_{0}$ and $y_{0}$. For this example the corresponding homogenized SDE has
the following form
\begin{equation}
dX=\sigma\sqrt{2}dW.\label{eq:example_2_homo_SDE}
\end{equation}
Similarly to what we have done in the previous examples, we examine the (ExtQV) for four values of $n$ and five values of $\epsilon$ and the results are shown in Table \ref{tab:example_2_model_table}.
\begin{table}[h!]
\centering%
\begin{tabular}{|c|c||c|c|c|c|c|}
\cline{2-7}
\multicolumn{1}{c|}{} & $\epsilon$ & 0.20 & 0.15 & 0.10 & 0.05 & 0.01\tabularnewline
\hline
\hline
\multirow{2}{*}{$n=10^{4}$ } & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 2.0426 & 2.0364 & 2.2174 & 2.3837 & 16.6118\tabularnewline
\cline{2-7}
& $L_{2}$-error & 5.4799 & 3.0374 & 2.1654 & 0.5906 & 213.9965\tabularnewline
\hline
\multirow{2}{*}{$n=10^{5}$} & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 1.9373 & 1.9752 & 2.0926 & 2.1041 & 2.6470\tabularnewline
\cline{2-7}
& $L_{2}$-error & 4.2892 & 3.2262 & 1.4939 & 0.3571 & 0.4380\tabularnewline
\hline
\multirow{2}{*}{$n=10^{6}$ } & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 1.9120 & 2.0136 & 1.9397 & 2.0416 & 2.1744\tabularnewline
\cline{2-7}
& $L_{2}$-error & 4.9281 & 2.9718 & 1.2007 & 0.3632 & 0.0463\tabularnewline
\hline
\multirow{2}{*}{$n=10^{7}$ } & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 1.9312 & 1.9721 & 2.0525 & 2.0061 & 2.0546\tabularnewline
\cline{2-7}
& $L_{2}$-error & 6.3127 & 3.3509 & 1.6203 & 0.3273 & 0.0176\tabularnewline
\hline
\end{tabular}\caption[Expectation and $L_{2}$--error of the (ExtQV) for data generated by the model in the Example \ref{exa: molel_example_2}. Investigation of its behavior for different $n$'s
and $\epsilon$'s and for $\sigma=1$.]{\label{tab:example_2_model_table}Expectation and $L_{2}$--error of the (ExtQV) for different $\epsilon$'s, $n$'s and for $\sigma=1$.}
\end{table}
\end{example}
In the next example, we modify our context in the sense that the fast dynamics are not described by an (OU) process.
\begin{example}\label{ex: sin_ou_model}
Consider the following multiscale system
\begin{subequations}
\begin{eqnarray}
dx & = & \sigma\frac{\sin(y)}{\epsilon}dt,\label{eq:sin_model_slow}\\
dy & = & -\frac{\sin(y)}{\epsilon^{2}}dt+\frac{1}{\epsilon}dW,\label{eq:sin_model_fast}
\end{eqnarray}
\label{subeq: model_sin}
\end{subequations}
for which the corresponding homogenised SDE is
\begin{equation}
dX=\sigma dW.
\end{equation}
Table \ref{tab: sin_model} illustrates the expectation of the (ExtQV) and its corresponding $L_{2}$\textendash error when applied to the
model \eqref{subeq: model_sin} for $\sigma=\sqrt{0.5}$. As in the previous examples, we consider five values of $\epsilon=(0.20,0.15,0.10,0.05,0.01)$ and three values of $n=(10^{4},10^{5},10^{6})$. For $\sigma=\sqrt{0.5}$,
the corresponding homogenised diffusion coefficient is equal to 0.5. Similarly to the previous examples, we observe that as the value of
$n$ increases and the value of $\epsilon$ decreases both the expectation of the (ExtQV) and the $L_{2}$\textendash error tend to the desired quantity, that is the real value of the homogenised and coefficient and zero respectively.
\begin{table}[H]
\centering%
\begin{tabular}{|c|c|c|c|c|c|c|}
\hline
& $\epsilon$ & 0.20 & 0.15 & 0.10 & 0.05 & 0.01\tabularnewline
\hline
\hline
\multirow{2}{*}{$n=10^{4}$} & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 0.3889 & 0.4023 & 0.4320 & 0.4604 & 0.8046\tabularnewline
\cline{2-7}
& $L_{2}$\textendash error & 0.0571 & 0.0391 & 0.0198 & 0.0059 & 0.0932\tabularnewline
\hline
\multirow{2}{*}{$n=10^{5}$} & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 0.3707 & 0.3878 & 0.3974 & 0.4055 & 0.4336\tabularnewline
\cline{2-7}
& $L_{2}$\textendash error & 0.0599 & 0.0408 & 0.0243 & 0.0123 & 0.0046\tabularnewline
\hline
\multirow{2}{*}{$n=10^{6}$} & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 0.3761 & 0.4005 & 0.4064 & 0.4201 & 0.4990\tabularnewline
\cline{2-7}
& $L_{2}$\textendash error & 0.0577 & 0.0393 & 0.0228 & 0.0102 & 0.0002\tabularnewline
\hline
\end{tabular}
\caption{Expectation and $L_{2}$\textendash error of the (ExtQV) for different
$\epsilon$'s, $n$'s and $\sigma=\sqrt{0.5}$.\label{tab: sin_model}}
\end{table}
\end{example}
Finally, in the example below we demonstrate that our proposed estimator can be also applied in cases where the corresponding homogenised equation contains a drift term.
\vspace{0.3cm}
\begin{example}
\label{exa:drift_model_Example}Consider the following fast/slow
system
\begin{subequations}
\begin{align}
dx & =\frac{\sigma}{\epsilon}ydt+\sin(x)dt,\label{eq:general_slow_variable_drift_example}\\
dy & =-\frac{1}{\epsilon^{2}}ydt+\frac{1}{\epsilon}dV.\label{eq:general_fast_variable_drift_example}
\end{align}
\label{eq:general_model_drift_example}\end{subequations}
The corresponding homogenized SDE is
\begin{equation}
dX=\sin(X)dt+\sigma dW.\label{eq:Homo_general_model_drift_example}
\end{equation}
Similar numerical studies are performed for this model and Table \ref{tab:drift_model_table} shows the Expectation and $L_{2}$--error of the (ExQV) for the same values of $n$ and $\epsilon$ considered in the previous examples. The results, presented in table \ref{tab:drift_model_table}, indicate that the drift coefficient does not affect the behaviour of our proposed estimator.
\begin{table}[H]
\centering%
\begin{tabular}{|c|c||c|c|c|c|c|}
\cline{2-7}
\multicolumn{1}{c|}{} & $\epsilon$ & 0.20 & 0.15 & 0.10 & 0.05 & 0.01\tabularnewline
\hline
\hline
\multirow{2}{*}{$n=10^{4}$} & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 1.1429 & 1.1112 & 1.1039 & 1.1289 & 2.2738\tabularnewline
\cline{2-7}
& $L_{2}$-error & 0.4890 & 0.3055 & 0.1462 & 0.0505 & 1.6949\tabularnewline
\hline
\multirow{2}{*}{$n=10^{5}$} & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 1.1258 & 1.0709 & 1.0559 & 1.0491 & 1.2194\tabularnewline
\cline{2-7}
& $L_{2}$-error & 0.5250 & 0.2695 & 0.1312 & 0.0.12 & 0.0497\tabularnewline
\hline
\multirow{2}{*}{$n=10^{6}$} & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 1.1488 & 1.0808 & 1.0282 & 1.0446 & 1.2196\tabularnewline
\cline{2-7}
& $L_{2}$-error & 0.5822 & 0.2649 & 0.1115 & 0.0439 & 0.0164\tabularnewline
\hline
\multirow{2}{*}{$n=10^{7}$ } & $\mathbb{E}\left[D_{2}^{\text{Ext}}(x_{n})_{T}^{2}\right]$ & 1.1476 & 1.0728 & 1.0430 & 1.0595 & 1.2185\tabularnewline
\cline{2-7}
& $L_{2}$-error & 0.5661 & 0.2778 & 0.1097 & 0.0356 & 0.0167\tabularnewline
\hline
\end{tabular}\caption[Expectation and $L_{2}$--error of the (ExtQV) for data generated by the model in the Example \ref{exa:drift_model_Example}. Investigation of its behavior for different $n$'s
and $\epsilon$'s and for $\sigma=1$.]{\label{tab:drift_model_table}Expectation and $L_{2}$--error of the (ExtQV) for the model in Example \ref{exa:drift_model_Example} for different $\epsilon$'s, $n$'s and for $\sigma=1$.}
\end{table}
\end{example}
\end{example}
\section{A toy example}
\label{sec: OU}
In order to build intuition about the behaviour of the Extrema Quadratic Variation estimator defined in \ref{subsec: ExtQV} , we start by studying its properties in the context of a system that is a spacial case \eqref{eq:general_model} and also a special case or the Ornstein-Uhlenbeck model. More specifically, we consider the following model
\begin{subequations}
\begin{align}
dx^{\epsilon}_t & =\frac{\sigma}{\epsilon}y^{\epsilon}_tdt,\label{eq: slow_dyn_multi}\\
dy^{\epsilon}_t & =-\frac{1}{\epsilon^{2}}y^{\epsilon}_tdt+\frac{1}{\epsilon}dW_t,\label{eq: fast_dyn_multi}
\end{align}
\label{subeq: multiOU}
\end{subequations}
where $W$ denotes the standard one-dimensional Brownian motion defined on the filtered probability space $(\Omega, \{{\mathcal F_t}\}_{t>0}, {\mathbb P})$, $\sigma\in\mathbb{R}_{+}$ is a positive constant and $0<\epsilon<<1$ denotes a small parameter that controls the scale separation. The fast dynamics are described by an Ornstein-Uhlenbeck process whose invariant distribution is the Gaussian distribution ${\mathcal N}(0,\frac{1}{2})$. We will assume that $y_0$ is also a random variable with the invariant distribution ${\mathcal N}(0,\frac{1}{2})$, so that process $y^\epsilon$ is stationary.
It is easy to see that the slow process $x^\epsilon$ can be equivalently expressed as the solution of the following SDE
\begin{equation}
dx^{\epsilon}_t=\sigma\left(dW_t-\epsilon dy^{\epsilon}_t\right).
\label{eq: multi_OU_equivalent_expression}
\end{equation}
Therefore, allowing $\epsilon\rightarrow0$ we deduce that the corresponding homogenization limit is the solution to
\begin{equation}
dX_t=\sigma dW_t,\qquad\quad X_0=x_{0}.\label{eq: homo_SDE}
\end{equation}
In this case, the convergence holds pathwise in $L_2$ \cite{ZhangPapavasiliou}.
We will show that, in this case, the Extrema Quadratic Variation estimator is asymptotically unbiased. More precisely, we prove the following:
\begin{thm}\label{thm: main_theorem_OUmodel}
Let $x^{\epsilon}:[0,T]\rightarrow\mathbb{R}$ be a real\textendash valued
path described by Eq.\eqref{subeq: multiOU}. Then,
\begin{equation}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\mathbb{E}\left[D_{2}^{\text{Ext}}\left(x^{\epsilon}\right)_{n}\right]=\sigma^{2}.
\end{equation}
\end{thm}
Before proving the theorem, we prove the following lemma that allows us to write the increment of the slow process $x^\epsilon$ in terms of the fast process $y^\epsilon$.
\begin{lem}
\label{lemma: OU}
Let $(x^\epsilon, y^\epsilon)$ satisfy \eqref{subeq: multiOU}. Then, we can write
\begin{equation}
\Delta x^{\epsilon}_{t_{k}}:= x^\epsilon_{t_k}-x^\epsilon_{t_{k-1}} =\sigma\left(\epsilon(1-e^\frac{\delta}{\epsilon^2})y^{\epsilon}(t_{k-1})-\int_{t_{k-1}}^{t_k}
\left(e^{-\frac{(t_{k}-u)}{\epsilon^2}}-1\right)dW_{u}\right).
\label{eq: slow_increment_OU}
\end{equation}
\end{lem}
\begin{proof}
First, using \eqref{eq: multi_OU_equivalent_expression}, we get
\[ \Delta x^{\epsilon}_{t_{k}} = \sigma\left(\Delta W_{t_k} - \epsilon \Delta y^\epsilon_{t_k}\right).\]
Using the known formula for the solution of \eqref{eq: fast_dyn_multi} (which can be easily verified using It\^o's formula), we write
\begin{equation}
y^{\epsilon}_{t_{k}}=e^{-\delta/\epsilon^{2}}y^{\epsilon}_{t_{k-1}}+\frac{1}{\epsilon}\int_{t_{k-1}}^{t_{k}}e^{-\frac{(t_{k}-u)}{\epsilon^{2}}}dW_u.
\label{eq:OU_sol}
\end{equation}
The result follows.
\end{proof}
\begin{corollary}
\label{cor: DX OU}
Let $(x^\epsilon, y^\epsilon)$ satisfy \eqref{subeq: multiOU}. Then, if $y^\epsilon_t$ is stationary, the sequence of increments $\{\Delta x^\epsilon_{t_i}\}_{i=1}^n$ is also stationary irrespectively of $x_0$. Moreover, the increments $\{\Delta x^\epsilon_{t_i}\}_{i=1}^n$ are mean zero Gaussian random variables.
\end{corollary}
\begin{proof}[Proof of Theorem \ref{thm: main_theorem_OUmodel}]
Using the expression in \eqref{eq: ext_QV}, we get
\begin{equation}
{\mathbb E}\left( D_{2}^{\text{Ext}}(x^{\epsilon})_{n}\right) = {\mathbb E}\left( D_{2}(x^{\epsilon})_{n}\right)+2\sum_{i=2}^{n}\sum_{j=1}^{i-1}{\mathbb E}\left(\Delta x^{\epsilon}_{t_{i}}\Delta x^{\epsilon}_{t_{j}}\prod_{k=j}^{i-1}\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{k}}\Delta x^{\epsilon}_{t_{k+1}}\right)\right).
\label{eq: ext_QV_2}
\end{equation}
Since $x^\epsilon$ is a bounded variation process, it is not hard to show that
\[ \lim_{n\rightarrow\infty}{\mathbb E}\left( D_{2}(x^{\epsilon})_{n}\right) = 0.\]
Moreover, using corollary \ref{cor: DX OU}, i.e. the stationarity and symmetry of increments, we deduce that
\[ 2\sum_{i=2}^{n}\sum_{j=1}^{i-1}{\mathbb E}\left(\Delta x^{\epsilon}_{t_{i}}\Delta x^{\epsilon}_{t_{j}}\mathbf{1}_{C_n(i,j)}\left(x(n))\right)\right) = 4\sum_{k=2}^{n}(n+1-k)\mathbb{E}
\left( \Delta x^{\epsilon}_{t_{1}}\Delta x^{\epsilon}_{t_{k}}\prod_{j=1}^k\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right)\right)
\]
Thus, to prove the theorem we need to show that
\begin{equation}
\label{eq: reduction1 OU}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}4\sum_{k=2}^{n}(n+1-k)\mathbb{E}
\left( \Delta x^{\epsilon}_{t_{1}}\Delta x^{\epsilon}_{t_{k}}\prod_{j=1}^k\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right)\right) = \sigma^2.
\end{equation}
Using lemma \ref{lemma: OU}, we write
\begin{eqnarray}
\Delta x^{\epsilon}_{t_{1}}\Delta x^{\epsilon}_{t_{k}} &=& \sigma^{2}\bigg(\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}y^{\epsilon}_{t_{0}}y^{\epsilon}_{t_{k-1}}\nonumber \\
& & \quad -\epsilon(1-e^{-\frac{\delta}{\epsilon^2}})y^{\epsilon}_{t_{0}}\int_{t_{k-1}}^{t_k}
\left(e^{-\frac{(t_{k}-u)}{\epsilon^2}}-1\right)dW_{u}\nonumber \\
& & \qquad-\epsilon(1-e^{-\frac{\delta}{\epsilon^2}})y^{\epsilon}_{t_{k-1}}\int_{t_{0}}^{t_{1}}
\left(e^{-\frac{(t_{1}-u)}{\epsilon^2}}-1\right)dW_{u}\nonumber \\
& & \quad\qquad + \int_{t_{0}}^{t_{1}}
\left(e^{-\frac{(t_{1}-u)}{\epsilon^2}}-1\right)dW_{u}\int_{t_{k-1}}^{t_k}
\left(e^{-\frac{(t_{k}-u)}{\epsilon^2}}-1\right)dW_{u} \bigg).
\label{eq: prod_Delta_x}
\end{eqnarray}
First, we show that
\begin{equation}
\label{eq: 2nd term OU}
\lim_{n\to\infty} 4\epsilon(1-e^{-\frac{\delta}{\epsilon^2}})\sum_{k=2}^{n}(n+1-k)\mathbb{E}
\left(y^{\epsilon}_{t_{0}}\int_{t_{k-1}}^{t_k}
\left(e^{-\frac{(t_{k}-u)}{\epsilon^2}}-1\right)dW_{u}\prod_{j=1}^k\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right)\right)=0,
\end{equation}
by obtaining an appropriate bound for the expectation. We write
\begin{eqnarray*}
&\mathbb{E}
\left(y^{\epsilon}_{t_{0}}\int_{t_{k-1}}^{t_k}
\left(e^{-\frac{(t_{k}-u)}{\epsilon^2}}-1\right)dW_{u}\prod_{j=1}^k\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right)\right) \leq&\\
&\leq \mathbb{E}
\left(y^{\epsilon}_{t_{0}}\int_{t_{k-1}}^{t_k} \left(e^{-\frac{(t_{k}-u)}{\epsilon^2}}-1\right)dW_{u}\right)\leq&\\
&\leq \mathbb{E}\left(\left(y^{\epsilon}_{t_{0}}\right)^2\right)^\frac{1}{2}\mathbb{E}\left( \left( \int_{t_{k-1}}^{t_k} \left(e^{-\frac{(t_{k}-u)}{\epsilon^2}}-1\right)dW_{u}\right)^2\right)^\frac{1}{2} =&\\
&= \frac{1}{\sqrt{2}}\mathbb{E}\left( \int_{t_{k-1}}^{t_k} \left(e^{-\frac{(t_{k}-u)}{\epsilon^2}}-1\right)^2 du\right)^\frac{1}{2} = \frac{1}{\sqrt{2}}\left(\delta + \frac{1}{2}\epsilon^2(-3-e^{-\frac{2\delta}{\epsilon^2}}+4e^{-\frac{\delta}{\epsilon^2}})\right)^\frac{1}{2}\sim {\mathcal O}(\delta^\frac{3}{2}),&
\end{eqnarray*}
where the first inequality follows from the monotonicity of expectation, the second from Cauchy-Schwartz and the last equality from It\^o isometry and the stationarity of $y^\epsilon$. Noting that $\delta = \frac{1}{n}$, we can bound the sum in \eqref{eq: 2nd term OU} is bounded by
\[ C(\epsilon) \frac{1}{n}\sum_{k=2}^{n}(n+1-k)\frac{1}{n^\frac{3}{2}},\]
for some constant $C(\epsilon)$ that depends only on $\epsilon$. Taking $n\to\infty$, we get \eqref{eq: 2nd term OU}. In a similar manner, we can show that
\begin{equation}
\label{eq: 3rd term OU}
\lim_{n\to\infty} 4\epsilon(1-e^{-\frac{\delta}{\epsilon^2}})\sum_{k=2}^{n}(n+1-k)\mathbb{E}
\left(y^{\epsilon}_{t_{k-1}}\int_{t_{0}}^{t_1}
\left(e^{-\frac{(t_{1}-u)}{\epsilon^2}}-1\right)dW_{u}\prod_{j=1}^k\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right)\right)=0,
\end{equation}
and
\begin{equation}
\label{eq: 4th term OU}
\lim_{n\to\infty} 4\sum_{k=2}^{n}(n+1-k)\mathbb{E}\left(
\int_{t_{0}}^{t_1}
\left(e^{-\frac{(t_{1}-u)}{\epsilon^2}}-1\right)dW_{u}\int_{t_{k-1}}^{t_k}
\left(e^{-\frac{(t_{k}-v)}{\epsilon^2}}-1\right)dW_{v}\prod_{j=1}^k\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right)\right)=0,
\end{equation}
Thus, from \eqref{eq: prod_Delta_x}, \eqref{eq: 2nd term OU}, \eqref{eq: 3rd term OU}, \eqref{eq: 4th term OU}, it follows that to show \eqref{eq: reduction1 OU}, we only need to show
\begin{equation}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}4\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\mathbb{E}
\left(y^{\epsilon}_{t_{0}}y^{\epsilon}_{t_{k-1}} \prod_{j=1}^k\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right)\right) = 1
\label{eq: reduction2 OU}
\end{equation}
From lemma \ref{lemma: OU}, it follows that
\begin{equation}
\Delta x^{\epsilon}_{t_{j}}>0 \iff y_{t_{j-1}}>\frac{\int_{t_{j-1}}^{t_{j}}\left(e^{-\frac{(t_{j}-u)}{\epsilon^2}}-1\right)dW_{u}}{\epsilon(1-e^{-\frac{\delta}{\epsilon^2}})} := M_j.
\label{eq: M OU}
\end{equation}
With this notation, one can easily check that
\[
\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right) = \mathbf{1}_{\R_+}\left(y_{t_{j-1}}-M_j\right) \leq \mathbf{1}_{\R_+}\left(y_{t_{j-1}}\right) + \mathbf{1}_{\R_+}\left(|M_j|-|y_{t_{j-1}}|\right)
\]
Then, the expectation in the sum of \eqref{eq: reduction2 OU} can be bounded by
\begin{eqnarray}
&\mathbb{E}\left(y^{\epsilon}_{t_{0}}y^{\epsilon}_{t_{k-1}} \prod_{j=1}^k\mathbf{1}_{\R_+}\left(\Delta x^{\epsilon}_{t_{j}}\right)\right) \leq&\nonumber\\
&\mathbb{E}\left(y^{\epsilon}_{t_{0}}y^{\epsilon}_{t_{k-1}} \prod_{j=1}^k\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_{j-1}}\right)\right) + \mathbb{E}
\left(y^{\epsilon}_{t_{0}}y^{\epsilon}_{t_{k-1}} \prod_{j=1}^k\mathbf{1}_{\R_+}\left(|M_j|-|y_{t_{j-1}}|\right)\right).&
\label{eq: term1 OU bound1}
\end{eqnarray}
Using Cauchy-Schwartz, the second expectation in the bound can be further bounded by
\begin{eqnarray}
&\mathbb{E}\left(y^{\epsilon}_{t_{0}}y^{\epsilon}_{t_{k-1}} \prod_{j=1}^k\mathbf{1}_{\R_+}\left(|M_j|-|y_{t_{j-1}}|\right)\right)&\nonumber\\
&\mathbb{E}\left((y^{\epsilon}_{t_{0}})^2\right)^\frac{1}{2}
\mathbb{E}\left((y^{\epsilon}_{t_{k-1}})^2 \prod_{j=1}^k\mathbf{1}_{\R_+}\left(|M_j|-|y_{t_{j-1}}|\right)\right)^\frac{1}{2} \leq \frac{1}{\sqrt{2}}\mathbb{E}\left((M_{k-1}^2 \right)^\frac{1}{2}&
\label{eq: term1 OU bound2}
\end{eqnarray}
Using upper bounds \eqref{eq: term1 OU bound1} and \eqref{eq: term1 OU bound2} in \eqref{eq: reduction2 OU}, we see that one of the terms converges to zero as in \eqref{eq: 2nd term OU}. Thus, it remains to show that
\begin{equation}
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}4\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\mathbb{E}
\left(y^{\epsilon}_{t_{0}}y^{\epsilon}_{t_{k-1}} \prod_{j=1}^k\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_{j-1}}\right)\right) = 1.
\label{eq: reduction3 OU}
\end{equation}
Let $\tau^{\delta,\epsilon}_{y_{t_0}}$ be the first time that the discretised process $\{y_{t_k}; k\in\N\}$ becomes negative, starting from $y_{t_0}$, i.e.
\begin{equation}
\label{first 0 crossing}
\tau^{\delta,\epsilon}_{y_{t_0}} = \min\{ k\in\N; y_{t_k}<0\}.
\end{equation}
Then, given $y_{t_0} >0$,
\[
\prod_{j=1}^{k-1}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_{j}}\right) = \mathbf{1}_{(t_{k-1},+\infty)}(\tau^{\delta,\epsilon}_{y_{t_0}}),
\]
or, equivalently,
\[
\prod_{j=0}^{k-1}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_{j}}\right) = \mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot\mathbf{1}_{(t_{k-1},+\infty)}\left(\tau^{\delta,\epsilon}_{y_{t_0}}\right)
\]
Then, the expectation in \eqref{eq: reduction3 OU} can be written as
\begin{eqnarray}
\nonumber\mathbb{E} \left(y^{\epsilon}_{t_{0}}y^{\epsilon}_{t_{k-1}} \prod_{j=1}^k\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_{j-1}}\right)\right) = \mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot y^{\epsilon}_{t_{k-1}}\mathbf{1}_{(t_{k-1},+\infty)}\left(\tau^{\delta,\epsilon}_{y_{t_0}}\right)\right) \\
= \mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot y^{\epsilon}_{t_{k-1}}\right) - \mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot y^{\epsilon}_{t_{k-1}}\mathbf{1}_{[0,t_{k-1}]}\left(\tau^{\delta,\epsilon}_{y_{t_0}}\right)\right).
\label{reduction 3a OU}
\end{eqnarray}
The first expectation above can be written as
\begin{eqnarray*}
\mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot y^{\epsilon}_{t_{k-1}}\right) &=& \mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\mathbb{E}\left( y^{\epsilon}_{t_{k-1}}| y_{t_0}\right)\right)\\
&=& e^{-\frac{t_{k-1}}{\epsilon^2}}\mathbb{E} \left((y^{\epsilon}_{t_{0}})^2\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\right) = \frac{1}{4}e^{-\frac{t_{k-1}}{\epsilon^2}},
\end{eqnarray*}
since $y_{t_0}^{\epsilon}\sim\mathcal{N}\left(0,\frac{1}{2}\right)$ (we have assumed stationarity). Remember that $T=1$, $t_k = k\delta$ and $\delta = \frac{1}{n}$. Then, using the above result, we get that
\begin{eqnarray*}
4\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot y^{\epsilon}_{t_{k-1}}\right) = \\
= \epsilon^{2}(1-e^{-\frac{1}{n\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)e^{-\frac{(k-1)}{n\epsilon^2}} \to 1+\epsilon^{2}\left(e^{-1/\epsilon^{2}}-1\right) = 1 + {\mathcal O}(\epsilon^2),
\end{eqnarray*}
as $n\to\infty$. Thus,
\[ \lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}4\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot y^{\epsilon}_{t_{k-1}}\right)= 1.\]
From this result and the decomposition of the expectation given in \eqref{reduction 3a OU}, it follows that to prove \eqref{eq: reduction3 OU}, it is only left to show that
\[
\lim_{\epsilon\rightarrow0}\lim_{n\rightarrow\infty}\left|4\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot y^{\epsilon}_{t_{k-1}}\mathbf{1}_{[0,t_{k-1}]}\left(\tau^{\delta,\epsilon}_{y_{t_0}}\right)\right)\right|= 0.
\]
We can restrict our study to the case where the stopping time $\tau^{\delta,\epsilon}_{y_{t_0}}$ is bounded by $t_{k-1}$, i.e. $\tau^{\delta,\epsilon}_{y_{t_0}}\leq t_{k-1}$. Then
\[ \mathbb{E}\left( y^\epsilon_{t_{k-1}}|\tau^{\delta,\epsilon}_{y_{t_0}}\right) = y^\epsilon_{\tau^{\delta,\epsilon}_{y_{t_0}}}e^{-\frac{t_{k-1}-\tau^{\delta,\epsilon}_{y_{t_0}}}{\epsilon^2}}.
\]
Thus,
\begin{eqnarray*}
\left|4\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\cdot y^{\epsilon}_{t_{k-1}}\mathbf{1}_{[0,t_{k-1}]}\left(\tau^{\delta,\epsilon}_{y_{t_0}}\right)\right)\right| \leq\\
4\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\mathbb{E} \left(y^{\epsilon}_{t_{0}}\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right) |y^\epsilon_{\tau^{\delta,\epsilon}_{y_{t_0}}}|\right) \leq \\
4\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\mathbb{E} \left((y^{\epsilon}_{t_{0}})^2\mathbf{1}_{\R_+}\left(y^{\epsilon}_{t_0}\right)\right)^\frac{1}{2}\mathbb{E}\left((y^\epsilon_{\tau^{\delta,\epsilon}_{y_{t_0}}})^2\right)^\frac{1}{2} = \\
= \left( 2\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k)\right)\mathbb{E}\left((y^\epsilon_{\tau^{\delta,\epsilon}_{y_{t_0}}})^2\right)^\frac{1}{2}.
\end{eqnarray*}
First, a straight forward computation gives
\[ \lim_{n\to\infty} 2\epsilon^{2}(1-e^{-\frac{\delta}{\epsilon^2}})^{2}\sum_{k=2}^{n}(n+1-k) = \frac{1}{\epsilon^2}.
\]
It is left to show that $\lim_{n\to\infty} \mathbb{E}\left((y^\epsilon_{\tau^{\delta,\epsilon}_{y_{t_0}}})^2\right) = 0$. This follows directly from the continuity of the diffusion paths with probability 1. First, it follows that $\tau^{\delta,\epsilon}_{y_{t_0}}\to \tau^{\epsilon}_{y_{t_0}}$ as $\delta\to 0$ ($n\to\infty$) with probability 1, where $\tau^{\epsilon}_{y_{t_0}}$ is the first time that the continuous process becomes zero. Then, it follows that $y^\epsilon_{\tau^{\delta,\epsilon}_{y_{t_0}}} \to y^\epsilon_{\tau^{\epsilon}_{y_{t_0}}}$ and by definition, $y^\epsilon_{\tau^{\epsilon}_{y_{t_0}}} = 0$, as $n\to\infty$, with probability 1.
\end{proof}
\section{Setting}
\label{sec: setting}
We consider the following system of stochastic differential equations:
\begin{subequations}
\begin{align}
dx^\epsilon_t & = \frac{1}{\epsilon}f(y^\epsilon_t)dt,\label{eq:general_slow_variable}\\
dy^\epsilon_t & = \frac{1}{\epsilon^{2}}g(y^\epsilon_t)dt+\frac{\beta(y^\epsilon_t)}{\epsilon}dV_t,\label{eq:general_fast_variable}
\end{align}
\label{eq:general_model}\end{subequations}
where $V$ is standard Brownian motion, defined on the filtered probability space $(\Omega, \{{\mathcal F_t}\}_{t>0}, {\mathbb P})$. We are interested in the case where the `slow' component of the process, $x^\epsilon$, converges in distribution to the solution of a stochastic differential equation
\begin{equation}
dX_t=\sigma dW_t,\qquad X(0)=x_{0},\label{eq:Homo_general_model}
\end{equation}
where $\sigma$ is a constant depending on $f,g$ and $\beta$ and $W$ is also standard Brownian motion. This convergence holds under appropriate assumptions to be discussed later (see \cite{pavliotis2008multiscale}). We call this equation `the homogenized equation' and its solution $X$ the `homogenization limit'.
In this paper, we restrict our study to the case where both $x^\epsilon$ and its limit $X$ are one-dimensional processes. Our goal is to estimate the diffusion coefficient $\sigma^2$ of the homogenized equation from discrete observations of the slow process $x^\epsilon$. More precisely, let us assume that we observe $\{x^\epsilon_{t_i}, i=0,\dots,n\}$, for $t_i = i\delta$ and $n\delta = T$. We want to construct an estimator for the diffusion coefficient $\sigma^2$, such that as $n\to\infty$, the approximation error is of order ${\mathcal O}(\epsilon)$. Note that $\epsilon$ is a fixed variable that is inherent to the process and we have no control over while we have some control over $n$ (how often to sample or for how long). For the rest of the paper, however, we will assume that $T$ is fixed and equal to $T=1$, so $n\to\infty$ is equivalent to $\delta\to 0$. Note that while the grid points $t_i$ depend on $\delta$ (or, equivalently, $n$), to ease the notation we will not explicitly show this dependence unless there is a risk of ambiguity.
If we observed the homogenized equation $X$ rather than the slow process $x^\epsilon$, then it is well known that $\sigma^2$ can be efficiently estimated from the normalised Quadratic Variation, appropriately discretized to only depend on the discrete observations, i.e.
\begin{equation}
D_{2}\left(X\right)_n=\sum_{i=1}^n(\Delta X_{t_i})^{2}
\end{equation}
where $\Delta X_{t_i}:=X_{t_i}-X_{t_{i-1}}$ for $t_i\in{\mathcal D}_n = \{ k\delta, k=0,\dots,n\}$. Then, we know that $D_{2}\left(X\right)_n\to \sigma^2$ almost surely, as $n\to\infty$. However, if instead we use the bounded variation process $x^\epsilon$, the corresponding quadratic variation $D_{2}\left(x^\epsilon\right)_n$ converges a.s. to $0$. Thus, because of the mismatch between model and data, the standard estimator is not longer useful.
To avoid this problem, in \cite{papavasiliou2011coarse}, the author suggests using the total $2$-variation of the process (see \cite{lyons2002system}) rather than the quadratic variation, defined as
\begin{equation}
D_{2}^{\text{Total}}\left(x^\epsilon\right)_{n}=\sup_{\mathcal{D}([0,T])}\left(\sum_{\tau_{i}\in\mathcal{D}([0,T])}(x^\epsilon_{\tau_{i}}-x^\epsilon_{\tau_{i-1}})^{2}
\right),
\end{equation}
where the supremum is over all finite partitions of $[0,T]$. By taking the supremum over all finite partitions, the total $2$-variation can only be zero if the path $x^\epsilon$ is constant, so it maintains much more information than quadratic variation. In the case of a piecewise linear path, the supremum is achieved at a subset of the extremal points of the path \cite{Driver13}. However, this is still computationally very inefficient and a cause of technical difficulties, which is what limited \cite{papavasiliou2011coarse} to the analysis to the mutliscale Ornstein-Uhlenbeck model. Moreover, this estimator assumes continuous observation of the slow process $x^\epsilon$, which is unrealistic.
In this paper, we construct a novel estimator that we will call the Extrema Quadratic Variation, whose construction is based on a simplification of the total $2$-variation. First, we approximate the slow process $x^\epsilon$ by its linear interpolation on the observations that we will denote by $x^\epsilon(n)$, so that the estimator only depends on available data. Then, instead of computing the total $2$-variation by identifying the subset of the extremal points where the supremum is achieved, we consider all extremal points. More precisely, the Extrema Quadratic Variation is defined as follows:
\begin{defn}
\label{subsec: ExtQV}
Let $x:[0,T]\rightarrow\mathbb{R}$ be a real\textendash valued continuous path and let $x(n)$ be the piecewise linear interpolation of $x$ on the homogeneous grid ${\mathcal D}_n = \{i\delta, i=0,\dots,n\}$ with $n\delta = T$. We define the {\it Extrema Quadratic Variation} (ExtQV) of the path on grid ${\mathcal D}_n$ as
\begin{equation}
D_{2}^{\text{Ext}}\left(x\right)_n= \sum_{\tau_{i}\in\mathcal{E}_{n}([0,T])}(x_{\tau_{i}}-x_{\tau_{i-1}})^{2},
\end{equation}
where $\mathcal{E}_{n}([0,T])=\left\{0= \tau_{0},\tau_{1},...,\tau_{k}=T\right\}$ is the set of local extremal points of $x(n)$. We say that a point $t_{i}$ in ${\mathcal D}_n$ is an extremal point and we write $t_{i}\in\mathcal{E}_{n}([0,T])$ if $\Delta x_{t_{i}}\Delta x_{t_{i+1}}=\left(x_{t_{i}}-x_{t_{i-1}}\right)\left(x_{t_{i+1}}-x_{t_{i}}\right)<0$.
\end{defn}
The computation of the quadratic variation requires the consideration of all the increments of the original path whereas the extrema quadratic variation only considers the increments of the extremal path. Note that as $\epsilon$ gets smaller, the process $x^\epsilon$ gets closer to $X$, which is a process of finite Quadratic Variation and thus, we expect the number of local extremal points to increase. Thus, the Extrema Quadratic Variation provides a natural subsampling of the process which depends on unknown $\epsilon$. This is why we expect it to outperform the Quadratic Variation estimator on the subsampled process suggested in \cite{pavliotis2007parameter}.
In Figure \ref{fig: OriginalVsExtrema} we illustrate graphically an example of an extremal path. The black line is the linear interpolation of the original path $x$ on the grin ${\mathcal D}_n$ and the red line is the corresponding extremal path.
\begin{figure}[H]
\begin{center}
\includegraphics[width=11cm,height=6.6cm]{extrema_var.pdf}
\end{center}
\caption[Graphical representation of an extremal path.]{Graphical representation of an extremal path: the original path (black line) and the extremal path (red line).}
\label{fig: OriginalVsExtrema}
\end{figure}
An alternative way to compute $D_{2}^{\text{Ext}}\left(x\right)_n$ that appears to be very useful in the analytic computation of the expectation is presented below. By definition, $D_{2}^{\text{Ext}}\left(x\right)_n$ is the sum of squared returns of the original process plus two times the product of those increments such that the consecutive products of the increments between these two are all positive.
So, by expanding the squares, $D_{2}^{\text{Ext}}\left(x\right)_n$ can be written as:
\begin{align}
D_{2}^{\text{Ext}}(x)_n& =D_{2}(x)_n + 2\sum_{i=1}^{j-1}\sum_{j=2}^{n}\bigg(\Delta x_{t_{i}}\Delta x_{t_{j}}\prod_{k=j}^{i-1}\mathbf{1}_{\R_+}\left(\Delta x_{t_k} \Delta x_{t_{k+1}}\right)\bigg), \label{eq: ext_QV}
\end{align}
Note that the event of $\{ \Delta x_{t_k} \Delta x_{t_{k+1} >0, k = j,\dots, i-1\ }$ can be written as the union of events $\{ \Delta x_{t_k} >0, k = j,\dots, i\}$ and $\{ \Delta x_{t_k} <0, k = j,\dots, i\}$, i.e. increments having the same sign is the same as all increments being either positive or negative. This will allow us to simplify computations further.
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Santorum slams Romney on contraception mandate for rape victims
CNN Senior Congressional Correspondent Dana Bash
St. Charles, Missouri (CNN) - Rick Santorum opened a new front Tuesday in his battle to paint Mitt Romney as moderate who sided with Democrats on key issues, accusing the former Massachusetts governor of mandating that hospitals provide emergency contraception to rape victims.
In an op-ed Tuesday, Santorum said that in December 2005, then Gov. Romney "required all Massachusetts hospitals, including Catholic ones, to provide emergency contraception to rape victims."
Follow the Ticker on Twitter: @PoliticalTicker
"He said then that he believed 'in his heart of hearts' that receiving these contraceptives – free of charge – trumped employees' religious consciences. Now, a few years later and running for president, his heart is strategically aligned with religious voters opposing this federal mandate," wrote Santorum in Politico.
Opponents point to a law passed while Romney was governor of Massachusetts that required hospitals - including Catholic ones - to provide emergency contraception to rape victims.
A spokeswoman for the Romney campaign said he had vetoed the original bill. That veto was overruled by the state legislature.
Romney Communications Director Gail Gitcho pointed to the context that comes from the full "heart of hearts" quote.
"My personal view, in my heart of hearts, is that people who are subject to rape should have the option of having emergency contraception or emergency contraception information," Romney said in 2005, according to Gitcho.
Santorum argued that move by Romney is similar to what President Obama's administration "decreed," "that all employers, including Catholic and other religious employers, who offer health insurance to their employees, must offer sterilization, abortion-inducing drugs and contraception."
"The actions of President Obama – as well as the actions of then Governor Romney – raise some questions. From where do we receive our fundamental human rights? Are they given to us by the government–whether that government be State or Federal? Or, as the American Founders insisted, are these rights endowed upon us by a Creator?" wrote Santorum.
"It's important to me that we don't just talk a good game, but that we actually live it" he said. "I believe it is important to defend our religious liberties because these organizations are on the frontlines of helping those in need."
Romney spokesperson Andrea Saul characterized attacks from the right as "wrong."
"On his first day in office, Mitt Romney will eliminate the Obama administration rule that compels religious institutions to violate the tenets of their own faith," Saul said in a statement. "We expect these attacks from President Obama and his liberal friends. But from Newt Gingrich and Rick Santorum, it's a clear indication of desperation from their campaigns."
The former Pennsylvania senator is hoping strong showings in Tuesday's contests in Missouri and Minnesota will prove his argument that he, not Newt Gingrich, is the conservative alternative to Romney. He is also hoping a win in either state will symbolically slow the momentum and air of inevitability Romney has gained since winning two consecutive contests Florida and Nevada.
Government mandates on contraception is just the latest example Santorum is using to argue Romney is too moderate and ill positioned to be the GOP nominee.
Monday Santorum made the case that Romney is "not qualified" to be the GOP nominee because the health care law he helped craft in Massachusetts has an individual mandate, similar to what is in the president's health care law, making it impossible for Republicans to hit Obama on that issue during the general election. Santorum said it also proves Romney is not a real conservative.
- Follow Dana Bash on Twitter: @danabashcnn
Filed under: 2012 • Health care • Mitt Romney • Rick Santorum
Women need to have the freedom to make choices. ... and what about the child?
February 7, 2012 05:03 pm at 5:03 pm |
How cruel can one in individual be to think that providing emergency contraception for rape victims is a bad thing? Santorum has proven himself to be a misogynist and a cruel, heartless human being.
I just saw the exchange between Donna and Ari on Wolf, regarding the issue of contraception. All I can say is Donna, YOU ARE MY HERO!!!! Your points were all valid, and yes if viagra was the topic of conversation it would not be discussed. And Ari, SHAME ON YOU! Do you have a wife, mother, sister, daughter? You can stand there and say that a womans right is not to be shoved onto you by the government.
Donna your professionalism was on mark. Thank you for speaking up when it needs to be spoken.
v_mag
Well, Rick, heaven forbid that we inflict health care or help of any kind on a rape victim. Afterall, she must have asked for it, right?
RINO Bil
His comments on this subject alone demonstrates just how drastically out of touch Rick Santorum is from the rest of America. If nothing else, Santorum is helping, not hindering, Mitt Romney.
akmac64
Why do extremists think that they are the voice of anything except the extreme. Most Americans have had it with this kind of politics. Look at the public confidence ratings of the House of Representatives if you don't believe that. Or all of Congress if you don't want to single out a particular party.
Of course all hospitals should be required to offer emergency contraception to rape victims. That does not mean that the victim has to accept the offer. Is that so difficult to understand? Santorum is beating a dead horse. If he can not grasp that he should not be a candidate for any important office.
Jeffer65
The economy has not recovered yet. Unemployment is still high, higher if you count the people who are lnot ooking for jobs. Problems in Syria, Iran, and Egypt. Gas prices going up again. All this and these morons are arguing about birth control. Give me a break!
Lynda/Minnesota
"Santorum is SCARY !!"
Gingrich, Romney, Santorum, Paul. It makes no difference - they are each of them scary in their own way and astonishingly unstable psychologically for the office they seek to hold.
This is how republicans get votes.... they go after the Bible nuts! Republicans couldnt care less about the middle class or lower class and to get there votes they use GOD.. these people dont care that repub's want to cut veterans health care, they just care that no gay people serve in the military or a rape victim cant have an abortion. PUT THE BIBLE DOWN ITS A COMIC BOOK... treat people with respect and dignity and die knowing you were a good person.
Santorum is correct to expose Romney's blatant hypocrisy on this issue...flip-flopped (again)
Nothing new here
I have some ideas....
1. How about these churches start paying TAXES for once?
2. How about these churches be mandated to start taking generous care of all rape/incest victims, including covering the full cost of their healthcare, counseling, housing and all other necessities?
3. How about these churches take more initiative in feeding and sheltering the homeless?
4. How about these churches spend more time being givers, instead of more political takers?
jo an
The 'Christians' are heartless...especially Rick.....not that different from the Muslim Men....ALL about controlling women's bodies....whether it is CHRISTIAN FUNDAMENTALIST...ORTHODOX JEWS....MUSLIM FUNDAMENTALISTS.....STAND UP AMERICA....Let's don't go back to their world.....THE DARK AGES...Jesus didn't hang around with the 'Conservatives' in his day...read the BIBLE...
TomGI
Santorum's got a topic, birth control. Perfect. Make yourself more irrelevant than you already are. WHO CARES ABOUT THIS ISSUE BESIDES A FRACTIONAL MINORITY?
America has awaken republicans. We are not falling for your lies. This party is totally bonkers. These lies that they keep using are getting old. We are not in the 1950's anymore.
Holly Bush
As usual, religion continues to be the well spring for the degradation of women.
JLFuller
This is classic Santorum. He makes decisions only with a thought to his religion. Religion is good and I support it. However there are always situations where the demands of religion have to be balanced with common sense. Santorum has a hard time doing that. This proves he can't.
James in Denton
All those who wished rape upon Santorum's family, even if to teach a lesson, should be ashamed. Yes, he's an idiot but don't put yourself in the same boat.
When he gets pregnant, or is raped and then gets pregnant, then he can speak. Other than that, mind your own business. He's scary.
CTSadler
This is shaping up to be the big issue of the 1952 campaign.
gorn by any other name
I have to hand it to Rick – he is honest and consistent. Honestly and consistently nuts. He very correctly paints himself as being in contrast to a "moderate" like Romney, because he truly believes that moderation is a bad thing. He very correctly points out that he would provide a clear contrast against Obama in the general election because, after all, crazy contrasts very well against sane, and theocrat contrasts very well against secularist. He doesn't quite get the fact that his brand of lunacy appeals to a small minority and he is thus unelectable, but unlike the chameleon Romney he is indeed honest about his nuttery.
Willie Floyd
Womens' rights are not found within the Rep. party. Seems a lot like Islam.
OBAMA/BIDEN 2012
When will these people understand that the issue is the ECONOMY....not all of this birth control, who you sleep with-and what, God forbid, you chose to do AFTER you have been RAPED stuff.....Please. I'm begging-vote OBAMA!
These are the same people saying Catholic employers should be able to offer health insurance that doesn't cover birth control pills. They say it interferes with the employer's freedom of religion.
They fail to realize (or admit) that their position allows employers to force their religious beliefs on employees. What if a Scientologist-run company refused to provide health care that covered mental health services? What if a Jehova's Witness employer refused to offer health insurance that covered blood transfusions? Would the Republicans support those restrictions as well?
Rick is like most GOPers. He thinks since he is a man, he gets to tell women what to do, think, how to act, and what medical coverage they deserve. WRONG Rick. As a woman with a brain that works just fine, thank you, I'll make my own decisions. How arrogant of you to think you have the right to deny me the right to make my own decisions. The medication given to women in these situations for the most part, prevent pregnancy, not necessarily end one.
I guess your problem is that you don't get it. It is NONE of YOUR Business, stay out of it. | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 6,009 |
<!DOCTYPE html>
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<title>Capturekeys Test Suite</title>
<script src="../libs/jquery/jquery-1.8.2.js"></script>
<link rel="stylesheet" href="../libs/qunit/qunit-1.10.0.css" media="screen">
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| {
"redpajama_set_name": "RedPajamaGithub"
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What is the Cashbook Bank Statement Upload module?
The Automated Bank Statement Upload module takes transaction details directly from your bank account and uploads them electronically into your ERP System.
This data can then be used in Cashbook for: automated A/R matching and postings, automated bank reconciliation when matched against cash transactions and Cash Dashboard information for real-time bank balances.
Module allows you to upload bank transaction information on an as-need basis.
Transactions are permanently available at the bank source. Making these transactions available in your ERP system involves creating a file with the transactions and then making the file available anywhere on your network for processing by Cashbook.
Direct connections with bank systems can also be facilitated.
Numerous bank interfaces available such as XML, CSV, MT940, EDI, TXT and BAI.
Each statement uploaded creates a journal and can be used for a variety of purposes: automated A/R matching, bank reconciliation and dashboard updates.
Store opening and closing balances and bank statement numbers.
Eliminates the need for manual entry of transactions.
Improved data quality: uploading information directly from the bank reduces the likelihood of data inconsistencies.
Ensures bank independence as your business evolves. Changing bank simply means changing the bank interface while the business process continues uninterrupted. | {
"redpajama_set_name": "RedPajamaC4"
} | 5,688 |
Yasiin Bey released his newest album and all I got was a Polaroid of myself By Ann Binlot
Yasiin Bey released his newest album and all I got was a Polaroid of myself
Ann Binlot
Ann Binlot is a New York-based art and culture writer.
The artist formerly known as Mos Def released Negus at Art Basel in Hong Kong—but you could only listen to it if you were there.
As I perused through the art-filled booths of Art Basel in Hong Kong on its Private View Day—the preview day reserved for collectors, media, and other assorted VIPs—a fellow journalist named Monica Salazar told me the most random thing: "Mos Def is having a listening party at Art Basel," she said.
"What?" I asked, confused.
"He's doing it with The Third Line," she responded, referring to the Dubai-based gallery.
"What?" I repeated, still confused by the idea of the rapper—whose music played a prominent part in the soundtrack of my youth—releasing an album at Art Basel in Hong Kong, of all the places in the world.
We immediately rushed to The Third Line's booth, which was filled with a series of blue photographs by Farah Al Qasimi; Youssef Nabil's portraits of Catherine Deneuve, Alicia Keys, and David Lynch; and the electrifying works of Hassan Hajjaj. Sunny Rahbar, the art dealer behind the gallery, explained it: Yasiin Bey is very aware of society's inability to focus on anything because of technology. So, Bey, the artist formerly known as Mos Def, who was named Dante Terrell Smith by his parents, wanted to release his latest album Negus in a context where the listeners had to actually focus on the music. Negus isn't brand new; it was produced by Lord Tusk, Steven Julien, and ACyde; recorded in London in 2015; and named after a royal title in the Ethiopian Semitic languages. Attendees of the listening sessions would lock their phone in a Yondr case, creating an environment where—instead of taking photos to post on Instastories, scrolling through Instagram, checking emails, and text messaging friends—they could actually focus on the music as it was played on headphones. The time was right; it had been 20 years since Bey released the seminal 1999 album Black on Both Sides, and a decade since he released Ecstatic.
Rahbar then told us about the genesis of the collaboration: Bey paid a visit to The Third Line at Alserkal Avenue in Dubai and he liked the program. The subject of his music came up. He told Rahbar about Negus, and said he had been looking for the right platform on which to release it, and that he wanted to do it through the context of art. The partnership was born, and after an initial friends and family listening session at Hajjaj's riad in Marrakech, they decided to make Negus's public debut an ephemeral experience that would only last when the record was actually being played, eschewing the traditional methods of digital distribution on Spotify or Apple Music or putting out a tangible product like a record or CD. Bey would then photograph listeners with a Polaroid camera and they would have the option to purchase the portraits, as a souvenir of the occasion. I've never experienced an album in that way, so I immediately signed up for the first session the next day.
Polaroid of writer Ann Binlot taken by Yasiin Bey following the Negus listening session.
I arrived at the first floor balcony at the Hong Kong Exhibition and Convention Centre at 3pm on March 28. The person at the desk instructed me to put my phone inside of the Yondr case, and handed me a playlist comprised of eight tracks. Rahbar and Bey emerged, apologetic about the 77-degree humidity. Bey told us he wanted us to be present in the moment and focus on the songs, which had titles like "Dream Study," "Hemp," and "Day Trippers." I sat on the balcony and stared at the KAWS sculpture floating in the glittering water and boats passing through Victoria Harbour while melting under the Hong Kong sunshine. When I wanted to take notes I realized how dependent I had become on my phone. I use it for note taking, recording interviews, and taking photographs so I could remember things. Without it, I only had my memory—and the black kajal eyeliner in my makeup bag. Why did I not bring a pen? I asked myself in frustration. Negus contained all the elements of Bey's music that caused me to admire it in the first place: intelligent lyrics and beats that made me want to dance. "I take the space, I take the time," was one of the lines I sloppily scrawled in eyeliner on a piece of paper. Space and time are both things I definitely need more of in life. The beats were synth-heavy and electric. Towards the end, one of the listeners smiled after the sound of cymbals banging together went off. "This is good," he announced. We were sold.
After the album finished, Bey reemerged with a camera (he has been experimenting with photography, and large scale prints were available at the fair) and fans thanked him for the experience, telling the artist how important his music was to them. I asked if he would speak to me about Negus. "No press just yet," he politely responded. "But stay in touch with Sunny and I'll reach out to you." He did say that he wanted it to be a focus and listening experience, akin to a music salon. Those not in Hong Kong may have a chance to listen to Negus in the future at a future listening session (there is currently an iteration in Dubai at The Third Line through April 20). I had so many questions in my head. Has the record album turned into a form of sound art? Will Bey be selling it as such?
I left, planning to return the next day to purchase the photo, without the ability to recall what I just listened to by searching for it on Spotify. For those 26 minutes I was in the present without my phone to distract me, listening to Negus. Despite the heat, it was a nice break from the chaos of Art Basel in Hong Kong, a chance to hear new work from an artist whose work I respected for nearly two decades, and an opportunity to actually be there, in the moment, to enjoy it—something I need more of in this technology-dependent world that's full of distractions.
Art BaselArt Basel in Hong KongMos DefMusicYasiin Bey
Jeremy O. Harris on cinematic confections, speaking drunk french, and manifesting his role in Emily in Paris
"Will You Be?": New York's Baltra grapples with the dystopic, dreamlike reality of isolation | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 7,630 |
Cisco Small Business 200 Series Smart Switches combine powerful network performance with reliability to help you build a basic business network. Affordable and easy to use, these entry-level, web-managed switches deliver the essential network features you need.
Get a business-class network with such features as quality of service, security, Power over Ethernet, and IPv6 support.
Choose from nine models to power up IP phones, cameras, wireless access points, and more.
Intuitive browser-based tools simplify setup and configuration. | {
"redpajama_set_name": "RedPajamaC4"
} | 510 |
\section{Introduction}
\label{sec:intro}
The quest to improve the efficiency of solar energy conversion is the
focus of intensive current research. \cite{Nelson:2003,Wuerfel:2009,Nayak/etal:2012}
In particular, considerable attention has focused recently on organic solar cells,
where advantageous low manufacturing cost is still counterbalanced by
a relatively low energy conversion yield, associated with the fact
that light absorption in such low dielectric permittivity materials
forms excitons, that is electron-hole pairs,\cite{Bruetting:2012} that
require extra energy for dissociation.\cite{Denner/etal:2009,Chen/etal:2009,Bredas/etal:2009,Deibel/Dyakonov:2010,Nicholson/Castro:2010,Thompson/etal:2011,Nelson:2011,Camaioni/Po:2013,Seki/etal:2013}
Such energy conversion studies naturally involve question concerning
efficiency,\cite{Nelson:2011,Potscavage/etal:2009,Wagenpfahl/etal:2010,Koster/etal:2012,Gruber/etal:2012}
in particular the possible existence of
fundamental limits on this efficiency.\cite{Shockley/Queisser:1961,Henry:1980,Landsberg/Tonge:1980,Giebink/etal:2011,Schaber/Sariciftci:2013,Green:2012}
Obviously, the efficiency of any individual photovoltaic system intimately depends on its
structure, but much as is done for heat engines, it is of interest to
understand it on the generic level which starts with the determination
of the maximum efficiency and follows by identifying and analyzing
processes that reduce it. The seminal work of Shockley and Queisser
(SQ)\cite{Shockley/Queisser:1961} is a prominent example. In that work, a thermodynamic analysis
of semiconductor (SC)-based solar cells is carried out under the
assumptions that \emph{(a)} all photons with energies larger than the SC band
gap are absorbed, and \emph{(b)} the only source of loss is the radiative
recombination of e-h pairs (an unavoidable process whose existence
follows from the principle of detailed balance). With these model
assumptions, and using thermodynamic considerations formulated in
terms of the detailed balance principle, SQ has provided a simple
analysis of the maximal ensuing cell efficiency. Several works, see for example Refs.~\onlinecite{Sylvester-Hivid/etal:2004,Rau:2007,Kirchartz/Rau:2008,Kirchartz/etal:2009a,Vandewal/etal:2009},
have extended the SQ analysis to more complex models, e.~g.,
organic photovoltaic (OPV) cells.\cite{Seki/etal:2013,Koster/etal:2012,Giebink/etal:2011,Schaber/Sariciftci:2013,Sylvester-Hivid/etal:2004,Kirchartz/etal:2009a,Vandewal/etal:2009,Miyadera/etal:2014}
Others have formulated abstractions of the SQ model (sometimes with
generalizations that account for carrier non-radiative recombination)
in order to study its kinetics and thermodynamics foundation.\cite{Nelson/etal:2004,Markvart:2008,Rutten/etal:2009,Einax/etal:2011,Einax/etal:2013,Wang/Wu:2012}
Recent works have also studied the possible implications of quantum
coherence in the quantum analogues of such kinetic models.\cite{Scully:2010,Kirk:2011,Scully:2011,Goswami/Harbola:2013}
At the core of many of these generic approaches is the use of
thermodynamics to analyze energy exchange and conversion processes in
the limit of vanishing rates. Such analysis can provide generic
results for maximal efficiencies at the cost of being limited to zero
power processes. Consideration of such systems under finite power
operation requires more detailed information about the underlying rate
processes. This has been done for specific model systems, see e.~g. Ref.~\onlinecite{Rutten/etal:2009},
however it is of interest to find a general formulation and generic
principles that underline the analysis of such situations. Obviously,
such an analysis should reduce to its thermodynamic counterpart in the
limit of zero rates (that is, equilibrium) and power.
In this paper we formulate this task in the framework of network
theory as applied to steady state systems.\cite{Hill:1966,Schnakenberg:1976,Zia/Schmittmann:2007,Andrieux/Gaspard:2007,Gaspard:2010,Altaner/etal:2012,Seifert:2012}
Inspired by the Kirchoff laws,\cite{Kirchhoff:1847} applications of this theory to the performance
analysis of chemical reaction networks are well known in diverse areas
such as chemical engineering\cite{Andrieux/Gaspard:2004} and chemical biology,\cite{Gerritsma/Gaspard:2010} but we are not
aware of such work on photovoltaic systems. We will limit ourselves to
the open circuit (OC), reversible operation limit, leaving dynamic
considerations to a subsequent publication. When applied (Section~\ref{sec:2-level})
to the simplest $2$-level model of Refs.~\onlinecite{Nelson/etal:2004} and \onlinecite{Rutten/etal:2009} this framework yields
a formalism similar to that considered in these papers. The strength
of this approach becomes apparent in more complex models as we show in
the subsequent consideration (Section~\ref{sec:BHJ-OPV_model}) of the thermodynamic
efficiency limit in the simplest ($6$-level) kinetic model\cite{Einax/etal:2011,Einax/etal:2013} for an
organic bulk heterojunction (BHJ) solar cell. (While we consider this
model in detail, it is made evident that this description can be
applied in far more complex situations.) The system dynamics is
described by a kinetics scheme derived using a lattice gas
approach,\cite{Einax/etal:2010a,Einax/etal:2010b,Dierl/etal:2011,Dierl/etal:2012}
similar in spirit to previous work\cite{Wagenpfahl/etal:2010,Sylvester-Hivid/etal:2004,Burlakov/etal:2005,Ruehle/etal:2011}
that use a master equation approach to analyze cell dynamics. In the graph
theory approach this kinetic scheme is represented by a graph that
comprises nodes (corresponding to states) and edges (representing
transitions between states), on which fluxes associated with the
non-equilibrium dynamics flow along interconnected linear and cyclical
paths. In this scheme, the observed macroscopic currents (average
currents of macroscopic variables) through the systems, are linked
through their circular counterparts to the microscopic transitions
between individual states. It has been shown by Schnakenberg\cite{Schnakenberg:1976} that
for each cycle an associated entropy production (called affinity of
cycle) can be obtained as the ratio between the product of all
transition rates in the forward direction and the corresponding
product of transition rates in the reversed direction. Then, the upper
efficiency limit of a large class of systems follows straightforwardly
by setting the cycle affinity of a basic cycle (that contains the
photovoltaic operation of the device) to zero. Specifying to BHJ-OPV
cells, this analysis shows that when exciton binding energies are
non-negligible the molecular heat engines operates with an efficiency
which is fundamentally lower than the Carnot efficiency. This finding
recovers the numerical observation in Ref.~\onlinecite{Einax/etal:2011} and is compatible with
the result obtained from the second law of thermodynamics in Ref.~\onlinecite{Giebink/etal:2011}.
As expected, in the limit of zero exciton binding the theoretical
limit approaches the universal upper bound given by the Carnot
efficiency.
\section{The 2-level photovoltaic model}
\label{sec:2-level}
As in Refs.~\onlinecite{Nelson/etal:2004,Rutten/etal:2009,Baruch:1985},
we consider a photovoltaic device comprising a
two level system situated between two external contacts, $L$ and $R$
[see Fig.\ref{fig:fig1}(a)], so that level $1$ is coupled only to the
left electrode while level $2$ sees only the right electrode. For
simplicity we disregard the electron spin and exclude double occupancy
of the $2$-level system. This device can thus be in three states:
$0$-vacant, $1$-electron in level $1$ and $2$-electron in level $2$,
that constitute a simple cyclical network [Fig.\ref{fig:fig1}(b)] in
which each vortex represent a state and each edge connecting two
vortices corresponds to a pair of forward and back rates
\begin{align}
\label{eq:fb_path}
0 & \xrightleftharpoons[k_{01}]{k_{10}} 1 \xrightleftharpoons[k_{12}]{k_{21}} 2 \xrightleftharpoons[k_{20}]{k_{02}} 0
\end{align}
\begin{figure}[h!]
\centering
\includegraphics[width=0.95\textwidth]{fig1.eps}
\caption{A spinless two-levels, $3$-state model of a solar device that comprises two
metal electrodes and a two-level molecule. Levels $1$ and $2$ are
coupled to the left and right electrodes, respectively. The molecule
can be in states $0=|0,0\rangle$, $1=|1,0\rangle$ and
$2=|0,1\rangle$ where $|n_1, n_2\rangle$ is a state with $n_1$
electrons in level $1$ and $n_2$ electrons in level $2$ (double
occupancy is not allowed).}
\label{fig:fig1}
\end{figure}
Under conditions that lead to equilibrium at long time, the ratios between these rates are
determined by the ambient temperature $T$ , the level energies $E_1$, $E_2$ and the chemical
potential $\mu$ that characterizes electrons in the metal electrodes, and are given by the
detailed balance relations
\begin{align}
\label{eq:DBC_2-level_eq}
\frac{k_{10}}{k_{01}} &= e^{-\beta (E_1-\mu)}\, ; \quad \frac{k_{21}}{k_{12}} = e^{-\beta (E_2-E_1)}\, ; \quad
\frac{k_{20}}{k_{02}} = e^{-\beta (E_2-\mu)}\, ,
\end{align}
where $\beta=1/k_{\rm\scriptscriptstyle B} T$ is the inverse thermal energy and
$k_{\rm\scriptscriptstyle B}$ is the Boltzmann constant. Note that the rates $k_{21}$ and
$k_{12}$ can originate from radiative transition (thermal radiation)
as well as non-radiative processes, both characterized by the ambient
temperature $T$. At equilibrium all fluxes vanish, $J_{ji} =k_{ji}
P_i^{\rm eq} - k_{ij} P_j^{\rm eq}$, where $P_j$ is the probability
that the system is in state $j$. A cyclical network of this property
is characterized by the identity
\begin{align}
\label{eq:path_ratio_2-level}
\frac{k_{02} k_{21} k_{10}}{k_{20} k_{12} k_{01}} = 1
\end{align}
that is satisfied by the ratio between forward and backward rates in a reaction loop,
provided that these rates sustain a state of zero loop current.
In an operating photovoltaic cell the system is taken out of this
equilibrium in two ways: \emph{(a)} Radiative pumping (an damping) is
affected on the $1$-$2$ transition. In standard models of photovoltaic
cells this pumping is represented by an effective temperature
$T_{\rm\scriptscriptstyle S} =1/k_{\rm\scriptscriptstyle B} \beta_{\rm\scriptscriptstyle S}$ (``sun temperature''\cite{note:EN_1}).
With the coupling scheme (\ref{eq:fb_path}) this leads to electron current from the left
to the right electrode, however this short circuit current does not
perform any useful work unless \emph{(b)} an opposing voltage bias $V=\Delta
\mu /e$ is set between the two electrodes ($\Delta \mu$ is the
corresponding chemical potential difference) so that the photocurrent
works against this bias. The kinetic rates now satisfy
\begin{align}
\label{eq:DBC_2-level_sun}
\frac{k_{10}}{k_{01}} &= e^{-\beta (E_1-\mu)}\, ; \quad \frac{k_{21}}{k_{12}} = e^{-\beta_{\rm\scriptscriptstyle S} (E_2-E_1)}\, ; \quad
\frac{k_{20}}{k_{02}} = e^{-\beta (E_2-\mu)}\, ,
\end{align}
where $\mu_2=\mu_1+\Delta \mu$ and $T=1/k_{\rm\scriptscriptstyle B}\beta$ is the ambient temperature. At steady state, the
current $J$ is the same on all segments of the graph of Fig.~\ref{fig:fig1}(b)
\begin{align}
\label{eq:J_av_2-level}
J&=k_{10} P_0 - k_{01} P_1 = k_{21} P_1 - k_{12} P_2 = k_{02} P_2 - k_{20} P_0
\end{align}
The open circuit (OC) voltage is the bias for which this current
vanish. The existence of such a state again implies that these rates
satisfy Eq.~(\ref{eq:path_ratio_2-level}).
Equations~(\ref{eq:path_ratio_2-level}) and (\ref{eq:DBC_2-level_sun})
then lead to
\begin{align}
\label{eq:Carnot_eff}
\frac{\Delta \mu^{\rm OC}}{E_2-E_1} &= 1-\frac{T}{T_{\rm\scriptscriptstyle S}}
\end{align}
Viewed as the zero current limit of the efficiency $J \Delta
\mu/[J(E_2-E_1)]$ (ratio between the work per unit time, $\dot{W}= J
\Delta \mu$ extracted from the device and the heat per unit time,
$\dot{Q}= (E_2-E_1)J$ absorbed from sun), Eq.~(\ref{eq:Carnot_eff})
simply identifies the efficiency in this reversible (zero current)
limit as the Carnot efficiency. Remarkably, this result does not
depend on the relative alignment of the molecular levels with respect
to the electrodes Fermi levels. It does rely on the assumption that
all input ``sun heat'' enters at the resonance energy $E_2-E_1$, and
identifies the inability of this system to efficiently extract energy
from photons of different energies as an important source of loss.
This simple example demonstrates the use of kinetic schemes that
incorporate rate information in the analysis of photovoltaic device
performance, as well as its relationship to thermodynamics. Naturally,
Carnot efficiency is realized in the OC limit. In the following two
sections we apply a similar analysis to a simple model of bulk
heterojunction organic photovoltaic (BHJ-OPV) cell, where essential
internal losses leads to a maximum efficiency that is lower than the
Carnot result.
\section{BHJ-OPV Model}
\label{sec:BHJ-OPV_model}
The BHJ-OPV cell model considered here is comprised of two effective sites
$l=\rm D,\,A$ representing the donor (D) and the acceptor (A) molecules, in contact with two
electrodes, $L$ and $R$ (see Fig.~\ref{fig:fig2}). Each of the sites is described as a two-state system
with energy levels $\varepsilon_{\rm\scriptscriptstyle D1},\varepsilon_{\rm\scriptscriptstyle D2}$) and
($\varepsilon_{\rm\scriptscriptstyle A1},\varepsilon_{\rm\scriptscriptstyle A2}$) corresponding to the highest occupied and
lowest unoccupied molecular orbitals (HOMO, LUMO) levels of the donor and acceptor
species, respectively. The electrodes are represented by free-electron reservoirs at
chemical potentials $\mu_{K}$ ($K=L, R$) that are set to $\varepsilon_{\rm\scriptscriptstyle F} =
\varepsilon_{\rm\scriptscriptstyle D1} + \Delta E_{\rm\scriptscriptstyle D}/2$
($\Delta E_{\rm\scriptscriptstyle D} = \varepsilon_{\rm\scriptscriptstyle D2}-\varepsilon_{\rm\scriptscriptstyle D1}$)
in the zero-bias junction. The electrochemical potential difference corresponds to a bias
The electrochemical potential difference corresponds to a bias voltage
$U=(\mu_{\rm\scriptscriptstyle R} - \mu_{\rm\scriptscriptstyle L})/|e|$ where
$|e|$ is the electron charge. In what follows we use the notation $\Delta E_l = \varepsilon_{l2} -
\varepsilon_{l1}$ ($l=\rm D,\,A$), for the energy differences that represent the donor and
acceptor band gaps, and refer to $\Delta\varepsilon = \varepsilon_{\rm\scriptscriptstyle D2} -
\varepsilon_{\rm\scriptscriptstyle A2}$ as the interface or
donor-acceptor LUMO-LUMO gap.\cite{note:EN_2} The different system states are described
by occupation numbers $n_{\rm\scriptscriptstyle K_j}=0,1$, where $K=D,A$ and
$j=1,2$.
\begin{figure}[h!]
\centering
\includegraphics[width=0.55\textwidth]{fig2.eps}
\caption{Schematic representation of energetics in BHJ solar cells. The
system consists of a donor and acceptor, each characterized by
their HOMO and LUMO levels.}
\label{fig:fig2}
\end{figure}
\begin{figure}[b!]
\centering
\includegraphics[width=0.55 \textwidth]{fig3.eps}
\caption{(Network representation of
the underlying master equation associated with the six accessible
microstates. The graph is composed of six vertices (shown as
circles). The interconnected vertices represent the probabilities
$P_N$ to find the system in a microstate $N$ ($N=0,...,5$) and the
edges connecting some pairs of vertices stand for transitions
between the states. The edges are drawn as arrows that indicate
transitions with rate $k_{N'\,N} = k_{N' \leftarrow N}$ from a
state (vertex) $N$ to $N'$.}
\label{fig:fig3}
\end{figure}
To further assign realistic contents to this model we introduce the restrictions
$n_{\rm\scriptscriptstyle D1} n_{\rm\scriptscriptstyle D2} = 0$ (i.e., the donor cannot be double occupied)
and $n_{\rm\scriptscriptstyle A1} =1$. The second condition
implies that the acceptor can only receive (and subsequently release) an additional
electron. Because of this restriction, the energy $\varepsilon_{\rm\scriptscriptstyle A2}$
can be taken as the corresponding single electron energy given that level $A_1$ is occupied.
The resulting microscopic description then consists of six states with respect to the
occupations $(n_{\rm\scriptscriptstyle
D1},\,n_{\rm\scriptscriptstyle D2},\,n_{\rm\scriptscriptstyle
A1},\,n_{\rm\scriptscriptstyle A2})$, that we denote by the integers
$N=0,\,...,\,5$, (see Fig.~\ref{fig:fig3}). Within this six-state
representation, the probability to find the system in state $N$ is denoted by $P_N$. The
system dynamics is modeled by a master equation accounting for the time evolution of
the probabilities $P_N (t)$ ($N=0,\,...,\,5$) fulfilling normalization $\sum_{N} P_N (t) =1$
at all times (for details, see Ref.~\onlinecite{Einax/etal:2011}).
The steady state is evaluated by setting $d P_N (t)/dt =0$.
In what follows, we assume that the transition rates $k_{N'\,N} = k_{N' \leftarrow N}$ from state $N$
to state $N'$ obey (local) detailed balance condition, i.~e. their ratios are given by
$k_{N'\, N}/k_{N\, N'} = \exp(-\beta_\nu \Delta E_{N'\, N})$, where $\Delta E_{N'\, N} = E_{N'}-E_{N}$.
Note that in general $\Delta E_{N'\, N}$ is
determined by intrinsic energy differences as well as external driving forces.\cite{Einax/etal:2010a}
$\beta_\nu=1/k_{\rm\scriptscriptstyle B} T_\nu$ is the inverse thermal energy associated with a thermal bath at temperature
$T_\nu$. As in the $2$-level example addressed in Section~\ref{sec:2-level}, some of the rates processes are
governed by the ambient temperature $T$, while others reflect external driving force. In the
present model the latter are the $1 \rightleftharpoons 2$ and $4 \rightleftharpoons 5$ transitions,
which are governed by the effective temperature $T_{\rm\scriptscriptstyle eff}$ defined below.
Because the heterojunction architecture entails an intrinsic energy loss associated
with the exciton dissociation, the energetics is determined by both the interfacial gap
energy $\Delta \varepsilon$ and the exciton binding energy. In what follows we will define the exciton
binding energy $V_{\rm\scriptscriptstyle C}$ as the difference between the energy needed to move the electron from
donor upper level $D2$ to the acceptor level $A2$, and the same energy evaluated in the
fictitious case in which the Coulombic electron-hole interaction is disregarded. It is
important to note the difference between this many body energy and the essentially single
electron energies $\varepsilon_{\rm\scriptscriptstyle K_j}$, $K=D,A$, $j=1,2$.
The latter are properties of the single electron levels depicted in Fig.~\ref{fig:fig2},
and their differences enter in evaluating the transition energies between the corresponding levels.
In contrast, $V_{\rm\scriptscriptstyle C}$ is a property of a transition between states $2$ and $3$ (see Fig.~\ref{fig:fig3})
and does not enter any other transition energy. (This assumes, as
we do here, that the exciton binding energy is fully realized in this transition, i.~e., that the
corresponding electron-hole Coulomb attraction does not extend beyond the nearest
neighbor $D$-$A$ distance). Thus $E_3-E_2=\varepsilon_{\rm\scriptscriptstyle A2}-\varepsilon_{\rm\scriptscriptstyle D2}+V_{\rm\scriptscriptstyle C}$,
however (for example) $E_1-E_0=E_4-E_3=\varepsilon_{\rm\scriptscriptstyle D1}-\mu_L$
and $E_3-E_0=E_5-E_2=\varepsilon_{\rm\scriptscriptstyle A2}-\mu_R$ do not depend on $V_{\rm\scriptscriptstyle C}$.
With this understanding, the energy differences $\Delta E_{N'\, N} = E_{N'}-E_{N}$ between any two molecular states
depicted in Fig.~\ref{fig:fig3} can be written and used as described below.
\section{Thermodynamic efficiency limit from a cycle representations}
\label{sec:thermo_eff_limit_CP}
The six system states shown in Fig.~\ref{fig:fig3} are connected by rate processes, forming
a graph in which the states are represented by nodes while the rate processes corresponds
to the links between them. This graph can be decomposed into cycles, as detailed in
Table~\ref{table:cycle}.
Let us focus on the fundamental cycle associated with the path
$C_1$: $P_0 \rightarrow P_1 \rightarrow P_2 \rightarrow P_3 \rightarrow P_0$.
This cycle represents the photovoltaic operation of the
considered minimal model for a BHJ-OPV solar cell. In the ``forward direction'' it starts
with electron transfer from the left electrode into level $D1$ ($P_0 \rightarrow P_1$),
followed by light induced promotion of the electron to level $D2$ ($P_1 \rightarrow P_2$),
exciton dissociation, that is electron transfer from $D2$ to $A2$ ($P_2 \rightarrow P_3$) and,
finally, transfer of the excess electron on level $A2$ of the acceptor to the right electrode.
These processes are of course accompanied by their reverse counterparts.
The energies associated with these transitions are
$\Delta E_{10} = \varepsilon_{\rm\scriptscriptstyle D1}-\mu_{\rm\scriptscriptstyle L}$,
$\Delta E_{21} = \varepsilon_{\rm\scriptscriptstyle D2}-\varepsilon_{\rm\scriptscriptstyle D1} = \Delta E_D$,
$\Delta E_{32} = \varepsilon_{\rm\scriptscriptstyle A2}-\varepsilon_{\rm\scriptscriptstyle D2} + V_{\rm\scriptscriptstyle C} = V_{\rm\scriptscriptstyle C} - \Delta \varepsilon$,
and $\Delta E_{03} = \mu_{\rm\scriptscriptstyle R} -\varepsilon_{\rm\scriptscriptstyle A2}$.
The corresponding rates satisfy detailed balance conditions that are
determined by these energies and the corresponding temperatures. The processes $0 \rightleftharpoons 1$,
$2 \rightleftharpoons 3$, and $3 \rightleftharpoons 0$
are governed by the ambient temperature $T$. Consequently
\begin{align}
\label{eq:k10k01}
\frac{k_{10}}{k_{01}} &= e^{-(\varepsilon_{\rm\scriptscriptstyle D1}-\mu_{\rm\scriptscriptstyle L})/k_{\rm\scriptscriptstyle B} T} \, , \\
\label{eq:k32k23}
\frac{k_{32}}{k_{23}} &= e^{-(V_{\rm\scriptscriptstyle C} - \Delta \varepsilon)/k_{\rm\scriptscriptstyle B} T} \, ,
\end{align}
and
\begin{align}
\label{eq:k03k30}
\frac{k_{03}}{k_{30}} &= e^{-(\mu_{\rm\scriptscriptstyle R}-{\varepsilon}_{\rm\scriptscriptstyle A2})/k_{\rm\scriptscriptstyle B} T} \, .
\end{align}
Consider now the photoinduced $1 \rightleftharpoons 2$ process. In general, both the forward and
reverse transitions are associated with radiative and non-radiative excitation and
recombination
\begin{align}
\label{eq:k21k12_sum}
k_{12} &= k_{12}^{\rm R} + k_{12}^{\rm NR}\, ; \quad k_{21} = k_{21}^{\rm R} + k_{21}^{\rm NR} \, .
\end{align}
The radiative rates are photoinduced by sunlight and satisfy a detailed balance condition
associated with the sun temperature $T_{\rm\scriptscriptstyle S}$, while the non- radiative rates are determined by
interaction with the environment and obey a detailed balance relation governed by the
ambient temperature
\begin{align}
\label{eq:k21k12}
\frac{k_{21}^{R}}{k_{12}^{R}} &= e^{-\Delta E_{\rm\scriptscriptstyle D} /k_{\rm\scriptscriptstyle B} T_{\rm\scriptscriptstyle S} }\, ; \quad
\frac{k_{21}^{NR}}{k_{12}^{NR}} = e^{-\Delta E_{\rm\scriptscriptstyle D} /k_{\rm\scriptscriptstyle B} T }\, .
\end{align}
\begin{table}
\caption{Cycles associated with the network of the systems states given in Fig.~\ref{fig:fig2}.}
\vspace*{1ex}
\label{table:cycle}
\begin{tabular}{|c|l|}
\hline
& \\[-1ex]
CYCLE & \hspace*{2cm} PATH \\[1ex]
\hline \hline
& \\[-1ex]
C$_1$ & $P_0 \rightarrow P_1 \rightarrow P_2 \rightarrow P_3 \rightarrow P_0$\\[2ex]
C$_2$ & $P_0 \rightarrow P_1 \rightarrow P_4 \rightarrow P_5 \rightarrow P_2 \rightarrow P_3 \rightarrow P_0$\\[2ex]
C$_3$ & $P_1 \rightarrow P_2 \rightarrow P_3 \rightarrow P_4 \rightarrow P_1$\\[2ex]
$C_4$ & $P_2 \rightarrow P_3 \rightarrow P_4 \rightarrow P_5 \rightarrow P_2$ \\[2ex]
C$_5$ & $P_1 \rightarrow P_2 \rightarrow P_5 \rightarrow P_4 \rightarrow P_1$\\[2ex]
C$_6$ & $P_0 \rightarrow P_1 \rightarrow P_4 \rightarrow P_3 \rightarrow P_0$\\[1ex]
\hline
\end{tabular}
\end{table}
Consequently
\begin{align}
\label{eq:k21k12_tot}
\frac{k_{21}}{k_{12}} &\equiv \frac{k_{21}^{\rm R} + k_{21}^{\rm NR} }{k_{12}^{\rm R} + k_{12}^{\rm NR}} = e^{-\Delta E_{\rm\scriptscriptstyle D} /k_{\rm\scriptscriptstyle B} T_{\rm\scriptscriptstyle eff} } \, ,
\end{align}
where the effective temperature $T_{\rm\scriptscriptstyle eff}$ is defined by
\begin{align}
\label{eq:Temperatur_eff}
T_{\rm\scriptscriptstyle eff} &= \frac{\Delta E_{\rm\scriptscriptstyle D}}{k_{\rm\scriptscriptstyle B}} \frac{1}{\ln \big[ \frac{k_{12}^{\rm R} + k_{12}^{\rm NR} }{k_{21}^{\rm R} + k_{21}^{\rm NR}}\big]} \, .
\end{align}
In the absence of radiationless loss ($k_{12}^{\rm NR}=k_{21}^{\rm NR}=0$) $T_{\rm\scriptscriptstyle eff}=T_{\rm\scriptscriptstyle S}$.
In the presence of such loss, Eq.~(\ref{eq:Temperatur_eff}) implies that (since $T < T_{\rm\scriptscriptstyle S}$)
$T_{\rm\scriptscriptstyle eff} < T_{\rm\scriptscriptstyle S}$ . Note that the absolute magnitude of
$T_{\rm\scriptscriptstyle eff}$ is determined not only by the temperatures $T$ and $T_{\rm\scriptscriptstyle eff}$ but also by the kinetic rates
themselves: faster non-radiative recombination implies lower effective temperature.
Next, suppose that the cycle $C_1$ represents the entire energy conversion device.
Consider the ratio of products of forward and backward, rates, $k_{10} k_{21} k_{32} k_{03}$ and $k_{01} k_{12} k_{23} k_{30}$ in cycle $C_1$.
From Eqs.~(\ref{eq:k10k01})-(\ref{eq:k03k30}) and (\ref{eq:k21k12_tot}) we get
\begin{align}
\label{eq:ratio_C1}
\frac{k_{10} k_{21} k_{32} k_{03}}{ k_{01} k_{12} k_{23} k_{30}} &= e^{- (\Delta \mu - \Delta E_{\rm\scriptscriptstyle D} + V_{\rm\scriptscriptstyle C})/k_{\rm\scriptscriptstyle B} T} e^{- \Delta E_{\rm\scriptscriptstyle D}/k_{\rm\scriptscriptstyle B} T_{\rm\scriptscriptstyle eff}} \equiv
e^{-A(C_1)/k_{\rm\scriptscriptstyle B} T}\, ,
\end{align}
where $\Delta \mu = \mu_{\rm\scriptscriptstyle R}-\mu_{\rm\scriptscriptstyle L}$.
The quantity $A(C_1)$ defined by (\ref{eq:ratio_C1}) is the affinity of the cycle $C_1$.
It can be recast in the form
\begin{align}
\label{eq:cycle_affinity}
A(C_1) &= \frac{ \Delta \mu + V_{\rm\scriptscriptstyle C} - \Delta E_{\rm\scriptscriptstyle D} \eta_{\rm\scriptscriptstyle eff}^{\rm\scriptscriptstyle C} }{
k_{\rm\scriptscriptstyle B} T} \, ,
\end{align}
where
\begin{align}
\label{eq:eta_eff}
\eta_{\rm\scriptscriptstyle eff}^{\rm\scriptscriptstyle C} &= 1-\frac{T}{T_{\rm\scriptscriptstyle eff}}
\end{align}
is the Carnot efficiency of a reversible machine operating between temperatures $T$ and $T_{\rm\scriptscriptstyle eff}$.
As discussed in Sec.~\ref{sec:2-level}, the cycle affinity vanishes when the cycle carries no current.
In this reversible case Eq.~(\ref{eq:cycle_affinity}) yields
\begin{align}
\label{eq:OCV}
\frac{\Delta \mu^{\rm OC}}{\Delta E_{\rm\scriptscriptstyle D}} &= \eta_{\rm\scriptscriptstyle eff}^{\rm\scriptscriptstyle C} -
\frac{V_{\rm\scriptscriptstyle C}}{\Delta E_{\rm\scriptscriptstyle D}} \, .
\end{align}
As discussed in Sec.~\ref{sec:2-level} [see Eq.~(\ref{eq:Carnot_eff})], the left hand side of this equation represents the
energy conversion efficiency of our device. When $T_{\rm\scriptscriptstyle eff}=T_{\rm\scriptscriptstyle S}$
(i.~e. in the absence of nonradiative recombination) and $V_{\rm\scriptscriptstyle C} = 0$ (vanishing exciton binding energy),
this device operates, in this open circuit limit, at the Carnot efficiency associated with the sun
temperature. Equation~(\ref{eq:OCV}) shows explicitly the two sources of efficiency reduction in this
reversible (open voltage) situation: The presence of non-radiative recombination which
renders an effective temperature lower than $T_{\rm\scriptscriptstyle S}$ and the exciton binding energy that needs
to be overcome during the operation at the cost of useful work.
The result (\ref{eq:OCV}) is an expression for the maximal efficiency of a device operating
along cycle $C_1$. However, it is easily checked that the same condition for vanishing
affinity is obtained for any of the cycles in Table~\ref{table:cycle} that contains the exciton dissociation
($2 \rightleftharpoons 3$) step, namely cycles $C_1$,$C_2$,$C_3$, and $C_4$.
(To verify this note that $k_{43}/k_{34}= k_{10}/k_{01}$,
and $k_{14}/k_{41}=k_{25}/k_{52}=k_{03}/k_{30}$). Furthermore, for the both cycles $C_5$ and $C_6$ we find
$A(C_5)=A(C_6) = 0$. Therefore the result (\ref{eq:OCV}) is valid for the original $6$-state system
depicted in Figs.~\ref{fig:fig2} and \ref{fig:fig3}. Note that in the absence of non-radiative
recombination, Eq.~(\ref{eq:OCV}) becomes
\begin{align}
\label{eq:OCV_ideal}
\frac{\Delta \mu^{\rm OC}}{\Delta E_{\rm\scriptscriptstyle D}} &= \eta^{\rm\scriptscriptstyle C} -
\frac{V_{\rm\scriptscriptstyle C}}{\Delta E_{\rm\scriptscriptstyle D}} \, ; \quad \eta^{\rm\scriptscriptstyle C} =
1 - \frac{T}{T_{\rm\scriptscriptstyle S}} \, ,
\end{align}
which is compatible with the result of Ref.~\onlinecite{Giebink/etal:2011}.
Equations~(\ref{eq:Temperatur_eff}), (\ref{eq:eta_eff}), and (\ref{eq:OCV}) provide a simple and transparent view of the sources of
OC voltage reduction and reversible efficiency loss in BHJ-OPV cells. We have checked
this result by solving the underlying master equation given in\cite{Einax/etal:2010a}.
To this end we have adapted the energetics and the transitions rates used in this previously work:\cite{Einax/etal:2010a}
$\mu_{\rm\scriptscriptstyle L}=0.0\, \rm eV$,
$\mu_{\rm\scriptscriptstyle R}=\mu_{\rm\scriptscriptstyle L} + \Delta \mu$,
$\varepsilon_{\rm\scriptscriptstyle D1} = -0.1\,\rm eV$,
$\varepsilon_{\rm\scriptscriptstyle D2} = 1.4\,\rm eV$,
$\varepsilon_{\rm\scriptscriptstyle A2} = 1.15\,\rm eV$ and
$V_{\rm\scriptscriptstyle C} = 0.15\,\rm eV$, and have set
the temperatures to $T=300 \rm K$ and $T_{\rm\scriptscriptstyle S}=6000 \rm K$
so the Carnot efficiency is $\eta^{\rm\scriptscriptstyle C}=0.95$.
For simplicity we neglect radiationless losses on the donor.\cite{note:EN_3}
The numerical calculation gives the open circuit voltage $\Delta \mu^{\rm OC} = 1.275$\, eV,
which agrees exactly with that value predicted by Eq.~(\ref{eq:OCV_ideal}), i.~e.,
$\Delta\mu^{\rm OC} = 0.95 \Delta E_{\rm\scriptscriptstyle D} - 0.15\,{\rm eV} =1.275$\, eV.
For $V_{\rm\scriptscriptstyle C} = 0.15$\, eV, the maximal achievable thermodynamic efficiency
is $\eta^{\rm\scriptscriptstyle th}= 0.85$.
\section{Conclusion and Perspectives}
\label{sec:summary}
We have presented a novel concept for performance analysis of photovoltaic cells
and have applied it to the simplest $2$-level device model as well as a generic model for an
organic photovoltaic cell. The starting point is the modelling of the energy conversion
process by a set of kinetic (master) equations with rate coefficients that incorporate the
system energy level structure as well as the relevant energetic, thermal and optical
constraints and driving forces. Further analysis is facilitated by describing the resulting
master equation as a graph in which the rates are represented by edges that link between
vortices representing states. This makes it possible to exploit the decomposition of the
network into cycles to get better insight on the interrelations between the physical fluxes.
Such a kinetic scheme can be used to analyze the system performance at and away from
equilibrium, however in this paper we have focused on open circuit (OC) situations, in
particular the simplest subclass of those in which all internal currents, therefore all cycle
affinities, vanish. The performance of such systems does not depends on individual rates,
only on ratios between backward and forward rates that are determined by detailed
balance conditions. For the $2$-level/$3$-state device model of references 30 and 32 this
analysis yields the Carnot value for the maximum OC efficiency. A similar calculation
for a generic model of a bulk heterojunction organic photovoltaic (BHJ-OPV) cell that
incorporates the exciton dissociation energy as well as non-radiative recombination in the
donor-subsystem leads to a maximum OC efficiency and OC voltage that are lower than
the limiting Carnot value. For example, with our choice of (reasonable) parameters the
maximum available efficiency is found to be $0.85$ , which $\sim10\%$ lower than the
corresponding Carnot value ($\sim 0.95$). This approach can be generalized in several ways.
Operation under finite overall current can be analyzed to yield efficiency at maximum
power.\cite{Einax/Nitzan:2014} Even under OC conditions, loss due to the presence of cycles with nonvanishing
currents can be encountered in more complex models and should be accounted
for. Finally, extending such approach to the quantum-mechanical regime may be of
interest. These will be subjects of future efforts.
\begin{acknowledgements}
The research is supported by the Israel Science Foundation, the
Israel-US Binational Science Foundation (grant No. 2011509), and the European Science
Council (FP7/ERC grant No. 226628). We thank Mark Ratner, Philip Ruyten and Bart
Cleuren for stimulating discussions. AN thanks the Chemistry Department at the
University of Pennsylvania for hospitality during the time this paper was completed.
\end{acknowledgements}
\bibliographystyle{apsrev4-1}
| {
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{"url":"http:\/\/math.stackexchange.com\/questions\/29514\/question-about-notation-terminology","text":"# Question about notation \/ terminology\n\nI'm given the following in a homework question:\n\nLet $G$ be a group and $k$ an algebraically closed field.\n\n(a) Show that the action of $G \\times G$ on $C_k (G)$ defined by $$(g_1, g_2) \\varphi (x) = \\varphi(g_1^{-1} x g_2) \\hspace{1cm} g_1, g_2 , x \\in G , \\varphi \\in C_k(G)$$ defines a representation $\\pi$ of $G \\times G$\n\nLet $\\rho : G \\rightarrow GL(E)$ be a finite dimensional irreducible representation. Let $M(\\rho) = \\{$ span of the matrix coefficients of $\\rho \\} \\subset C_k(G)$\n\n(b) Show that $M(\\rho)$ is a subrepresentation of $\\pi$.\n\nMy question(s):\n\n1) what is \"span of the matrix coefficients\"?\n\n2) I need to show that for $m \\in M(\\rho)$: $\\pi (g_1, g_2, m) \\in M(\\rho)$ $\\forall g_1, g_2 \\in G$. Can I write \"let $M := \\rho$\", the matrix representation of $\\rho$ and then $M(\\rho) = \\{cM | c \\in k\\}$?\n\n3) And am I right in assuming that $E$ has to be a vector space over $k$?\n\n-\nyou should consider a different title that gives an idea of what this question is about. \u2013\u00a0BBischof Mar 28 '11 at 15:08\nWhat is $C_k(G)$? \u2013\u00a0Arturo Magidin Mar 28 '11 at 15:19\n@BBischof: Sure, what would you suggest? \u2013\u00a0Rudy the Reindeer Mar 28 '11 at 17:20\n@Arturo: the set of functions from $G$, a group, to $k$, a field. \u2013\u00a0Rudy the Reindeer Mar 28 '11 at 17:21\n@Arturo: confusingly not the set of continuous functions, even though $C$ is used. But I don't think it's a typo in the script, the script is rather typo-free. \u2013\u00a0Rudy the Reindeer Mar 28 '11 at 17:22\n\n$E$ is usually a finite dimensional $k$-vector space in this context; one can do more general things, but it does not hurt to start small!\nYou have a map $\\rho:G\\to\\operatorname{GL}(E)$. On the other hand, if $E$ is a finite dimensional vector space, then picking one of its bases we obtain an isomorphism $\\phi:\\operatorname{GL}(E)\\cong\\operatorname{GL}(n,k)$ to the group of invertible $n\\times n$ matrices with coefficients in $k$. Finally, for each $i$, $j\\in\\{1,\\dots,n\\}$ we can consider the function $p_{i,j}:\\operatorname{GL}(n,k)\\to k$ which maps each matrix to its $(i,j)$th entry.\nThe space $M(\\rho)$ is the $k$-vector subspace of the spaces $C_k(G)$ of all functions $G\\to k$ spanned by the set of functions $$\\bigl\\{p_{i,j}\\circ\\phi\\circ\\rho:i,j\\in\\{1,\\dots,n\\}\\bigr\\}.$$ The space $M(\\rho)$ does not depend on the choice of basis we did, as you should check.\nMany thanks! I have another question: what is the exact difference between $GL(E)$, the isomorphisms form $E$ to $E$ and $GL(n,k)$, the invertible $n \\times n$ matrices with coefficients in $k$? (assuming $E$ is a vector space over $k$). Aren't invertible matrices automorphisms? And can I not write any linear automorphism as a matrix? \u2013\u00a0Rudy the Reindeer Mar 30 '11 at 12:51\n@Matt: $GL(E)$ is the set of functions $E\\to E$ whch are linear isomorphisms; on the other hand, $GL(n,k)$ is the set of $n\\times n$ matrices with non-zero determinant. Since the two sets have completely different elements, they are clearly different! \u2013\u00a0Mariano Su\u00e1rez-Alvarez Mar 30 '11 at 16:14","date":"2016-05-27 02:27:45","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\": 1, \"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\": 0.951073169708252, \"perplexity\": 163.790868161675}, \"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-2016-22\/segments\/1464049276416.16\/warc\/CC-MAIN-20160524002116-00021-ip-10-185-217-139.ec2.internal.warc.gz\"}"} | null | null |
Wireless Carrier to Pay $20M Over Failed 911 Calls
A nationwide outage in 2020 resulted in thousands of failed emergency calls.
T-Mobile sign at a shopping mall, Pittsburgh, Feb. 24, 2021.
AP Photo/Keith Srakocic
WASHINGTON (AP) — Wireless carrier T-Mobile agreed to pay $19.5 million in a settlement with the Federal Communications Commission over a 12-hour nationwide outage in June 2020 that resulted in thousands of failed 911 calls.
The FCC said Tuesday that as part of the settlement, T-Mobile will also commit to improving communications of outages to emergency call centers, among other measures.
The agency said there was a "complete failure" of more than 23,000 911 calls because of the outage. There were also calls that did go through but without key information, like a callback number or location data.
The FCC's investigation said the outage began because of a failure in part of T-Mobile's network, which was made worse by routing and software errors.
The Bellevue, Washington, company said that the June 2020 episode was a "short-term isolated outage and we immediately took steps to further enhance our network to prevent this type of event from happening in the future."
This is not the first time such outages have happened. T-Mobile paid a $17.5 million fine after two related nationwide service outages on the same day in August 2014. | {
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You are here: Home / Hitler's Just All Right With Me!
Hitler's Just All Right With Me!
How much trouble can one vegetarian artist cause?
Before I took over the editorial desk at World News Center, I actually used to live in the world. I've been to six of the seven possible continents. If I wanted to count watching a Russian security guard have sex with our African pilot so we could get our plane re-routed out of Antarctica, then I've hit all seven, but I try to bury that particular memory at every possible chance. Anyway, as I said, I've been around. Not as much as Maria Gomes Valentim, who's the oldest human on the planet and who ascribes her longevity to smoking three packs a day, drinking straight bourbon and having sex with young sailors. Oh, wait, that was an aunt of mine who passed away in her 90's. Mrs. Valentim has not commented on her personal lifestyle choices.
Speaking of people who can't be killed by the usual suspects, some dude in Fon du Lac (where I have many relatives) just ate his 25,000th Big Mac. As Nude Hippo regulars know, McDonald's sells food that will not die, so I guess it can't be that bad for you, as long as you don't mind your 4 year old son developing lactating breasts.
Speaking of food, our crack border agents, forever memorialized for preventing an iguana taco invasion, have now prevented us from being forced to eat sausage that hasn't been treated with steroids and chemicals.
"But, Uncle Big Bad," you whine needlessly, "the title says you're going to talk about Mr. Hitler."
And I am.
But, first, I have to tell you about Cannes, France. In January they hold the world's largest music festival called MIDEM which allows attendees to see what labels are going to release months before the public ever even hears a rumor. Four months later they hold their famous film festival. I've been to both on several occasions.
It is the film festival which holds my attention today. This is a festival that honored admitted pedophile, Roman Pulanski, with multiple awards and introduced him to many young girls, so it's no surprise that Lars von Trier would use that platform to announce that he's a Jew who thinks Hitler was kind of okay.
Von Trier has never been very P.C. and his Cannes press conferences always play like a dark stand-up routine, but at the Melancholia press conference he took it to another level, tossing a grenade into any sense of public decorum. In response to a question about his Germanic roots, Von Trier set off on a long and twisted answer that, if this were America, not Cannes, would have meant career suicide.
"For a long time I thought I was a Jew and I was happy to be a Jew," he began, "then I met (Danish and Jewish director) Susanne Bier and I wasn't so happy. But then I found out I was actually a Nazi. My family were German. And that also gave me some pleasure. What can I say? I understand Hitler…I sympathize with him a bit."
Von Trier qualified that "I don't mean I'm in favor of World War II and I'm not against Jews, not even Susanne Bier" before digging himself deeper. "In fact I'm very much in favor of them. All Jews. Well, Israel is a pain in the ass but…"
As Melancholia stars Kirsten Dunst and Charlotte Gainsbourg, sitting on either side of Von Trier, stared at him agog, the director paused.
"Now how can I get out of this sentence? Ok. I'm a Nazi."
It was a grandiose performance by European cinema's premiere enfant terrible as Von Trier managed to shock just about everyone in the room. And also made them laugh with the sort of chuckle that gets caught in the throat.
The Nazi comments came at the end of a sprawling routine in which Von Trier said his new movie "may be crap…there's quite a big possibility that it might not be worth seeing" and mused that his next project with Dunst and Gainsbourg would be a 3 to 4 hour porn film "with lots of uncomfortable sex."
Von Trier's deadpan delivery and cheerful cherub-like smile hinted to the audience that everything was one big joke.
Certainly no one took the director seriously when, asked if he would like to do a film on a larger scale, answered: "Yes. We Nazis like to do things on a big scale. Maybe I could do The Final Solution."
During Cannes, it was also announced that von Trier and Martin Scorsese are teaming up for a remake of The Five Obstructions, von Trier's 2003 documentary deconstructing the film making process.
The project, called The Five Obstructions, Trier vs. Scorsese, pre-sold to Poland (Kino Swiat), Romanian (Independenta) and the Czech and Slovak Republics (Aero Films) at the Cannes market.
Just FYI Skippy, Hitler was Austrian, not German and making fun of the death of 60 million people is not really a knee slapper. You may as well as claim that Klaus Strauss-Khan only meant to try an unique way of proffering a tip. Well, I meant that figuratively, not in the literal sense that the poor woman had to deal with.
Hitler Video
Tags: Hitler Video
Listen to Bill McCormick on WBIG AM 1280, every Thursday morning around 9:10! | {
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}
public function get_notify_url($transaction) {
return $this->get_url('notify', $transaction);
}
public function get_cancel_url($transaction) {
return $this->get_url('cancel', $transaction);
}
public function get_currency() {
return strtoupper(get_awpcp_option('displaycurrencycode'));
}
public function payments_enabled() {
return get_awpcp_option('freepay') == 1;
}
public function credit_system_enabled() {
if (!$this->payments_enabled())
return false;
return get_awpcp_option('enable-credit-system') == 1;
}
public function is_credit_accepted() {
return in_array( AWPCP_Payment_Transaction::PAYMENT_TYPE_CREDITS, $this->get_accepted_payment_types() );
}
/* Credit Plans */
/**
* Handler for awpcp-transaction-status-updated action
*
* XXX: Make sure the user has enough credit to pay for the plans.
* We already check that at the beginning of the transaction but I
* think is necessary to check again here.
* We need a way to mark individual items as paid or unpaid so
* other parts of the plugin can decide what to do.
*/
public function update_account_balance($transaction) {
if ($transaction->is_completed() && $transaction->was_payment_successful()) {
if (awpcp_user_is_admin($transaction->user_id))
return;
$credit_plan = $this->get_transaction_credit_plan($transaction);
if (!is_null($credit_plan)) {
$balance = $this->get_account_balance($transaction->user_id);
$this->set_account_balance($transaction->user_id, $balance + $credit_plan->credits);
}
$totals = $transaction->get_totals();
if ($totals['credits'] > 0) {
$balance = $this->get_account_balance($transaction->user_id);
$this->set_account_balance($transaction->user_id, $balance - $totals['credits']);
}
}
}
public function set_account_balance($user_id, $balance) {
if (is_null($user_id) && is_user_logged_in())
$user_id = wp_get_current_user()->ID;
if (is_null($user_id)) return false;
return update_user_meta($user_id, 'awpcp-account-balance', $balance);
}
public function get_account_balance($user_id=null) {
if (is_null($user_id) && is_user_logged_in())
$user_id = wp_get_current_user()->ID;
if (is_null($user_id)) return 0;
return (double) get_user_meta($user_id, 'awpcp-account-balance', true);
}
public function add_credit($user_id, $amount) {
$balance = $this->get_account_balance($user_id);
return $this->set_account_balance($user_id, $balance + max(0, $amount));
}
public function remove_credit($user_id, $amount) {
$balance = $this->get_account_balance($user_id);
return $this->set_account_balance($user_id, $balance - max(0, $amount));
}
public function format_account_balance($user_id=null) {
return number_format($this->get_account_balance($user_id), 0);
}
public function get_credit_plans() {
return AWPCP_CreditPlan::find();
}
public function get_credit_plan($id) {
return AWPCP_CreditPlan::find_by_id($id);
}
public function get_transaction_credit_plan($transaction) {
return $this->get_credit_plan($transaction->get('credit-plan'));
}
/* Payment Terms */
public function register_payment_term_type($type) {
if (is_a($type, 'AWPCP_PaymentTermType'))
$this->types[$type->slug] = $type;
}
public function get_payment_term_type($term_type) {
if (!isset($this->types[$term_type]))
return null;
return $this->types[$term_type];
}
public function get_payment_term($term_id, $term_type) {
if (!isset($this->types[$term_type]))
return null;
return $this->types[$term_type]->find_by_id($term_id);
}
public function get_transaction_payment_term($transaction) {
$term_type = $transaction->get('payment-term-type');
$term_id = $transaction->get('payment-term-id');
return $this->get_payment_term($term_id, $term_type);
}
public function get_payment_terms() {
if (is_array($this->terms)) return $this->terms;
$this->terms = array();
foreach ($this->types as $slug => $type) {
$this->terms[$slug] = $type->get_payment_terms();
}
return $this->terms;
}
public function get_user_payment_terms($user_id) {
$terms = array();
foreach ($this->types as $slug => $type)
$terms[$slug] = $type->get_user_payment_terms($user_id);
return $terms;
}
public function get_ad_payment_term($ad) {
return $this->get_payment_term($ad->adterm_id, $ad->payment_term_type);
}
public function payment_term_requires_payment($term) {
$credits = intval($this->credit_system_enabled() ? $term->credits : 0);
$money = floatval($term->price);
return $money > 0 || $credits > 0;
}
/**
* @since 3.0.2
*/
public function get_accepted_payment_types() {
$payment_type = get_awpcp_option( 'accepted-payment-type', false );
$payment_types = array();
if ( 'money' === $payment_type || 'both' === $payment_type ) {
$payment_types[] = AWPCP_Payment_Transaction::PAYMENT_TYPE_MONEY;
}
if ( 'credits' === $payment_type || 'both' === $payment_type ) {
$payment_types[] = AWPCP_Payment_Transaction::PAYMENT_TYPE_CREDITS;
}
return $payment_types;
}
/* Payment Gateways */
public function register_payment_method($gateway) {
if (is_a($gateway, 'AWPCP_PaymentGateway'))
$this->methods[$gateway->slug] = $gateway;
}
public function get_payment_methods() {
return $this->methods;
}
public function get_payment_method($slug) {
if (!isset($this->methods[$slug]))
return null;
return $this->methods[$slug];
}
public function get_transaction_payment_method($transaction) {
return $this->get_payment_method($transaction->get('payment-method', ''));
}
/* Transactions Management */
/**
* TODO: should throw an exception if the status can't be set
*/
private function set_transaction_status($transaction, $status, &$errors) {
if ($result = $transaction->set_status($status, $errors)) {
do_action('awpcp-transaction-status-updated', $transaction, $status, $errors);
}
$transaction->save();
return $result;
}
public function set_transaction_status_to_open($transaction, &$errors=array()) {
return $this->set_transaction_status($transaction, AWPCP_Payment_Transaction::STATUS_OPEN, $errors);
}
public function set_transaction_status_to_ready_to_checkout($transaction, &$errors=array()) {
return $this->set_transaction_status($transaction, AWPCP_Payment_Transaction::STATUS_READY, $errors);
}
public function set_transaction_status_to_checkout($transaction, &$errors=array()) {
return $this->set_transaction_status($transaction, AWPCP_Payment_Transaction::STATUS_CHECKOUT, $errors);
}
public function set_transaction_status_to_payment($transaction, &$errors=array()) {
return $this->set_transaction_status($transaction, AWPCP_Payment_Transaction::STATUS_PAYMENT, $errors);
}
public function set_transaction_status_to_payment_completed($transaction, &$errors=array()) {
return $this->set_transaction_status($transaction, AWPCP_Payment_Transaction::STATUS_PAYMENT_COMPLETED, $errors);
}
public function set_transaction_status_to_completed($transaction, &$errors=array()) {
return $this->set_transaction_status($transaction, AWPCP_Payment_Transaction::STATUS_COMPLETED, $errors);
}
public function set_transaction_credit_plan($transaction) {
if (!$this->credit_system_enabled())
return;
// grab Credit Plan information
$plan = $this->get_credit_plan(awpcp_post_param('credit_plan', 0));
if (!is_null($plan)) {
$transaction->set('credit-plan', $plan->id);
$transaction->add_item(
$plan->id,
$plan->name,
$plan->description,
AWPCP_Payment_Transaction::PAYMENT_TYPE_MONEY,
$plan->price
);
}
}
public function set_transaction_payment_method($transaction) {
$payment_method = $this->get_payment_method(awpcp_post_param('payment_method', ''));
if ( !is_null( $payment_method ) ) {
$transaction->set('payment-method', $payment_method->slug);
}
}
public function process_transaction($transaction) {
do_action('awpcp-process-payment-transaction', $transaction);
}
public function process_payment_request($action) {
$transaction = AWPCP_Payment_Transaction::find_by_id( get_query_var( 'awpcp-txn' ) );
if (is_null($transaction)) {
$messages[] = __('The specified payment transaction doesn\'t exists. We can\'t process your payment.', 'AWPCP');
$messages[] = __('Please contact customer service if you are viewing this message after having made a payment. If you have not tried to make a payment and you are viewing this message, it means this message is being shown in error and can be disregarded.', 'AWPCP');
$messages[] = __('Return to <a href="%s">home page</a>.', 'AWPCP');
wp_die(sprintf('<p>' . join('</p><p>', $messages) . '</p>', home_url()));
}
$payment_method = $this->get_transaction_payment_method($transaction);
if (is_null($payment_method)) {
$messages[] = __("The payment method associated with this transaction is not available at this time. We can't process your payment.", 'AWPCP');
$messages[] = __('Please contact customer service if you are viewing this message after having made a payment. If you have not tried to make a payment and you are viewing this message, it means this message is being shown in error and can be disregarded.', 'AWPCP');
$messages[] = __('Return to <a href="%s">home page</a>.', 'AWPCP');
wp_die(sprintf('<p>' . join('</p><p>', $messages) . '</p>', home_url()));
}
switch ($action) {
case 'return':
$payment_method->process_payment_completed($transaction);
return $this->process_payment_completed($transaction);
case 'cancel':
$payment_method->process_payment_canceled($transaction);
return $this->process_payment_completed($transaction);
case 'notify':
$payment_method->process_payment_notification($transaction);
return $this->process_payment_completed($transaction, false);
}
}
public function process_payment_completed($transaction, $redirect=true) {
$errors = array();
// only attempt to complete the payment if we are in a previous state
// IPN notifications are likely to be associated to transactions that
// are already completed.
if (!$transaction->is_payment_completed() && !$transaction->is_completed()) {
$this->set_transaction_status_to_payment_completed($transaction, $errors);
if (!empty($errors)) {
$transaction->errors['payment-completed'] = $errors;
} else {
unset($transaction->errors['payment-completed']);
}
}
$this->process_transaction($transaction);
$transaction->save();
if ($redirect) {
$url = $transaction->get('redirect', $transaction->get('success-redirect'));
$url = add_query_arg('step', 'payment-completed', $url);
$url = add_query_arg('transaction_id', $transaction->id, $url);
wp_redirect($url);
}
exit();
}
public function process_payment() {
if ( ! ( $id = awpcp_post_param( 'transaction_id', false ) ) ) return;
$transaction = AWPCP_Payment_Transaction::find_by_id($id);
if ( !is_null( $transaction ) && $transaction->is_doing_checkout() ) {
$this->set_transaction_payment_method($transaction);
$this->process_transaction($transaction);
$errors = array();
$this->set_transaction_status_to_payment($transaction, $errors);
if ($transaction->payment_is_not_required() && empty($errors)) {
$this->set_transaction_status_to_payment_completed($transaction, $errors);
if (empty($errors)) {
return; // nothing else to do here, pass control to the (api) user
}
}
if (empty($errors)) {
// no errors, so we must have a payment method defined
$payment_method = $this->get_transaction_payment_method($transaction);
$result = array('output' => $payment_method->process_payment($transaction));
} else {
// most likely the payment method hasn't been properly set
$result = array('errors' => $errors);
}
$this->cache[$transaction->id] = $result;
} else if (!is_null($transaction) && $transaction->is_processing_payment()) {
$this->process_transaction($transaction);
$payment_method = $this->get_transaction_payment_method($transaction);
$result = array('output' => $payment_method->process_payment($transaction));
$this->cache[$transaction->id] = $result;
}
}
public function wp() {
$awpcpx = $this->request->get_query_var( 'awpcpx' );
$module = $this->request->get_query_var( 'awpcp-module', $this->request->get_query_var( 'module' ) );
$action = $this->request->get_query_var( 'awpcp-action', $this->request->get_query_var( 'action' ) );
if ($awpcpx && $module == 'payments' && !empty($action)) {
return $this->process_payment_request($action);
} else {
return $this->process_payment();
}
}
/* Render functions */
public function render_account_balance() {
if (!$this->credit_system_enabled())
return '';
$balance = $this->format_account_balance();
$text = sprintf( __( 'You currently have %s credits in your account.', 'AWPCP' ), $balance );
return awpcp_print_message( $text );
}
public function render_payment_terms_form_field($transaction, $table, $form_errors) {
$items = $table->get_items();
// do not show payment terms if payments are disabled and there is only
// one payment term available (the Free Listing fee);
$show_payment_terms = true;
if ( count( $items ) === 1 && !$this->payments_enabled() ) {
if ( $items[0]->type === AWPCP_FeeType::TYPE && $items[0]->id === 0 ) {
$show_payment_terms = false;
}
}
ob_start();
include( AWPCP_DIR . '/frontend/templates/payments-payment-terms-form-field.tpl.php' );
$html = ob_get_contents();
ob_end_clean();
return $html;
}
/**
* @since 2.2.2
*/
public function render_credit_plans_table($transaction=null, $table_only=false) {
if (!$this->credit_system_enabled() || !$this->is_credit_accepted() )
return '';
$credit_plans = $this->get_credit_plans();
$selected = is_null($transaction) ? '' : $transaction->get('credit-plan');
if ( empty( $credit_plans ) ) {
return '';
}
$column_names = array(
'plan' => _x( 'Plan', 'credit plans table', 'AWPCP' ),
'description' => _x( 'Description', 'credit plans table', 'AWPCP' ),
'credits' => _x( 'Credits', 'credit plans table', 'AWPCP' ),
'price' => _x( 'Price', 'credit plans table', 'AWPCP' ),
);
ob_start();
include(AWPCP_DIR . '/frontend/templates/payments-credit-plans-table.tpl.php');
$html = ob_get_contents();
ob_end_clean();
return $html;
}
public function render_transaction_items($transaction) {
$show_credits = get_awpcp_option('enable-credit-system');
ob_start();
include(AWPCP_DIR . '/frontend/templates/payments-transaction-items-table.tpl.php');
$html = ob_get_contents();
ob_end_clean();
return apply_filters('awpcp-render-transaction-items', $html, $transaction);
}
public function render_transaction_errors($transaction) {
$errors = array();
foreach ($transaction->errors as $index => $error) {
if (is_array($error)) {
$errors = array_merge($errors, array_map('awpcp_print_error', $error));
} else {
$errors[] = awpcp_print_error($error);
}
}
return join("\n", $errors);
}
public function render_payment_methods($transaction) {
$payment_methods = $this->get_payment_methods();
$payment_method = $transaction->get('payment-method');
if ( count( $payment_methods ) === 1 ) {
$payment_method = reset( $payment_methods )->slug;
}
ob_start();
include(AWPCP_DIR . '/frontend/templates/payments-payment-methods-table.tpl.php');
$html = ob_get_contents();
ob_end_clean();
return $html;
}
public function render_checkout_payment_template($output, $message, $transaction) {
ob_start();
include(AWPCP_DIR . '/frontend/templates/payments-checkout-payment-page.tpl.php');
$html = ob_get_contents();
ob_end_clean();
return $html;
}
public function render_checkout_page($transaction, $hidden=array()) {
$payment_method = $this->get_transaction_payment_method($transaction);
$attempts = awpcp_post_param('attempts', 0);
$result = awpcp_array_data($transaction->id, array(), $this->cache);
if (is_null($payment_method) || isset($result['errors'])) {
$transaction_errors = awpcp_array_data('errors', array(), $result);
ob_start();
include(AWPCP_DIR . '/frontend/templates/payments-checkout-page.tpl.php');
$html = ob_get_contents();
ob_end_clean();
} else if (isset($result['output'])) {
$integration = $payment_method->get_integration_type();
if ($integration === AWPCP_PaymentGateway::INTEGRATION_BUTTON) {
$message = _x('Please use the button below to complete your payment.', 'checkout-payment page', 'AWPCP');
$html = $this->render_checkout_payment_template($result['output'], $message, $transaction);
} else if ($integration === AWPCP_PaymentGateway::INTEGRATION_CUSTOM_FORM) {
$html = $result['output'];
} else if ($integration === AWPCP_PaymentGateway::INTEGRATINO_REDIRECT) {
$html = $result['output'];
}
}
return $html;
}
public function render_payment_completed_page($transaction, $action='', $hidden=array()) {
$success = false;
if ($transaction->payment_is_completed() || $transaction->payment_is_pending()) {
$title = __('Payment Completed', 'AWPCP');
if ($transaction->payment_is_completed())
$text = __('Your Payment has been processed successfully. Please press the button below to continue with the process.', 'AWPCP');
else if ($transaction->payment_is_pending())
$text = __('Your Payment has been processed successfully. However is still pending approvation from the payment gateway. Please press the button below to continue with the process.', 'AWPCP');
$success = true;
} else if ($transaction->payment_is_not_required()) {
$title = __('Payment Not Required', 'AWPCP');
$text = __('No Payment is required for this transaction. Please press the button below to continue with the process.', 'AWPCP');
$success = true;
} else if ($transaction->payment_is_failed()) {
$title = __('Payment Failed', 'AWPCP');
$text = __("Your Payment has been processed successfully. However, the payment gateway didn't return a payment status that allows us to continue with the process. Please contact the website administrator to solve this issue.", 'AWPCP');
} else if ($transaction->payment_is_canceled()) {
$title = __('Payment Canceled', 'AWPCP');
$text = __("The Payment transaction was canceled. You can't post an Ad this time.", 'AWPCP');
// } else if ($transaction->payment_is_invalid() || $transaction->payment_is_not_verified()) {
} else {
$title = __('Payment Error', 'AWPCP');
$text = __("There was an error processing your payment. The payment status couldn't be found. Please contact the website admin to solve this issue.", 'AWPCP');
}
$redirect = $transaction->get('redirect');
$hidden = array_merge($transaction->get('redirect-data'), $hidden);
ob_start();
include(AWPCP_DIR . '/frontend/templates/payments-payment-completed-page.tpl.php');
$html = ob_get_contents();
ob_end_clean();
return $html;
}
public function render_payment_completed_page_title($transaction) {
if ($transaction->was_payment_successful()) {
return __('Payment Completed', 'AWPCP');
} else if ($transaction->payment_is_canceled()) {
return __('Payment Canceled', 'AWPCP');
} else {
return __('Payment Failed', 'AWPCP');
}
}
}
| {
"redpajama_set_name": "RedPajamaGithub"
} | 1,568 |
Cukurs C.6bis was a Latvian prototype dive bomber aircraft designed by Herberts Cukurs in 1940.
Development
The aircraft was based on the Cukurs C.6 Trīs zvaigznes (Three stars) trainer which was known for its 1937 flight from Riga to Tokyo and return.
Work on the C.6bis started in 1939, with the first test flights in 1940. Soon after first test flights the Latvian Air Force accepted the aircraft and ordered twelve.
Test flights were halted on the 7 June 1940, just 10 days before the Soviet occupation of Latvia in 1940. During the occupation the Red Army expressed interest in the C.6bis and test flew it, but they determined that it was unsuitable for use.
Only one example was built and its fate remains unknown.
Specifications (C.6bis)
References
1930s Latvian bomber aircraft
Aircraft first flown in 1940 | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 7,336 |
\section{Introduction}
\label{sect:intro}
The LIGO/Virgo/KAGRA (LVK) Collaboration has recently released the third Gravitational Wave Transient Catalog \citep[GWTC-3, ][]{lvkcoll-O3}, which lists about $80$ confident detections of merging binary black holes (BBHs) detected via gravitational wave (GW) emission. These events are revolutionizing our understanding of compact objects and have made it possible to constrain their masses, spin, and merger rates \citep{lvkcoll-O3-2}.
The origin of these binary mergers is still highly debated. Possible scenarios that could potentially explain BBH mergers include isolated binary star evolution \citep[e.g.,][]{bel16b,demi2016,SperaMapelli2019,BaveraFragos2021}, dynamical formation in globular clusters \citep[e.g.,][]{PortegiesZwartMcMillan2000,askar17,baner18,fragk2018,rod18,sams18,krem2019}, mergers in triple and quadruple systems \citep[e.g.,][]{antoper12,ll18,GrishinPerets2018,arcasedda+2018,fragk2019}, and mergers of compact binaries in galactic nuclei \citep[e.g.,][]{oleary2009,bart17,HoangNaoz2018,LiuLai20199,Tagawa+2020}.
Some of the detected events (such as GW190521, GW190929, and GW190426) are particularly intriguing since one or both components of the merging binary have masses above about $50\msun$. In contrast, stellar evolutionary models predict no BHs with masses larger than about $50\msun$, depending on the progenitor metallicity \citep{woosley2017,limongi2018,bel2020,VinkHiggins2021}, because of the pair-instability process \citep{heger2003,woosley2017}. Since these higher-mass BHs are nevertheless observed, there should exist some astrophysical process that catalyzes their formation. A natural explanation is that BHs more massive than about $50\msun$ are second-generation (2G) BHs, the merger remnants of a previous BBH merger in the core of a dense star cluster \citep[e.g.,][]{gultek2004,antonini2019,frsilk2020,MapelliDall'Amico2021,FragioneKocsis2022}. A fundamental limit for such hierarchical mergers is imposed by the GW recoil kick imparted to merger remnants, which may result in the ejection of the merger remnant if it exceeds the local escape speed \citep[e.g.][]{lou10,lou11}. However, the most-massive globular clusters (GCs) and nuclear star clusters (NSCs) have escape speeds high enough to retain some merger remnants, which can then dynamically assemble into new binaries and merge again via GW emission.
In some cases, repeated mergers could even produce intermediate-mass BHs (IMBHs). IMBHs, with masses between $100\msun$ and $10^5\msun$, represent fundamental building blocks in the cosmological paradigm, but have not been detected beyond any reasonable doubt through either dynamical or accretion signatures \citep[for a review see][]{GreeneStrader2020}. GW detection provides an unparalleled opportunity to survey the sky and detect mergers of IMBHs, making it possible for the first time to constrain their formation, growth, and merger history across cosmic time \citep[e.g.,][]{JaniShoemaker2020,FragioneLoeb2022imbh}. While the current network of GW observatories is still rather limited for BHs with such high masses, the next generation of ground-based observatories and space-based missions promises to detect mergers of IMBH binaries throughout most of the observable Universe.
Simulating hierarchical BH mergers is computationally expensive, and direct $N$-body or Monte Carlo codes cannot currently model the most massive and densest clusters where these events are most frequent \citep[e.g.,][]{Aarseth2003,gier2006MNRAS.371..484G,RodriguezWeatherford2022}. A common approach to tackle the problem has been to use simple order-of-magnitude estimates to assess the rates of 2G or higher-generation BH mergers, which have even led to claims that dense star clusters may produce {\em too many\/} BBH mergers compared to what has been observed by LVK \citep[e.g.,][]{ZevinHolz2022}. In this paper, we use a more realistic semi-analytic framework to model hierarchical mergers in dense star clusters. Our method captures all the essential features of $N$-body and Monte Carlo results for BBH mergers, while allowing us to rapidly sample and access broad regions of the parameter space for even the most massive and densest star clusters. Our results provide for the first time a physically-motivated estimate of the relative fractions of higher-generation mergers as a function of cluster mass and density across cosmic time. We can also then show that some of the specific GW events detected by LVK are consistent with one or both components being a higher-generation BH.
This paper is organized as follows. In Section~\ref{sect:method}, we discuss our semi-analytic method to study hierarchical mergers and the formation of IMBHs. In Section~\ref{sect:results}, we present our results and show that some of the LVK events are consistent with being the result of repeated BBH mergers. Finally, in Section~\ref{sect:concl}, we discuss the implications of our results and draw our conclusions.
\section{Method}
\label{sect:method}
In what follows, we describe the details of the numerical method we use to model the evolution of the BH population in a dense star cluster of mass $\mcl$ and half-mass radius $\rh$.
\subsection{Black holes}
We sample stellar masses, $m_*$, from the canonical initial mass function \citep{kro01}
\begin{equation}
\xi(m_*)\propto
\begin{cases}
\left(m_*/0.5\msun\right)^{-1.3}& \text{$0.08\le m_*/\mathrm{M}_\odot\leq 0.50$}\\
\left(m_*/0.5\msun\right)^{-2.3}& \text{$0.50\le m_*/\mathrm{M}_\odot\leq 150$}\,,
\end{cases}
\label{eqn:imf}
\end{equation}
in the range $[20\,\msun,150\,\msun]$, which approximately encompasses the masses of BH progenitors. Given the above IMF, we sample a total of
\begin{equation}
N_{\rm BH} = 3.025 \times 10^{3} \left(\frac{\mcl}{10^6\msun}\right)
\end{equation}
BH progenitors.
We evolve the progenitor mass at a metallicity $\zcl$ using the state-of-the-art version of the stellar evolution code \textsc{sse} \citep{HurleyPols2000}, which includes the most up-to-date prescriptions for stellar winds and remnant formation \citep[see][and references therein]{BanerjeeBelczynski2020}. After formation, each BH is imparted a natal kick, which we sample from a Maxwellian distribution
\begin{equation}
p(v_{\rm natal}) \propto v_{\rm natal}^2\,e^{-v_{\rm natal}^2/\nu^2}\,,
\label{eqn:vnat}
\end{equation}
with velocity dispersion $\nu = 265\kms$ \citep{hobbs2005}, and scale it by a factor $1.4\,\msun/ {m_{\rm BH}}$ assuming momentum conservation \citep{fryerkalo2001}. We check that the natal kicks imparted to the system are below the cluster escape speed
\begin{equation}
v_{\rm esc}=32\,{\rm km s}^{-1} \left(\frac{\mcl}{10^5\msun}\right)^{1/3} \left(\frac{\rh}{1\,{\rm pc}}\right)^{-1/2}\,,
\end{equation}
otherwise we take the newborn BH to be ejected from the parent cluster. If not ejected from the cluster, the BH sinks to the cluster center over a dynamical friction timescale \citep{Chandrasekhar1943}
\begin{equation}
\tau_{\rm df}\approx 17\ \mathrm{Myr} \left(\frac{20\msun}{m_{\rm BH}}\right)\left(\frac{\mcl}{10^5\msun}\right)^{1/2}\left(\frac{\rh}{1\,\mathrm{pc}}\right)^{3/2}\,.
\label{eqn:tdf}
\end{equation}
We assume that BH natal spins are all zero, consistent with the recent findings of \citet{FullerMa2019}.
\subsection{Cluster evolution}
To model cluster evolution, we follow the elegant approach described in \citet{AntoniniGieles2020,AntoniniGieles2020b}. In this scheme, the cluster is assumed to reach a state of balanced evolution, so that the heat generated by the BBHs in the core and the cluster global properties are related \citep{Henon1961,GielesHeggie2011,BreenHeggie2013}. The cluster energy evolves as
\begin{equation}
\dot{E}=0.1 \left(\frac{E}{t_{\rm rh}}\right)\,,
\end{equation}
where
\begin{equation}
E=-0.2\left(\frac{GM_{\rm CL}^2}{\rh}\right)
\end{equation}
is the total energy of the cluster, and
\begin{equation}
t_{\rm rh}=\frac{0.138}{\langle m\rangle \psi \ln \Lambda}\left(\frac{\mcl r_{\rm h}^3}{G}\right)^{1/2}
\end{equation}
is the average relaxation time. In the previous equation $\langle m\rangle\approx 0.6\msun$ is the mean stellar mass in the cluster and $\ln \Lambda=10$ is the Coulomb logarithm. The quantity $\psi$ depends on the stellar mass function within the cluster half-mass radius and is parameterized as \citep{AntoniniGieles2020}
\begin{equation}
\psi=1+1.47\left(\frac{M_{\rm BH}/\mcl}{0.01}\right)\,,
\end{equation}
where $M_{\rm BH}$ is the total mass in BHs. The balanced evolution starts at a time \citep{AntoniniGieles2020}
\begin{equation}
t_{\rm cc}= 3.21\,t_{\rm rh,0}\,,
\end{equation}
where $t_{\rm rh,0}$ is the initial relaxation time.
The star cluster loses mass as a result of mass loss from stars ($\dot{M}_{\rm sev}$), evaporation ($\dot{M}_{\rm ev}$), and BH ejections ($\dot{M}_{\rm BH}$)
\begin{equation}
\dot{M}_{\rm CL}=\dot{M}_{\rm sev}+\dot{M}_{\rm ev}+\dot{M}_{\rm BH}\,.
\end{equation}
We parameterize the mass loss from stars as \citep{AntoniniGieles2020}
\begin{equation}
\dot{M}_{\rm sev}=
\begin{cases}
0 & t<2\,{\rm Myr},\\
-8.23\times 10^{-2} (M_* /t) & t\ge 2\,{\rm Myr}\,,
\end{cases}
\label{eqn:msev}
\end{equation}
while cluster evaporation is calculated as \citep{gne14}
\begin{equation}
\dot{M}_{\rm ev} = 1.17\times 10^4\,M_\odot \,{\rm Gyr}^{-1}\,;
\label{eqn:mev}
\end{equation}
for mass loss resulting from BH ejections we refer to the next subsection. The cluster radius expands adiabatically as a result of stellar evolution \citep{AntoniniGieles2020}
\begin{equation}
\dot{r}_{\rm h,sev} = -\frac{\dot{M}_{\rm sev}}{\mcl}\rh\,,
\end{equation}
and as a result of balanced evolution and relaxation
\begin{equation}
\dot{r}_{\rm h,rlx}=\zeta\frac{\rh}{t_{\rm rh}}+2\frac{\dot{M}_{\rm CL}}{\mcl}\rh\,;
\end{equation}
therefore
\begin{equation}
\dot{r}_{\rm h}=
\begin{cases}
\dot{r}_{\rm h,sev} & t<t_{\rm cc},\\
\dot{r}_{\rm h,sev}+\dot{r}_{\rm h,rlx} & t\ge t_{\rm cc}\,.
\end{cases}
\label{eqn:rh}
\end{equation}
\begin{figure*}
\centering
\includegraphics[scale=0.485]{plot0000.pdf}
\caption{Probability to retain the merger remnant of a BBH as a function of the host cluster mass and density for different values of the binary mass ratio, from $q=0.01$ (top-left panel) to equal masses (bottom-right panel). Both BHs in the binary are assumed to be from a first generation, with initial spins $\chi_1=\chi_2=0$ (cf. Figures.~\ref{fig:ret2} and~\ref{fig:ret3}). Gray hexagons represent Milky Way globular clusters from \citet{BaumgardtHilker2018}, while red stars represent nuclear star clusters from \citet{georg2016}.}
\label{fig:ret1}
\end{figure*}
\begin{figure*}
\centering
\includegraphics[scale=0.485]{plot0700.pdf}
\caption{Same as Figure~\ref{fig:ret1}, but here for binaries containing one first-generation BH and one second-generation BH, with spins $\chi_1=0$ and $\chi_2=0.7$, respectively.}
\label{fig:ret2}
\end{figure*}
\begin{figure*}
\centering
\includegraphics[scale=0.485]{plot0707.pdf}
\caption{Same as Figure~\ref{fig:ret1}, but here for binaries containing two second-generation BHs, with spins $\chi_1=\chi_2=0.7$.}
\label{fig:ret3}
\end{figure*}
\subsection{Binary black hole mergers}
Balanced evolution imposes that the required heating rate of the cluster is balanced with the loss of energy from the BBHs in its core. Assuming that one BBH (of component masses $m_1$ and $m_2$) dominates the heating at all times, we require that $\dot{E}_{\rm bin}(t)=-\dot{E}(t)$, where $\dot{E}_{\rm bin}(t)$ is the rate of energy loss from the binary \citep{antonini2019}. We sample the masses of the binary considering that the for 3-body binary formation is $\propto (m_1+m_2)^5$ \citep{mors2015}, and its semi-major axis is taken to be at the hard-soft boundary \citep{Heggie1975}.
We assume that every binary-single interaction in the cluster core lead to a decrease in the binary semi-major axis, until the binary evolution becomes eventually dominated by GW energy loss. As a consequence, the binary semi-major axis will decrease after each interaction as
\begin{equation}
\frac{\Delta a_{\rm bin}}{a_{\rm bin}}=\delta-1\,,
\end{equation}
with $\delta=7/9$ for equal masses \citep{quin1996,HeggieHut2003,SamsingMacLeod2014}, which we generalize to
\begin{equation}
\delta = 1.0 - \frac{2}{3}\left(\frac{m_3}{m_1+m_2+m_3}\right)\,,
\label{eqn:deltabh}
\end{equation}
where $m_3$ is the mass of the third BH, sampled considering that the interaction probability is $\propto m_3$ \citep{AntoniniGieles2022}. Therefore, the timescale during which the binary-single interaction occurs can be estimated as
\begin{equation}
\Delta t_{i}=\left(\frac{1}{\delta}-1\right) \frac{Gm_1m_2}{2a_{\rm bin}\dot{E}_{\rm bin}}\,.
\end{equation}
When repeated over several binary-single interactions, the overall timescale to transition to the GW-dominated regime is
\begin{equation}
\tau = \sum_i \Delta t_{i}\,.
\end{equation}
We assume that during each binary-single encounter, the binary receives a large angular momentum kick such that the phase space is stochastically explored and uniformly covered by the periapsis values \citep[e.g.,][]{KatzDong2012}. The transition to the GW-dominated regime happens whenever the BBH eccentricity, drawn from a thermal distribution at each scattering (``in-cluster merger'')
\begin{equation}
e_{\rm bin}>\left[1- 1.3\left(\frac{G^4 m_1^2 m_2^2 (m_1+m_2)}{c^5 \dot{E}_{\rm bin}}\right)^{1/7}a_{\rm bin}^{-5/7} \right]^{1/2}\,.
\end{equation}
However, the sequence of binary-single scatterings can be halted if either the binary mergers in cluster before the following interaction or if the binary is ejected. In the first case, we divide each binary-single encounter in a set of $20$ resonant intermediate states, and we assume that the binary eccentricity after each state is sampled from a thermal distribution \citep{Samsing2018}. A merger (``GW capture'') occurs before the next state if \citep{FragioneLoebkr2020}
\begin{equation}
e_{\rm bin, int} > 1 - 1.6 \left(\frac{R_{\rm S, 1}}{a_{\rm bin}}\right)^{5/7} q^{2/7} (1+q)^{1/7}\,,
\end{equation}
where $q=m_2/m_1$ and $R_{\rm S, 1}$ is the Schwarzshild radius of the primary BH. For what concerns ejections, during a binary-single encounter the binary receives a recoil kick \citep{antoras2016}
\begin{equation}
v_{\rm 12}=\left(\frac{1}{\delta}-1\right)\frac{G\mu_{12} m_3}{(m_1+m_2+m_3)a_{\rm bin}}\,,
\end{equation}
where $\mu_{12}=m_1m_2/(m_1+m_2)$, and the third BH a recoil kick
\begin{equation}
v_{\rm 3}=\frac{m_1+m_2}{m_3} v_{\rm 12}\,,
\end{equation}
as a result of energy and momentum conservation. If $v_{\rm 12}>v_{\rm esc}$, the binary is ejected from the parent cluster and may eventually merge via GW emission in the field (``ejected merger''). We model the mass lost by the cluster in BHs, $\dot{M}_{\rm BH}$, as the sum of all the BHs ejected (binaries and singles) during three-body interactions.
\subsection{Recoil kicks and merger remnants}
As a result of the anisotropic emission of GWs at merger, the merger remnant is imparted a recoil kick that depends on the asymmetric mass ratio $\eta=q/(1+q)^2$ and on the magnitude of the dimensionless spin parameters, $\chi_1$ and $\chi_2$. In our models, spin orientations are assumed to be isotropic, as appropriate for merging binaries assembled dynamically. We model the recoil kick as \citep{lou10,lou12}
\begin{equation}
\textbf{v}_{\mathrm{kick}}=v_m \hat{\textbf{e}}_{\perp,1}+v_{\perp}(\cos \xi \hat{\textbf{e}}_{\perp,1}+\sin \xi \hat{\textbf{e}}_{\perp,2})+v_{\parallel} \hat{\textbf{e}}_{\parallel}\,,
\label{eqn:vkick}
\end{equation}
where
\begin{eqnarray}
v_m&=&A\eta^2\sqrt{1-4\eta}(1+B\eta)\\
v_{\perp}&=&\frac{H\eta^2}{1+q}(\chi_{2,\parallel}-q\chi_{1,\parallel})\\
v_{\parallel}&=&\frac{16\eta^2}{1+q}[V_{1,1}+V_A \tilde{S}_{\parallel}+V_B \tilde{S}^2_{\parallel}+V_C \tilde{S}_{\parallel}^3]\times \nonumber\\
&\times & |\mathbf{\chi}_{2,\perp}-q\mathbf{\chi}_{1,\perp}| \cos(\phi_{\Delta}-\phi_{1})\,.
\end{eqnarray}
The $\perp$ and $\parallel$ refer to the direction perpendicular and parallel to the orbital angular momentum, respectively, while $\hat{e}_{\parallel, 1}$ and $\hat{e}_{\parallel, 2}$ are orthogonal unit vectors in the orbital plane. We have also defined the vector
\begin{equation}
\tilde{\mathbf{S}}=2\frac{\boldsymbol{\chi}_{2}+q^2\boldsymbol{\chi}_{1}}{(1+q)^2}\,,
\end{equation}
$\phi_{1}$ as the phase angle of the binary, and $\phi_{\Delta}$ as the angle between the in-plane component of the vector
\begin{equation}
\boldsymbol{\Delta}=M^2\frac{\boldsymbol{\chi}_{2}-q\boldsymbol{\chi}_{1}}{1+q}
\end{equation}
and the infall direction at merger. Finally, we adopt $A=1.2\times 10^4$ km s$^{-1}$, $H=6.9\times 10^3$ km s$^{-1}$, $B=-0.93$, $\xi=145^{\circ}$ \citep{gon07,lou08}, and $V_{1,1}=3678$ km s$^{-1}$, $V_A=2481$ km s$^{-1}$, $V_B=1793$ km s$^{-1}$, $V_C=1507$ km s$^{-1}$ \citep{lou12}. We adjust the final total mass and spin of the merger remnant using the results of \citet{Jimenez-FortezaKeitel2017}, which we generalized to precessing spins following the approach in \citet{HofmannBarausse2016}.
Whenever $v_{\rm kick}>v_{\rm esc}$, the remnant is ejected from the host cluster; otherwise, it sinks back to the cluster core on the dynamical friction timescale (see Eq.~\ref{eqn:tdf}). In our simulations, we keep track of the masses, spins, and generations of each BH that is retained within its host cluster.
\subsection{Growth of intermediate-mass black holes}
If successfully retained, a remnant BH may eventually keep merging and grow into an IMBH. Whenever its mass is sufficiently large, the interaction between a binary composed of a stellar-mass BH and IMBH with a third stellar-mass BH may change characteristics compared to what previously described, to eventually transition to a behaviour similar to the case of supermassive BH binaries in galactic nuclei. While the amount of energy subtracted per encounter is still small and likely approximately described by Eq.~\ref{eqn:deltabh}, the binary is not going to explore uniformly the eccentricity space; rather the eccentricity increases as a function of time
\begin{equation}
\Delta e_{\rm bin} = \kappa \frac{\Delta a_{\rm bin}}{a_{\rm bin}}\,,
\end{equation}
with $\kappa=0.01$ \citep[e.g.,][]{quin1996,sesa2006}. Note that, however, \citet{BonettiRasskazov2020} showed that for mass ratios $\lesssim 10^{-3}$ the eccentricity growth rate may become negative on average, due to a subset of interacting stars captured in meta-stable counter-rotating orbits, which tend to inject angular momentum from the binary. We switch our eccentricity prescription whenever the primary mass in the merging binary is larger than $1000\msun$.
\section{Hierarchical mergers}
\label{sect:results}
In this Section, we study how different generations of BHs contribute to the overall population of detected mergers and we compare their properties with those of LVK-detected BBHs. For a comparison of our models with results from Monte Carlo simulations using the \textsc{cmc} code, see the Appendix.
\begin{figure*}
\centering
\includegraphics[scale=0.48]{frac.pdf}
\caption{Fractional number of events for different generations as a function of the host cluster mass and for $r_h=1\,$pc (left) and $r_h=3\,$pc (right). Top panel: $Z=0.0002$; central panel $Z=0.002$; bottom panel $Z=0.02$.}
\label{fig:gener}
\end{figure*}
We start by discussing the likelihood of retaining the remnant of a BBH merger in a dense star cluster as it is imparted a recoil kick through anisotropic emission of GWs. We first consider the case where both BHs in the merging binary are from the first generation, which we assume to be non-spinning BHs (as expected based on recent models of stellar evolution; see \citet{FullerMa2019}). Figure~\ref{fig:ret1} shows the probability to retain the merger remnant as a function of the host cluster mass and density, and for different values of the mass ratio. We also plot the mass and half-mass density of Milky Way's globular clusters from \citet{BaumgardtHilker2018} and of nuclear star clusters from \citet{georg2016}. In case of non-spinning BHs, the recoil kick is always very low in the case of very low mass ratios, or even vanishes for equal masses. Therefore, the remnant 2G BH is always retained within its parent cluster. For intermediate mass ratios, however, the retention likelihood significantly decreases. In Figure~\ref{fig:ret2}, we show the retention probability in the case one of the two BHs in the binary is of a second generation. In this case, the 2G BH has a spin of about $0.7$, considering that its progenitors were not spinning \citep[e.g.,][]{buo08}. Since introducing a spin adds asymmetry in the emission of GWs, the likelihood of retaining the remnant decreases with respect to the previous case. The retention probability decreases further in the case both BHs are of a second generation, as illustrated in Figure~\ref{fig:ret3}. It is clear that only the most massive and dense clusters could form, and eventually produce mergers of, BHs beyond the second generation, with 3G BHs more likely to come from the 2G+1G merger channel, rather than the 2G+2G channel.
Figure~\ref{fig:gener} shows the fractional number of events for different generations as a function of the host cluster mass and metallicity, in the case of $r_h=1\,$pc (left) and $r_h=3\,$pc (right). First, note that the overall trends mainly depend on the initial cluster mass and half-mass radius, and not on its metallicity. Second, as expected, the denser the system is, the more likely it is to produce mergers of BBH of a higher generation. For $r_{\rm h}=1\,$pc, we find that 1G+1G mergers represent most of the population of BBH mergers for clusters masses $\sim 10^5\msun$. The contribution of 1G+1G mergers decreases at higher masses, with 2G+1G mergers becoming $\sim 10\%$ of the population for clusters masses $\sim 10^6\msun$, up to about $30\%$ for clusters of $\sim 5\times 10^6\msun$, before decreasing in importance in favor of higher-generation mergers. Mergers of 3G+1G BBHs start happening for clusters masses above $\sim 10^6\msun$ and are typically never more than $\sim 1\%$ of the mergers, while 4G+1G mergers are assembled only for cluster masses $\sim 3\times 10^6\msun$.
This trend is then essentially reproduced by any higher-generation merger (5G+1G, 6G+1G, and so on). The reason is that the mass ratio of the merger is now small enough that the recoil kick imparted to the remnant is not large enough to eject it from the parent cluster. Moreover, the spin of the remnant decreases on average \citep{FragioneKocsis2022}, further suppressing the recoil kick. At this point, this growing BH is massive enough to dominate the BBH mergers and eventually it grows to form an IMBH. This is clearly shown by the fact that higher-generation mergers (``$>$4G+1G'' points in Figure~\ref{fig:gener}) represent essentially most of the events at high cluster masses.
\begin{figure}
\centering
\includegraphics[scale=0.6]{mmax_m7r1.pdf}
\caption{Maximum BH mass formed via repeated mergers as a function of the cluster mass. A transition to IMBH formation is seen at around $4\times 10^6\msun$. The half-mass radius of all clusters here is fixed at $1\,$pc. For models with a half-mass radius of $3\,$pc, a similar transition occurs around $10^7\msun$.}
\label{fig:mmax}
\end{figure}
\begin{figure}
\centering
\includegraphics[scale=0.6]{massratio.pdf}
\caption{Probability distribution function of mass ratios for merging BBHs of different generations.}
\label{fig:massratio}
\end{figure}
\begin{figure}
\centering
\includegraphics[scale=0.575]{spin_rem.pdf}
\includegraphics[scale=0.575]{spin_rem2.pdf}
\includegraphics[scale=0.575]{spin_prim.pdf}
\caption{Cumulative distribution function of the dimensionless spin magnitude for all merger remnant BHs (top panel), for remnant BHs that are retained within their parent cluster (central panel), and for the primaries of BBHs that merge (bottom panel).}
\label{fig:spin}
\end{figure}
This is also illustrated in Figure~\ref{fig:mmax}, where we plot the maximum BH mass produced via hierarchical mergers as a function of the cluster mass, assuming $r_{\rm h}=1\,$pc. It is clear that there is a transition around $4\times 10^6\msun$, after which a single BH dominates the mergers and can grow up to the IMBH regime, $\gtrsim 1000\msun$. This trend does not depend on the metallicity of the cluster, with higher metallicities simply translating into a lower mass of the final IMBH, as a result of the lower initial stellar BH masses. Indeed, a cluster born with solar metallicity can produce BHs with masses just up to about $15\msun$, unlike clusters born at low metallicities, whose BHs at birth can be as massive as about $50\msun$ BHs \citep[e.g.,][]{BanerjeeBelczynski2020}. It is important to note that including 2G+2G and 3G+2G is crucial to characterize the transition to dense star clusters that can eventually form an IMBH. Indeed, the recoil kick imparted to the remnants of 2G+2G and 3G+2G mergers could be significantly larger than the case of 2G+1G and 3G+1G mergers, respectively, where the secondary BH is of a first generation. Therefore, accounting for 2G+2G and 3G+2G mergers is critical in determining if an IMBH could be formed through hierarchical mergers, and even the most massive and dense star clusters in the Universe have only a small likelihood to succeed in this process (see also Figures~\ref{fig:ret2}-\ref{fig:ret3}). For models with a half-mass radius of $3\,$pc, a similar transition occurs around $10^7\msun$.
Among mergers where both components are of a second or higher generation, we find that 2G+2G mergers never represent more than $\sim 0.1\%$ and $\sim 1\%$ of the merging BBH population in star clusters with masses $\sim 10^5\msun$ and $\sim 10^6\msun$, while 3G+2G mergers can only account for $\lesssim 0.1\%$ of the overall population and are assembled only in star clusters with masses $\gtrsim 5\times 10^6\msun$.
We find similar overall trends in the case star clusters have half-mass radius of $r_{\rm h}=3$\,pc, but shifted towards higher cluster masses. Indeed, these clusters are less dense than the case of $r_{\rm h}=1$\,pc, thus a higher cluster mass is needed in order to retain and catalyze the mergers of BBH of a higher generation.
We report in Figure~\ref{fig:massratio} the mass ratio distribution for different generations. The peak of the 1G+1G and 2G+2G mergers is around unity, as result of the fact that the dynamical encounters in the core of dense star clusters tend to process and catalyze the merger of BHs of comparable masses. Then, each generation has a distinctive distribution, with a peak that depends on which generation the two merging BHs belong to. For example, the mass ratio distribution of a merger of a 3G BH and 2G BH is going to be peaked around $2/3$, and so no. Therefore, we find that the mass ratio distribution of 2G+1G, 3G+1G, 3G+2G, 4G+1G, 5G+1G mergers is peaked at about $0.5$, $0.33$, $0.75$, $0.25$, $0.2$, respectively.
Figure~\ref{fig:spin} shows the cumulative distribution function of the spin of the remnant BHs after a a BBH merger, the spin of the remnant BHs that are retained within their parent cluster, and the spin of the primary masses of the BBHs that merge. These plots show a quite general picture, with the first merger producing a remnant with a spin parameter of about $0.7$ starting from two slowly spinning BHs, which then tends to decrease with subsequent mergers, eventually producing a negative correlation between mass and spin \citep[e.g.,][]{antonini2019,FragioneKocsis2022}. The reason is that the final inspiral and deposition of angular momentum happen at random angles with respect to the spin of the more massive BH, assuming an isotropic geometry of BBH mergers as appropriate to a dynamical environment. The growing BH undergoes a damped random walk in the evolution of its spin because retrograde orbits become unstable at a larger specific angular momentum than do prograde orbits, so it is easier to decrease than to increase the spin magnitude, ending up having a spin of about $0.3$ by the time it reaches $\sim 1000\msun$. It is interesting noting that, while the spin of a 3G BH is around $0.6$, the ones that are retained (coming mostly from a 2G+1G merger) have an average spin of about $0.3$.
\begin{figure}
\centering
\includegraphics[scale=0.6]{rates2_giac_m7r1.pdf}
\caption{Predicted merger rates for various generations of BBH mergers, assuming a cluster mass distribution $\propto M_{\rm CL}^{-2}$ up to a maximum mass of $10^7\msun$. Here the half-mass radius of all clusters is fixed at $1$\,pc. The black area represents the $90\%$ credible bounds on the BBH merger rate in the LVK analysis \citep{lvkcoll-O3-2}.}
\label{fig:rates_m7r1}
\end{figure}
\begin{figure}
\centering
\includegraphics[scale=0.6]{rates2_giac_m6r1.pdf}
\caption{Same as Figure~\ref{fig:rates_m7r1}, but with a maximum cluster mass lowered to $10^6\msun$.}
\label{fig:rates_m6r1}
\end{figure}
\begin{figure}
\centering
\includegraphics[scale=0.6]{rates2_giac_m7r3.pdf}
\caption{Same as Figure~\ref{fig:rates_m7r1}, but with the half-mass radius of all clusters set to $3$\,pc.}
\label{fig:rates_m7r3}
\end{figure}
We now proceed with computing the merger rates for different generations of BBH mergers. We compute the rates as
\begin{eqnarray}
R(z) & = & K \frac{d}{dt_{\rm lb}} \int \int \int \int dM_{\rm CL}\,dr_{\rm h}\,dZ\,dz_{\rm f}\, \frac{dt_{\rm lb}}{dz_{\rm f}} \times \nonumber \\
& \times & \frac{\partial N_{\rm events}}{\partial M_{\rm CL}\,\partial r_{\rm h}\,\partial Z\,\partial z_{\rm f}}\,\Psi(M_{\rm CL}, r_{\rm h}, Z, z_{\rm f})\,,
\label{eqn:rates}
\end{eqnarray}
where $N_{\rm events}$ is the number of events, $t_{\rm lb}$ is the look-back time at redshift $z$\footnote{For our calculations we assume the cosmological parameters from Planck 2015 \citep{PlanckCollaborationAde2016}.}, and $\Psi(M_{\rm CL}, r_{\rm h}, Z, z_{\rm f})$ is a weighting function that accounts for the cosmic distribution of cluster masses, sizes, metallicities, and formation times. Cluster masses are weighted proportionally to $M_{\rm CL}^{-2}$ up to $M_{\rm CL}^{\max}=10^7\msun$, while their formation times are assumed proportional to $\exp\left[-(z-z_{\rm f})^2 / (2\sigma_{\rm f}^2)\right]$, with $z_{\rm f}=3.2$ and $\sigma_{\rm f}=1.5$ \citep{MapelliDall'Amico2021} and normalized such that the cluster density is $2.5\,{\rm Mpc}^{-3}$ in the local Universe \citep[e.g.,][]{PortegiesZwartMcMillan2010}. Metallicities are sampled from a log-normal distribution with mean given by \citep{MadauFragos2017}
\begin{equation}
\log \langle Z/{\rm Z}_\odot \rangle = 0.153 - 0.074\,z^{1.34}
\end{equation}
and a standard deviation of $0.5$~dex. Finally, $K$ in Equ.~\ref{eqn:rates} is a correction factor that accounts for the evolution of the cluster density from cluster formation times to present day. We take $K=32.5^{+86.9}_{-17.7}$ as found in the analysis of \citet{AntoniniGieles2020}, which is also consistent with the inferred value needed to reproduce the LVK rate of dynamical mergers (Fishbach \& Fragione in prep.). For initial cluster sizes, we simply consider the two cases where all star clusters are born with half-mass radius $r_{\rm h}=1\,$pc, or all star clusters are born with half-mass radius $r_{\rm h}=3\,$pc; these represent the typical spread of observed values for young clusters in the local Universe \citep[e.g.,][]{PortegiesZwartMcMillan2010}.
\begin{figure*}
\centering
\includegraphics[scale=0.45]{cp2_giac.pdf}
\caption{Component masses of merging BBHs detected by the LVK Collaboration \citep{lvkcoll-O3} and in models assuming a cluster mass distribution $\propto M_{\rm CL}^{-2}$ up to a maximum mass of $10^7\msun$ and $r_{\rm h}=1$\,pc, for various generations of mergers. Dot-dashed, dashed, and solid lines represent the $1\sigma$, $2\sigma$, $3\sigma$ contours of the distributions, obtained by weighting the simulation results with the detection likelihood $w_{\rm det}$.}
\label{fig:ctp_lvk}
\end{figure*}
Figure~\ref{fig:rates_m7r1} shows the merger rates of various generations of BBH mergers, assuming a cluster mass distribution $\propto M_{\rm CL}^{-2}$ up to a maximum mass of $10^7\msun$. The half-mass radius of all clusters is fixed at $1$\,pc. In this case, our models predict a mean merger rate of about $30\gpcyr$ at $z=0$ for 1G+1G mergers, while this becomes about $8\gpcyr$, $1\times 10^{-1}\gpcyr$, $1\times 10^{-2}\gpcyr$, $7\times 10^{-3}\gpcyr$, $7\times 10^{-2}\gpcyr$, and $3\times 10^{-4}\gpcyr$ for 2G+1G, 3G+1G, 4G+1G, 5G+1G, 2G+2G and 3G+2G mergers, respectively. For reference, the LVK rate for BBH mergers is between $17.9\gpcyr$ and $44\gpcyr$ \citep{lvkcoll-O3-2}. When the star cluster mass distribution is truncated to a maximum mass of $10^6\msun$ (see Figure~\ref{fig:rates_m6r1}), we find that the mean rate of 1G+1G mergers slightly decreases, to about $25\gpcyr$ at $z=0$, while the merger of higher generations decreases more significantly. In particular, we find that 2G+1G, 2G+2G, and 3G+1G mergers have a merger rate of $3\gpcyr$, $5\times 10^{-3}\gpcyr$, and $5\times 10^{-4}\gpcyr$, respectively, with no merger seen on our models with fourth- or higher-generation BHs. This reflects the fact that in this case there are no massive star clusters ($\gtrsim 3\times 10^6\msun$, see Figure~\ref{fig:gener}) that can retain a 4G BH. Finally, we plot the merger rates of BBH mergers, assuming a cluster mass distribution $\propto M_{\rm CL}^{-2}$ up to a maximum mass of $10^7\msun$ and half-mass radius of all clusters fixed at the larger value of $3$\,pc in Figure~\ref{fig:rates_m7r3}. It is clear that the rate of 1G+1G, 2G+1G, 2G+2G, and 3G+1G mergers at $z=0$ does not significantly change with respect to the case of star clusters with smaller half-mass radii, while the merger rates for higher generations are smaller. Also the peak and the shape of the rate distributions as a function of redshift are affected by the initial choice of half-mass radius. This illustrates how detecting hierarchical mergers could constrain the overall distributions of cluster masses and densities, which have an imprint on the rates of BBH mergers, and their evolution across cosmic time.
We now compare the masses of the merging BBHs of different generations that we find in our simulations with the detected population by the LVK Collaboration \citep{lvkcoll-O3}. In order to do that, we start by accounting for the observational weights by advanced GW observatories, considering the increased sensitivity of the detectors to BBHs of higher masses and the larger amount of comoving volume surveyed at higher redshifts. In addition to the weights accounting for the distribution of masses, formation times, and metallicity of the parent dense star cluster, we assign each BBH a detectability weight defined as \cite[see, e.g.,][]{FragioneBanerjee2021}
\begin{equation}
w_{\rm det} = \frac{p_{\rm det}(m_1,m_2,z)}{1+z} \frac{dVc}{dz}\,,
\label{eqn:gwweight}
\end{equation}
where $dV_c/dz$ is the amount of co-moving volume in a slice of the universe at redshift $z$, $1/(1+z)$ is the difference in comoving time between the merger redshift and the observer at $z=0$, and $p_{\rm det}(m_1,m_2,z)$ is the detection probability of sources with masses $m_1$ and $m_2$ merging at redshift $z$. To compute the GW detectability signal-to-noise (S/N) ratio, we use the \textsc{IMRPhenomD} GW approximant \citep{SantamariaOhme2010} and assume a single LIGO instrument at design sensitivity, following the procedure outlined by \citet{DominikBelczynski2013}. We define the detection probability $p_{\rm det}(m_1,m_2,z)$ as the fraction of sources of a given mass located at the given redshift that exceed the detectability threshold in S/N, assuming that sources are uniformly and isotropically distributed in sky location and orbital orientation
\begin{equation}
p_{\rm det}(m_1,m_2,z)=P(\rho_{\rm thr}/\rho_{\rm opt})\,,
\label{eqn:detec}
\end{equation}
where $\rho_{\rm opt}$ is the S/N ratio for an optimally located and oriented (face-on and directly overhead) binary and $\rho_{\rm thr}=8$ is the S/N ratio threshold, and
\begin{eqnarray}
P(\mathcal{W})&=&a_2(1-\mathcal{W})^2+a_4(1-\mathcal{W})^4+a_8(1-\mathcal{W})^8\nonumber\\
&+&(1-a_2-a_4-a_8)(1-\mathcal{W})^{10}\,,
\end{eqnarray}
where $a_2=0.374222$, $a_4=2.04216$, and $a_8=-2.63948$.
Figure~\ref{fig:ctp_lvk} shows a comparison of component masses for merging BBHs detected by the LVK Collaboration \citep{lvkcoll-O3} and in our models, assuming a cluster mass distribution $\propto M_{\rm CL}^{-2}$ up to a maximum mass of $10^7\msun$ and half-mass radius $r_{\rm h}=1$\,pc, for various generations of mergers\footnote{This choice of the value of the initial half-mass radius is consistent with the mean value of $r_{\rm h}$ needed to reproduce the LVK rate for dynamical mergers (Fishbach \& Fragione, in prep.).}. This plot shows that, within our models, some events can only be explained by higher BH generations. In particular, GW190521, GW190426\_190642, and GW200220\_061928 are consistent with coming from 3G+2G mergers. Besides the agreement in component masses, a full analysis of these signals, and the determination of which formation channel is most likely for each one, would also require careful consideration of the BH spins (see Figure~\ref{fig:spin}), which we leave to a future work.
\section{Discussion and conclusions}
\label{sect:concl}
Although the LVK collaboration has detected more than $80$ merging BBHs, the exact shape of the BH mass spectrum remains poorly known. Current stellar evolution models predict a dearth of BHs with masses $\gtrsim 50\msun$ as a result of pair-instability physics, but the detection of GW190521 and other events with one or both component masses above this limit has challenged theoretical models.
BHs with higher masses could be produced through repeated mergers of smaller BHs in the center of a dense star cluster. Here, the high stellar density in the core leads to efficient formation of merging BBHs, and provides a deep potential well that could retain merger remnants even when they receive a relativistic recoil kick of several hundred $\kms$. The merger remnant could then undergo the same dynamical processes and eventually merge with another BH via GW emission. The likelihood of this hierarchical merger process is very sensitive to the cluster mass and density: the higher the mass and density are, the more likely it is. Unfortunately, the most interesting star clusters cannot be simulated numerically with direct (Aarseth-type) $N$-body codes, and even parallel Monte Carlo codes remain limited in this regime of very large cluster masses with high densities.
In this paper, we have used a semi-analytic framework to investigate hierarchical mergers in dense star clusters, based on a method first developed by \citet{AntoniniGieles2020}. Our method allows us to rapidly study the outcomes of hierarchical mergers as a function of the cluster masses, densities and metallicities. We have discussed the characteristics of the population of higher-generation BHs and their GW signatures.
We have shown in some detail how the likelihood of higher-generation mergers increases with cluster mass and density. Assuming a half-mass radius of $1$\,pc, we have found that 1G+1G mergers represent most of the population of BBH mergers for clusters masses of $\sim 10^5\msun$, with 2G+1G mergers becoming $\sim 10\%$ of the population for clusters masses of $\sim 10^6\msun$, and up to about $30\%$ for cluster masses around $5\times 10^6\msun$. Mergers of 3G+1G BBHs start happening for clusters masses of $\sim 10^6\msun$ and are typically never more than $\sim 1\%$ of all mergers, while 4G+1G mergers are assembled only for cluster masses $\sim 3\times 10^6\msun$. This trend is then essentially reproduced by any higher-generation merger (5G+1G, 6G+1G, and so). The reason for this is that the mass ratio of the merger starts becoming quite small and the recoil kick imparted to the remnant is no longer large enough to eject it from the parent cluster. Around $4\times 10^6\msun$, a single BH starts to dominate the mergers and can grow all the way to the IMBH regime, $\gtrsim 1000\msun$. We have also shown that the overall trends mainly depend on the initial cluster mass and radius, and not on its metallicity.
Assuming a cluster mass distribution $\propto M_{\rm CL}^{-2}$ up to a maximum mass of $10^7\msun$ and half-mass radius of the clusters fixed to $1$\,pc, our models predict a mean merger rate of about $30\gpcyr$ at $z=0$ for 1G+1G mergers, and about $8\gpcyr$, $1\times 10^{-1}\gpcyr$, $1\times 10^{-2}\gpcyr$, $7\times 10^{-3}\gpcyr$, $7\times 10^{-2}\gpcyr$, and $3\times 10^{-4}\gpcyr$ for 2G+1G, 3G+1G, 4G+1G, 5G+1G, 2G+2G and 3G+2G mergers, respectively. If the star cluster mass distribution is instead truncated at a maximum mass of $10^6\msun$ or if we assume a larger initial half-mass radius of $3$\,pc, we have found that the rate of 1G+1G mergers slightly decreases, to about $25\gpcyr$ at $z=0$, while for higher generations the rates decrease more significantly. The location of the peak and the overall shape of the rates as a function of redshift are also affected by the initial choice of half-mass radius.
Finally, we have discussed the few detected GW sources that can only be explained by higher BH generations. In particular, GW190521, GW190426\_190642, and GW200220\_061928 are consistent with being 3G+2G mergers. Our results can be used to inform detailed Bayesian inference to assess the likelihood of detected events of being consistent with higher-generation mergers, based on their masses, mass ratios, and effective spins \citep[e.g.,][]{KimballTalbot2021}. We leave such a detailed study to future work.
While we refer the reader to \citet{AntoniniGieles2020} for a full discussion of the uncertainties in our simplified cluster models, we stress that one of the main sources of uncertainty in predicted merger rates for BBHs is the poorly known distributions of cluster properties (masses, radii, metallicities, and formation times) across the Universe. While most of these distributions are difficult to determine observationally \citep[for a review see][]{PortegiesZwartMcMillan2010}, some of them may soon be constrained directly by JWST observations \citep[e.g.,][]{MowlaIyer2022,VanzellaClaeyssens2022}. On the other hand, the current and upcoming detections of GW sources can be used to constrain them indirectly, assuming that some fraction of the population is indeed assembled dynamically in dense star clusters (Fishbach \& Fragione, in prep.). Importantly, when all these considerations are taken carefully into account, dense star clusters may be found to produce a majority of detectable BBH mergers.
With the start of the next LVK run approaching, hundreds of additional BBH mergers are expected to be detected over the next few years. Assuming $\sim 500$ BBH mergers detected in O4 by LVK, we predict that $\sim 50$ and $\sim 5$ of these events will contain a 2G and 3G BH, respectively, and up to $1$ event a 4G BH. With their distinctive signatures of higher masses and spins, hierarchical mergers offer an unprecedented opportunity to learn about dense star clusters throughout the Universe and to shed light on the elusive population of IMBHs.
\section*{Acknowledgements}
This work was supported by NASA Grant 80NSSC21K1722 at Northwestern University.
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{"url":"https:\/\/rosiamontana.world\/wp-content\/uploads\/0ekbl\/qd9fy1.php?a6cba3=what-is-hebb%27s-rule-of-learning-mcq","text":"# what is hebb's rule of learning mcq\n\n###### Hello world!\nnoiembrie 26, 2016\n\nTo practice all areas of Neural Networks, here is complete set on 1000+ Multiple Choice Questions and Answers. When an axon of cell A is near enough to excite a cell B and repeatedly or persistently takes part in firing it, some growth process or metabolic change takes place in one or both cells such that A's efficiency, as one of the cells firing B, is increased. Set net.trainFcn to 'trainr'. 5. In Operant conditioning procedure, the role of reinforcement is: (a) Strikingly significant ADVERTISEMENTS: (b) Very insignificant (c) Negligible (d) Not necessary (e) None of the above ADVERTISEMENTS: 2. The simplest neural network (threshold neuron) lacks the capability of learning, which is its major drawback. ) It is an attempt to explain synaptic plasticity, the adaptation of brain neurons during the learning process. (net.trainParam automatically becomes trainr\u2019s default parameters. As a pattern changes, the system should be able to measure and store this change. Herz, R. K\u00fchn, M. Vaas, \"Encoding and decoding of patterns which are correlated in space and time\" G. Dorffner (ed.) {\\displaystyle w_{ij}} {\\displaystyle i=j} i t c \\Delta J _ {ij } = \\epsilon _ {ij } { Hebbian theory has been the primary basis for the conventional view that, when analyzed from a holistic level, engrams are neuronal nets or neural networks. p is symmetric, it is also diagonalizable, and the solution can be found, by working in its eigenvectors basis, to be of the form. Then the appropriate modification of the above learning rule reads, $$(i.e. ) {\\displaystyle C} Check the below NCERT MCQ Questions for Class 7 History Chapter 3 The Delhi Sultans with Answers Pdf free download. )Set each net.inputWeights{i,j}.learnFcn to 'learnh'.. Set each net.layerWeights{i,j}.learnFcn to 'learnh'. In a Hopfield network, connections is the eigenvector corresponding to the largest eigenvalue of the correlation matrix between the The units with linear activation functions are called linear units. x The following is a formulaic description of Hebbian learning: (many other descriptions are possible). These re-afferent sensory signals will trigger activity in neurons responding to the sight, sound, and feel of the action. i When one cell repeatedly assists in firing another, the axon of the first cell develops synaptic knobs (or enlarges them if they already exist) in contact with the soma of the second cell. \u27e9 The theory attempts to explain associative or Hebbian learning, in which simultaneous activation of cells leads to pronounced increases in synaptic strength between those cells. the One of the most well-documented of these exceptions pertains to how synaptic modification may not simply occur only between activated neurons A and B, but to neighboring neurons as well. \", \"Demystifying social cognition: a Hebbian perspective\", \"Action recognition in the premotor cortex\", \"Programmed to learn? python3 pip3 numpy opencv pickle Setup ## If you are using Anaconda you can skip these steps #On Linux - Debian sudo apt-get install python3 python3-pip pip3 install numpy opencv-python #On Linux - Arch sudo pacman -Sy python python-pip pip install numpy opencv-python #On Mac sudo brew install python3 \u2026 I was reading on wikipedia that there are exceptions to the hebbian rule, and I was curious about the possibilities of other hypotheses of how learning occur in the brain. {\\displaystyle y(t)} \u03b1 are set to zero if i , Perceptron Learning Rule (PLR) The perceptron learning rule originates from the Hebbian assumption, and was used by Frank Rosenblatt in his perceptron in 1958. A network with a single linear unit is called as adaline (adaptive linear neuron). is the largest eigenvalue of In the study of neural networks in cognitive function, it is often regarded as the neuronal basis of unsupervised learning. \u27e8 is the weight of the connection from neuron i Much of the work on long-lasting synaptic changes between vertebrate neurons (such as long-term potentiation) involves the use of non-physiological experimental stimulation of brain cells. where i In summary, Hebbian learning is efficient since it is local, and it is a powerful algorithm to store spatial or spatio-temporal patterns. Professionals, Teachers, Students and Kids Trivia Quizzes to test your knowledge on the subject. Hebb's classic [a1], which appeared in 1949. Example - Pineapple Recall 36. {\\displaystyle f} It was introduced by Donald Hebb in his 1949 book The Organization of Behavior. x emits a spike, it travels along the axon to a so-called synapse on the dendritic tree of neuron i , x Information and translations of Hebbs rule in the most comprehensive dictionary definitions resource on the web. Hebb's classic [a1], which appeared in 1949. This rule, one of the oldest and simplest, was introduced by Donald Hebb in his book The Organization of Behavior in 1949. . We have Provided The Delhi Sultans Class 7 History MCQs Questions with Answers to help students understand the concept very well. N say. {\\displaystyle x_{1}(t)...x_{N}(t)} ( i milliseconds. So it is advantageous to have a time window [a6]: The pre-synaptic neuron should fire slightly before the post-synaptic one. . i Techopedia explains Hebbian Theory Hebbian theory is named after Donald Hebb, a neuroscientist from Nova Scotia who wrote \u201cThe Organization of Behavior\u201d in 1949, which has been part of the basis for the development of artificial neural networks. i The WIDROW-HOFF Learning rule is very similar to the perception Learning rule. 1 One gets a depression (LTD) if the post-synaptic neuron is inactive and a potentiation (LTP) if it is active. Intuitively, this is because whenever the presynaptic neuron excites the postsynaptic neuron, the weight between them is reinforced, causing an even stronger excitation in the future, and so forth, in a self-reinforcing way. the output. The law states, \u2018Neurons that fire together, wire together\u2019, meaning if you continually have thought patterns or do something, time after time, then the neurons in our brain tend to strengthen that learning, becoming, what we know as \u2018habit\u2019. {\\displaystyle k_{i}} and the above sum is reduced to an integral as N \\rightarrow \\infty . However, some of the physiologically relevant synapse modification mechanisms that have been studied in vertebrate brains do seem to be examples of Hebbian processes. It was introduced by Donald Hebb in his 1949 book The Organization of Behavior. f Under the additional assumption that The neuronal activity S _ {i} ( t ) To practice all areas of Neural Networks, here is complete set on 1000+ Multiple Choice Questions and Answers. and {\\displaystyle w} At this time, the postsynaptic neuron performs the following operation: where Artificial Intelligence researchers immediately understood the importance of his theory when applied to artificial neural networks and, even if more efficient algorithms have been adopted in \u2026 Even tought both approaches aim to solve the same problem, ... Rewriting the expected loss using Bayes' rule and the definition of expectation. Experiments on Hebbian synapse modification mechanisms at the central nervous system synapses of vertebrates are much more difficult to control than are experiments with the relatively simple peripheral nervous system synapses studied in marine invertebrates. with,$$ t It \u2026 $$. The neuronal dynamics in its simplest form is supposed to be given by S _ {i} ( t + \\Delta t ) = { \\mathop{\\rm sign} } ( h _ {i} ( t ) ) , w J.L. Neurons communicate via action potentials or spikes, pulses of a duration of about one millisecond. 250 Multiple Choice Questions (MCQs) with Answers on \u201cPsychology of Learning\u201d for Psychology Students \u2013 Part 1: 1. y Neurons of vertebrates consist of three parts: a dendritic tree, which collects the input, a soma, which can be considered as a central processing unit, and an axon, which transmits the output. The Hebbian Learning Rule is a learning rule that specifies how much the weight of the connection between two units should be increased or decreased in proportion to the product of their activation. Hebb's theories on the form and function of cell assemblies can be understood from the following:[1]:70. If you missed the previous post of Artificial Intelligence\u2019s then please click here.. be the synaptic strength before the learning session, whose duration is denoted by T . i.e., S _ {j} ( t - \\tau _ {ij } ) , The weight between two neurons increases if the two neurons activate simultaneously, and reduces if they activate separately. c } \\sum _ { 0 } ^ { T } S _ {i} ( t + \\Delta t ) [ S _ {j} ( t - \\tau _ {ij } ) - \\mathbf a ] 0. The general idea is an old one, that any two cells or systems of cells that are repeatedly active at the same time will tend to become 'associated' so that activity in one facilitates activity in the other. is active at time t , whose inputs have rates van Hemmen, W. Gerstner, A.V.M. x 5. Work in the laboratory of Eric Kandel has provided evidence for the involvement of Hebbian learning mechanisms at synapses in the marine gastropod Aplysia californica. the time average of the inputs is zero), we get For instance, people who have never played the piano do not activate brain regions involved in playing the piano when listening to piano music. If so, why is it that good? Learning, like intelligence, covers such a broad range of processes that it is dif- cult to de ne precisely. {\\displaystyle \\langle \\mathbf {x} \\mathbf {x} ^{T}\\rangle =C} For unbiased random patterns in a network with synchronous updating this can be done as follows. are set to zero if {\\displaystyle w_{ij}} C The above Hebbian learning rule can also be adapted so as to be fully integrated in biological contexts [a6]. neurons, only { \\mathop{\\rm ln} } N {\\displaystyle N} Artificial Intelligence MCQ Questions. If we make the decay rate equal to the learning rate , Vector Form: 35. The idea behind it is simple. 10 Rules for Framing Effective Multiple Choice Questions A Multiple Choice Question is one of the most popular assessment methods that can be used for both formative and summative assessments. Since S _ {j} - a \\approx 0 0 {\\displaystyle x_{i}} The ontogeny of mirror neurons\", \"Action representation of sound: audiomotor recognition network while listening to newly acquired actions\", \"Fear conditioning and LTP in the lateral amygdala are sensitive to the same stimulus contingencies\", \"Natural patterns of activity and long-term synaptic plasticity\", https:\/\/en.wikipedia.org\/w\/index.php?title=Hebbian_theory&oldid=991294746, Articles with unsourced statements from April 2019, All articles with specifically marked weasel-worded phrases, Articles with specifically marked weasel-worded phrases from May 2013, Creative Commons Attribution-ShareAlike License, This page was last edited on 29 November 2020, at 09:11. {\\displaystyle \\mathbf {c} ^{*}} Hebb states it as follows: Let us assume that the persistence or repetition of a reverberatory activity (or \"trace\") tends to induce lasting cellular changes that add to its stability. {\\displaystyle i=j} Neurons of vertebrates consist of three parts: a dendritic tree, which collects the input, a soma, which can be considered as a central processing unit, and an \u2026 Since van Hemmen, \"Why spikes? C i A learning rule which combines both Hebbian and anti-Hebbian terms can provide a Boltzmann machine which can perform unsupervised learning of distributed representations. Five hours of piano lessons, in which the participant is exposed to the sound of the piano each time they press a key is proven sufficient to trigger activity in motor regions of the brain upon listening to piano music when heard at a later time. {\\displaystyle f} Hebbian Learning Rule. What does Hebbs rule mean? A dictionary de nition includes phrases such as \\to gain knowledge, or understanding of, or skill in, by study, instruction, or expe-rience,\" and \\modi cation of a behavioral tendency by experience.\" [a4]). {\\displaystyle j} van Hemmen (originator), which appeared in Encyclopedia of Mathematics - ISBN 1402006098. https:\/\/encyclopediaofmath.org\/index.php?title=Hebb_rule&oldid=47201, D.O. Relationship to unsupervised learning, stability, and generalization, Hebbian learning account of mirror neurons, \"Selection of Intrinsic Horizontal Connections in the Visual Cortex by Correlated Neuronal Activity\", Brain function and adaptive systems\u2014A heterostatic theory, \"Neural and Adaptive Systems: Fundamentals Through Simulations\", \"Chapter 19: Synaptic Plasticity and Learning\", \"Retrograde Signaling in the Development and Modification of Synapses\", \"A computational study of the diffuse neighbourhoods in biological and artificial neural networks\", \"Can Hebbian Volume Learning Explain Discontinuities in Cortical Maps? {\\displaystyle \\alpha _{i}} In passing one notes that for constant, spatial, patterns one recovers the Hopfield model [a5]. and - 1 Because, again, The theory is also called Hebb's rule, Hebb's postulate, and cell assembly theory. j For the outstar rule we make the weight decay term proportional to the input of the network. Learning rule is a method or a mathematical logic. Hebbian Learning is one the most famous learning theories, proposed by the Canadian psychologist Donald Hebb in 1949, many years before his results were confirmed through neuroscientific experiments. [11] This type of diffuse synaptic modification, known as volume learning, counters, or at least supplements, the traditional Hebbian model.[12]. The response of the neuron in the rate regime is usually described as a linear combination of its input, followed by a response function: As defined in the previous sections, Hebbian plasticity describes the evolution in time of the synaptic weight If neuron j . A learning rule dating back to D.O. How can it do that? This aspect of causation in Hebb's work foreshadowed what is now known about spike-timing-dependent plasticity, which requires temporal precedence.[3]. The above equation provides a local encoding of the data at the synapse j \\rightarrow i . w k [5] Klopf's model reproduces a great many biological phenomena, and is also simple to implement. [citation needed]. [13][14] Mirror neurons are neurons that fire both when an individual performs an action and when the individual sees[15] or hears[16] another perform a similar action. For a neuron with activation function (), the delta rule for 's th weight is given by = (\u2212) \u2032 (), where . It helps a Neural Network to learn from the existing conditions and improve its performance. \u27e8 What is hebb\u2019s rule of learning a) the system learns from its past mistakes b) the system recalls previous reference inputs & respective ideal outputs c) the strength of neural connection get modified accordingly d) none of the mentioned View Answer (net.adaptParam automatically becomes trains\u2019s default parameters. are the eigenvectors of x Hebbian learning strengthens the connectivity within assemblies of neurons that fire together, e.g. {\\displaystyle A} MCQ Questions for Class 7 Social Science with Answers were prepared based on the latest exam pattern. \"[2] However, Hebb emphasized that cell A needs to \"take part in firing\" cell B, and such causality can occur only if cell A fires just before, not at the same time as, cell B. i where This page was last edited on 5 June 2020, at 22:10. [1] The theory is also called Hebb's rule, Hebb's postulate, and cell assembly theory. Hebbian theory concerns how neurons might connect themselves to become engrams. \\Delta J _ {ij } = \\epsilon _ {ij } { We may call a learned (auto-associated) pattern an engram.[4]:44. \u2217 Gordon Allport posits additional ideas regarding cell assembly theory and its role in forming engrams, along the lines of the concept of auto-association, described as follows: If the inputs to a system cause the same pattern of activity to occur repeatedly, the set of active elements constituting that pattern will become increasingly strongly interassociated. C should be active. j From the point of view of artificial neurons and artificial neural networks, Hebb's principle can be described as a method of determining how to alter the weights between model neurons. K. Schulten (ed.) This mechanism can be extended to performing a full PCA (principal component analysis) of the input by adding further postsynaptic neurons, provided the postsynaptic neurons are prevented from all picking up the same principal component, for example by adding lateral inhibition in the postsynaptic layer. The Hebb\u2019s principle or Hebb\u2019s rule Hebb says that \u201cwhen the axon of a cell A is close enough to excite a B cell and takes part on its activation in a repetitive and persistent way, some type of growth process or metabolic change takes place in one or both cells, so that increases the efficiency of cell A in the activation of B \u201c. It is an iterative process. Here, \\{ {S _ {i} ( t ) } : {1 \\leq i \\leq N } \\} , = = to neuron {\\displaystyle \\mathbf {c} _{i}} to neuron Meaning of Hebbs rule. If we assume initially, and a set of pairs of patterns are presented repeatedly during training, we have (cf. 1.What are the types of Agents? {\\displaystyle x_{i}^{k}} i \u2217 {\\displaystyle x_{i}} This is learning by epoch (weights updated after all the training examples are presented). {\\displaystyle C} j From the point of view of artificial neurons and artificial neural networks, Hebb's principle can be described as a method of determining how to alter the weights between model neurons. After the learning session, J _ {ij } It is a learning rule that describes how the neuronal activities influence the connection between neurons, i.e., the synaptic plasticity. OCR using Hebb's Learning Rule Differentiates only between 'X' and 'O' Dependencies. It\u2019s not as exciting as discussing 3D virtual learning environments, but it might be just as important. {\\displaystyle w_{ij}} (Each weight learning parameter property is automatically set to learnh\u2019s default parameters.) Christian Keysers and David Perrett suggested that as an individual performs a particular action, the individual will see, hear, and feel the performing of the action. ( If you need to use tests, then you want to reduce the errors that occur from poorly written items. Definition of Hebbs rule in the Definitions.net dictionary. Assuming that we are interested in the long-term evolution of the weights, we can take the time-average of the equation above. www.springer.com Hebbian learning and spike-timing-dependent plasticity have been used in an influential theory of how mirror neurons emerge. In the present context, one usually wants to store a number of activity patterns in a network with a fairly high connectivity ( 10 ^ {4} It provides an algorithm to update weight of neuronal connection within neural network. the input for neuron The biology of Hebbian learning has meanwhile been confirmed. Hebb's postulate has been formulated in plain English (but not more than that) and the main question is how to implement it mathematically. Since a correlation matrix is always a positive-definite matrix, the eigenvalues are all positive, and one can easily see how the above solution is always exponentially divergent in time. One such study[which?] The learning session having a duration T , the multiplier T ^ {- 1 } The rules covered here make tests more accurate, so the questions are interpreted as intended and the answer options are clear and without hints. a) the system learns from its past mistakes. The net is passed to the activation function and the function's output is used for adjusting the weights. their corresponding eigenvalues. , G. Palm, \"Neural assemblies: An alternative approach to artificial intelligence\" , Springer (1982). In this machine learning tutorial, we are going to discuss the learning rules in Neural Network.$$. 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The weights get modified ] has advocated an extremely low activity for efficient of!","date":"2021-09-24 15:01:51","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\": 1, \"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\": 0.6525960564613342, \"perplexity\": 3012.0391074357444}, \"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-2021-39\/segments\/1631780057558.23\/warc\/CC-MAIN-20210924140738-20210924170738-00427.warc.gz\"}"} | null | null |
Q: js-grid output height restriction issues - Cannot control overflow of output I am currently using js-grid to surface data returned from a database query as part of a web application. All features seem to operate as I would like; however, when the data returned leads to the height of the overall grid being greater than that of the parent element it "overflows".
For example, it should look like:
but, with enough data, I'm getting:
I have set the height value in the jsGrid call to that of the container element, as well as trying to set a height and max-height css value using both css and jQuery. I've also added an overflow of scroll and auto, to no effect.
function surfaceDataGrid(message, recipient) {
var fieldData = JSON.parse(message.Data);
activeRequests.splice(0, activeRequests.length);
var columns = getColumns(recipient);
var Columns = columns.list.length;
var recipientElement = '#' + recipient;
var gridHeight = $(recipientElement).height();
var gridWidth = $(recipientElement).width();
$(recipientElement).html('<div id="jsgrid"></div>');
if (fieldData.length !== 0) {
loggingAction('log', 'NOTIFICATION : Query returned ' + fieldData.length + ' rows of data. ');
$(recipientElement).children('#jsgrid').jsGrid({
data: fieldData,
editing: false,
fields: eval(columns),
height: gridHeight,
inserting: false,
pageindex: 1,
pagesize: 1,
paging: false,
selecting: "true",
sorting: true,
width: gridWidth,
});
var Rows = ($('.jsgrid-table tbody tr').length) - 3;
$('.jsgrid-table').removeAttr('style');
var gridheight2 = (gridHeight - 28) + "px";
var headerwidth = (gridWidth / Columns) + 'px';
$('.jsgrid-header-cell').width(headerwidth).width('28px');
$('.jsgrid-grid-body').css('margin-top', '28px');
$('.jsgrid .jsgrid-grid-body').css('height',gridheight2);
$('.jsgrid-table').width(gridWidth + 'px');
$('.jsgrid-grid-body .jsgrid-table').width(gridWidth + 'px').height(gridheight2 + 'px');
$('.jsgrid-row').attr("tabIndex", "1");
$('.jsgrid-alt-row').attr("tabIndex", "1");
}
else {
$(recipientElement).children().remove();
$(recipientElement).append('<div id="jsgrid"><h2 class="errorMessage" style="padding:1em;text-align:center;">No data returned.<br> Please resubmit!</h2></div>');
$(recipientElement).fadeIn(fadeINtiming);
loggingAction('log', 'NOTIFICATION : Query returned no data.');
}
$('tr').click(function () {
var instantVariable0 = $('.jsgrid-header-row').parent().children()[0];
var selectedType0 = $(instantVariable0).text();
var instantVariable1 = $(this).parent().children()[0];
gridValueSelected = $(instantVariable1).text();
loggingAction('log', 'NOTIFICATION : A cell has been clicked');
loggingAction('info', 'INFORMATION : Agent has selected ' + selectedType0.split(' ')[1] + ' value of "' + gridValueSelected + '".');
$(this).addClass('selectedRow').siblings().removeClass('selectedRow');
});
}
A: Here you go with a solution https://jsfiddle.net/kL291xp5/39/
var data = [];
$("#jsGrid").jsGrid({
height: 300,
width: "100%",
paging: false,
autoload: true,
fields: [
{ name: "Date", type: "textarea", width: 150 },
{ name: "User", type: "textarea", width: 150},
{ name: "Comment", type: "textarea", width: 150}
]
});
$('button').click(function(){
var comment = $('#comment').val().trim();
if(comment.length > 0){
data.push({
Date: new Date(),
User: 'ABC',
Comment: comment
});
$("#jsGrid").jsGrid({
controller: {
loadData: function() {
return data;
}
}
});
$('#comment').val('');
}
});
.jsgrid-cell {
overflow: hidden;
}
#comment{
width: 300px;
height:100px;
}
<link href="https://cdnjs.cloudflare.com/ajax/libs/jsgrid/1.5.1/jsgrid-theme.css" rel="stylesheet"/>
<link href="https://cdnjs.cloudflare.com/ajax/libs/jsgrid/1.5.1/jsgrid.css" rel="stylesheet"/>
<link href="https://code.jquery.com/ui/1.10.4/themes/redmond/jquery-ui.css" rel="stylesheet"/>
<script src="https://ajax.googleapis.com/ajax/libs/jquery/2.1.1/jquery.min.js"></script>
<script src="https://code.jquery.com/ui/1.11.2/jquery-ui.js"></script>
<script src="https://cdnjs.cloudflare.com/ajax/libs/jsgrid/1.5.1/jsgrid.js"></script>
<div id="jsGrid"></div>
<textarea id="comment"></textarea>
<button type="submit">Add Comments</button>
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 1,155 |
Q: Visualizing combinations with repetitions allowed. So I fully understand:
Permutations without repetitions: $\dfrac {n!}{(n-r)!}$
Permutations with repetitions: $n^r$
Combinations without repetitions: $\dfrac{n!}{(n-r)!r!}$
But I'm having problems finding resources online that visually explain combinations with repetitions: $$\dfrac{(n+r-1)!}{(n-1)!r!}$$
I would be very grateful if anyone could give me a good visual, step by step explanation of how they work. Maybe use the case of choosing $3$ letters from a set of A, B and C, with repetitions allowed.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 9,686 |
Janet Soergel Mielke (born June 30, 1937) is an American politician and secretary.
Born in Edgerton, Wisconsin, Mielke graduated from Milton Union High School and was a secretary. Mielke served in the Wisconsin State Assembly as a Democrat in 1971 and 1973.
Notes
1937 births
People from Edgerton, Wisconsin
Women state legislators in Wisconsin
Living people
21st-century American women
Democratic Party members of the Wisconsin State Assembly | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 6,187 |
\section{Introduction}
\addtocounter{page}{-1}
Following ``Seven-Year Wilkinson Microwave Anisotropy Probe (WMAP) Observations" \cite{ref:WMAP}, the theory of inflation are proved to be the most promising theory of the early universe before the big bang.
As a favored scenario to explain the observational data, it is customary to introduce a scalar field called inflaton.
What kind of theoretical frameworks are the most appropriate to describe the theory of particle physics, inflation and the recent observations?
It seems to require a far richer structure of contents than that of the standard theory of particles.
As far as the 4$D$, $N=1$ supergravity can play an elementary role in the theory of the space-time and the particles \cite{ref:SUGRA}, it can also be essential in the theory of the early universe as an effective field theory.
Supergravity, however, has been confronting with the difficulties, such as the $\eta$-problem and the supersymmetry breaking (SSB) mechanism has been studied by many authors \cite{ref:Nilles, ref:NoScale, ref:Witten, ref:Cvetic}.
We have investigated to prevail over these difficulties in Refs.\cite{ref:Hayashi1, ref:Hayashi2} by using the modular invariant supergravity induced from superstring \cite{ref:Ferrara}. We found that the interplay between the dilaton field $S$ and gauge-singlet scalar $Y$ could give rise to sufficient inflation. The model is free from the the $\eta$-problem and realizes appropriate amount of inflation as well as the TT angular power spectrum.
In this letter, the preheating mechanism just after the end of inflation will be investigated.
First we will briefly review the model and the former results \cite{ref:Hayashi1, ref:Hayashi2} as follows.
It is convenient to introduce the dilaton field $S$, a chiral superfield $Y$ and the modular field $T$. Here, all the matter fields are set to zero for simplicity.
Then, the effective No-Scale type K{\"a}hler potential and the effective superpotential that incorporate modular invariance are given by \cite{ref:Ferrara}, (see also \cite{ref:Nilles0}):
\begin{eqnarray}
K&=&-\ln \left(S+S^\ast\right)-3\ln \left(T+T^\ast-|Y|^2\right), \\
W&=&3bY^3\ln\left[c\>e^{S/3b}\>Y\eta^2(T)\right],
\end{eqnarray}
where $\eta(T)$ is the Dedekind $\eta$-function, defined by:
\begin{equation}
\eta(T)=e^{-2\pi T/24} \prod^{\infty}_{n=1}(1-e^{-2\pi nT}).
\end{equation}
The parameter $b$ and $c$ are treated as free parameters in this letter as discussed in Ref.\cite{ref:Hayashi2}.
We had found that the potential $V(S,Y)$ at $T=1$ has a stable minimum at for the values
$b = 9.4$, $c = 131$ and obtained
\begin{eqnarray}
S_{{\rm min}} = 1.51, \qquad Y_{{\rm min}} = 0.00878480,
\end{eqnarray}
where $\eta (1) = 0.768225$, $\eta^2 (1) = 0.590170$, $\eta' (1) = -0.192056$, $\eta'' (1) = -0.00925929$ are used.
The inflationary trajectory can be well approximated by
\begin{equation}
Y_{\rm min}(S) \sim 0.009268 e^{-0.035461 S},
\end{equation}
which corresponds to the trajectory of the stable minimum for both $S$ and $Y$.
The slow-roll parameters $\varepsilon_S$ and $\eta_{SS}$ satisfy the slow-roll conditions.
The number of $e$-folds $\sim 57$, by integrating from $S_{\rm end} \sim 4.19$
to $S_*\sim 11.6$, i.e. our potential can produce
a cosmologically plausible number of $e$-folds \cite{ref:WMAP}.
Here $S_*$ is the value corresponding to the scale $k_*=0.05$ Mpc$^{-1}$.
We can also compute scalar spectral index and its running that describe the scale dependence
of the spectrum of primordial density perturbation $\mathcal{P_R} = (H/\dot{S})^2 ( H/2\pi )^2$ \cite{ref:Perturbation};
these indices are defined by
\begin{eqnarray}
n_s - 1 &=& \frac{d\ln \mathcal{P_R}}{d\ln k}, \\
\alpha_s &=& \frac{dn_s}{d\ln k}.
\end{eqnarray}
These are approximated in the slow-roll paradigm as
\begin{eqnarray}
n_s (S) &\sim& 1 - 6 \varepsilon_S + 2 \eta_{SS}, \\
\alpha_s(S) &\sim& 16 \varepsilon_S \eta_{SS} - 24 \varepsilon_S^2 - 2\xi^2_{(3)},
\end{eqnarray}
where $\xi_{(3)}$ is an extra slow-roll parameter that includes the trivial third derivative of
the potential.
Substituting $S_*$ into these equations, we have $n_{s* } \sim 0.951$ and
$\alpha_{s*} \sim -2.50 \times 10^{-4}$.
Because $n_s$ is not equal to 1 and $\alpha_{s}$ is almost negligible, our model suggests
a tilted power law spectrum.
The value of $n_{s*}$ is consistent with the recent observations;
the best fit of seven-year WMAP data using the power law $\Lambda$CDM model is
$n_s \sim 0.963 \pm 0.014$ \cite{ref:WMAP}.
Finally, estimating the spectrum $\mathcal{P_R}$ in slow-roll approximation (SRA),
\begin{equation}
\mathcal{P_R}\sim\frac{1}{12\pi^2}\frac{V^3}{\partial V^2},
\end{equation}
we find $\mathcal{P_R}_* \sim 2.36\times10^{-9}$.
This result matches the measurements as well \cite{ref:WMAP, ref:Hayashi1, ref:Hayashi2}. Incidentally speaking, the energy scale $V\sim10^{-10}$ GeV is also within the constrained range obtained by Liddle and Lyth \cite{ref:Liddle}.
In order to study on the angular power spectrum, we need the tensor perturbation (the gravitational wave) spectrum which is given as follows:
\begin{equation}
\mathcal{P}_{\rm grav} = 8 \left( \frac{H}{2\pi} \right)^2 = \frac{2}{3\pi^2}V.
\end{equation}
In SRA, the spectral index of $\mathcal{P}_{\rm grav}$ is given by the slow-roll parameters
$\epsilon$ and $\eta$ as
\begin{equation}
n_{T} = -2\epsilon.
\end{equation}
Using these parameters $TT$ and $TE$ angular spectrum were well fitted to the WMAP data \cite{ref:Hayashi2}.
\section{Gravitino mass and the other mass parameters}
Now we will briefly investigate the properties of inflaton $S$, gravitino and SSB mechanism.
First, gravitino mass is given in this case
\begin{equation}
m_{3/2} = M_P e^{K/2} |W| = 3.16 \times 10^{12} \,\, {\rm GeV},
\end{equation}
where $\hbar = 6.58211915 \times 10^{-25}$ GeV$\cdot$sec and $M_p = 2.435327 \times 10^{18}$ GeV are used.
In our model, by expanding the potential $V$ around the minimum of $S(t)$, $Y(t)$ and
fixed $T=1$, and by providing $S(t)$ and $Y(t)$ are real, then we obtained $S(t)$, $Y(t)$ as follows:
\begin{eqnarray}
&&S(t) = S_{{\rm min}}+\sqrt{\frac{8}{3}}\frac{\sin(m_S t)}{m_S t}, \\
&&Y(t) = \frac{1}{\eta^2 (1) e^{1/3} c} e^{-\frac{S(t)}{3b}}.
\end{eqnarray}
After scalars $S,Y,T$ are canonically normalized and the masses diagonalized \cite{ref:Endo}, \cite{ref:nakamura}, the mass eigenstates are denoted by $S',Y',T'$, then masses are calculated as
$M_{S'}=3.97 \times 10^{12}$ GeV, $M_{Y'}=2.45 \times 10^{17}$ GeV, $M_{T'}=9.02 \times 10^{12}$ GeV, where $S'$, $Y'$, $T'$ are defined as follows:
\begin{eqnarray}
&&S' = 3.00 \times 10^{-1} S + 1.94 \times 10^{-3} Y - 3.66 \times 10^{-1} T \\[5pt]
&&Y' = 3.82 \times 10^{-4} S + 1.22 \, Y - 2.94 \times 10^{-8} T \\[5pt]
&&T' = 1.40 \times 10^{-1} S - 7.49 \times 10^{-3} Y + 7.85 \times 10^{-1} T.
\end{eqnarray}
Supersymmetry is overwhelmingly broken by superfield $S'$, which will be shown in separate paper comparing with the fact pointed out by Nilles et al. \cite{ref:Nilles1, ref:Nilles2, ref:Nilles3}, in which the interchange of SSB fields occurs (see also Kalolosh et. al. \cite{ref:Kallosh}).
Canonically normalized fermionic states of supersymmetric partners $\tilde{S}$, $\tilde{Y}$, $\tilde{T}$ are given by
\begin{eqnarray}
\tilde{S}' = 0.331 \tilde{S}, \qquad
\tilde{Y}' = 1.22 \tilde{Y}, \qquad
\tilde{T}' = 0.867 \tilde{T} - 7.61 \times 10^{-3} \tilde{Y},
\end{eqnarray}
and the values of them are numerically determined as
\begin{eqnarray}
m_{\tilde{S}'} = 0 \,\, {\rm GeV}, \qquad
m_{\tilde{Y}'} = 3.01 \times 10^{17} \,\, {\rm GeV}, \qquad
m_{\tilde{T}'} = 2.65 \times 10^{15} \,\, {\rm GeV}.
\end{eqnarray}
Since $\tilde{S}$ is massless and $S$ breaks supersymmetry, $\tilde{S}$ state is identified with Goldstino, which is absorbed into gravitino by super-Higgs mechanism \cite{ref:SUGRA, ref:moroi}.
Non-thermal production of gravitinos is not generated from the inflaton (dilaton), since the inflaton mass is lighter than gravitino, but they are produced by the decay of modular field $T$ and scalar field $Y$, which processes are shown in our separate paper.
\section{Decay rate from inflaton to gauginos}
Because the canonically normalized mass eigen state inflaton $S'$ does not decay into gravitinos, $S'$ will decay directly decay into the minimal SUSY standard model (MSSM) particle or the next to minimal SUSY standard model (NMSSM) particles after the end of inflation.
As an example, the decay rate of $S'$ into gauginos is estimated in our model.
By using the term
${\mathcal{L}}_{gaugino}=\kappa \int d^2\theta f_{ab}(\phi)W_{\alpha}W^{\alpha},\ f_{ab}(\phi)=\phi\delta_{ab}$,
the interaction between $S$ and gauginos $\lambda^a$'s are given as
\begin{eqnarray}
&&{\mathcal{L}}_{gaugino}
=\frac{i}{2}f^R_{ab}(\phi)\left[\lambda^a\sigma^\mu\tilde{\mathcal{D}}_\mu\bar{\lambda}^b+\bar{\lambda}^a\sigma^\mu\tilde{\mathcal{D}}_\mu\lambda^b \right]-\frac{1}{2}f^I_{ab}(\phi)\tilde{\mathcal{D}}_\mu\left[\lambda^a\sigma^{\mu}\bar{\lambda}^b\right] \nonumber \\
&&\qquad\qquad\quad -\frac{1}{4}\frac{\partial f_{ab}(\phi)}{\partial \phi}e^{K/2}G_{\phi\phi^*}D_{\phi^*}W^*\lambda^a\lambda^b+\frac{1}{4}\left(\frac{\partial f_{ab}(\phi)}{\partial \phi}\right)^*e^{K/2}G_{\phi\phi^*}D_{\phi}W\bar{\lambda}^a\bar{\lambda}^b. \label{gaugino_decay}
\end{eqnarray}
By seeing the first term of (\ref{gaugino_decay}), $\lambda^a$'s are also canonically normalized as $\lambda^a= \left<f^R_{ab}\right>^{-\frac{1}{2}}\hat{\lambda}^a$.
The interactions come from the third and fourth terms. The terms include $e^{K/2}G^{\phi\phi^*}D_{\phi^*}W^*$, which implies the auxiliary field of $\phi$ in global SUSY theory and it is replace by $F_\phi$.
By expanding $\frac{\partial f_{ab}}{\partial\phi}F_\phi$ in the terms around the stable point, interaction terms are given as
\begin{eqnarray}
&&{\mathcal{L}}_{\rm{int}}=-\frac{1}{4\left<f_{ab}\right>}\left[\left<\frac{\partial^2 f_{ab}}{\partial\phi^2}F_\phi+\frac{\partial f_{ab}}{\partial\phi}\frac{\partial F_\phi}{\partial\phi}\right>\delta\phi+\left<\frac{\partial f_{ab}}{\partial\phi}\frac{\partial F_\phi}{\partial\phi^*}\right>\delta\phi^* \right]\lambda^a\lambda^b \nonumber \\
&&\qquad\qquad\quad-\frac{1}{4\left<f_{ab}\right>}\left[\left<\frac{\partial^2 f^*_{ab}}{\partial{\phi^*}^2}F^*_\phi+\frac{\partial f^*_{ab}}{\partial\phi^*}\frac{\partial F^*_{\phi^*}}{\partial\phi^*}\right>\delta\phi^*+\left<\frac{\partial f^*_{ab}}{\partial\phi^*}\frac{\partial F^*_{\phi^*}}{\partial\phi}\right>\delta\phi \right]\bar{\lambda}^a\bar{\lambda}^b,
\end{eqnarray}
where when $\phi = S$, $F_S$ implies the SSB scale of the model and will be estimated as $\left< S+S^* \right> \gg m_{3/2}$ since $\left< F_S \right> \sim m_{3/2}$ and $(S+S^*)$ take value about $3$ times of Planck scale. Therefore, as the first term contribute far smaller than the second and negligible, $- \left< \frac{\partial F_S}{\partial S} \right> \sim m_{3/2}$ is remained.
The derivative term by $S^*$ can be replaced by $- \left< \frac{\partial F_S}{\partial S^*} \right> \sim m_{S}$. Then the decay rate $\Gamma(\phi\to \lambda+\lambda)$ can be estimated as:
\begin{eqnarray}
\Gamma(S\to \lambda + \lambda)=\frac{3}{16\pi}\frac{\left<\alpha^i_j\right>^2}{\left<f_{ab}\right>^2}m^2_\lambda m_S\left(1+\frac{m^2_{3/2}}{m^2_S}+2\frac{m_{3/2}}{m_S}\right)\left(1-\frac{4m_\lambda^2}{m_S^2} \right)^\frac{1}{2}.
\end{eqnarray}
By using the relation $F_S \sim M_pm_{SP}$ that holds for the mass of SUSY particles,
the order of gaugino mass $m_\lambda$ will be estimated as $O(10^{7})$ GeV $\sim O(10^{8})$ GeV. Then the decay rate of inflaton to gauginos can be estimated to be $\Gamma(S\to \lambda+\lambda)\sim 3.89 \times 10^{3}$ GeV \cite{ref:Polchinski}.
\section{Reheating temperature}
Now we will calculate the reheating temperature from two methods and compare the resulting temperatures. The first method is using Boltzmann equation and the decay rate of the inflaton already calculated above.
Another rely on the instant parametric resonance to calculate the evolution of the number density of the produced matters and obtain reheating temperature.
First, the reheating temperature $T_R({\rm gaugino})$ is derived from Boltzmann equation by using the decay rate, is given by
\begin{eqnarray}
T_R({\rm gaugino})=\left(\frac{10}{g_*}\right)^\frac{1}{4}\sqrt{M_P~\Gamma(S\to \lambda + \lambda) },
\end{eqnarray}
and numerically given as $T_R \sim 4.45 \times 10^{10}$ GeV, by inserting the decay rate from the canonically normalized inflaton field $S'$.
where $g_*$ is the number of the effective degrees of freedom of MSSM, i.e. $g_* =228.75$.
Next, we will estimate the reheating temperature $T_R$ by instant parametric resonance by introducing NMSSM superpotential with the righthanded neutrino superfields.
We should choose a model to determine the reheating temperature by inflaton decay into MSSM or NMSSM particles. We will assume the instant preheating mechanism \cite{ref:fkl}, because this method is mathematically easier to control than that of parametric resonance \cite{ref:kls}.
It is not unique to take in the ordinary particles into string-inspired modular invariant supergravity.
We will assume that minimal K{\"a}hler potential $\sum_i \Phi_i{\Phi^*}^i\label{nK}$ is simply added to $K$ and super potential of NMSSM is added to include a term that directly coupled with the inflaton (dilaton) superfield during the oscillations of inflaton.
We will choose it as that the righthanded neutrino superfields $N^c$ couple directly with the inflaton \cite{ref:fkn}:
\begin{eqnarray}
W_{NMSSM}=M_{R_i}N^c_iN^c_i+\lambda_iSN^c_iN^c_i+\gamma^{ij}_\nu N^c_iL_jH_u \label{NMSSM}.
\end{eqnarray}
Number density through the parametric resonance is given by \cite{ref:kls}
\begin{eqnarray}
\quad n_k^{j+1} = e^{-\pi \kappa^2} + \left( 1 + 2 e^{-\pi \kappa^2} \right) n_k^j - 2 e^{-\pi \kappa^2 /2} \sqrt{1+e^{-\pi \kappa^2}} \sqrt{n_k^j (1+n^j_k)} \sin \theta^j.
\end{eqnarray}
If we consider the instant preheating mechanism \cite{Felder:1998vq}, the number density is simply given by the first term
\begin{eqnarray}
n_k = e^{-\pi \kappa^2} = e^{-\frac{\vphantom{l_{l_{l_a}}} \pi (k^2/a^2+M_{R_i})}{\vphantom{l^l}\lambda_i|\dot{S}_0|}},
\end{eqnarray}
where we have used NMSSM superpotential (\ref{NMSSM}).
By integrating this equation in $k$, we derive the number density of supersymmetric partner of the righthanded neutrinos $n_{\tilde{N}^c_i}$.
\begin{eqnarray}
n_{\tilde{N}^c_i} = \frac{1}{2\pi^2} \int_0^{\infty} dk k^2n_k
= \frac{(\lambda_i\dot{S}_0)^{3/2}}{8\pi^3} \exp \left(-\frac{\pi M^2_{R_i}}{\lambda_i|\dot{S}_0|}\right) \label{number_density}.
\end{eqnarray}
From this equation we can estimate the reheating temperature
\begin{eqnarray}
T_R ({\rm Instant}) = \left(\frac{30}{\pi^2g_*}\cdot M_{R_i} \cdot n_{\tilde{N}^c_i}\right)^{1/4}
= \left( \frac{15 M_{R_i} (\lambda_i\dot{S}_0)^{3/2}}{4\pi^5g_*} \exp \left(-\frac{\pi M^2_{R_i}}{\lambda_i|\dot{S}_0|}\right) \right)^{1/4}.
\end{eqnarray}
Since $\dot{S}_0 = 6.39 \times 10^{30}$ in our model, only free parameters in $T_R ({\rm Instant})$ are $\lambda_i$ and $M_{R_i}$. We assume here to restrict $\lambda_i=M^2_{R_i}/|\dot{S}_0|$ so as to the index of the exponent in the number density (\ref{number_density}) takes the value $O(1)$, then
\begin{eqnarray}
T_R ({\rm Instant}) = M_{R_i} \left(\frac{15}{4\pi^5g_*} e^{-\pi} \right)^{1/4},
\end{eqnarray}
$T_R ({\rm Instant})$ only depends on $M_{R_i}$. If we estimate the value of $M_{R_i} \sim m_S$ as $O(10^{12})$ GeV, $\lambda_i$ takes the value $O(10^{-6})$ and $T_R ({\rm Instant})$
becomes $O(10^{10})$ GeV, which value is similar value as $T_R({\rm gaugino})$.
Therefore we conclude that both the contribution from
inflaton decays and that from the parametric resonance of four body scattering process play equally important roles in the preheating process just after the end inflation.
Because the primordial gravitinos decay very rapidly and the reheating temperature is lower than the gravitino mass, the effect to the standard Big Bang Nucleosynthesis (BBN) scenario \cite{ref:takahashi, ref:kawasaki-moroi, ref:Kawasaki, ref:kawasaki2, ref:riotto, ref:Buchmuller}) may be negligible in our model (see also \cite{Weinberg:1982zq, Khlopov:1984pf}).
\section{Conclusion}
We have investigated on the preheating mechanism just after the end of inflation through both the inflaton (dilaton) decay into MSSM gauge sector and the collision of two inflaton into two righthanded sneutrinos.
We conclude that the contribution of both the inflaton decays and the parametric resonance of four body scattering process play equally important roles in the preheating process just after the end inflation.
The model we used, cleared the $\eta$-problem and appeared to predict successfully the values of observations at inflation era.
It predicted for examples, the indices $n_{s* } \sim 0.951$ and
$\alpha_{s*} \sim -2.50 \times 10^{-4}$. The value of $n_{s*}$ is consistent with the recent observations; the best fit of seven-year WMAP data using the power law $\Lambda$CDM model is
$n_s \sim 0.963 \pm 0.014$ \cite{ref:WMAP}.
The estimation of the spectrum was as $\mathcal{P_R}_* \sim 2.36\times10^{-9}$, which
result matches the measurements as well \cite{ref:WMAP, ref:Hayashi1, ref:Hayashi2}.
The reheating temperature $T_R$ is estimated by assuming the instant preheating mechanism and by using a tentative model among NMSSM models \cite{ref:fkl} and comparatively the same order with that from the decay process of inflaton into MSSM gauge sector, which value is about order $\sim O(10^{10})$ GeV.
Because the mass of gravitino is calculated as $3.16 \times 10^{12}$ GeV, it is rather heavy and may be unstable, therefore, may not be considered as the lightest supersymmetric particle (LSP) or the next lightest (NLSP) and not a dark matter candidate discussed in Refs.\cite{ref:Endo, ref:nakamura, ref:Pradler}. However the main topic of supergravity at present stage of the theory is whether the gravitino exist or not in nature despite its mass.
It is not reproduced after the reheating of the universe. The gravitinos are produced almost instantly just after the end of inflation through $Y$ and $T$, not from inflaton. Then the yield variable for gravitino may take rather large value, however the decay time appears very rapid and disappear before the BBN stage of the universe. Though the effects of this type of gravitinos in the evolution of the universe should be investigated more carefully, the topic must be remained to later works.
Therefore, we only remark here that our present model seems consistent with the present situation of observations.
On the other hand, we commented that supersymmetry is overwhelmingly broken by $F-$term of the inflaton (dilaton) superfield $S$, that may be contrary to the occurrence of the interchange of SSB fields pointed out by Nilles et al. \cite{ref:Nilles1, ref:Nilles2, ref:Nilles3}. More detailed investments will be shown in our later works.
Though we have been exclusively restricted our attention to a model of Ref.\cite{ref:Ferrara}, the other models derived from the other type of compactification seems very interesting. Among them KKLT model \cite{ref:Linde, Endo:2005uy, Choi:2005uz, ref:Nilles4} attracts our interest, where the moduli superfield $T$ plays an essential roles. We should take all the circumstances into consideration on essential problems confronted in construction of (string-inspired modular invariant) Supergravity models.
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 7,145 |
{"url":"https:\/\/thespectrumofriemannium.wordpress.com\/tag\/space\/","text":"# LOG#070. Natural Units.\n\nHappy New Year 2013 to everyone and everywhere!\n\nLet me apologize, first of all, by my absence\u2026 I have been busy, trying to find my path and way in my field, and I am busy yet, but finally I could not resist without a new blog boost\u2026 After all, you should know the fact I have enough materials to write many new things.\n\nSo, what\u2019s next? I will dedicate some blog posts to discuss a nice topic I began before, talking about a classic paper on the subject here:\n\nhttps:\/\/thespectrumofriemannium.wordpress.com\/2012\/11\/18\/log054-barrow-units\/\n\nThe topic is going to be pretty simple: natural units in Physics.\n\nFirst of all, let me point out that the election of any system of units is, a priori, totally conventional. You are free to choose any kind of units for physical magnitudes. Of course, that is not very clever if you have to report data, so everyone can realize what you do and report. Scientists have some definitions and popular systems of units that make the process pretty simpler than in the daily life. Then, we need some general conventions about \u201cunits\u201d. Indeed, the traditional wisdom is to use the international system of units, or S (Iabbreviated SI from French language: Le Syst\u00e8me international d\u2019unit\u00e9s). There, you can find seven fundamental magnitudes and seven fundamental (or \u201cnatural\u201d) units:\n\n1) Space: $\\left[ L\\right]=\\mbox{meter}=m$\n\n2) Time: $\\left[ T\\right]=\\mbox{second}=s$\n\n3) Mass: $\\left[ M\\right]=\\mbox{kilogram}=kg$\n\n4) Temperature: $\\left[ t\\right]=\\mbox{Kelvin degree}= K$\n\n5) Electric intensity: $\\left[ I\\right]=\\mbox{ampere}=A$\n\n6) Luminous intensity: $\\left[ I_L\\right]=\\mbox{candela}=cd$\n\n7) Amount of substance: $\\left[ n\\right]=\\mbox{mole}=mol(e)$\n\nThe dependence between these 7 great units and even their definitions can be found here http:\/\/en.wikipedia.org\/wiki\/International_System_of_Units and references therein. I can not resist to show you the beautiful graph of the 7 wonderful units that this wikipedia article shows you about their \u201cinterdependence\u201d:\n\nIn Physics, when you build a radical new theory, generally it has the power to introduce a relevant scale or system of units. Specially, the Special Theory of Relativity, and the Quantum Mechanics are such theories. General Relativity and Statistical Physics (Statistical Mechanics) have also intrinsic \u201cuniversal constants\u201d, or, likely, to be more precise, they allow the introduction of some \u201cmore convenient\u201d system of units than those you have ever heard ( metric system, SI, MKS, cgs, \u2026). When I spoke about Barrow units (see previous comment above) in this blog, we realized that dimensionality (both mathematical and \u201cphysical\u201d), and fundamental theories are bound to the election of some \u201csimpler\u201d units. Those \u201csimpler\u201d units are what we usually call \u201cnatural units\u201d. I am not a big fan of such terminology. It is confusing a little bit. Maybe, it would be more interesting and appropiate to call them \u201caddapted X units\u201d or \u201cscaled X units\u201d, where X denotes \u201crelativistic, quantum,\u2026\u201d. Anyway, the name \u201cnatural\u201d is popular and it is likely impossible to change the habits.\n\nIn fact, we have to distinguish several \u201ckinds\u201d of natural units. First of all, let me list \u201cfundamental and universal\u201d constants in different theories accepted at current time:\n\n1. Boltzmann constant: $k_B$.\n\nEssential in Statistical Mechanics, both classical and quantum. It measures \u201centropy\u201d\/\u201dinformation\u201d. The fundamental equation is:\n\n$\\boxed{S=k_B\\ln \\Omega}$\n\nIt provides a link between the microphysics and the macrophysics ( it is the code behind the equation above). It can be understood somehow as a measure of the \u201cenergetic content\u201d of an individual particle or state at a given temperature. Common values for this constant are:\n\n$k_B=1.3806488(13)\\times 10^{-23}J\/K = 8.6173324(78)\\times 10^{-5}eV\/K$\n\n$k_B=1.3806488(13)\\times 10^{-16}erg\/K$\n\nStatistical Physics states that there is a minimum unit of entropy or a minimal value of energy at any given temperature. Physical dimensions of this constant are thus entropy, or since $E=TS$, $\\left[ k_B\\right] =E\/t=J\/K$, where t denotes here dimension of temperature.\n\n2. Speed of light.\u00a0 $c$.\n\nFrom classical electromagnetism:\n\n$\\boxed{c^2=\\dfrac{1}{\\sqrt{\\varepsilon_0\\mu_0}}}$\n\nThe speed of light, according to the postulates of special relativity, is a universal constant. It is frame INDEPENDENT. This fact is at the root of many of the surprising results of special relativity, and it took time to be understood. Moreover, it also connects space and time in a powerful unified formalism, so space and time merge into spacetime, as we do know and we have studied long ago in this blog. The spacetime interval in a D=3+1 dimensional space and two arbitrary events reads:\n\n$\\Delta s^2=\\Delta x^2+\\Delta y^2+\\Delta z^2-c^2\\Delta t^2$\n\nIn fact, you can observe that \u201cc\u201d is the conversion factor between time-like and space-like coordinates.\u00a0 How big the speed of light is? Well, it is a relatively large number from our common and ordinary perception. It is exactly:\n\n$\\boxed{c=299,792,458m\/s}$\n\nalthough you often take it as $c\\approx 3\\cdot 10^{8}m\/s=3\\cdot 10^{10}cm\/s$.\u00a0 However, it is the speed of electromagnetic waves in vacuum, no matter where you are in this Universe\/Polyverse. At least, experiments are consistent with such an statement. Moreover, it shows that $c$ is also the conversion factor between energy and momentum, since\n\n$\\mathbf{P}^2c^2-E^2=-m^2c^4$\n\nand $c^2$ is the conversion factor between rest mass and pure energy, because, as everybody knows,\u00a0 $E=mc^2$! According to the special theory of relativity, normal matter can never exceed the speed of light. Therefore, the speed of light is the maximum velocity in Nature, at least if specially relativity holds. Physical dimensions of c are $\\left[c\\right]=LT^{-1}$, where L denotes length dimension and T denotes time dimension (please, don\u2019t confuse it with temperature despite the capital same letter for both symbols).\n\n3. Planck\u2019s constant. $h$ or generally rationalized $\\hbar=h\/2\\pi$.\n\nPlanck\u2019s constant (or its rationalized version), is the fundamental universal constant in Quantum Physics (Quantum Mechanics, Quantum Field Theory). It gives\n\n$\\boxed{E=h\\nu=\\hbar \\omega}$\n\nIndeed, quanta are the minimal units of energy. That is, you can not divide further a quantum of light, since it is indivisible by definition! Furthermore, the de Broglie relationship relates momentum and wavelength for any particle, and it emerges from the combination of special relativity and the quantum hypothesis:\n\n$\\lambda=\\dfrac{h}{p}\\leftrightarrow \\bar{\\lambda}=\\dfrac{\\hbar}{p}$\n\nIn the case of massive particles, it yields\n\n$\\lambda=\\dfrac{h}{Mv}\\leftrightarrow \\bar{\\lambda}=\\dfrac{\\hbar}{Mv}$\n\nIn the case of massless particles (photons, gluons, gravitons,\u2026)\n\n$\\lambda=\\dfrac{hc}{E}$ or $\\bar{\\lambda}=\\dfrac{\\hbar c}{E}$\n\nPlanck\u2019s constant also appears to be essential to the uncertainty principle of Heisenberg:\n\n$\\boxed{\\Delta x \\Delta p\\geq \\hbar\/2}$\n\n$\\boxed{\\Delta E \\Delta t\\geq \\hbar\/2}$\n\n$\\boxed{\\Delta A\\Delta B\\geq \\hbar\/2}$\n\nSome particularly important values of this constant are:\n\n$h=6.62606957(29)\\times 10^{-34} J\\cdot s$\n$h=4.135667516(91)\\times 10^{-15}eV\\cdot s$\n$h=6.62606957(29)\\times 10^{-27} erg\\cdot s$\n$\\hbar =1.054571726(47)\\times 10^{-34} J\\cdot s$\n$\\hbar =6.58211928(15)\\times 10^{-16} eV\\cdot s$\n$\\hbar= 1.054571726(47)\\times 10^{-27}erg\\cdot s$\n\nIt is also useful to know that\n$hc=1.98644568\\times 10^{-25}J\\cdot m$\n$hc=1.23984193 eV\\cdot \\mu m$\n\nor\n\n$\\hbar c=0.1591549hc$ or $\\hbar c=197.327 eV\\cdot nm$\n\nPlanck constant has dimension of $\\mbox{Energy}\\times \\mbox{Time}=\\mbox{position}\\times \\mbox{momentum}=ML^2T^{-1}$. Physical dimensions of this constant coincide also with angular momentum (spin), i.e., with $L=mvr$.\n\n4. Gravitational constant. $G_N$.\n\nApparently, it is not like the others but it can also define some particular scale when combined with Special Relativity. Without entering into further details (since I have not discussed General Relativity yet in this blog), we can calculate the escape velocity of a body moving at the speed of light\n\n$\\dfrac{1}{2}mv^2-G_N\\dfrac{Mm}{R}=0$ with $v=c$ implies a new length scale where gravitational relativistic effects do appear, the so-called Schwarzschild radius $R_S$:\n\n$\\boxed{R_S=\\dfrac{2G_NM}{c^2}=\\dfrac{2G_NM_{\\odot}}{c^2}\\left(\\dfrac{M}{M_{\\odot}}\\right)\\approx 2.95\\left(\\dfrac{M}{M_{\\odot}}\\right)km}$\n\n5. Electric fundamental charge. $e$.\n\nIt is generally chosen as fundamental charge the electric charge of the positron (positive charged \u201celectron\u201d). Its value is:\n\n$e=1.602176565(35)\\times 10^{-19}C$\n\nwhere C denotes Coulomb. Of course, if you know about quarks with a fraction of this charge, you could ask why we prefer this one. Really, it is only a question of hystory of Science, since electrons were discovered first (and positrons). Quarks, with one third or two thirds of this amount of elementary charge, were discovered later, but you could define the fundamental unit of charge as multiple or entire fraction of this charge. Moreover, as far as we know, electrons are \u201celementary\u201d\/\u201dfundamental\u201d entities, so, we can use this charge as unit and we can define quark charges in terms of it too. Electric charge is not a fundamental unit in the SI system of units. Charge flow, or electric current, is.\n\nAn amazing property of the above 5 constants is that they are \u201cuniversal\u201d. And, for instance, energy is related with other magnitudes in theories where the above constants are present in a really wonderful and unified manner:\n\n$\\boxed{E=N\\dfrac{k_BT}{2}=Mc^2=TS=Pc=N\\dfrac{h\\nu}{2}=N\\dfrac{\\hbar \\omega}{2}=\\dfrac{R_Sc^4}{2G_N}=\\hbar c k=\\dfrac{hc}{\\lambda}}$\n\nCaution: k is not the Boltzmann constant but the wave number.\n\nThere is a sixth \u201cfundamental\u201d constant related to electromagnetism, but it is also related to the speed of light, the electric charge and the Planck\u2019s constant in a very sutble way. Let me introduce you it too\u2026\n\n6. Coulomb constant. $k_C$.\n\nThis is a second constant related to classical electromagnetism, like the speed of light in vacuum. Coulomb\u2019s constant, the electric force constant, or the electrostatic constant (denoted $k_C$) is a proportionality factor that takes part in equations relating electric force between\u00a0 point charges, and indirectly it also appears (depending on your system of units) in expressions for electric fields of charge distributions. Coulomb\u2019s law reads\n\n$F_C=k_C\\dfrac{Qq}{r^2}$\n\nIts experimental value is\n\n$k_C=\\dfrac{1}{4\\pi \\varepsilon_0}=\\dfrac{c^2\\mu_0}{4\\pi}=c^2\\cdot 10^{-7}H\\cdot m^{-1}= 8.9875517873681764\\cdot 10^9 Nm^2\/C^2$\n\nGenerally, the Coulomb constant is dropped out and it is usually preferred to express everything using the electric permitivity of vacuum $\\varepsilon_0$ and\/or numerical factors depending on the pi number $\\pi$ if you choose the gaussian system of units\u00a0 (read this wikipedia article http:\/\/en.wikipedia.org\/wiki\/Gaussian_system_of_units ), the CGS system, or some hybrid units based on them.\n\n## H.E.P. units\n\nHigh Energy Physicists use to employ units in which the velocity is measured in fractions of the speed of light in vacuum, and the action\/angular momentum is some multiple of the Planck\u2019s constant. These conditions are equivalent to set\n\n$\\boxed{c=1_c=1}$ $\\boxed{\\hbar=1_\\hbar=1}$\n\nComplementarily, or not, depending on your tastes and preferences, you can also set the Boltzmann\u2019s constant to the unit as well\n\n$k_B=1_{k_B}=1$\n\nand thus the complete HEP system is defined if you set\n\n$\\boxed{c=\\hbar=k_B=1}$\n\nThis \u201cnatural\u201d system of units is lacking yet a scale of energy. Then, it is generally added the electron-volt $eV$ as auxiliary quantity defining the reference energy scale. Despite the fact that this is not a \u201cnatural unit\u201d in the proper sense because it is defined by a natural property, the electric charge,\u00a0 and the anthropogenic unit of electric potential, the volt. The SI prefixes multiples of eV are used as well: keV, MeV, GeV, etc. Here, the eV is used as reference energy quantity, and with the above election of \u201celementary\/natural units\u201d (or any other auxiliary unit of energy), any quantity can be expressed. For example, a distance of 1 m can be expressed in terms of eV, in natural units, as\n\n$1m=\\dfrac{1m}{\\hbar c}\\approx 510eV^{-1}$\n\nThis system of units have remarkable conversion factors\n\nA) $1 eV^{-1}$ of length is equal to $1.97\\cdot 10^{-7}m =(1\\text{eV}^{-1})\\hbar c$\n\nB) $1 eV$ of mass is equal to $1.78\\cdot 10^{-36}kg=1\\times \\dfrac{eV}{c^2}$\n\nC) $1 eV^{-1}$ of time is equal to $6.58\\cdot 10^{-16}s=(1\\text{eV}^{-1})\\hbar$\n\nD) $1 eV$ of temperature is equal to $1.16\\cdot 10^4K=1eV\/k_B$\n\nE) $1 unit$ of electric charge in the Lorentz-Heaviside system of units is equal to $5.29\\cdot 10^{-19}C=e\/\\sqrt{4\\pi\\alpha}$\n\nF) $1 unit$ of electric charge in the Gaussian system of units is equal to $1.88\\cdot 10^{-18}C=e\/\\sqrt{\\alpha}$\n\nThis system of units, therefore, leaves free only the energy scale (generally it is chosen the electron-volt) and the electric measure of fundamentl charge. Every other unit can be related to energy\/charge. It is truly remarkable than doing this (turning invisible the above three constants) you can \u201cunify\u201d different magnitudes due to the fact these conventions make them equivalent. For instance, with natural units:\n\n1) Length=Time=1\/Energy=1\/Mass.\n\nIt is due to $x=ct$, $E=Mc^2$ and $E=hc\/\\lambda$ equations. Setting $c$ and $h$ or $\\hbar$ provides\n\n$x=t$, $E=M$ and $E=1\/\\lambda$.\n\nNote that natural units turn invisible the units we set to the unit! That is the key of the procedure. It simplifies equations and expressions. Of course, you must be careful when you reintroduce constants!\n\n2) Energy=Mass=Momemntum=Temperature.\n\nIt is due to $E=k_BT$, $E=Pc$ and $E=Mc^2$ again.\n\nOne extra bonus for theoretical physicists is that natural units allow to build and write proper lagrangians and hamiltonians (certain mathematical operators containing the dynamics of the system enconded in them), or equivalently the action functional, with only the energy or \u201cmass\u201d dimension as \u201cfree parameter\u201d. Let me show how it works.\n\nNatural units in HEP identify length and time dimensions. Thus $\\left[L\\right]=\\left[T\\right]$. Planck\u2019s constant allows us to identify those 2 dimensions with 1\/Energy (reciprocals of energy) physical dimensions. Therefore, in HEP units, we have\n\n$\\boxed{\\left[L\\right]=\\left[T\\right]=\\left[E\\right]^{-1}}$\n\nThe speed of light identifies energy and mass, and thus, we can often heard about \u201cmass-dimension\u201d of a lagrangian in the following sense. HEP units can be thought as defining \u201ceverything\u201d in terms of energy, from the pure dimensional ground. That is, every physical dimension is (in HEP units) defined by a power of energy:\n\n$\\boxed{\\left[E\\right]^n}$\n\nThus, we can refer to any magnitude simply saying the power of such physical dimension (or you can think logarithmically to understand it easier if you wish). With this convention, and recalling that energy dimension is mass dimension, we have that\n\n$\\left[L\\right]=\\left[T\\right]=-1$ and $\\left[E\\right]=\\left[M\\right]=1$\n\nUsing these arguments, the action functional is a pure dimensionless quantity, and thus, in D=4 spacetime dimensions, lagrangian densities must have dimension 4 ( or dimension D is a general spacetime).\n\n$\\displaystyle{S=\\int d^4x \\mathcal{L}\\rightarrow \\left[\\mathcal{L}\\right]=4}$\n\n$\\displaystyle{S=\\int d^Dx \\mathcal{L}\\rightarrow \\left[\\mathcal{L}\\right]=D}$\n\nIn D=4 spacetime dimensions, it can be easily showed that\n\n$\\left[\\partial_\\mu\\right]=\\left[\\Phi\\right]=\\left[A^\\mu\\right]=1$\n\n$\\left[\\Psi_D\\right]=\\left[\\Psi_M\\right]=\\left[\\chi\\right]=\\left[\\eta\\right]=\\dfrac{3}{2}$\n\nwhere $\\Phi$ is a scalar field, $A^\\mu$ is a vector field (like the electromagnetic or non-abelian vector gauge fields), and $\\Psi_D, \\Psi_M, \\chi, \\eta$ are a Dirac spinor, a Majorana spinor, and $\\chi, \\eta$ are Weyl spinors (of different chiralities). Supersymmetry (or SUSY) allows for anticommuting c-numbers (or Grassmann numbers) and it forces to introduce auxiliary parameters with mass dimension $-1\/2$. They are the so-called SUSY transformation parameters $\\zeta_{SUSY}=\\epsilon$. There are some speculative spinors called ELKO fields that could be non-standandard spinor fields with mass dimension one! But it is an advanced topic I am not going to discuss here today. In general D spacetime dimensions a scalar (or vector) field would have mass dimension $(D-2)\/2$, and a spinor\/fermionic field in D dimensions has generally $(D-1)\/2$ mass dimension (excepting the auxiliary SUSY grassmanian fields and the exotic idea of ELKO fields).\u00a0 This dimensional analysis is very useful when theoretical physicists build up interacting lagrangians, since we can guess the structure of interaction looking at purely dimensional arguments every possible operator entering into the action\/lagrangian density! In summary, therefore, for any D:\n\n$\\boxed{\\left[\\Phi\\right]=\\left[A_\\mu\\right]=\\dfrac{D-2}{2}\\equiv E^{\\frac{D-2}{2}}=M^{\\frac{D-2}{2}}}$\n\n$\\boxed{\\left[\\Psi\\right]=\\dfrac{D-1}{2}\\equiv E^{\\frac{D-1}{2}}=M^{\\frac{D-1}{2}}}$\n\nRemark (for QFT experts only): Don\u2019t confuse mass dimension with the final transverse polarization degrees or \u201cdegrees of freedom\u201d of a particular field, i.e., \u201ccomponents\u201d minus \u201cgauge constraints\u201d. E.g.: a gauge vector field has $D-2$ degrees of freedom in D dimensions. They are different concepts (although both closely related to the spacetime dimension where the field \u201clives\u201d).\n\nIn summary:\n\ni) HEP units are based on QM (Quantum Mechanics), SR (Special Relativity) and Statistical Mechanics (Entropy and Thermodynamics).\n\nii) HEP units need to introduce a free energy scale, and it generally drives us to use the eV or electron-volt as auxiliary energy scale.\n\niii) HEP units are useful to dimensional analysis of lagrangians (and hamiltonians) up to \u201cmass dimension\u201d.\n\n## Stoney Units\n\nIn Physics, the Stoney units form a alternative set of natural units named after the Irish physicist George Johnstone Stoney, who first introduced them as we know it today in 1881. However, he presented the idea in a lecture entitled \u201cOn the Physical Units of Nature\u201d delivered to the British Association before that date, in 1874. They are the first historical example of natural units and \u201cunification scale\u201d somehow.\u00a0Stoney units are rarely used in modern physics for calculations, but they are of historical interest but some people like Wilczek has written about them (see, e.g., http:\/\/arxiv.org\/abs\/0708.4361). These units of measurement were designed so that certain fundamental physical constants are taken as reference basis without the Planck scale being explicit, quite a remarkable fact! The set of constants that Stoney used as base units is the following:\n\nA) Electric charge, $e=1_e$.\n\nB) Speed of light in vacuum, $c=1_c$.\n\nC) Gravitational constant, $G_N=1_{G_N}$.\n\nD) The Reciprocal of Coulomb constant, $1\/k_C=4\\pi \\varepsilon_0=1_{k_C^{-1}}=1_{4\\pi \\varepsilon_0}$.\n\nStony units are built when you set these four constants to the unit, i.e., equivalently, the Stoney System of Units (S) is determined by the assignments:\n\n$\\boxed{e=c=G_N=4\\pi\\varepsilon_0=1}$\n\nInterestingly, in this system of units, the Planck constant is not equal to the unit and it is not \u201cfundamental\u201d (Wilczek remarked this fact here ) but:\n\n$\\hbar=\\dfrac{1}{\\alpha}\\approx 137.035999679$\n\nToday, Planck units are more popular Planck than Stoney units in modern physics, and even there are many physicists who don\u2019t know about the Stoney Units! In fact, Stoney was one of the first scientists to understand that electric charge was quantized!; from this quantization he deduced the units that are now named after him.\n\nThe Stoney length and the Stoney energy are collectively called the Stoney scale, and they are not far from the Planck length and the Planck energy, the Planck scale. The Stoney scale and the Planck scale are the length and energy scales at which quantum processes and gravity occur together. At these scales, a unified theory of physics is thus likely required. The only notable attempt to construct such a theory from the Stoney scale was that of H. Weyl, who associated a gravitational unit of charge with the Stoney length and who appears to have inspired Dirac\u2019s fascination with the large number hypothesis. Since then, the Stoney scale has been largely neglected in the development of modern physics, although it is occasionally discussed to this day. Wilczek likes to point out that, in Stoney Units, QM would be an emergent phenomenon\/theory, since the Planck constant wouldn\u2019t be present directly but as a combination of different constants. By the other hand, the Planck scale is valid for all known interactions, and does not give prominence to the electromagnetic interaction, as the Stoney scale does. That is, in Stoney Units, both gravitation and electromagnetism are on equal footing, unlike the Planck units, where only the speed of light is used and there is no more connections to electromagnetism, at least, in a clean way like the Stoney Units do. Be aware, sometimes, rarely though, Planck units are referred to as Planck-Stoney units.\n\nWhat are the most interesting Stoney system values? Here you are the most remarkable results:\n\n1) Stoney Length, $L_S$.\n\n$\\boxed{L_S=\\sqrt{\\dfrac{G_Ne^2}{(4\\pi\\varepsilon)c^4}}\\approx 1.38\\cdot 10^{-36}m}$\n\n2) Stoney Mass, $M_S$.\n\n$\\boxed{M_S=\\sqrt{\\dfrac{e^2}{G_N(4\\pi\\varepsilon_0)}}\\approx 1.86\\cdot 10^{-9}kg}$\n\n3) Stoney Energy, $E_S$.\n\n$\\boxed{E_S=M_Sc^2=\\sqrt{\\dfrac{e^2c^4}{G_N(4\\pi\\varepsilon_0)}}\\approx 1.67\\cdot 10^8 J=1.04\\cdot 10^{18}GeV}$\n\n4) Stoney Time, $t_S$.\n\n$\\boxed{t_S=\\sqrt{\\dfrac{G_Ne^2}{c^6(4\\pi\\varepsilon_0)}}\\approx 4.61\\cdot 10^{-45}s}$\n\n5) Stoney Charge, $Q_S$.\n\n$\\boxed{Q_S=e\\approx 1.60\\cdot 10^{-19}C}$\n\n6) Stoney Temperature, $T_S$.\n\n$\\boxed{T_S=E_S\/k_B=\\sqrt{\\dfrac{e^2c^4}{G_Nk_B^2(4\\pi\\varepsilon_0)}}\\approx 1.21\\cdot 10^{31}K}$\n\n## Planck Units\n\nThe reference constants to this natural system of units (generally denoted by P) are the following 4 constants:\n\n1) Gravitational constant. $G_N$\n\n2) Speed of light. $c$.\n\n3) Planck constant or rationalized Planck constant. $\\hbar$.\n\n4) Boltzmann constant. $k_B$.\n\nThe Planck units are got when you set these 4 constants to the unit, i.e.,\n\n$\\boxed{G_N=c=\\hbar=k_B=1}$\n\nIt is often said that Planck units are a system of natural units that is not defined in terms of properties of any prototype, physical object, or even features of any fundamental particle. They only refer to the basic structure of the laws of physics: c and G are part of the structure of classical spacetime in the relativistic theory of gravitation, also known as general relativity, and \u210f captures the relationship between energy and frequency which is at the foundation of elementary quantum mechanics. This is the reason why Planck units particularly useful and common in theories of quantum gravity, including string theory or loop quantum gravity.\n\nThis system defines some limit magnitudes, as follows:\n\n1) Planck Length, $L_P$.\n\n$\\boxed{L_P=\\sqrt{\\dfrac{G_N\\hbar}{c^3}}\\approx 1.616\\cdot 10^{-35}s}$\n\n2) Planck Time, $t_P$.\n\n$\\boxed{t_P=L_P\/c=\\sqrt{\\dfrac{G_N\\hbar}{c^5}}\\approx 5.391\\cdot 10^{-44}s}$\n\n3) Planck Mass, $M_P$.\n\n$\\boxed{M_P=\\sqrt{\\dfrac{\\hbar c}{G_N}}\\approx 2.176\\cdot 10^{-8}kg}$\n\n4) Planck Energy, $E_P$.\n\n$\\boxed{E_P=M_Pc^2=\\sqrt{\\dfrac{\\hbar c^5}{G_N}}\\approx 1.96\\cdot 10^9J=1.22\\cdot 10^{19}GeV}$\n\n5) Planck charge, $Q_P$.\n\nIn Lorentz-Heaviside electromagnetic units\n\n$\\boxed{Q_P=\\sqrt{\\hbar c \\varepsilon_0}=\\dfrac{e}{\\sqrt{4\\pi\\alpha}}\\approx 5.291\\cdot 10^{-19}C}$\n\nIn Gaussian electromagnetic units\n\n$\\boxed{Q_P=\\sqrt{\\hbar c (4\\pi\\varepsilon_0)}=\\dfrac{e}{\\sqrt{\\alpha}}\\approx 1.876\\cdot 10^{-18}C}$\n\n6) Planck temperature, $T_P$.\n\n$\\boxed{T_P=E_P\/k_B=\\sqrt{\\dfrac{\\hbar c^5}{G_Nk_B^2}}\\approx 1.417\\cdot 10^{32}K}$\n\nFrom these \u201cfundamental\u201d magnitudes we can build many derived quantities in the Planck System:\n\n1) Planck area.\n\n$A_P=L_P^2=\\dfrac{\\hbar G_N}{c^3}\\approx 2.612\\cdot 10^{-70}m^2$\n\n2) Planck volume.\n\n$V_P=L_P^3=\\left(\\dfrac{\\hbar G_N}{c^3}\\right)^{3\/2}\\approx 4.22\\cdot 10^{-105}m^3$\n\n3) Planck momentum.\n\n$P_P=M_Pc=\\sqrt{\\dfrac{\\hbar c^3}{G_N}}\\approx 6.52485 kgm\/s$\n\nA relatively \u201csmall\u201d momentum!\n\n4) Planck force.\n\n$F_P=E_P\/L_P=\\dfrac{c^4}{G_N }\\approx 1.21\\cdot 10^{44}N$\n\nIt is independent from Planck constant! Moreover, the Planck acceleration is\n\n$a_P=F_P\/M_P=\\sqrt{\\dfrac{c^7}{G_N\\hbar}}\\approx 5.561\\cdot 10^{51}m\/s^2$\n\n5) Planck Power.\n\n$\\mathcal{P}_P=\\dfrac{c^5}{G_N}\\approx 3.628\\cdot 10^{52}W$\n\n6) Planck density.\n\n$\\rho_P=\\dfrac{c^5}{\\hbar G_N^2}\\approx 5.155\\cdot 10^{96}kg\/m^3$\n\nPlanck density energy would be equal to\n\n$\\rho_P c^2=\\dfrac{c^7}{\\hbar G_N^2}\\approx 4.6331\\cdot 10^{113}J\/m^3$\n\n7) Planck angular frequency.\n\n$\\omega_P=\\sqrt{\\dfrac{c^5}{\\hbar G_N}}\\approx 1.85487\\cdot 10^{43}Hz$\n\n8) Planck pressure.\n\n$p_P=\\dfrac{F_P}{A_P}=\\dfrac{c^7}{G_N^2\\hbar}=\\rho_P c^2\\approx 4.6331\\cdot 10^{113}Pa$\n\nNote that Planck pressure IS the Planck density energy!\n\n9) Planck current.\n\n$I_P=Q_P\/t_P=\\sqrt{\\dfrac{4\\pi\\varepsilon_0 c^6}{G_N}}\\approx 3.4789\\cdot 10^{25}A$\n\n10) Planck voltage.\n\n$v_P=E_P\/Q_P=\\sqrt{\\dfrac{c^4}{4\\pi\\varepsilon_0 G_N}}\\approx 1.04295\\cdot 10^{27}V$\n\n11) Planck impedance.\n\n$Z_P=v_P\/I_P=\\dfrac{\\hbar^2}{Q_P}=\\dfrac{1}{4\\pi \\varepsilon_0 c}\\approx 29.979\\Omega$\n\nA relatively small impedance!\n\n12) Planck capacitor.\n\n$C_P=Q_P\/v_P=4\\pi\\varepsilon_0\\sqrt{\\dfrac{\\hbar G_N}{ c^3}} \\approx 1.798\\cdot 10^{-45}F$\n\nInterestingly, it depends on the gravitational constant!\n\nSome Planck units are suitable for measuring quantities that are familiar from daily experience. In particular:\n\n1 Planck mass is about 22 micrograms.\n\n1 Planck momentum is about 6.5\u00a0kg m\/s\n\n1 Planck energy is about 500kWh.\n\n1 Planck charge is about 11 elementary (electronic) charges.\n\n1 Planck impendance is almost 30 ohms.\n\nMoreover:\n\ni) A speed of 1 Planck length per Planck time is the speed of light, the maximum possible speed in special relativity.\n\nii) To understand the Planck Era and \u201cbefore\u201d (if it has sense), supposing QM holds yet there, we need a quantum theory of gravity to be available there. There is no such a theory though, right now. Therefore, we have to wait if these ideas are right or not.\n\niii) It is believed that at Planck temperature, the whole symmetry of the Universe was \u201cperfect\u201d in the sense the four fundamental foces were \u201cunified\u201d somehow. We have only some vague notios about how that theory of everything (TOE) would be.\n\nThe physical dimensions of the known Universe in terms of Planck units are \u201cdramatic\u201d:\n\ni) Age of the Universe is about $t_U=8.0\\cdot 10^{60} t_P$.\n\nii) Diameter of the observable Universe is about $d_U=5.4\\cdot 10^{61}L_P$\n\niii) Current temperature of the Universe is about $1.9 \\cdot 10^{-32}T_P$\n\niv) The observed cosmological constant is about $5.6\\cdot 10^{-122}t_P^{-2}$\n\nv) The mass of the Universe is about $10^{60}m_p$.\n\nvi) The Hubble constant is $71km\/s\/Mpc\\approx 1.23\\cdot 10^{-61}t_P^{-1}$\n\n## Schr\u00f6dinger Units\n\nThe Schr\u00f6dinger Units do not obviously contain the term c, the speed of light in a vacuum. However, within the term of the Permittivity of Free Space [i.e., electric constant or vacuum permittivity], and the speed of light plays a part in that particular computation. The vacuum permittivity results from the reciprocal of the speed of light squared times the magnetic constant. So, even though the speed of light is not apparent in the Schr\u00f6dinger equations it does exist buried within its terms and therefore influences the decimal placement issue within square roots. The essence of Schr\u00f6dinger units are the following constants:\n\nA) Gravitational constant $G_N$.\n\nB) Planck constant $\\hbar$.\n\nC) Boltzmann constant $k_B$.\n\nD) Coulomb constant or equivalently the electric permitivity of free space\/vacuum $k_C=1\/4\\pi\\varepsilon_0$.\n\nE) The electric charge of the positron $e$.\n\nIn this sistem $\\psi$ we have\n\n$\\boxed{G_N=\\hbar =k_B =k_C =1}$\n\n1) Schr\u00f6dinger Length $L_{Sch}$.\n\n$L_\\psi=\\sqrt{\\dfrac{\\hbar^4 G_N(4\\pi\\varepsilon_0)^3}{e^6}}\\approx 2.593\\cdot 10^{-32}m$\n\n2) Schr\u00f6dinger time $t_{Sch}$.\n\n$t_\\psi=\\sqrt{\\dfrac{\\hbar^6 G_N(4\\pi\\varepsilon_0)^5}{e^{10}}}\\approx 1.185\\cdot 10^{-38}s$\n\n3) Schr\u00f6dinger mass $M_{Sch}$.\n\n$M_\\psi=\\sqrt{\\dfrac{e^2}{G_N(4\\pi\\varepsilon_0)}}\\approx 1.859\\cdot 10^{-9}kg$\n\n4) Schr\u00f6dinger energy $E_{Sch}$.\n\n$E_\\psi=\\sqrt{\\dfrac{e^{10}}{\\hbar^4(4\\pi\\varepsilon_0)^5G_N}}\\approx 8890 J=5.55\\cdot 10^{13}GeV$\n\n5) Schr\u00f6dinger charge $Q_{Sch}$.\n\n$Q_\\psi =e=1.602\\cdot 10^{-19}C$\n\n6) Schr\u00f6dinger temperature $T_{Sch}$.\n\n$T_\\psi=E_\\psi\/k_B=\\sqrt{\\dfrac{e^{10}}{\\hbar^4(4\\pi\\varepsilon_0)^5G_Nk_B^2}}\\approx 6.445\\cdot 10^{26}K$\n\n## Atomic Units\n\nThere are two alternative systems of atomic units, closely related:\n\n1) Hartree atomic units:\n\n$\\boxed{e=m_e=\\hbar=k_B=1}$ and $\\boxed{c=\\alpha^{-1}}$\n\n2) Rydberg atomic units:\n\n$\\boxed{\\dfrac{e}{\\sqrt{2}}=2m_e=\\hbar=k_B=1}$ and $\\boxed{c=2\\alpha^{-1}}$\n\nThere, $m_e$ is the electron mass and $\\alpha$ is the electromagnetic fine structure constant. These units are designed to simplify atomic and molecular physics and chemistry, especially the quantities related to the hydrogen atom, and they are widely used in these fields. The Hartree units were first proposed by Doublas Hartree, and they are more common than the Rydberg units.\n\nThe units are adapted to characterize the behavior of an electron in the ground state of a hydrogen atom. For example, using the Hartree convention, in the B\u00f6hr model of the hydrogen atom, an electron in the ground state has orbital velocity = 1, orbital radius = 1, angular momentum = 1, ionization energy equal to 1\/2, and so on.\n\nSome quantities in the Hartree system of units are:\n\n1) Atomic Length (also called B\u00f6hr radius):\n\n$L_A=a_0=\\dfrac{\\hbar^2 (4\\pi\\varepsilon_0)}{m_ee^2}\\approx 5.292\\cdot 10^{-11}m=0.5292\\AA$\n\n2) Atomic Time:\n\n$t_A=\\dfrac{\\hbar^3(4\\pi\\varepsilon_0)^2}{m_ee^4}\\approx 2.419\\cdot 10^{-17}s$\n\n3) Atomic Mass:\n\n$M_A=m_e\\approx 9.109\\cdot 10^{-31}kg$\n\n4) Atomic Energy:\n\n$E_A=m_ec^2=\\dfrac{m_ee^4}{\\hbar^2(4\\pi\\varepsilon_0)^2} \\approx 4.36\\cdot 10^{ -18}J=27.2eV=2\\times(13.6)eV=2Ry$\n\n5) Atomic electric Charge:\n\n$Q_A=q_e=e\\approx 1.602\\cdot 10^{-19}C$\n\n6) Atomic temperature:\n\n$T_A=E_A\/k_B=\\dfrac{m_ee^4}{\\hbar^2(4\\pi\\varepsilon_0)^2k_B}\\approx 3.158\\cdot 10^5K$\n\nThe fundamental unit of energy is called the Hartree energy in the Hartree system and the Rydberg energy in the Rydberg system. They differ by a factor of 2. The speed of light is relatively large in atomic units (137 in Hartree or 274 in Rydberg), which comes from the fact that an electron in hydrogen tends to move much slower than the speed of light. The gravitational constant\u00a0 is extremely small in atomic units (about 10\u221245), which comes from the fact that the gravitational force between two electrons is far weaker than the Coulomb force . The unit length, LA, is the so-called and well known B\u00f6hr radius, a0.\n\nThe values of c and e shown above imply that $e=\\sqrt{\\alpha \\hbar c}$, as in Gaussian units, not Lorentz-Heaviside units. However, hybrids of the Gaussian and Lorentz\u2013Heaviside units are sometimes used, leading to inconsistent conventions for magnetism-related units. Be aware of these issues!\n\n## QCD Units\n\nIn the framework of Quantum Chromodynamics, a quantum field theory (QFT) we know as QCD, we can define the QCD system of units based on:\n\n1) QCD Length $L_{QCD}$.\n\n$L_{QCD}=\\dfrac{\\hbar}{m_pc}\\approx 2.103\\cdot 10^{-16}m$\n\nand where $m_p$ is the proton mass (please, don\u2019t confuse it with the Planck mass $M_P$).\n\n2) QCD Time $t_{QCD}$.\n\n$t_{QCD}=\\dfrac{\\hbar}{m_pc^2}\\approx 7.015\\cdot 10^{-25}s$\n\n3) QCD Mass $M_{QCD}$.\n\n$M_{QCD}=m_p\\approx 1.673\\cdot 10^{-27}kg$\n\n4) QCD Energy $E_{QCD}$.\n\n$E_{QCD}=M_{QCD}c^2=m_pc^2\\approx 1.504\\cdot 10^{-10}J=938.6MeV=0.9386GeV$\n\nThus, QCD energy is about 1 GeV!\n\n5) QCD Temperature $T_{QCD}$.\n\n$T_{QCD}=E_{QCD}\/k_B=\\dfrac{m_pc^2}{k_B}\\approx 1.089\\cdot 10^{13}K$\n\n6) QCD Charge $Q_{QCD}$.\n\nIn Heaviside-Lorent units:\n\n$Q_{QCD}=\\dfrac{1}{\\sqrt{4\\pi\\alpha}}e\\approx 5.292\\cdot 10^{-19}C$\n\nIn Gaussian units:\n\n$Q_{QCD}=\\dfrac{1}{\\sqrt{\\alpha}}e\\approx 1.876\\cdot 10^{-18}C$\n\n## Geometrized Units\n\nThe geometrized unit system, used in general relativity, is not a completely defined system. In this system, the base physical units are chosen so that the speed of light and the gravitational constant are set equal to unity. Other units may be treated however desired. By normalizing appropriate other units, geometrized units become identical to Planck units. That is, we set:\n\n$\\boxed{G_N=c=1}$\n\nand the remaining constants are set to the unit according to your needs and tastes.\n\n## Conversion Factors\n\nThis table from wikipedia is very useful:\n\nwhere:\n\ni) $\\alpha$ is the fine-structure constant, approximately 0.007297.\n\nii) $\\alpha_G=\\dfrac{m_e^2}{M_P^2}\\approx 1.752\\cdot 10^{-45}$ is the gravitational fine-structure constant.\n\nSome conversion factors for geometrized units are also available:\n\nConversion from kg, s, C, K into m:\n\n$G_N\/c^2$\u00a0 [m\/kg]\n\n$c$ [m\/s]\n\n$\\sqrt{G_N\/(4\\pi\\varepsilon_0)}\/c^2$ [m\/C]\n\n$G_Nk_B\/c^2$\u00a0[m\/K]\n\nConversion from m, s, C, K into kg:\n\n$c^2\/G_N$\u00a0[kg\/m]\n\n$c^3\/G_N$\u00a0[kg\/s]\n\n$1\/\\sqrt{G_N4\\pi\\varepsilon_0}$\u00a0[kg\/C]\n\n$k_B\/c^2$[kg\/K]\n\nConversion from m, kg, C, K into s\n\n$1\/c$ [s\/m]\n\n$G_N\/c^3$[s\/kg]\n\n$\\sqrt{\\dfrac{G_N}{4\\pi\\varepsilon_0}}\/c^3$ [s\/C]\n\n$G_Nk_B\/c^5$ [s\/K]\n\nConversion from m, kg, s, K into C\n\n$c^2\/\\sqrt{\\dfrac{G_N}{4\\pi\\varepsilon_0}}$[C\/m]\n\n$(G_N4\\pi\\varepsilon_0)^{1\/2}$\u00a0[C\/kg]\n\n$c^3\/(G_N\/(4\\pi\\varepsilon_0))^{1\/2}$[C\/s]\n\n$k_B\\sqrt{G_N4\\pi\\varepsilon_0}\/c^2$ \u00a0 [C\/K]\n\nConversion from m, kg, s, C into K\n\n$c^4\/(G_Nk_B)$[K\/m]\n\n$c^2\/k_B$ [K\/kg]\n\n$c^5\/(G_Nk_B)$\u00a0[K\/s]\n\n$c^2\/(k_B\\sqrt{G_N4\\pi\\varepsilon_0})$\u00a0[K\/C]\n\nOr you can read off factors from this table as well:\n\nand\n\nNatural units have some advantages (\u201cPro\u201d):\n\n1) Equations and mathematical expressions are simpler in Natural Units.\n\n2) Natural units allow for the match between apparently different physical magnitudes.\n\n3) Some natural units are independent from \u201cprototypes\u201d or \u201cexternal patterns\u201d beyond some clever and trivial conventions.\n\n4) They can help to unify different physical concetps.\n\nHowever, natural units have also some disadvantages (\u201cCons\u201d):\n\n1) They generally provide less precise measurements or quantities.\n\n2) They can be ill-defined\/redundant and own some ambiguity. It is also caused by the fact that some natural units differ by numerical factors of pi and\/or pure numbers, so they can not help us to understand the origin of some pure numbers (adimensional prefactors) in general.\n\nMoreover, you must not forget that natural units are \u201chuman\u201d in the sense you can addapt them to your own needs, and indeed,you can create your own particular system of natural units! However, said this, you can understand the main key point: fundamental theories are who finally hint what \u201cnumbers\u201d\/\u201dmagnitudes\u201d determine a system of \u201cnatural units\u201d.\n\nRemark: the smart designer of a system of natural unit systems must choose a few of these constants to normalize (set equal to 1). It is not possible to normalize just any set of constants. For example, the mass of a proton and the mass of an electron cannot both be normalized: if the mass of an electron is defined to be 1, then the mass of a proton has to be $\\approx 6\\pi^5\\approx 1936$. In a less trivial example, the fine-structure constant, \u03b1\u22481\/137, cannot be set to 1, because it is a dimensionless number. The fine-structure constant is related to other fundamental constants through a very known equation:\n\n$\\alpha=\\dfrac{k_Ce^2}{\\hbar c}$\n\nwhere $k_C$ is the Coulomb constant, e is the positron electric charge (elementary charge), \u210f is the reduced Planck constant, and c is the again the speed of light in vaccuum. It is believed that in a normal theory is not possible to simultaneously normalize all four of the constants c, \u210f, e, and kC.\n\n## Fritzsch-Xing\u00a0 plot\n\nFritzsch and Xing have developed a very beautiful plot of the fundamental constants in Nature (those coming from gravitation and the Standard Model). I can not avoid to include it here in the 2 versions I have seen it. The first one is \u201cserious\u201d, with 29 \u201cfundamental constants\u201d:\n\nHowever, I prefer the \u201cfun version\u201d of this plot. This second version is very cool and it includes 28 \u201cfundamental constants\u201d:\n\n## The Okun Cube\n\nLong ago, L.B. Okun provided a very interesting way to think about the Planck units and their meaning, at least from current knowledge of physics! He imagined a cube in 3d in which we have 3 different axis. Planck units are defined as we have seen above by 3 constants $c, \\hbar, G_N$ plus the Boltzmann constant. Imagine we arrange one axis for c-Units, one axis for $\\hbar$-units and one more for $G_N$-units. The result is a wonderful cube:\n\nOr equivalently, sometimes it is seen as an equivalent sketch ( note the Planck constant is NOT rationalized in the next cube, but it does not matter for this graphical representation):\n\nClassical physics (CP) corresponds to the vanishing of the 3 constants, i.e., to the origin $(0,0,0)$.\n\nNewtonian mechanics (NM) , or more precisely newtonian gravity plus classical mechanics, corresponds to the \u201cpoint\u201d $(0,0,G_N)$.\n\nSpecial relativity (SR) corresponds to the point $(0,1\/c,0)$, i.e., to \u201cpoints\u201d where relativistic effects are important due to velocities close to the speed of light.\n\nQuantum mechanics (QM) corresponds to the point $(h,0,0)$, i.e., to \u201cpoints\u201d where the action\/angular momentum fundamental unit is important, like the photoelectric effect or the blackbody radiation.\n\nQuantum Field Theory (QFT) corresponds to the point $(h,1\/c,0)$, i.e, to \u201cpoints\u201d where both, SR and QM are important, that is, to situations where you can create\/annihilate pairs, the \u201cparticle\u201d number is not conserved (but the particle-antiparticle number IS), and subatomic particles manifest theirselves simultaneously with quantum and relativistic features.\n\nQuantum Gravity (QG) would correspond to the point $(h,0,G_N)$ where gravity is quantum itself. We have no theory of quantum gravity yet, but some speculative trials are effective versions of (super)-string theory\/M-theory, loop quantum gravity (LQG) and some others.\n\nFinally, the Theory Of Everything (TOE) would be the theory in the last free corner, that arising in the vertex $(h,1\/c,G_N)$. Superstring theories\/M-theory are the only serious canditate to TOE so far. LQG does not generally introduce matter fields (some recent trials are pushing into that direction, though) so it is not a TOE candidate right now.\n\n## Some final remarks and questions\n\n1) Are fundamental \u201cconstants\u201d really constant? Do they vary with energy or time?\n\n2) How many fundamental constants are there? This questions has provided lots of discussions. One of the most famous was this one:\n\nhttp:\/\/arxiv.org\/abs\/physics\/0110060\n\nThe trialogue (or dialogue if you are precise with words) above discussed the opinions by 3 eminent physicists about the number of fundamental constants: Michael Duff suggested zero, Gabriel Veneziano argued that there are only 2 fundamental constants while L.B. Okun defended there are 3 fundamental constants\n\n3) Should the cosmological constant be included as a new fundamental constant? The cosmological constant behaves as a constant from current cosmological measurements and cosmological data fits, but is it truly constant? It seems to be\u2026But we are not sure. Quintessence models (some of them related to inflationary Universes) suggest that it could vary on cosmological scales very slowly. However, the data strongly suggest that\n\n$P_\\Lambda=-\\rho c^2$\n\nIt is simple, but it is not understood the ultimate nature of such a \u201cfluid\u201d because we don\u2019t know what kind of \u201cstuff\u201d (either particles or fields) can make the cosmological constant be so tiny and so abundant (about the 72% of the Universe is \u201cdark energy\u201d\/cosmological constant) as it seems to be. We do know it can not be \u201cknown particles\u201d. Dark energy behaves as a repulsive force, some kind of pressure\/antigravitation on cosmological scales. We suspect it could be some kind of scalar field but there are many other alternatives that \u201cmimic\u201d a cosmological constant. If we identify the cosmological constant with the vacuum energy we obtain about 122 orders of magnitude of mismatch between theory and observations. A really bad \u201cprediction\u201d, one of the worst predictions in the history of physics!\n\nBe natural and stay tuned!\n\n# LOG#053. Derivatives of\u00a0position.\n\nPosition or displacement and its various derivatives define an ordered hierarchy of meaningful concepts. There are special names for the derivatives of position (first derivative is called velocity, second derivative is called acceleration, and some other derivatives with proper name), up to the eighth derivative and down to the -9th derivative (ninth integral).\n\nWe are going to study the derivatives of position and their corresponding names and special meaning in Physmatics.\n\n## 0th derivative is position\n\nIn Physics, displacement or position is the vector that specifies the change in position of a point, particle, or object. The position vector directs from the reference point to the present position.\n\nA sensor is said to be displacement-sensitive when it responds to absolute position.\n\nFor example, whereas a dynamic microphone is a velocity receiver (responds to the derivative of sound pressure or position), a carbon microphone is a displacement receiver in the sense that it responds to sound pressure or diaphragm position itself. The physical dimension of position vector or the distance is length, i.e., $\\left[\\mathbf{x}\\right]=\\left[ d\\right]=L$\n\n## 1st derivative is velocity\n\nVelocity is defined as the rate of change of position or the rate of displacement. It is a vector physical quantity, both speed and direction are required to define it. In the SI(metric)\u00a0 system, it is measured in meters per second (m\/s).\n\nThe scalar absolute value (magnitude)\u00a0 of velocity is called speed. For example, \u201c5 metres per second\u201d is a speed and not a vector, whereas \u201c5 metres per second east\u201d is a vector. The average velocity (v) of an object moving through a displacement $\\Delta x$ in a straight line during a time interval $\\Delta t$ is described by the formula:\n\n$\\mathbf{v}_m=\\dfrac{\\Delta \\mathbf{x}}{\\Delta t}$\n\nTherefore,\u00a0 velocity is change in position per unit of time. If the change is made \u201cinfinitesimally\u201d, i.e., taking two very close points in time, we can define the instantanous velocity ( a.k.a, the derivative) as the limit of the average speed or two very close points when the time interval tends to zero:\n\n$\\displaystyle{\\mathbf{v}=\\lim_{\\Delta t\\rightarrow 0}\\dfrac{\\Delta \\mathbf{x}}{\\Delta t}\\equiv \\dfrac{d\\mathbf{x}(t)}{dt}}$\n\nMost piano-style music keyboards are approximately velocity-sensitive, within a certain specific, though limited range of key travel, i.e. to a first-order approximation, a note is made louder by hitting a key faster. Most electronic music keyboards are also velocity sensitive, and measure the time interval between switch contact closures at two different positions of key travel on each key.\n\nThe physical dimensions of velocity are\u00a0 $\\left[\\mathbf{v}\\right]=LT^{-1}$\n\n## 2nd derivative is acceleration\n\nAcceleration is defined as the rate of change of velocity. It is thus a vector quantity with dimension $LT^{-2}$. We can define average aceleration and instantaneous acceleration in the same way we did with the velocity:\n\n$\\mathbf{a}_m=\\dfrac{\\Delta \\mathbf{v}}{\\Delta t}$\n\n$\\displaystyle{\\mathbf{a}=\\lim_{\\Delta t\\rightarrow 0}\\dfrac{\\Delta \\mathbf{v}}{\\Delta t}\\equiv \\dfrac{d\\mathbf{v}(t)}{dt}}$\n\nIn SI units acceleration is measured in $m\/s^2$. The term \u201cacceleration\u201d generally refers to the change in instantaneous velocity. Average acceleration can also be defined with the above formula.\n\nThe physical dimensions of acceleration are $\\left[\\mathbf{a}\\right]=LT^{-2}$.\n\n## 3rd derivative is jerk\n\nJerk (sometimes called jolt in British English, but less commonly so, due to possible confusion with use of the word to also mean electric shock), surge or lurch, is the rate of change of acceleration; more precisely, the derivative of acceleration with respect to time, the second derivative of velocity or the third derivative of displacement. Jerk is described by the following equations:\n\n$\\mathbf{j}=\\dfrac{d\\mathbf{a}}{dt}=\\dfrac{d^2\\mathbf{v}}{dt^2}=\\dfrac{d^3\\mathbf{x}}{dt^3}$\n\nwhere\n\n1) $\\mathbf{a}$ is the acceleration.\n\n2) $\\mathbf{v}$ is the velocity.\n\n3) $\\mathbf{x}$ is the position or displacement.\n\n4) t is the time parameter.\n\nPhysical dimensions of jerk are $\\left[\\mathbf{j}\\right]=LT^{-3}$.\n\n## 4th derivative is jounce\n\nJounce (also known as snap) is the fourth derivative of the position vector with respect to time, with the first, second, and third derivatives being velocity, acceleration, and jerk,\u00a0respectively; in other words, jounce is the rate of change of the jerk with respect to time.\n\n$\\mathbf{s}=\\dfrac{d\\mathbf{j}}{dt}=\\dfrac{d^2\\mathbf{a}}{dt^2}=\\dfrac{d^3\\mathbf{v}}{dt^3}=\\dfrac{d^4\\mathbf{x}}{dt^4}$\n\nPhysical dimensions of snap are $\\left[\\mathbf{s}\\right]=LT^{-4}$\n\n## 5th and beyond: Higher-order derivatives\n\nFollowing jounce (snap), the fifth and sixth derivatives of the displacement vector are sometimes referred to as crackle and pop, respectively. Dork has also been suggested for the sixth derivative. Although the reasons given were less than entirely sincere, dork does have an appealing ring to it, specially for geeks, freaks and dorks. The seventh and eighth derivatives of the displacement vector are sometimes referred to as lock and drop. Their respective formulae can be obtained in a simple way from the previous formalism.\n\nIn general, physical dimensions of higher order derivatives of position are defined to be quantities with $\\left[\\mathbf{Q}\\right]=LT^{-r}$, for any integer number $r$ greater or equal than zero.\n\n## -1st derivative (integral) of position is absement\n\nAbsement (or absition) refers to the -1th time-derivative of displacement (or position), i.e. the integral of position over time. Mathematically speaking:\n\n$\\displaystyle{\\mathbf{A}=\\int \\mathbf{x}dt}$\n\nThe rate of change of absement is position. Absement is a quantity with dimension $LT$. In SI units, absement is measured in $ms$ or metre seconds.\n\nOne meter-second corresponds to being absent from an origin or other reference point 1 meter away for a duration of one second. This amount of absement is equal to being two metres away from the origin for one half second, or being one half a metre from the origin for two seconds, or a 1mm absence for 1000 seconds, a 1km absence for 1 millisecond, and so on.\n\nThe word \u201cabsement\u201d is a blend of the words absence and displacement.\n\nThe physical dimensions of absement are $\\left[\\mathbf{A}\\right]=LT$.\n\n### Useful applications of absement\n\nWhereas most musical keyboard instruments, such as the piano, and many electronic keyboards, respond to velocity at which keys are struck, and some such as the tracker-organ, respond to displacement (how far down a key is pressed), flow-based musical instruments such as the hydraulophone, respond to the integral of displacement, i.e. to a time-distance product. Thus \u201cpressing\u201d a key (water jet) on a hydraulophone down for a longer period of time will result in a buildup of the sound level, as fluid (water) begins to fill the sounding mechanism (reservoir), up to a certain maximum filling point beyond which the sound levels off (along with a slow decay). Hydraulophone reservoirs have an approximate integrating effect on the distance or displacement applied by the musician\u2019s fingers to the \u201ckeys\u201d (water jets). Whereas the piano provides more articulation and enunciation of individual note-onsets than the organ, the hydraulophone provides a more continuously fluidly varying sound than either the organ or piano.\n\nOf course all these models are approximate: hydraulophones are approximately presement-responsive, pianos are approximately velocity-responsive, etc..\n\nThe concepts of absement and presement originated in regards to flow-based musical instruments like hydraulophones, but may be applied to any area of physics, as they exist along the hierarchy of the derivatives of displacement.\n\nA very slow-responding pipe-organ with tracker-action can often exhibit an effect similar to that of a hydraulophone, when it takes time for the wind and sound levels to build up, so that the sound level is approximately the product of how far down a key is pressed and how long it is held down for.\n\nThe concept of absement may also be applied to communications theory. For example, the difficulty in maintaining a communications channel (wired or wireless) increases with distance as well as with the time for which the channel must be kept active.\n\nAs a crude but simple example, absement may be used, very approximately, to model the cost of a long-distance phone call as the product of distance and time. A short-duration call over a long distance might, for example, represent the same quantity of absement as a long-duration call over a shorter distance.\n\nAbsement may also be used in sociological studies, i.e. we might express loneliness or homesickness as a product of distance from home and time away from home. Simply put, the old aphorism \u201cabsence makes the heart grow fonder\u201d has been expressed as \u201cabsement makes the heart grow fonder\u201d, to suggest that it matters both how absent one is (i.e. how far), as well as for how long one is absent.\n\n### Absement versus presement\n\nAbsement refers to the time-distance product (or more precisely the integral of displacement) away from a reference point, whereas the integral of reciprocal position, called presement, refers to the closeness, compounded over time.\n\nThe word \u201cpresement\u201d is a portmanteau constructed from the words presence and displacement.\n\nPlacement (scalar quantity, nearness) is defined as the reciprocal of the position\u2019s magnitude ( i.e., the reciprocal of the distance, an scalar quantity), and presement refers to the time-integral of placement. Most notably, with some high-pressure hydraulophones, it is physically impossible to fully obstruct a water jet, so position can never reach zero, and thus placement remains finite, as does its time integral, presement.\n\n$\\mbox{Placement}\\equiv \\dfrac{1}{d}$\n\n$\\displaystyle{\\mbox{Presement}=\\int dt \\dfrac{1}{d}}$\n\nand where d is the distance $d=\\sqrt{x^2+y^2+z^2}$, with the origin fixed to the zero vector. Simply put, absement is the time-integral of farness, and presement is the time-integral of nearness, to a given point (e.g. farness or nearness of a musicians finger to\/from the exit port of a water jet in a hydraulophone).\n\nPhysical dimensions of placement are $\\left[\\mbox{Placement}\\right]=L^{-1}$ while the physical dimensions of presement are $\\left[\\mbox{Presement}\\right]=L^{-1}T$\n\n## Lower-order derivatives (higher-order integrals)\n\nSome hydraulophones, such as the North Nessie (the hydraulophone on the North side of hydraulophone circle) at the Ontario Science Centre consist of cascaded hydraulophonic mechanisms, resulting in a double-integrating effect. In particular, the hydraulophone is linked indirectly to the North pipes, such that the water in direct physical contact with the fingers of the musician is not the same water in the organ pipes. As a result of this indirection, the instrument itself responds to presement\/absement, the first integral of position whereas the pipes respond absemently to the action in the instrument, i.e. to the second integral of position of the player\u2019s fingers. The time-integral of the time-integral of position is called absity\/presity.\n\nAbsity is a portmanteau formed from the words absement (or absence) and velocity.\n\nFollowing this pattern, higher time integrals of displacement may be named as follows:\n\n1) Absement or absition is the integral of displacement.\n\n2) Absity is the double integral of displacement.\n\n3) Abseleration is the triple integral of displacement.\n\n4) Abserk is the fourth integral of displacement.\n\n5) Absounce is the fifth integral of displacement.\n\nLikewise, presement, presity, preseleration, and similar words, are the integrals of reciprocal displacement (nearness).\n\nAlthough there are no three-stage hydraulophones currently being manufactured as products, there are a number of three-stage (and some with higher numbers of stages) hydraulophone prototypes, in which some elements of the sound production respond to absity\/presity, abseleration\/preseleration, etc.\n\n## Derivatives of momentum\n\nIn Physics, momentum is defined as the product of mass and velocity, i.e.,\n\n$\\mbox{MOMENTUM=MASS x VELOCITY}$\n\nor mathematically speaking\n\n$\\mathbf{p}=m\\mathbf{v}$\n\nMoreover, we define the concept of \u201cforce\u201d as the rate of change of momentum with respect to time, i.e.,\n\n$\\mathbf{F}=\\dfrac{d\\mathbf{p}}{dt}$\n\nIt mass does not depend on the time, we get $\\mathbf{F}=m\\mathbf{a}$\n\nCan we define names for the next derivatives of momentum with respect to time? Of course, we can. It is only a nominal issue. There is a famous \u201cpoem\u201d about this:\n\nMomentum equals mass times velocity. Force equals mass times acceleration. Yank equals mass times jerk. Tug equals mass times snap. Snatch equals mass times crackle. Shake equals mass times pop.\n\nIf mass is not constant, the common definitions of higher derivatives of momentum are as follows ( the last equality is obtained supposing the mass is constant with time):\n\n0th time derivative of momentum is of course The Momentum itself ( I am sorry, Mom-entum is not related with your Mom).\n\n$\\mathbf{p}=m\\mathbf{v}=\\dfrac{d^0\\mathbf {p}}{dt^0}$.\n\n1st time derivative of momentum is The Force ( I am sorry. It is a Star Wars joke).\n\n$\\mathbf{F}=\\dfrac{d\\mathbf{p}}{dt}=m\\mathbf{a}$\n\n2nd time derivative of momentum is The Yank ( I am sorry, it is not a tank or a yankie from USA).\n\n$\\mathbf{Y}=\\dfrac{d\\mathbf{F}}{dt}=\\dfrac{d^2\\mathbf{p}}{dt^2}=m\\mathbf{j}$\n\n3rd time derivative of momentum is The Tug ( I am sorry. It is not a bug in the deepest part of The Matrix).\n\n$\\mathbf{T}=\\dfrac{d\\mathbf{Y}}{dt}=\\dfrac{d^2\\mathbf{F}}{dt^2}=\\dfrac{d^3\\mathbf{p}}{dt^3}=m\\mathbf{s}$\n\n4th time derivative of momentum is The Snatch ( I am sorry, it is not the golden Snitch).\n\n$\\mathbf{S}=\\dfrac{d\\mathbf{T}}{dt}=\\dfrac{d^2\\mathbf{Y}}{dt^2}=\\dfrac{d^3\\mathbf{F}}{dt^3}=\\dfrac{d^4\\mathbf{p}}{dt^4}=m\\mathbf{c}$\n\n5th time derivative of momentum is The Shake ( I am sorry, it is not the japanese sake or a sweet tropical milk-shake).\n\n$\\mathbf{Sh}=\\dfrac{d\\mathbf{S}}{dt}=\\dfrac{d^2\\mathbf{T}}{dt^2}=\\dfrac{d^3\\mathbf{Y}}{dt^3}=\\dfrac{d^4\\mathbf{F}}{dt^4}=\\dfrac{d^5\\mathbf{p}}{dt^5}=m\\mathbf{Po}$\n\n## Notations for derivatives\/integrals\n\nLebiniz operational notation: $f(x)$ has a derivative with respect to x written as $\\dfrac{df}{dx}$. Then, the derivative is denoted as the operator $D=\\dfrac{d}{dx}$. Higher order derivatives and integrals can be defined recursively:\n\n$D^2=\\left(\\dfrac{d}{dx}\\right)^2\\equiv \\dfrac{d}{dx}\\left(\\dfrac{d}{dx}\\right)=\\dfrac{d^2}{dx^2}$\n\n$D^r=\\left(\\dfrac{d}{dx}\\right)^r\\equiv \\underbrace{\\dfrac{d}{dx}\\cdots\\left(\\dfrac{d}{dx}\\right)}_\\text{r-times}=\\dfrac{d^r}{dx^r}, \\;\\; \\forall r\\geq 0$\n\n$\\displaystyle{D^{-1}=\\int dx}$\n\n$\\displaystyle{D^{-2}=\\int d^2x=\\int (dx)^2=\\int dx dx'}$\n\n$\\displaystyle{D^{-r}=\\int d^rx=\\int (dx)^r=\\int dx\\cdots dx^{(r)}=\\int \\underbrace{dx\\cdots}_\\text{r-times}}$\n\nNewton dot notation: Derivatives are marked as dotted functions, e.g.,\n\n$\\dot{f}=\\dfrac{df}{dx}$ $\\ddot{f}=\\dfrac{d^2f}{dx^2}$ $\\dddot{f}=\\dfrac{d^3f}{dx^3}$ and so on. Integrals are written in the usual form we do today.\n\nModern primed notation: Derivatives are marked as primed functions, e.g.,\n\n$f'=\\dfrac{df}{dx}$ $f''=\\dfrac{d^2f}{dx^2}$ $f'''=\\dfrac{d^3f}{dx^3}$ and so on. Integrals are written in the usual form we do today.\n\nModern sublabel notation: Derivatives are marked with a subindex label denoting the variable with respect to we are making the derivative. Integrals are represented in the usual form. Thus,\n\n$f_x=\\dfrac{df}{dx}$ $f_{xx}=\\dfrac{d^2f}{dx^2}$ $f_{xxx}=\\dfrac{d^3f}{dx^3}$ and so on.\n\nThese notations have their own advantanges and disadvantanges, but if we use them carefully, any of them can be very powerful.\n\n## Remarkable relationships\n\nPhysicists like to relate physical quantities in Mechanics\/Dynamics to 4 main variables: force, power, action and energy. We can even dedude some interesting relationships between them and displacement, time, momentum, absement, placement, and presement.\n\n1) Equations relating force and other magnitudes. Force dimensions are $MLT^{-2}$. Then, we have the identities:\n\n$\\mbox{Force}=\\dfrac{\\mbox{Momentum}}{\\mbox{Time}}=\\dfrac{\\mbox{Power}}{\\mbox{Velocity}}=\\mbox{Mass}\\times\\mbox{Acceleration}$\n\n$\\mbox{Force}=\\dfrac{\\mbox{Action}}{\\mbox{Absement}}=\\mbox{Energy}\\times\\mbox{Placement}=\\mbox{Power}\\times\\mbox{Presement}$\n\n2) Equations relating power and other magnitudes. Power dimensions are $ML^2T^{-3}$. We easily get:\n\n$\\mbox{Power}=\\dfrac{\\mbox{Energy}}{\\mbox{Time}}=\\mbox{Force}\\times\\mbox{Velocity}=\\dfrac{\\mbox{Action}}{(\\mbox{Time})^2}$\n\n$\\mbox{Power}=\\mbox{Tug}\\times\\mbox{Absement}=\\dfrac{\\mbox{Yank}}{\\mbox{Placement}}=\\dfrac{\\mbox{Force}}{\\mbox{Presement}}$\n\n3) Equations relating action and other magnitudes. Action dimensions are $ML^2T^{-1}$. We obtain in this case:\n\n$\\mbox{Action}=\\mbox{Energy}\\times \\mbox{Time}=\\mbox{Displacement}\\times\\mbox{Momentum}=\\mbox{Power}\\times\\mbox{(Time)}^2$\n\n$\\mbox{Action}=\\mbox{Force}\\times \\mbox{Absement}=\\dfrac{\\mbox{Momentum}}{\\mbox{Placement}}=\\mbox{Mass}\\times\\begin{pmatrix}\\mbox{Areolar}\\\\ \\mbox{Velocity}\\end{pmatrix}$\n\n4) Equations relating energy and other magnitudes. Energy dimensions are $ML^2T^{-2}$. We deduce from this last case\n\n$\\mbox{Energy}=\\mbox{Force}\\times\\mbox{Displacement}=\\mbox{Mass}\\times\\mbox{(Velocity)}^2$\n\n$\\mbox{Energy}=\\mbox{Momentum}\\times \\mbox{Velocity}=\\mbox{Power}\\times\\mbox{Time}$\n\n$\\mbox{Energy}=\\mbox{Absement}\\times\\mbox{Yank}=\\dfrac{\\mbox{Force}}{\\mbox{Placement}}=\\dfrac{\\mbox{Momentum}}{\\mbox{Presement}}$\n\nIn the same way, we can also deduce more fascinating identities:\n\n$\\boxed{\\mbox{Length}=\\mbox{Displacement}=\\mbox{(Placement)}^{-1}=\\dfrac{\\mbox{Absement}}{\\mbox{Time}}=\\sqrt{\\dfrac{\\mbox{Absement}}{\\mbox{Presement}}}=L}$\n\n$\\boxed{\\mbox{Time}=\\mbox{Absement}\\times\\mbox{Placement}=\\dfrac{\\mbox{Presement}}{\\mbox{Placement}}=\\sqrt{(\\mbox{Absement}\\cdot\\mbox{Presement})}=T}$\n\nsince we easily get\n\n$\\mbox{Absement}\\times\\mbox{Presement}=LTL^{-1}T=T^2=(\\mbox{Time})^2$\n\n$\\mbox{Absement}=\\mbox{Presement}\\times \\mbox{(Displacement)}^2=L^{-1}TL^2=LT$\n\n$\\mbox{Displacement}\\times\\mbox{Placement}=\\varnothing$\n\nand of course\n\n$\\boxed{\\mbox{Absement}=\\mbox{Displacement}\\times\\mbox{Time}=\\dfrac{\\mbox{Time}}{\\mbox{Placement}}=LT}$\n\nMoreover, we also have\n\n$\\boxed{\\mbox{Velocity}=v=\\dfrac{\\mbox{Displacement}}{\\mbox{Time}}=(\\mbox{Presement})^{-1}=\\dfrac{1}{(\\mbox{Placement})(\\mbox{Time})}=LT^{-1}}$\n\n$\\boxed{\\mbox{Acceleration}=a=\\dfrac{\\mbox{Velocity}}{\\mbox{Time}}=\\dfrac{1}{(\\mbox{Absement})(\\mbox{Placement})(\\mbox{Presement})}=LT^{-2}}$\n\nor\n\n$\\boxed{a=\\dfrac{\\mbox{Displacement}}{(\\mbox{Time})^2}=\\dfrac{1}{(\\mbox{Placement})(\\mbox{Time})^2}=\\dfrac{\\mbox{Displacement}}{(\\mbox{Absement})(\\mbox{Presement})}=LT^{-2}}$\n\nand the next interesting result as well:\n\n$\\boxed{(\\mbox{Placement})(\\mbox{Presement})=\\begin{pmatrix}\\mbox{Areolar}\\\\ \\mbox{Velocity}\\end{pmatrix}^{-1}=L^{-2}T}$\n\nor equivalently\n\n$\\boxed{\\begin{pmatrix}\\mbox{Areolar}\\\\ \\mbox{Velocity}\\end{pmatrix}=v_A=\\dfrac{1}{\\mbox{Placement}\\times \\mbox{Presement}}=L^2T^{-1}}$\n\n## Music, elements and Physics\n\nThe inspiring guide to the new names and variables was the theory of hydraulophones and music. In fact, there is a recent proposal to classify every musical instrument according to its physical origin instead of the classical element. It also makes sense to present the four states-of-matter in increasing order of energy: Earth\/Solid first, Water\/Liquid second, Air\/Gas third, and Fire\/Plasma fourth. At absolute zero, if it were possible, everything is a solid. then as things heat up they melt, then they evaporate, and finally, with enough energy, would become a ball of plasma, thus establishing a natural physical ordering as follows:\n\n1) Earth\/Solid played instruments. Geolophones. They produce sound pulsing the matter (\u201cEarth\u201d) of some object (string, membrane,\u2026). Ordered in increasing dimension, from 1d to 3d, they can be: I) Chordophones (Played strings, streched objects with cross-section negligible respect to their length), II) Membranophones (Played membranes with thickness negligible respect to their area), III) Idiophones\/Bulkphones (played 3d tensionless branes or higher).\n\n2) Water\/Liquid played instruments. Hydraulophones. These instruments produce vibrating sound pulsing jets of liquids (\u201cWater\u201d).\n\n3) Air\/Gas played instruments. Aerophones. These instuments produce vibrations and sound touching the flux of gases (\u201cAir\u201d).\n\n4) Fire\/Plasma played instruments. Ionophones. These instruments produce sonic waves playing the flux of plasma (\u201cFire\u201d).\n\n5) Quintessence\/Idea\/Information\/Informatics played instruments.\u00a0 These instruments produce \u201csound\u201d\u00a0 by computational means, whether optical, mechanical, electrical, or otherwise. We could name these instruments with some cool word. Akashaphones (from the sanskrit word\/prefix \u201cakasha\u201d, meaning \u201caether, ether\u201d or as Western tradition would say, \u201cquintessence, fifth element\u201d) will be the names of such instruments.\n\nThis classification matches the range of acoustic transducers that exist today (excepting the quintessencial transducer, of course) as well: 1) Geophone, 2) Hydrophone, 3) Microphone or speaker, and 4) Ionophone. In the same way I have never known a term for the akashaphones before, for the fifth transducer we should use a new term. Loakashaphone, from the same sanskrit origin than akashaphone, would be the analogue 5th transducer.\n\n## Summary\n\nThe following list is a summary of the derivatives of displacement\/position:\n\nA) Time integrals of position\/displacement.\n\nOrder -9. Absrop. SI units $ms^9$.\u00a0 Time integral of absock. Dimensions: $LT^9$.\n\nOrder -8. Absock. SI units $ms^8$. Time integral of absop. Dimensions: $LT^8$.\n\nOrder -7. Absop. SI units $ms^7$. Time integral of absrackle. Dimensions: $LT^7$.\n\nOrder -6.\u00a0 Absrackle. SI units $ms^6$. Time integral of absounce. Dimensions: $LT^6$.\n\nOrder -5. Absounce. SI units $ms^5$. Time integral of abserk. Dimensions: $LT^5$.\n\nOrder -4. Abserk. SI units $ms^4$. Time integral of abseleration. Dimensions: $LT^4$.\n\nOrder -3. Abseleration. SI units $ms^3$. Time integral of absity. Dimensions: $LT^3$.\n\nOrder -2. Absity. SI units $ms^2$. Time integral of absement. Dimensions: $LT^2$.\n\nOrder -1. Absement. SI units $ms$. Time integral of position. Dimensions: $LT$.\n\nOrder 0. Position\/Displacement. SI units $m$. Dimensions: $L$.\n\nRemark: Integrals with respect to time of position measure \u201cfarness\u201d.\n\nB) Time derivatives of position\/displacement.\n\nOrder 0. Position\/Displacement. SI units $m$. Dimensions: $L$.\n\nOrder 1. Velocity. SI units $m\/s$. Rate of change of position. Dimensions: $LT^{-1}$.\n\nOrder 2. Acceleration. SI units $m\/s^2$. Rate of change of velocity. Dimensions: $LT^{-2}$.\n\nOrder 3. Jerk\/jolt\/surge\/lurch. SI units $m\/s^3$. Rate of change of acceleration. Dimensions: $LT^{-3}$.\n\nOrder 4. Jounce\/snap. SI units $m\/s^4$. Rate of change of jerk. Dimensions: $LT^{-4}$.\n\nOrder 5. Crackle. SI units $m\/s^5$. Rate of change of jounce. Dimensions: $LT^{-5}$.\n\nOrder 6. Pop. SI units $m\/s^6$. Rate of change of crackle. Dork has also been suggested for the sixth derivative. Although the reasons given were less than entirely sincere, dork does have an appealing ring to it. Dimensions: $LT^{-6}$.\n\nOrder 7. Lock. SI units $m\/s^7$. Rate of change of pop. Dimensions: $LT^{-7}$.\n\nOrder 8. Drop. SI units $m\/s^8$. Rate of change of lock. Dimensions: $LT^{-8}$.\n\nRemark: Derivatives of position with respect to time measure \u201cswiftness\u201d.\n\nC) Reciprocals of position\/displacement and their time integrals.\n\nOrder 0. Placement. SI units $m^{-1}$. Placement (scalar quantity, nearness) is the reciprocal of position (scalar quantity distance), i.e., $1\/x$. Dimensions: $L^{-1}$.\n\nOrder -1. Presement. SI units $m^{-1}s$. Time integral of placement. Dimensions: $L^{-1}T$.\n\nOrder -2. Presity. SI units $m^{-1}s^2$. Time integral of presement. Dimensions: $L^{-1}T^2$.\n\nOrder -3. Preseleration. SI units $m^{-1}s^3$. Time integral of presity. Dimensions: $L^{-1}T^3$.\n\nOrder -4. Preserk. SI units $m^{-1}s^4$. Time integral of preseleration. Dimensions: $L^{-1}T^4$.\n\nOrder -5. Presounce. SI units $m^{-1}s^5$. Time integral of preserk. Dimensions: $L^{-1}T^5$.\n\nOrder -6. Presackle. SI units $m^{-1}s^6$. Time integral of presounce. Dimensions: $L^{-1}T^6$.\n\nOrder -7. Presop. SI units $m^{-1}s^7$. Time integral of presackle. Dimensions: $L^{-1}T^7$.\n\nOrder -8. Presock. SI units $m^{-1}s^8$. Time integral of presop. Dimensions: $L^{-1}T^8$.\n\nOrder -9. Presrop. SI units $m^{-1}s^9$. Time integral of presock. Dimensions: $L^{-1}T^9$.\n\nRemark: Integrals of reciprocal displacement with respect to time measure \u201cnearness\u201d.\n\nD) Time derivatives of momentum.\n\nOrder 0. Momentum. $\\mathbf{p}$. SI units $kgms^{-1}$. Momentum equals mass times velocity. Dimensions: $MLT^{-1}$, where M denotes mass dimension.\n\nOrder 1. Force. $\\mathbf{F}$. SI units are newtons. $N=kg\\cdot ms^{-2}$. Time derivative of momentum, or rate of change of momentum with respect to time. Dimensions: $MLT^{-2}$.\n\nOrder 2. Yank. $\\mathbf{Y}$. SI units $N\\cdot s^{-1}=kgms^{-3}$. Time integral of presement. Rate of change of force with respect to time. Dimensions: $MLT^{-3}$.\n\nOrder 3. Tug. $\\mathbf{T}$. SI units $N\\cdot s^{-2}=kgms^{-4}$. Rate of change of yank with respect to time. Dimensions: $MLT^{-4}$.\n\nOrder 4. Snatch. $\\mathbf{S}$. SI units $N\\cdot s^{-3}=kgms^{-5}$. Rate of change of tug with respect to time. Dimensions: $MLT^{-5}$.\n\nOrder 5. Shake. $\\mathbf{Sh}$. SI units $N\\cdot s^{-4}=kgms^{-6}$. Rate of change of snatch with respect to time. Dimensions: $MLT^{-6}$.\n\nRemark: Derivatives of momentum with respect to time measure \u201cstrengthness\u201d or \u201cforceness\u201d.\n\nSo we have to remember 4 fascinating ideas,\n\ni) Time integrals\u00a0 of position measure \u201cfarness\u201d.\n\nii) Time derivatives of position measure \u201cswiftness\u201d.\n\niii) Time integrals of reciprocal position measure \u201cnearness\u201d.\n\niv) Time derivatives of momentum measure \u201cforceness\u201d.\n\nAnd a fifth further great idea\u2026 Physics, Mathematics or more generally Physmatics own an inner \u201cHarmony\u201d or \u201cMusic\u201d in their deepest principles and theories.\n\n0th. What about \u201cinfinite\u201d order derivatives and integrals?\n\n1st. What if time is not a continuous function?\n\n2nd. What if time is not a scalar quantity?\n\n3rd. What about fractional order\/irrational order\/complex order derivatives\/X-order derivatives?\n\n4th. What if (space) time\/displacement does not exist?\n\n5th. Can Mechanics\/Dynamics of particles\/fields\/strings\/branes\/\u2026 be formulated in terms of integrals\/reciprocals of \u201cposition\u201d and \u201cmomentum\u201d variables, i.e., as the power of negative and\/or higher\/lower derivatives? Would such a formulation of Mechanics\/Dynamics be useful\/meaningful for something deeper? That is, what are the right variables to study in Dynamics if some classical\/quantum concepts are absent?\n\nWe could answer to some of these questions. For instance, the answer to the 0th question is interesting but it requires to know about jet spaces and\/or path integrals. Moreover, the solution to the 3rd question would require the introduction of the fractional\/fractal calculus. But that is another long story\/log-entry to be told in a forthcoming future post!\n\nStay tuned!","date":"2019-07-18 23:25:32","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\": 406, \"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\": 0.8615312576293945, \"perplexity\": 1304.868875258843}, \"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-2019-30\/segments\/1563195525863.49\/warc\/CC-MAIN-20190718231656-20190719013656-00071.warc.gz\"}"} | null | null |
Ichneumon peloponnesus es una especie de insecto del género Ichneumon de la familia Ichneumonidae del orden Hymenoptera.
Historia
Fue descrita científicamente por primera vez en el año 1980 por Heinrich.
Referencias
Enlaces externos
peloponnesus | {
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} | 7,465 |
Backyard with steep slope image gives a sight as to hop, 17 best images about sloped backyard ideas on pinterest. 8 summer small patio ideas for you living n curte. Backyard patio landscaping, sloped front yard landscape.
Waters wise landscape design hillside deck pinterest, 20 sloped backyard design ideas designrulz. Best 25 hillside deck ideas on pinterest deck ideas for. Inexpensive backyard patio ideas home design and idea. | {
"redpajama_set_name": "RedPajamaC4"
} | 4,534 |
Victor Ronald Salva (n. 29 martie, 1958) este un regizor american de film, în mare parte de filme horror. Munca acestuia include filmele Powder și Jeepers Creepers. Munca sa este des umbrită de condamnarea sa pentru abuz sexual asupra actorului de 12 ani, Nathan Forrest Winters. Salva a pledat vinovat în 1988 și a fost închis.
Viața personală și Cariera
Salva s-a născut în Martinez, California. A crescut vizionând Creatures Features la televizor. În 1986, a produs un film horror ce avea un mic buget, pe nume Something in the Basement care a atras atenția producătorului Francis Ford Coppola, care l-a ajutat financiar pe Salva la primul său film de mare durată, Clownhouse (1989), și la alte filme ulterioare. Salva este homosexual.
Cariera târzie
Vor trece 7 ani până la următorul film a lui Salva, acesta fiind The Nature of the Beast în 1994, iar în 1995 a regizat Powder. Înainte ca filmul să fie lansat, Winters s-a întors la Salva cu ceea ce i-a făcut. Nu a mai facut filme până la cel din 1999, Rites of Passage cu care a câștigat premiu la Festivalul de Film Santa Monica.
Salva a scris și regizat filmele horror Jeepers Creepers în 2001 și Jeepers Creepers 2 în 2003, iar în 2006 a regizat Peaceful Warrior.
Filmografie
2015: Jeepers Creepers III
2014: Dark House
2012: Haunted
2011: Rosewood Lane
2006: Peaceful Warrior
2003: Jeepers Creepers II
2001: Jeepers Creepers
1999: Rites of Passage
1995: The Nature of the Beast
1995: Powder
1989: Clownhouse
1986: Something in the Basement
Legături externe
Media reports archive relatări despre abuzul sexual asupra copilului și filmele sale Powder și Jeepers Creepers
Regizori americani
Nașteri în 1958
Oameni în viață | {
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Q: Rest API resource naming with multiple IDs After reading :
https://restfulapi.net/resource-naming/
I have a question regrading referencing documents in collections when a document has multiple unique IDs.
In the linked material an example is given:
We can identify a single "customer" resource using the URI
"/customers/{customerId}".
or
http://api.example.com/device-management/managed-devices/{device-id}
http://api.example.com/user-management/users/{id}
http://api.example.com/user-management/users/admin
And my example:
http://myserver/api/courses/{id}
Which has a js Express function counterpart:
app.get('/api/courses/:id', (req, res) =>...
My question is how do I maintain a consistent API if my document (courses) has two unique ID keys that I would like to use.
Such as ID1 & ID2.
How would I code that in express and how would I write the url?
So if I need the two APIs to be:
http://myserver/api/courses/{id1}
http://myserver/api/courses/{id2}
If I provide two Express routines:
app.get('/api/courses/:id1', (req, res) =>...
app.get('/api/courses/:id2', (req, res) =>...
And ID1 and ID2 are both the same type (eg. numbers). How does the REST API distinguish these two?
A: REST doesn't care about the spelling of your resource identifiers. Conventions, like those described by https://restfulapi.net/resource-naming/ , are roughly analogous to coding conventions about spelling variable names.
From the point of view of a REST client, /api/courses/X and /api/courses/Y are different resources -- those resources might share the same underlying representation (because they are constructed from the same underlying data), but that's an implementation concern of the server.
URI spellings are only constrained by RFC 3986.
/api/courses?id1=12345
/api/courses?id2=67890
That's a perfectly reasonable choice. One potential upside is that HTML includes a standard for creating URI templates with query parameters. A potential downside is that relative reference resolution treats the non-hierarchical data in the query-part differently than the hierarchical data in the path segments.
/api/courses/id1/12345
/api/courses/id2/67890
Perfectly reasonable choice, with the opposite tradeoff from above.
/api/courses/id1=12345
/api/courses/id2=67890
This is really the same idea as above, with a slightly different spelling. It has the advantages of being easy and human readable. However, actually working with that pattern may be challenging, depending on what kind of routing support you have.
As URI templates, these would probably look like
/api/courses/id1={id}
/api/courses/id2={id}
But in places where you have level 4 URI template support, you might be able to use
/api/courses/{/ids*}
Another possibility would be to use a "matrix parameter" inspired spelling, like
/api/courses;id1=12345
/api/courses;id2=67890
Again, this gives you a different set of trade offs of readability, template support, relative resolution support, and so on.
See also Stefan Tilkov -- REST: I Don't Think It Means What You Think It Does.
A: You need another differentiation in the url either in the path or as a query param in order to know which field is being sent. The default would be for field #1 and the other for field #2
app.get('/api/courses/:id1', (req, res) =>...
app.get('/api/courses/other-key/:id2', (req, res) =>...
A: The naming conventions of a REST API is not the same as how express determines it. The way the OP has his routes written, express will not be able to distinguish those routes. Express stores routes in a stack, and will match with the route first declared (id1). The id1 is only a name to represent generic data (like a scoped variable).
| {
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\section*{}
There were several experiments made with the CERN OMEGA spectrometer.
The WA56 Experiment was one of them especially performed to study the
baryon exchange processes among hadronic reactions. Perhaps, it
should be reminded about an old and long-standing problem of narrow
$pp$ (dibaryon) states and $p\bar p$ (baryonium) states. In old, up
to the end of the eighties, issues of PDG booklets \cite{1} we can
find a separate parts with a compilation of these states. However,
that compilation has been rejected by PDG later on probably because
several experiments made in the beginning and the middle of the
eighties had failed to search for these states. That is why, it might
seem the interest to these states disappeared. However, this is not
the case. In fact, up to now, narrow dibaryon and baryonium states in
two-nucleon system have always attracted incessant interest from both
theorists and experimenters. The physical origin of such narrow
states is high interest because it has fundamental importance related
to the nature of fundamental nucleon-nucleon forces.
We start with a short review of some known experimental studies
devoted entirely to search for narrow $p\bar p$ states. In paper
\cite{2} an evidence for two narrow $p\bar p$ resonances at 2020 MeV
and 2200 MeV had been reported. From the study of the reaction
$\pi^-p\rightarrow p_f\pi^-p\bar p$ using a fast proton trigger
device in the CERN OMEGA spectrometer, these two narrow $p\bar p$
states were observed mainly in association with a $\Delta^0$(1232)
and $N^*$(1520) production in top vertex of the baryon exchange
diagram (see Fig. 1a). The statistical significance of each peak was
greater than 6 standard deviations. Masses and natural widths of
these resonances were respectively $M_1$ = 2020 $\pm$ 3 MeV,
$\Gamma_1$ = 24 $\pm$ 12 MeV and $M_2$ = 2204 $\pm$ 5 MeV, $\Gamma_2$
= 16 $^{+20}_{-16}$ MeV. The upper limits to the production cross
sections were estimated about $\sim$10-30 nb. These results were part
of a general experiment made with the CERN OMEGA spectrometer and
came from a special experiment devoted to a general study of the
baryon exchange processes in the reaction chain
\begin{equation}
\pi^- + p \to \Delta^{0}(1232)[N^{*}(1520)] + M^0 , \quad\
\Delta^{0}(1232)[N^{*}(1520)]\to p\pi^- , \quad M^0\to p\bar p.
\label{barexch}
\end{equation}
The experiment was done with a $\pi^-$ beam at an incident momentum 9
and 12 GeV colliding with a hydrogen target. The trigger required a
fast proton emitted forward with a momentum greater than
0.5$p_{\,beam}$. A complete description of this experiment and the
details of analysis can be found in original paper \cite{2} and
references therein.
The results of a search for narrow $p\bar p$ states produced in the
baryon exchange reaction with a chain
\begin{equation}
\pi^+ + p \to \Delta_f^{++}(1232) + X^0 , \quad\
\Delta_f^{++}(1232)\to p_f\pi^+ , \quad X^0\to p\bar p
\label{barexchBNL}
\end{equation}
at $p_{\,beam}^{\pi^+}$ = 9.8 GeV have been reported in Ref.
\cite{3}. As pointed out, this channel provided an enhanced
sensitivity to such states compared with reaction (\ref{barexch})
studied in Ref. \cite{2}. The multiparticle spectrometer (MPS) at the
Brookhaven National Laboratory alternating-gradient synchrotron was
used to detect all four charged tracks from reaction
(\ref{barexchBNL}). No evidence for narrow $p\bar p$ states at the
20--30 nb level in the mass range 1.9--2.3 GeV was found. It was also
emphasized that, assuming a nucleon-exchange production mechanism,
the states which have been reported in Ref. \cite{2} would appear as
$>$ 5 standard- deviation peaks in the recorded data sample with the
trigger required a forward particle with momentum $\geq$ 5.5 GeV.
The $p\bar p$ mass spectrum was also measured in another experiment
\cite{4} at the Brookhaven National Laboratory alternating-gradient
synchrotron where the inclusive reaction $\pi^- + p(or\, C)\to p\bar
p + X^0$ had been studied. No statistically significant enhancements
in the data in the $p\bar p$ mass range from 2000 to 2400 MeV were
observed.
A search was made for baryonium production in $p\bar p$ and $K^-p$
interactions at 12 GeV in the experiment \cite{5} which was performed
using the OMEGA spectrometer at CERN, exposed to the separated beam
consisting of approximately 45\% antiprotons, 15\% negative kaons and
40\% negative pions. No significant structures in the mass spectra of
$p\bar p$, $p\bar p\pi^-$ and $\bar p\Lambda^0$ systems were seen.
The upper limit at the 99.5\% confidence level for production of
narrow states in the $p\bar p$ system in the mass range 2.0--2.2 GeV
was estimated about $\sim$40 nb.
It should also be mentioned that the negative results on backward
production, via baryon exchange, of exotic non-strange mesons were
presented in article \cite{6}. The reactions $\pi^-p\to
p_{forward}X^-$ and $\pi^-n\to p_{forward}X^{--}$ have been studied
with a 12 GeV $\pi^-$ beam in the OMEGA spectrometer at CERN. No
resonant peak in $X\to p\bar p\pi^-,\, p\bar p\pi^-\pi^-,\, p\bar
p\pi^-\pi^0,\,$ $\pi^+\pi^-\pi^-\pi^-,\, \pi^+\pi^-\pi^-\pi^0$ has
been seen. The upper limits obtained on cross sections for exotic
meson production $X\to N\bar N\pi,\, N\bar N\pi\pi,\, 4\pi$ were
lower than the $\rho^-$ backward production cross section in the $\pi
p\to p\rho^-$ reaction. As pointed out, the sensitivity of this
experiment increased by an order of amplitude compared to earlier
published experiments in the search for exotics produced via baryon
exchange.
The WA56 experiment at CERN \cite{7} was also one of the experiments
made with the OMEGA spectrometer specially designed to select the
baryon exchange processes. It was a long-range aim of the WA56
experiment to confirm the narrow $p\bar p$ states of masses 2020 MeV
and 2204 MeV reported in paper \cite{2}. However, the WA56 experiment
revealed the lack of these states at the level of production cross
sections smaller by an order of magnitude than those estimated in
Ref. \cite{2}. In fact, the results of a search for narrow $p\bar p$
states produced backwards in the baryon exchange reactions $\pi^-p\to
\Delta_f^0(1232)\bar pp$, $\pi^-p\to N_f^0(1520)\bar pp$ at 12 GeV
and $\pi^+p\to \Delta_f^{++}(1232)\bar pp$ at 20 GeV have been
reported. No structures of statistical significance exceeding three
standard deviations have been found in the $p\bar p$ mass spectra.
The cross section limits obtained were three to five times lower than
the cross sections of Ref. \cite{2} depending on the channel.
Quite a new analysis of the WA56 experimental data was performed in
the nineties \cite{8} with a chief aim to study the channels of the
baryon exchange reactions which were not taken into consideration
before. In fact, the baryon exchange reactions have been studied
where one particle was either undetected or incompletely
reconstructed but the $p\bar p$ system was produced in central region
(see Fig. 1c). Namely, the following channels have been considered
\begin{equation}
\pi^+ + p \to p_f + X^0 + \pi_s^+, \quad X^0\to p\bar p,
\label{barexch1}
\end{equation}
\begin{equation}
\pi^+ + p \to p_f + \pi^+ + X^0 + \pi_s^0, \quad X^0\to p\bar p,
\label{barexch2}
\end{equation}
\begin{equation}
\pi^+ + p \to p_f + \pi^+ + \pi^+ + X^0 + \pi_s^-, \quad X^0\to p\bar
p, \label{barexch3}
\end{equation}
at 20 GeV and
\begin{equation}
\pi^- + p \to p_f + X^0 + \pi_s^-, \quad X^0\to p\bar p,
\label{barexch4}
\end{equation}
\begin{equation}
\pi^- + p \to p_f + \pi^- + X^0 + \pi_s^0, \quad X^0\to p\bar p,
\label{barexch5}
\end{equation}
at 12 GeV, where $p_f$ was an identified fast proton with the
momentum greater than half the beam momentum, and the slow pions
($\pi_s^0,\pi_s^\pm$) went undetected by the OMEGA spectrometer but
were reconstructed by the corresponding kinematic fits; see, however,
the details in original paper \cite{8}. As pointed out, the very good
momentum resolution available from OMEGA tracks measurements allowed
a clear separation and identification of one missing pion channel in
the data. That investigation was motivated in the main by previous
analysis \cite{9} of the WA56 experimental data on the central
production of $\rho^0$, $f_2$ and $\rho_3^0$ mesons in the baryon
exchange reaction
\begin{equation}
\pi^+ + p \to p_f + M^0 + \pi_s^+, \quad M^0\to \pi^+\pi^-,
\label{barexch6}
\end{equation}
at 20 GeV (see Fig. 1b) where the similar experimental approach was
used for the first time. A clear signal of a narrow $p\bar p$ state
with a mass of 2.02 GeV and a width less 10 MeV was seen in all of
the channels (\ref{barexch1}-\ref{barexch5}) in a restricted
kinematic region close to the central one. From the upper limits on
mesonic ($\pi^+\pi^-$, $\pi^+\pi^-\pi^0$, $2\pi^+2\pi^-$, $K^+K^-$)
decay modes of the observed state it was found that this state was
not noticeably coupled to mesons. That is why, it was claimed that
this 2.02 GeV $p\bar p$ state coupled strongly to baryons and
decoupled from mesons might be a baryonium candidate.
The combined $p\bar p$ mass spectrum for the events in $\pi^+p$
(channels (\ref{barexch1},\ref{barexch2})) and $\pi^-p$ (channels
(\ref{barexch4},\ref{barexch5})) exposures, plotted with the 5 MeV
width bins, is shown in Figure 2 extracted from original paper
\cite{8}. As seen in Fig.~2, the clear signal is visible at a mass of
2.02 GeV. The statistical significance of this peak was estimated to
be exceeded 5 standard deviations. It should also be pointed out that
no statistically significant peak at a mass of 2.20 GeV, reported
earlier in Ref. \cite{2}, was observed in the data. However, at the
same time, the mass fit results for the 2.02 GeV $p\bar p$ state
accurately collected in Table 1 of Ref. \cite{8} turned out in a good
agreement with the similar results of Ref. \cite{2}.
Of course, the question arises: could the contradicted experimental
results on (non)ob\-servation of narrow $p\bar p$ states be really
compatible? In Ref. \cite{8} it has been presented a shining example
of that how the discrepancies could be explained. First of all, it
has been pointed out that all experimental results on the production
cross sections depend on the model which has been used for reaction
mechanism in order to extract the experimental acceptances. For
example, the experimental acceptances were calculated in Ref.
\cite{2}, using mechanism of backward production of the 2.02 GeV
$p\bar p$ state. For a proper comparison of the results the authors
of Ref. \cite{8} recalculated the acceptance of the experimental
setup \cite{2} assuming their central production mechanism. As a
result with the revised acceptance calculation, the production cross
section of the 2.02 GeV $p\bar p$ state was found to be in experiment
\cite{2} such as obtained in experiment \cite{8} with a good
agreement. The same has turned out true in a comparison of the
results from the experiments \cite{7} and \cite{8}. In other words,
the authors of Ref. \cite{8} have simply explained how to get an
agreement with the experimental results on the production of the 2.02
GeV $p\bar p$ state reported in \cite{2,7} and their own experiment
\cite{8}. An explanation of the absence of the 2.02 $p\bar p$ state
in other experiments (see e.g. \cite{3,4,5}) has also given in Ref.
\cite{8}, and we refer the interested reader to the original paper.
Concerning formation experiments it was shown in Ref. \cite{8} that
the experimental cross section of the (formation) process $N\bar N
\rightarrow R \rightarrow N\bar N$ at the resonance peak crucially
depends on the ratio of the resonance width to the experimental
resolution
\begin{equation}
\sigma^{N\bar N \rightarrow N\bar
N}_{exp}(\sqrt{s}=\sqrt{s_R})\vert_{M_R=2.02}\simeq
2.25(2J+1)\beta^2_{N\bar
N}\frac{\Gamma}{2\Delta}\arctan\frac{2\Delta}{\Gamma}\,\mbox{mb},
\label{sigmaexp}
\end{equation}
where $J$, $\beta_{N\bar N}$, $\Gamma$ are spin, elasticity
($\beta_{N\bar N}=1$ for a pure baryonium decaying into $N\bar N$
only), width of the resonance, $\Delta$ is experimental resolution.
The experimental restriction on the width of the 2.02 GeV $p\bar p$
state obtained in Ref. \cite{8} ($\Gamma\leq 10$)MeV should be taken
into account to understand the discrepancies with the formation
experiments where no signal of the 2.02 GeV $p\bar p$ state was
found.
It should also be mentioned a remark in Ref. \cite{8} on the central
production mechanism priority over the backward production one. In
fact, this peculiarity was established earlier in the study of
central production of ordinary mesons \cite{9} where the enhancement
factor did not exceed 4, but for the 2.02 GeV $p\bar p$ state
production this factor turned out at least 20. To explain such
peculiarity it may be assumed that the observed narrow $p\bar p$
state is coupled with the $\Delta\bar\Delta$ system much stronger
than with the $N\bar N$ one. In that case a process of backward
production, where double $\Delta$ exchange does not work, is
naturally suppressed, and the dominated process is given by diagram
1c shown in Fig. 1. Here the narrowness of the observed $p\bar p$
state might also be explained as follows \cite{8}: this state being
produced in the collision of virtual $\Delta$ and $\bar\Delta$ cannot
decay into the real pair $\Delta\bar\Delta$ because this decay
channel is forbidden by phase space, and only suppressed $p\bar p$
channel is open.
Bear all of that in mind, we would like to emphasize that careful
analysis performed in Ref. \cite{8} might be served as an excellent
introduction to the recent widely discussed question: why the
$\Theta$ baryon states observed in a more than 10 experiments are not
seen in the others?
In Ref. \cite{10}, where some of our previous studies were partially
summarized, it has been claimed that existence of the extra
dimensions in the spirit of Kaluza and Klein together with some novel
dynamical ideas may provide new conceptual issues for the global
solution of the spectral problem in hadron physics to build up a
unified picture for hadron spectra. Earlier we have applied these
ideas to analyze the nucleon-nucleon dynamics at very low energies
\cite{11}. Really, we have found that simple formula for KK
excitations provided by Kaluza-Klein approach accurately described
the experimentally observed irregularities in the mass spectrum of
$pp$ and $p\bar p$ systems. The result of our analysis is presented
in Table 1 extracted from Ref. \cite{11} (see also the references
therein where the experimental data have been extracted from). As is
seen from Table 1, the nucleon-nucleon dynamics at low energies
reveals quite a remarkable development of Kaluza-Klein picture.
Moreover, $M_n^{pp}=M_n^{p\bar p}$ is predicted by Kaluza-Klein
scenario, and Table 1 contains an experimental confirmation of this
fact as well.
Of course it was intriguing for us to perform the spectral analysis
of the experimental material from the WA56 Experiment at CERN in
order to learn how does it look in the unified picture for hadron
spectra. To attain this goal the calculated spectral lines taken from
Table 1 have been plotted in Fig.~3 together with the $p\bar p$ mass
spectrum presented in Ref. \cite{8}. As is seen, the experimentally
observed 2.02 GeV $p\bar p$ state just lives in the $M_{9}^{p\bar
p}$(2019.66\,MeV)-storey of KK tower for the $p\bar p$ system. What
is more important, a strong correlation of the spectral lines with
the other peaks on the histogram is also clear seen in Fig.~3. In our
opinion, that correlation is not an accidental coincidence, it
displays the existence of the states observed in other experiments.
In fact, the different experiments reflect only partial fragments of
the whole unified picture.
Our conservative estimate for the widths of KK excitations looks like
\begin{equation}\label{width}
\Gamma_n \sim \frac{\alpha}{2}\cdot\frac{n}{R}\sim 0.4\cdot n\,
\mbox{MeV},
\end{equation}
where $n$ is the number of KK excitation, and $\alpha \sim 0.02$,
$R^{-1}=41.48\,\mbox{MeV}$ are known from our previous studies
\cite{11}. This gives $\Gamma_{9}\sim 3.6$ MeV which does not
contradict to the experimental estimate.
At last, we also predicted the narrow charged $p\bar n$ and $\bar pn$
states with the similar mass: $M_9^{p\bar n}=M_9^{\bar pn}= 2020.84$
MeV (see Table 2 in Ref. \cite{11}). An evidence for the existence of
such states has been reported in Ref. \cite{12}, where the authors
claimed that these states were observed in the reactions $\bar
pp\rightarrow p_f\bar n\pi^+\pi^-\pi^-$ at 6 GeV and $\bar
pp\rightarrow \pi_f^+\bar pn\pi^+\pi^-$ at 9 GeV in a triggered
bubble chamber experiment at the SLAC Hybrid Facility. Clearly, this
experimental observation is an additional argument in favour of the
Kaluza-Klein picture.
In summary, the results of the WA56 Experiment at CERN, with account
of analysis made in \cite{8}, are naturally incorporated in the
recently developed unified picture for hadron spectra. Our analysis
shows that the experimentally observed narrow baryonium states are
the states living in the corresponding KK tower built in according to
the earlier established general, physical law. We hope that new
experiments will appear in the near future to enrich our
understanding of the nucleon-nucleon dynamics. We also share that a
call for the future hadronic experiments with high resolution and
sensitivity has clearly to be supported.
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{"url":"https:\/\/math.stackexchange.com\/questions\/516077\/show-that-the-sequence-a-n-converges-where-a-n-sqrt1-sqrt2-sqrt3-c","text":"# Show that the sequence ${a_n}$ converges where $a_n = \\sqrt{1+\\sqrt{2+\\sqrt{3+\\cdots+\\sqrt{n}}}}$ for $n\\geq 1$.\n\nThe original question was to determine whether the sequence converges, but I have checked for extremely high values of $n$ and it seems as though it does converge. This lead me to wonder if there was an \"easy\" method of showing that the sequence is bounded (since it is monotone, it then follows that it converges). Thanks.\n\nBy repeatedly rationalizing the numerators and using that $a_n\\geq1$ for all $n$, $$a_{n+1}-a_n=\\frac{\\sqrt{2+\\sqrt{3+\\cdots\\sqrt{n+1}}}-\\sqrt{2+\\sqrt{3+\\cdots\\sqrt{n}}}}{a_{n+1}+a_n}\\\\ \\leq\\frac{\\sqrt{2+\\sqrt{3+\\cdots\\sqrt{n+1}}}-\\sqrt{2+\\sqrt{3+\\cdots\\sqrt{n}}}}{2}\\\\ =\\frac12\\,\\frac{\\sqrt{3+\\sqrt{4+\\cdots\\sqrt{n+1}}}-\\sqrt{3+\\sqrt{4+\\cdots\\sqrt{n}}}}{\\sqrt{2+\\sqrt{3+\\cdots\\sqrt{n+1}}}+\\sqrt{2+\\sqrt{3+\\cdots\\sqrt{n}}}}\\\\ \\leq\\frac12\\,\\frac{\\sqrt{3+\\sqrt{4+\\cdots\\sqrt{n+1}}}-\\sqrt{3+\\sqrt{4+\\cdots\\sqrt{n}}}}{2\\sqrt2}\\\\ \\leq\\cdots\\\\ \\leq\\frac{\\sqrt{n+1}}{2^{n+1}}\\leq\\frac{n+1}{2^n}$$ By telescoping, we see that the sequence is Cauchy, i.e. $$a_{n+k}-a_n=\\sum_{j=1}^ka_{n+j}-a_{n+j-1}\\leq\\sum_{j=1}^k\\frac{n+j+1}{2^{n+j}}\\leq\\frac3{2^n}.$$ So the limit $L$ exists.\n\n\u2022 Okay, so I follow your reasoning throughout the proof. My only issue is with your repeated rationalization result. I seem to be getting that $a_{n+1}-a_n\\leq\\frac{\\sqrt{n+1}}{2^n}$ when I do it. How did you get from this to your $\\frac{1}{2^n+1}$? I have also noted that this inequality does not hold for $n=1$: $a_2-a_1=\\sqrt{1+\\sqrt{2}}-\\sqrt{1}\\approx 0.55377>\\frac{1}{4}$. \u2013\u00a0PitheMathemagician Oct 7 '13 at 3:31\n\u2022 For your first question, you are right; it doesn't affect the proof in an essential way, though, as $\\sum_n\\,n\/2^n=2$ (I'll edit in a few minuts). In your second question you are using my (off by $\\sqrt{2}$) estimate instead of the right one you mention in your first question. \u2013\u00a0Martin Argerami Oct 7 '13 at 4:14\n\nThe quantity $n^{2^{-n}}$ tends to $1$ as $n \\to \\infty$, so we can find a constant $C$ such that\n\n$$n^{2^{-n}} \\leq C$$\n\nfor all $n$, and hence that\n\n$$n \\leq C^{2^n}$$\n\nfor all $n$. Thus\n\n\\begin{align} a_n &= \\sqrt{1+\\sqrt{2+\\sqrt{3+\\cdots+\\sqrt{n}}}} \\\\ &\\leq \\sqrt{C^2+\\sqrt{C^{2^2}+\\sqrt{C^{2^3}+\\cdots+\\sqrt{C^{2^n}}}}} \\\\ &= C \\sqrt{1+\\sqrt{1+\\sqrt{1+\\cdots+\\sqrt{1}}}} \\\\ &< C \\sqrt{1+\\sqrt{1+\\sqrt{1+\\cdots}}} \\\\ &= C\\varphi, \\end{align}\n\nwhere $\\varphi$ is the golden ratio. The sequence $a_n$ is bounded and increasing and therefore has a limit.\n\nThis essentially mimics the proof of Herschfeld's theorem, the statement of which can be found in my answer here.\n\n\u2022 I knew it had something to do with $\\varphi$! I saw this proof some time ago and I couldn't remember it. (+1) \u2013\u00a0chubakueno Oct 6 '13 at 2:54\n\nI fire up the burners and create a numerical experiment. I created this Python program.\n\nimport math\ndef foo(n):\nout = math.sqrt(n)\nfor k in range(n - 1,0, -1):\nout = math.sqrt(k + out)\nreturn out\nfor k in range(1,50):\nprint (\"f(%s) = %.6f\"%(k, foo(k)))\n\n\nHere is what is put out.\n\n f(1) = 1.000000\nf(2) = 1.553774\nf(3) = 1.712265\nf(4) = 1.748763\nf(5) = 1.756238\nf(6) = 1.757641\nf(7) = 1.757886\nf(8) = 1.757926\nf(9) = 1.757932\nf(10) = 1.757933\nf(11) = 1.757933\nf(12) = 1.757933\nf(13) = 1.757933\nf(14) = 1.757933\nf(15) = 1.757933\nf(16) = 1.757933\nf(17) = 1.757933\nf(18) = 1.757933\nf(19) = 1.757933\nf(20) = 1.757933\nf(21) = 1.757933\nf(22) = 1.757933\nf(23) = 1.757933\nf(24) = 1.757933\nf(25) = 1.757933\nf(26) = 1.757933\nf(27) = 1.757933\nf(28) = 1.757933\nf(29) = 1.757933\nf(30) = 1.757933\nf(31) = 1.757933\nf(32) = 1.757933\nf(33) = 1.757933\nf(34) = 1.757933\nf(35) = 1.757933\nf(36) = 1.757933\nf(37) = 1.757933\nf(38) = 1.757933\nf(39) = 1.757933\nf(40) = 1.757933\nf(41) = 1.757933\nf(42) = 1.757933\nf(43) = 1.757933\nf(44) = 1.757933\nf(45) = 1.757933\nf(46) = 1.757933\nf(47) = 1.757933\nf(48) = 1.757933\n\nf(49) = 1.757933\n\n\nIt looks like there is a limit less than 2, but I don't recognize the number. It seems to be quite flat after $n\\ge 10$.\n\n\u2022 Your program computes $\\sqrt{n + \\sqrt{n-1 + \\sqrt{n-2 + \\sqrt{\\cdots + \\sqrt{1}}}}}$. \u2013\u00a06005 Oct 6 '13 at 1:34\n\u2022 Yerright, I will take a second cut. \u2013\u00a0ncmathsadist Oct 6 '13 at 1:35\n\u2022 Thanks for the catch, @Goos \u2013\u00a0ncmathsadist Oct 6 '13 at 1:46\n\u2022 oeis.org\/A072449 \u2013\u00a0Fred Kline Oct 10 '13 at 22:03\n\nTerm by term, is less than $$\\sqrt{1+\\sqrt{2^1+\\sqrt{2^2+\\sqrt{2^3...}}}}=\\sqrt{1+\\sqrt{2}\\sqrt{1+2^{-1}\\sqrt{2^2+\\sqrt{2^3...}}}}$$ $$<\\sqrt{1+\\sqrt{2}\\sqrt{1+2^{-0.5}\\sqrt{2^2+\\sqrt{2^3+...}}}}$$ $$=\\sqrt{1+\\sqrt{2}\\sqrt{1+\\sqrt{2+2^{-1}\\sqrt{2^3...}}}}$$ $$\\cdots$$ $$<\\sqrt{1+\\sqrt{2}\\sqrt{1+\\sqrt{2+\\sqrt{2^2...}}}}$$ So we now have to show that $a_0=1$,$a_{n+1}=\\sqrt{1+\\sqrt{2}a_{n}}$ converges(this series is strictly greater than the last equation).We proceed by induction.\n\nAssume $a_n\\le\\frac{1+\\sqrt3}{\\sqrt2}$, then $$a_{n+1}\\le\\sqrt{2+\\sqrt{3}}=\\frac{1+\\sqrt3}{\\sqrt2}$$ And since our sequence is monotone increasing and $1\\le\\frac{1+\\sqrt3}{\\sqrt2}$ the result follows.\n\nNote: The number $1.757933$ of ncmathsadist is fairly close to this limit, $\\approx 1.931851$\n\nI wanted to add the continued fraction format of the problem. This post is not really intended to be an answer\n\n\u2022 How do you know that this continued fraction corresponds to the problem? \u2013\u00a0chubakueno Oct 6 '13 at 2:40\n\u2022 Any symbolic computation software will do the job. I did it with Mathematica \u2013\u00a0Logarithm Oct 7 '13 at 23:30\n\u2022 I know that if I approximate it well enough, I can procedurally do this. But I was more about asking about the pattern (i see nothing). However, if you are interested in programming, this is always a good exercise.(Ask GNU MP if you have precision issues :)) \u2013\u00a0chubakueno Oct 8 '13 at 1:27","date":"2021-01-17 03:14:10","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\": 1, \"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\": 1, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.9812788367271423, \"perplexity\": 743.1599843329873}, \"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\/1610703509104.12\/warc\/CC-MAIN-20210117020341-20210117050341-00307.warc.gz\"}"} | null | null |
{"url":"http:\/\/physics.stackexchange.com\/questions\/103074\/which-types-of-particles-are-affected-by-the-wave-particle-duality","text":"# Which types of particles are affected by the wave-particle duality?\n\nIf we take the double slit experiment as a way of demonstrating the wave-particle duality, which types of particles would show an interference pattern?\n\nFor example, I know that electrons show such a pattern. But do protons, too? What about atoms? Where is the boundary between \"wavey particles\" and \"classical particles\"?\n\n-\nThe largest thing I have heard of is buckyballs: univie.ac.at\/qfp\/research\/matterwave\/c60 \u2013\u00a0 DJBunk Mar 11 '14 at 22:39\nWow, this is impressive! \u2013\u00a0 buschtoens Mar 12 '14 at 12:39\n\n$$\\lambda = \\frac{h}{p}$$\nwhere $h$ is the Planck constant and $p$ is the object momentum. For an object moving at non-relativistic speeds you may remember that the momentum is defined as $\\vec{p}=m\\vec{v}$; the De Broglie wavelength is then inversely proportional to the object mass. The bigger an object is, the less relevant its wave-like nature is, and that's why in everyday experience we are not used to observing the wave-like nature of massive objects.","date":"2015-03-03 07:36:53","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\": 1, \"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\": 0.7220903635025024, \"perplexity\": 353.9626464106163}, \"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-2015-11\/segments\/1424936463122.1\/warc\/CC-MAIN-20150226074103-00250-ip-10-28-5-156.ec2.internal.warc.gz\"}"} | null | null |
Rofo researches and displays commercial real estate listings from top brokerage firms and landlords in Townsend, DE making it easier to find available commercial space and compare current asking rental rates. In Townsend, DE there are currently 1 real estate professionals to help you find the right space for you. Filter your search below and get free advice from recommended brokers in Townsend, DE.
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20 Spring Creek Dr is for lease in Townsend, DE.
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Lot #3 Pine Tree Road is for lease in Townsend, DE.
339 MONEY RD is a multi-family property for lease in Townsend, DE. The property currently has 1 multi-family space for lease and is marketed by CBC Corporate.
1 multi-family space 838,965 square feet.
Please describe your commercial real estate requirements in Townsend, DE. We'll introduce you to local properties that match your criteria. | {
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Q: http proxy middleware not working with create-react-app This is my middleware file known as setupProxy.js.
I have my express server running on port 5000, I also have my app using '/todos';
const { createProxyMiddleware } = require('http-proxy-middleware');
module.exports = function(app) {
console.log('Proxy setup');
app.use(
'/testing',
createProxyMiddleware({
target: 'http://localhost:5000/todos',
changeOrigin: true,
})
);
};
I do an api call
await axios.get('/testing/home', {validateStatus: false})
.then(async (response) => {
}
This throws an error
GET http://localhost:5000/testing/home 404 (Not Found)
Why is my proxy not pushing /testing/home to localhost:5000/todos/home?
I have the setupProxy.js file in the src folder, the package json is separated from my servers package.json file. Am I supposed to proxy from the backend instead of the front-end or something? I can get all normal requests for /todos/* from my front-end so it just seems like the proxy isnt working at all.
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{"url":"https:\/\/homework.cpm.org\/category\/CON_FOUND\/textbook\/ac\/chapter\/7\/lesson\/7.1.1\/problem\/7-7","text":"### Home > AC > Chapter 7 > Lesson 7.1.1 > Problem7-7\n\n7-7.\n\nGraph $y=-\\frac{1}{2}x+6$. Find its $x$- and $y$-intercepts.\n\nRemember: $y=mx+b$.\n\nStart the graph at $(0,6)$.\nUse the slope to create the line.\nNote: the slope is negative, not positive.\n\nThe $x$-intercept is at: $(12,0)$.\nThe $y$-intercept is at: $(0,6)$.\n\nUse the eTool below to help you solve this problem.\nClick the link at right for the full version of the eTool:\n7-7 HW eTool\u00a0(Desmos)","date":"2022-06-30 22:20:25","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 9, \"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\": 0.6803982853889465, \"perplexity\": 3369.476713553943}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": false}, \"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-2022-27\/segments\/1656103915196.47\/warc\/CC-MAIN-20220630213820-20220701003820-00714.warc.gz\"}"} | null | null |
Intolerable ugliness or the shape of things to come?
"Fashion is a form of ugliness so intolerable that we have to alter it every six months." Oscar Wilde said that, a known dandy of his day. As someone more inclined to read the science pages rather than fashion at the New York Times, I offer Origami as the Shape of Things to Come. If you're in the mood for a day-long stimming-jaunt, google MIT professor Dr. Erik Demaine (the subject of the article) to explore the world of emerging origami mathematics. Some of his ideas are easily rendered as pleated skirts; something I've been doing for several years now, specifically shaped pleating, far beyond the straight knife edges that define pleating for most designers. I wonder if I should write him, to tell him we can make clothes based on his research. Math skirts may be a way of bringing math to the masses and the necessity of scientific and intellectual rigor to fashion designers.
In keeping with today's theme of beauty, ugly and fashion comes Maureen Dowd's editorial Frozen Mermaids, Scary Sirens (reminds me of Nancy Etcoff's _survival of the prettiest_). Ms Dowd states in part, "In the future, there will be only one face. And if the Oscars are predictive, there will be only one body – big chest, skinny body – and one style. It was bizarre how actress after actress came out in the same mermaid silhouette: a strapless sheath with a trumpet-flared or ruffled skirt….In decades past, each top glamour girl aimed for a signature face and measurements, a trademark voice, a unique walk. You never saw Katharine Hepburn and Ava Gardner showing up in the same dress, or Audrey Hepburn and Marilyn Monroe looking like a pair of matching candles."
For those who may not know, the New York Times offers an array of fashion news and slide shows on its interactive website. First there is Style Magazine with a focus on women's fashions, Spring 2005. And lest you suspect that the NYT is all about fashion worship, see You Do The Math; an examination of McQueen's uber poof skirt and the many quantities of objects that can be fitted within its volume such as 15 golden retriever puppies, 1,638 italian breadsticks and 3.76 Apple IMacs.
Then finally are the slide-show and wrap ups for the Fall 2005. The index of all the shows in Milan, Paris and New York. Cathy Horyn of the NYT narrates the shows and during the display of young designers of NY, voices her curiousity at their tendency to launch with vintage styles. Maybe someone should tell her the influence could be due to their use of vintage pattern design books such as _Dress Design_ by Hillhouse & Mansfield (you'd think someone would have reprinted this text by now). These designers could have used books of far less value and influence. It'll take time; all designers grow into their own voices.
kathleenfasanella.com
Product Review Style# 12658
This is a compilation and crude importation of all the comments posted at the original site for this document. Feel free to add your comments.
3/10/2005 06:29:30 AM jfreb said:
GREAT quote from Oscar Wilde! And interesting all around… keep up the good work!
Fashion-Incubator says:
Bloggers, mothers and tommys run amok
Songwriters who write about song writing are only slightly less irritating than writers who write about writing so I guess I have to despise myself for blogging about blogging. I think there's a special hell reserved for those guilty of… | {
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import { Statement } from './statement';
export class Type extends Statement {
constructor(public readonly parent: Statement | undefined, name: string) {
super(parent, name);
}
}
| {
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\section*{Acknowledgments}
The research was
supported by grants from the
Canadian Institute of Health Research and the Heart and Stroke
Foundation of British Columbia and Yukon.
This project has been enabled by the use of WestGrid computing resources,
which are funded in part by the Canada Foundation for Innovation,
Alberta Innovation and Science, BC Advanced Education, and the
participating research institutions. WestGrid equipment is provided by IBM,
Hewlett Packard and SGI.
\section{Discussion}\label{discussion}
The stochastic computational model presented herein attempts to give a
quantitative description of the mechanism behind the observed localized
$[{\rm Na}^{+}]$ transients observed in VSMC\cite{Poburko2007}. Based as
much as feasible on experimental observations of the physical and
physiological features of the intracellular nanospaces in which these
transients
are hypothesized to occur, the model results lead us to conclude that
$[{\rm Na}^{+}]$ can build to sufficiently high values in PM-SR junctions to
give rise to the observed transients.
Three main steps lead to the fundamental hypothesis
behind this work. The first stems from earlier work by this laboratory
elucidating the sequence leading to asynchronous ${\rm Ca}^{2+}$ oscillations in
VSMC\cite{Poburko2007,Fameli2007}. Succinctly, a large external ${\rm Na}^{+}$ influx causes the reversal of
the NCX and consequent ${\rm Ca}^{2+}$ entry to refill the SR after SR-${\rm Ca}^{2+}$
release via IP$_3$R channels upon cell stimulation provokes contraction.
The second is the observation of two main features of the localized
$[{\rm Na}^{+}]$ elevation transients\cite{Poburko2007}:
they appear as a punctate pattern on the periphery of VSMC
(with puncta having a given time course), and their peak $[{\rm Na}^{+}]$
values are comparable to the $[{\rm Na}^{+}]_{\rm i}$ values necessary to cause NCX
reversal (see Fig. \ref{Encx-Vm} and relevant text).
Thirdly, our previously published model
supports the idea that NCX reversal-mediated ${\rm Ca}^{2+}$ entry in PM-SR nanospaces
introduces sufficient ${\rm Ca}^{2+}$ to refill the SR during asynchronous ${\rm Ca}^{2+}$
waves\cite{Fameli2007}.
Based on these three points, the hypothesis we set out to study with
our model is that the observed
localized $[{\rm Na}^{+}]$ transients occur in PM-SR nanodomains (or
nanospaces or junctions), in other words, that in those junctions, due to ${\rm Na}^{+}$
influx via a TRPC6 channel, $[{\rm Na}^{+}]$ can attain levels, that
cause ${\rm Ca}^{2+}$ entry via NCX reversal.
Simulation results from our simplest version of model
(Fig. \ref{Na_vs_tr_bare}), namely,
a PM-SR nanospace filled with cytosol
(represented in our simulations by the diffusivity of ${\rm Na}^{+}$)
with only one TRPC6 channel as
${\rm Na}^{+}$ source suggest that this simple view is not
adequate to describe the formation of $[{\rm Na}^{+}]$ transients. This is
mainly due to the large value of the diffusion coefficient of ${\rm Na}^{+}$,
which is about three times that of free ${\rm Ca}^{2+}$ in cytosol, and the fact that
there is no observed buffering effect of ${\rm Na}^{+}$ in
cytosol\cite{Kushmerick1969b}.
Recent $[{\rm Na}^{+}]$ measurements in isolated
rabbit ventricular myocytes by
Despa and Bers (\cite{Despa2003a,Despa2004})
also suggest that the effective diffusivity of ${\rm Na}^{+}$ may be much slower
than the one found by Kushmerick and Podolsky\cite{Kushmerick1969b},
although no explanation
as to the mechanism behind it was suggested. In \cite{Despa2003a},
among other things, Despa and Bers measured endogenous ${\rm Na}^{+}$ buffering
in
cytosol and found it negligible
when compared to that of other
important species like ${\rm Ca}^{2+}$, for example. It is well known that ${\rm Ca}^{2+}$
buffering lowers its diffusivity dramatically\cite{allbritton1992,wagner1994},
thus possibly contributing to easier generation of
${\rm Ca}^{2+}$
gradients in confined spaces like the PM-SR nanospaces.
Presuming the slight ${\rm Na}^{+}$ buffering
effect observed in cardiac cell cytosol is mirrored in smooth muscle cells, it
clearly could not provide sufficient slowing down of ${\rm Na}^{+}$
diffusivity to aid local transient creation. It seems instead
ever more plausible that it must be some sort of physical obstruction
to ionic motion that gives rise to a slower effective diffusivity for
${\rm Na}^{+}$.
We then considered that physical obstructions to ionic motion can have
the overall effect of increasing the time spent by each ${\rm Na}^{+}$ in the
nanospace thereby increasing the value of $[{\rm Na}^{+}]_{\rm ns}$.
Ever since first reported measurement of ${\rm Na}^{+}$ diffusivity in muscle
cells\cite{Kushmerick1969b}, it was hinted
that it is physical rather than chemical
interactions that cause a retardation of the ionic (and non-ionic for
that matter---sorbitol and sucrose specifically) intracellular
diffusion.
Our ultrastructural observations of nanospace spanning electron opaque
structures support this idea (Fig. \ref{pillars})
and agree fully with earlier reports of
similar structures in SMC\cite{Devine1972}.
The introduction of such physical obstruction in the simulations seems then
more than warranted and very plausible. Moreover, if the ``tortuosity
factor'', introduced by Kushmerick,
arising from physical
interaction is indeed important in the bulk cytosol, then it would be
even more so in
the restricted PM-SR nanospaces.
While the introduction of physical obstacles to ionic motion in our
simulations does produce higher $[{\rm Na}^{+}]_{\rm ns}$ gains (Fig. \ref{Na_vs_tr_pil}
and \ref{pillar_effect}), to obtain a quantitative agreement with the
observed level of $[{\rm Na}^{+}]$ during the transients we need to hypothesize
further that these junction spanning structures are not distributed at
random, but rather form an organized
barrier around a given ${\rm Na}^{+}$ source within the nanospace. Our
simulation results in this case (Fig. \ref{Na_vs_tr_cop}) agree
quantitatively with the observed $[{\rm Na}^{+}]$ transients, giving a ${\rm Na}^{+}$ of
the same order of magnitude as the experimental measurements.
The left panel plot in Fig. \ref{Na_vs_tr_cop} also shows that the
$[{\rm Na}^{+}]$ with this configuration of pillars will reach steady state with a time constant that
is at least ten times longer than in the case of randomly distributed
pillars. This is another feature supporting our hypothesis that these
transients are formed in the PM-SR nanospaces with the aid of a relatively
tight
fence of pillars around the ${\rm Na}^{+}$ source. In fact, the measured
transients are reported to be very long lived with a ramp up time to
steady state of about 30 s, a time scale that the simpler versions of
the model could not reproduce at all.
It therefore appears that two features are essential if these transients must
occur within PM-SR nanospaces: there must be physical obstructions to
${\rm Na}^{+}$ motion, forming an organized barrier around each ${\rm Na}^{+}$ source
(TRPC6 channels) {\em and\/} NCX must be localized near a TRPC6 within
such barrier to be able to sense the high $[{\rm Na}^{+}]$, reverse
and allow ${\rm Ca}^{2+}$ entry. The second of these two features is
suggested by a number of observations. There are studies supporting
the idea that TRPC channels and $\Na/\Ca$ exchangers\ are
functionally and physically linked and form an important signalplex in
several different systems\cite{Eder2005}.
Still other studies indicate
that at least certain kinds of TRP channels are found in close
proximity of caveolin\cite{Lockwich2001,Brazer2003}. Combined with our
earlier observations that NCX tend to crowd near the necks of
caveolae\cite{Fameli2007},
this makes a strong case for a physical association between TRP
channels and NCX.
The first of the above mentioned desirable features---patterns of
physical obstructions within the nanodomains---is
a harder matter to study experimentally and one of the current/future
directions our laboratory is following.
To further study the issue of the localized $[{\rm Na}^{+}]$ transient
duration requires more
computationally demanding simulations, which we are currently tackling.
We can however make a qualitative argument to suggest how the time
scale of the observed transients can also be supported by our model.
We have so far only implemented one ${\rm Na}^{+}$ source, or one TRPC6 channel.
However, we have observed earlier that
during activation of rabbit inferior vena cava SMC there could be about 16 NCX
in the junctions\cite{Fameli2007}. If we conjecture that TRPC6 and NCX
must be in physical proximity, as we speculated above,
it is consistent to assume
that there may be more than one TRPC6\ in each junction
functioning as a ${\rm Na}^{+}$ entry gate, and perhaps even as many as there
are NCX.
Other transporters such as NCX and ${\rm Na}^{+}$/K$^+$ ATPases (NKA) certainly
also play
a role in shaping the PM-SR nanodomain $[{\rm Na}^{+}]$ profiles that drive
NCX-mediated ${\rm Ca}^{2+}$ entry during VSMC activation. In the simple model we
presented in this article, we focussed on the role of TRPC6 since it is
by far the larger capacity transporter of the TRPC6, NCX, NKA trio
(millions of ions per second, hundreds per second and tens per second,
respectively). This first approximations quantitative model supports
the idea that localized $[{\rm Na}^{+}]$ elevation transients take place at
PM-SR nanodomains and strongly suggests that physical impediment to
ionic mobility of ${\rm Na}^{+}$ is also a necessary factor for their
generation.
\section{Introduction}
We are not used to thinking of ionic sodium (${\rm Na}^{+}$)
as a \textit{signalling} ion,
despite its known relevance for vascular disease. On the
other hand, the importance of the second messenger ${\rm Ca}^{2+}$ in
signalling cell function is undisputed. There is however recent
experimental
evidence supporting the idea
that this important species has, at least in vascular smooth muscle cells\
(VSMC),
an almost equally important signalling partner in
${\rm Na}^{+}$\cite{Poburko2007,Poburko2008},
particularly in signalling events that are allowed by the
juxtaposition of signalplexes and transporter carrying membranes at
nanometric distances from one another.
This observation, and others outlined below,
as well as a wealth of accumulated knowledge on ${\rm Na}^{+}$ and
${\rm Ca}^{2+}$ transporters in VSMC has prompted us to take a more quantitative
look at the question of ${\rm Na}^{+}$-related signalling in PM-SR cytoplasmic
nanospaces (also referred to as nanodomains or junctions):
nanometre-scale
signalling compartments comprising the PM, the sarcoplasmic reticulum
(SR), ${\rm Ca}^{2+}$, ${\rm Na}^{+}$ and other ionic
transporters (channels, exchangers and pumps) and
relevant signalplexes therein, and the intervening cytosol.
In this article we present a quantitative model
aimed at elucidating the
mechanism of selective (or site-specific) signalling between a source
ionic transporter and a target ionic transporter, both of which are
localized on the same membrane and are part of a nanodomain.
We developed this model using
a stochastic method based on the
simulation of ionic diffusion by random walks (RW) within nanospaces
modeled according to experimental observations.
Here we concentrate on the
specific example of a ${\rm Na}^{+}$ transporter, typically a NSCC
and a NCX as its target.
Generally, during these events ${\rm Na}^{+}$ entry via a NSCC generates a large
$[{\rm Na}^{+}]$ gradient, which, in turn, enables reversal of a NCX
(presumably in the vicinity of the NSCC) and consequent NCX-mediated
${\rm Ca}^{2+}$ entry into the subplasmalemmal nanodomain.
A few examples highlighting the biological importance of
this intra-membrane system
and its link to pathogenic mechanisms are (table \ref{NCX_patho_list}
summarizes these cases): \textbf{1)} A critical
subplasmalemmal step in the ${\rm Ca}^{2+}$ signalling cascade giving rise to VSM
cell contraction following G-protein coupled receptor adrenergic
stimulation\cite{Lee2001}---where
blocking NCX reversal causes attenuation and elimination
of ${\rm Ca}^{2+}$ oscillations due to impairment of SR refilling; replacement
of $[{\rm Ca}^{2+}]_{\rm i}$ oscillations with a tonic ${\rm Ca}^{2+}$ signal causes a dramatic
decrease in smooth muscle\ force development\cite{Syyong2009};
in pulmonary artery SM, upregulation of the NCX and ${\rm Ca}^{2+}$ entry via
reverse NCX action is considered one of the mechanisms behind elevated
$[{\rm Ca}^{2+}]$ in idiopathic pulmonary arterial hypertension
patients\cite{Zhang2007b};
\textbf{2)}
Receptor activated ${\rm Na}^{+}$ entry may also
induce NCX reversal in endothelial cells (EC) and
this, in turn, gives rise to selective ${\rm Ca}^{2+}$-stimulated eNOS activity and NO
production; eNOS derived NO is an important physiological vasodilator
agent and is accepted as an independent marker of vascular
health\cite{Teubl1999,Szewczyk2007}; in EC NCX operating
in forward mode is also important in regulating both $[{\rm Ca}^{2+}]_{\rm i}$ and
$[{\rm Ca}^{2+}]_{\rm SR}$; this suggests that local $[{\rm Na}^{+}]_{\rm i}$,
besides the cell membrane potential and the equilibrium potential of the
NCX,
have a role in the regulation of forward NCX
too\cite{Nazer1998a,Blaustein1999};
\textbf{3)} In nerve terminals, a transient $[{\rm Na}^{+}]$ increase linked to a
tetanic pulse of the action potential can reverse the NCX to induce
presynaptic potentiation; this observation implies
a role for the NCX in synaptic
facilitation and has consequences for short
term memory from reverse NCX malfunction\cite{Zhong2001,Poburko2008};
\textbf{4)} In skeletal
muscle NCX plays an important role in ${\rm Ca}^{2+}$ homeostasis,
operating in forward as well as reverse mode in that function;
${\rm Na}^{+}$/${\rm Ca}^{2+}$ exchange is involved in the control of muscle fatigue
and there are
reports supporting the notion that
the beneficial role of external ${\rm Ca}^{2+}$ in protecting
slow-contracting soleus muscle against high-frequency fatigue
depends mostly on ${\rm Ca}^{2+}$ influx through
reversal of the NCX\cite{Germinario2008}; \textbf{5)} although the role of
NCX in heart
is still poorly understood, both its ${\rm Ca}^{2+}$-efflux and influx modes are
observed in cardiac myocytes and and the latter is likely a consequence of
subplasmalemmal ${\rm Na}^{+}$ elevations\cite{Levesque1991}.
All of the above emphasize that modulation of ${\rm Ca}^{2+}$ signaling via ${\rm Na}^{+}$
and ${\rm Na}^{+}$/${\rm Ca}^{2+}$ exchange is of great clinical relevance in areas such
as hypertension, chronic heart failure and possibly
cerebral and skeletal muscle malfunction.
This study sheds new light on
a few new scientifically interesting key factors regarding the
``workings'' of intracellular signalling
nanospaces. We investigate the role, and importance, of
having a confining surface, namely another lipid membrane, facing the
membrane where the source and target transporters belong. This emerges
as an important feature of nanodomains, as previous observations had
hinted\cite{Lee2005a,Fameli2007},
but it would appear that it alone cannot be entirely responsible for
the generation of a sufficiently large local $[{\rm Na}^{+}]$ transient elevations.
We find that to understand how
sufficient $[{\rm Na}^{+}]$ can be built up within the nanodomain to trigger
NCX reversal and
${\rm Ca}^{2+}$ signalling downstream, it is important to
account for other factors such as the role of physical obstructions to ${\rm Na}^{+}$
diffusion and the possible organization of these obstructions.
\vspace{5mm}
\begin{table}
\begin{center}
\begin{tabular}{rlll} \hline\hline
System & NCX mode/function & Function & References\\\hline
VSM & rev/SR refilling & blood flow & \cite{Lee2001}\\
& during ACaW & & \\
PASM & rev/NCX upregulation & blood flow & \cite{Zhang2007b}\\
EC & rev and fwd/eNOS activity & NO
production regulation & \cite{Teubl1999}\\
nerve & rev/tetanic pulse & short memory &
\cite{Zhong2001,Poburko2008}\\
& of action potential & & \\
skeletal muscle & rev/${\rm Ca}^{2+}$ influx & muscle fatigue &
\cite{Germinario2008}\\
\hline\hline
\end{tabular}
\caption{Sampling of systems in which NCX modes are linked to
pathologies. Legend: rev=reverse mode (${\rm Ca}^{2+}$ influx); fwd=forward mode
(${\rm Ca}^{2+}$ efflux); ACaW=Asynchronous ${\rm Ca}^{2+}$ waves;
PASM=pulmonary artery smooth muscle; EC=endothelial
cells.}\label{NCX_patho_list}
\end{center}
\end{table}
\section{Methods}
\subsection{Electron microscopy}\label{TEMmethods}
Details of the electron microscopy have been described
previously\cite{kuo2001}.
The primary fixative solution contained 1.5\%
glutaraldehyde, 1.5\% paraformaldehyde and 1\% tannic acid in 0.1~M
sodium cacodylate buffer that was pre-warmed to the same temperature
as the experimental buffer solution (37~$^{\circ}$C). The rings of
rabbit IVC were fixed at 37~$^{\circ}$C for 10 minutes, then
dissected into small blocks, approximately
1~mm$\times$0.5~mm$\times$0.2~mm in size and put in the same fixative
for 2 h at 4~$^{\circ}$C on a shaker. The blocks were then washed
three times in 0.1~M sodium cacodylate (30 min). In the process of
secondary fixation, the blocks were post-fixed with 1\% OsO4 in 0.1~M
sodium cacodylate buffer for 1 h followed by three washes with
distilled water (30 min). The blocks were then further treated with
1\% uranyl acetate for 1 h ({\it en bloc} staining) followed by three
washes with distilled water. Increasing concentrations of ethanol
(25, 50, 70, 80, 90 and 95\%) were used (10 min each) in the process
of
gradient dehydration. 100\% ethanol and propylene oxide were used
(three 10 min washes each) for the final process of dehydration. The
blocks were infiltrated in the resin (TAAB 812)
and then embedded in molds and polymerized in an oven at
60~$^{\circ}$C for 8 h. The embedded blocks were sectioned on
a microtome using a diamond knife at the thickness of 80~nm. The
sections were then stained with 1\% uranyl acetate and
Reynolds lead citrate for 4 and 3 min, respectively. Images were
obtained with a Phillips 300 electron microscope at 80~kV.
\subsection{Simulations}
Simulations of ${\rm Na}^{+}$ diffusive motion from a source transporter are
based on an implementation of a
Monte Carlo random walk (RW), along the lines of methodology
previously employed for ${\rm Ca}^{2+}$ transport simulations\cite{Fameli2007}.
The model nanospace in which the simulations of ${\rm Na}^{+}$ diffusion take
place arises from observed physical features and properties
of the essential elements for nanodomain signalling. These are
either obtained from our laboratory's studies or from the available
literature\cite{Lee2002b} and they
are essentially the TRPC6 cytosolic `radius' and $V_{\rm
max}$\cite{Dietrich2007b}, the
typical dimensions of intracellular nanospace ultrastructure, estimates
on the number of pillars, ${\rm Na}^{+}$ diffusivity in cytosol,
expected $[{\rm Na}^{+}]$ necessary for NCX reversal (see section
\ref{foundation})
and during localized ${\rm Na}^{+}$ transients (LNats) observed in \cite{Poburko2007}.
Fig. \ref{barebox} is a to-scale representation of the geometry of the
model nanospace used in the simulations.
\begin{figure}[tb]\centering
\includegraphics[scale=.4]{barebox.eps}
\caption{To-scale model nanospace used in the simulations. The
separation between the two surfaces (cyan and blue) is 20 nm.}
\label{barebox}
\end{figure}
In the simulations, particles representing ${\rm Na}^{+}$ performs a RW
on a cubic lattice with spacing $s=0.2$ nm; initially picked as an
approximation
to the expected ${\rm Na}^{+}$ mean free path in water (in turn, as an estimate to
the mean free path in cytosol), we also carried out tests for effects of
varying this parameter in a previous article
and revealed no substantial influence on the results\cite{Fameli2007}.
The RW time step $\tau$ was chosen by running several simulations letting
particles cover a predetermined straight line distance $d$, and recording
the number of RW steps $N$ taken to cover $d$.
From diffusion theory, the total time $t$
taken by a random walker in three dimensions
to cover the distance $d$ is $t=d^2/(6D_{\rm meas})$, where
$D_{\rm meas}$ is the measured diffusivity of ${\rm Na}^{+}$ in muscle
cytosol\cite{Kushmerick1969b}. The quantity $t/N$ was our
choice for $\tau$ and its value is $10^{-11}$ s.
The boundary conditions in our simulations are as follows.
At the PM and SR membranes we implemented reflecting conditions:
ions arriving at one of those surfaces during
their RW are reflected back into the nanospace.
At the edges of the model nanospace conditions are perfectly
absorbing: ions reaching the lateral boundary of the junction are
considered absorbed by the cytosol external to the nanospace,
lost from the junctional population and no longer contributing
to the PM-SR nanospace concentration, $[{\rm Na}^{+}]_{\rm ns}$.
As explained later, we also positioned a number of obstacles (we refer
to them as pillars) to ${\rm Na}^{+}$ motion
spanning the distance between the membrane in the nanospace.
Pillars behave like elastic scatterers for ${\rm Na}^{+}$.
Simulation code is written and tested in the C programming language
on a computer running a Linux operating system.
After testing and troubleshooting, programs are recompiled and
run in one of the WestGrid computing nodes\cite{wg}.
The pseudo-random number generator we used is the algorithm
\texttt{gsl\_rng\_m19937} of the GNU Scientific Library\cite{gsl,gsl_URL},
since it has sufficient randomness
and quality requirements for our purposes.
The plots with
simulation results were produced using the ``freely distributed plotting
utility'' \texttt{gnuplot}\cite{gnuplot}.
\section{Results}
\subsection{Model foundation}\label{foundation}
This laboratory has previously experimentally
established that a $[{\rm Na}^{+}]$ transient from a NSCC enabled the generation
within a PM-SR junctional nanospace of a sufficiently high $[{\rm Na}^{+}]$
gradient to cause NCX reversal\cite{Lee2001}.
A quantitative estimate of the level of
such burst can be obtained by comparing the equilibrium potential of
the NCX, $E_{\rm NCX}$, with the membrane potential, $V_{\rm M}$, using
typical values for vascular smooth muscle cells. These quantities are linked by the
equation $E_{\rm NCX}=V_{\rm M}$ (where $E_{\rm NCX}=
3E_{\rm Na}-2E_{\rm Ca}$)
between the electrochemical potential of ${\rm Na}^{+}$ ($E_{\rm Na}$),
of ${\rm Ca}^{2+}$ ($E_{\rm Ca}$) and the membrane potential ($V_{\rm
M}$)\cite{Blaustein1999}.
(In general, $E_{\rm
C^{z+}}=RT/({\rm z}F)\,{\rm ln}([C^{\rm z+}]_{\rm out}/[C^{\rm
z+}]_{\rm in})$, where $R$ is the universal gas constant, $T$ the
absolute temperature, ${\rm C}^{\rm z+}$ is a $z$-valent cation, and
$F$ is Faraday's constant.)
NCX reversal occurs when $E_{\rm NCX}< V_{\rm
M}$. We can study this inequality for both resting and activated cell
conditions by a plot like the one in Fig. \ref{Encx-Vm}.
Using for an activated cell $V_{\rm M}=-20$ mV,
$[{\rm Na}^{+}]_{\rm o}=140$ mM, $[{\rm Ca}^{2+}]_{\rm i}=10\mu{\rm m}$, $[{\rm Ca}^{2+}]_{\rm o}=2$ mM,
$R=8.3$~J/(mol K), $T=310$~K, and $F=9.65\times 10^4$~J/(V mol),
we observe that, during activation,
a $[{\rm Na}^{+}]$ transient of the order of 30 mM or
greater is necessary to cause NCX reversal.
In this exercise, we have used
an estimated value for $[{\rm Ca}^{2+}]_{\rm i}=10\mu{\rm m}$, as that is approximately
the lowest value $[{\rm Ca}^{2+}]_{\rm i}$ we expect from observations cited
earlier\cite{Fameli2007}.
\begin{figure}[tb]\centering
\includegraphics[scale=.4, angle=-90]{E_ncx_3.eps}
\caption{Equilibrium NCX potential in the case of a resting (red curve)
or activated (green) smooth muscle cell\ compared with the corresponding membrane
potential, V$_{\rm M}$.}
\label{Encx-Vm}
\end{figure}
Now, equipped with \textbf{(a)} the
fundamental observation of localized $[{\rm Na}^{+}]$ elevation transients in full
agreement with the values suggested by the study of Fig.
\ref{Encx-Vm}\cite{Poburko2007},
\textbf{(b)} better
knowledge of
the identity of NSCC as TRPC6\cite{Poburko2007,Lemos2007},
\textbf{(c)} the basic idea
that the presence of intracellular nanospaces
is necessary for this signalplex to be
complete, we propose a model to investigate the role of strategic placement of
transporters with respect to each other, as well as of a
confining membrane and other ionic diffusion limiting structures
in the generation within these nanospaces of sufficiently high
$[{\rm Na}^{+}]_{\rm ns}$ to permit NCX reversal.
The model nanospace used for the study is illustrated in Fig.
\ref{barebox}. The dimensions expressed therein are based on high
quality EM images showing that the PM-SR separation in these nanospaces
is remarkably uniform and about 20 nm. Lateral extension of these
closely apposed PM-SR regions is approximately 400 nm (see
\cite{Fameli2007}).
\subsection{Random walk simulations: bare PM-SR nanospace}
The simplest model nanodomain we studied consists
of a shallow cylinder-shaped volume of height $h=20\;{\rm nm}$ and
radius $R=200\;{\rm nm}$, as in Fig. \ref{barebox}. ${\rm Na}^{+}$ entering the
nanodomain via an NSCC are represented
as particles doing a RW based on a given diffusivity $D=600\mu{\rm m}^2/s$,
corresponding to that of ${\rm Na}^{+}$ in muscle cytoplasm as reported in
\cite{Kushmerick1969b}.
For simplicity, there is only one ${\rm Na}^{+}$ source
positioned at the centre of the PM side of the nanospace (in section
\ref{discussion} we will
elaborate further on the issue of the number of ${\rm Na}^{+}$ sources).
The simulation programs output the computed $[{\rm Na}^{+}]_{\rm ns}$ rise above
resting level as a function of
time, thereby giving an average $[{\rm Na}^{+}]$ increase in the nanospace.
(From now on $[{\rm Na}^{+}]_{\rm ns}$ denotes the increase in cytoplasmic ${\rm Na}^{+}$
concentration in the nanodomain between PM and SR.)
Results from this set of simulations are
shown in Fig. \ref{Na_vs_tr_bare}, left
panel.
\begin{figure}[tb]\centering
\includegraphics[scale=.55, angle=-90]{Na_vs_tr_bare.eps}
\caption{Left panel: $[{\rm Na}^{+}]_{\rm ns}$ vs t for simplest form of nanospace as
in Fig. \ref{barebox}; right panel: $[{\rm Na}^{+}]_{\rm ns}$ vs distance from ${\rm Na}^{+}$
source placed at the centre of the PM side of the nanospace.
}\label{Na_vs_tr_bare}
\end{figure}
This plot helps
establish the time scale after which we can consider that the $[{\rm Na}^{+}]$ has
reached a steady-state level. We can observe from the graph that after
approximately 100 $\mu{\rm s}$ the concentration has reached a plateau after
having increased from zero during an initial transient, as we have explained in
the previous section.
Having established a time scale for the formation of the approximately
maximum level of $[{\rm Na}^{+}]_{\rm ns}$, we compute and study the
concentration profile inside the junction, by plotting $[{\rm Na}^{+}]_{\rm ns}$ as a
function of the distance from the ${\rm Na}^{+}$ source.
The graph in the right panel of
Fig. \ref{Na_vs_tr_bare} illustrates a representative
result.
\subsection{Random walk simulations: randomly distributed obstacles in
the nanospace}
Evidently, this
simplest incarnation of the model is inadequate to describe the
generation of ${\rm Na}^{+}$ transients of the observed size\cite{Poburko2007},
since at steady state elevation of
$[{\rm Na}^{+}]_{\rm ns}$ hovers around $2\times10^{-5}$ M or about three orders of
magnitude less than the observed values of 15--20 mM.
We need to consider other
nanospace features emerging from our ultrastructural images that may be
responsible for a larger increase in the $[{\rm Na}^{+}]_{\rm ns}$. Barring
artificially changing
the value of ${\rm Na}^{+}$ diffusivity, $[{\rm Na}^{+}]_{\rm ns}$ can be ``forced'' to increase if
the ions were able to dwell longer in the nanospace than they are in
the simple version of the system analyzed so far.
There is convincing evidence suggesting the existence of structures
spanning the width of the nanospace and which could constitute an
impediment to the free diffusion of ${\rm Na}^{+}$\cite{Poburko2008,Devine1972}.
Our own observations confirm the
existence of
electron opaque ``pillars'' in transmission
electron microscopy images like the one in Fig. \ref{pillars}. The size and
abundance of these electron opaque structures compares well with the
electron dense ``bridges'' observed by Devine and collaborators in the early
`70s\cite{Devine1972}.
\begin{figure}[tb]\centering
\includegraphics[scale=.4]{junction-2.eps}
\caption{Transmission electron microscopy image showing nanospace
bridging electron opaque structures (white circles). Tissue: rabbit inferior
vena cava. SR=sarcoplasmic reticulum; PM=plasma membrane;
ECS=extracellular space.}
\label{pillars}
\end{figure}
Keeping the overall geometry of the model nanospace the same (Fig.
\ref{barebox}), we have therefore implemented a number of junction
spanning structures in the form of cylindrical pillars, having
estimated their size from several images like the one in Fig.
\ref{pillars}. From those same images it is possible to approximate the
percentage junctional volume occupied by those structures and, in turn,
an approximate number of them expected per nanospace. In a series of
simulations, we have
represented up to 200 pillars randomly distributed within the
nanospace (Fig. \ref{200_p_box}),
and then simulated the ${\rm Na}^{+}$ diffusion by a random walk
within the pillar-populated nanospace.
\begin{figure}[tb]\centering
\includegraphics[scale=.4, angle=-90]{200_p_box.eps}
\caption{To-scale model nanospace including about 200 10-nm radius
randomly placed
cylindrical pillars spanning the distance between the two surfaces.}
\label{200_p_box}
\end{figure}
In this case too,
we let the simulations run for a
time sufficiently long to ensure that a steady-state level for the
$[{\rm Na}^{+}]_{\rm ns}$ was established.
Results are reported in Fig. \ref{Na_vs_tr_pil}.
In all simulations involving random positioning of pillars,
to minimize bias from the particular random pillar distribution,
we have take average values of the
computed $[{\rm Na}^{+}]$ over 10 different random pillar distributions. These
are the values plotted in the graphs we present in this article.
\begin{figure}[tb]\centering
\includegraphics[scale=.55, angle=-90]{Na_vs_tr_pil.eps}
\caption{$[{\rm Na}^{+}]_{\rm ns}$ within a model nanospace containing a number of
pillars occupying about 30\% of the volume, as in Fig. \ref{200_p_box}.
Left panel: computed $[{\rm Na}^{+}]_{\rm ns}$ as a function of time; the values of
$[{\rm Na}^{+}]$ in this graph are an average across the entire nanospace.
Right panel: concentration profile within nanospace. The red curve and
dots are the same data displayed in Fig. \ref{Na_vs_tr_bare}.}
\label{Na_vs_tr_pil}
\end{figure}
The results of this series of simulations
indicate that having some form of
impediment to ionic motion in the junction does produce the effect of
increasing the $[{\rm Na}^{+}]_{\rm ns}$ and of changing its profile to one that decays
more slowly with distance from the ${\rm Na}^{+}$ source. We
ensured that this effect was not
simply a consequence of the decreased nanospace
volume due to the presence of the pillars by plotting the steady-state
$[{\rm Na}^{+}]$ computed with different numbers of pillars in the junction
(blue dots in Fig. \ref{pillar_effect}) and comparing it with an
increase in $[{\rm Na}^{+}]$ merely due to reducing the nanospace volume by the
volume of the pillars (red line in Fig. \ref{pillar_effect}).
The plot in Fig.
\ref{pillar_effect} demonstrates that ion collisions with
pillars do indeed have a
role in forcing ${\rm Na}^{+}$ to dwell longer in the nanospace.
\begin{figure}[tb]\centering
\includegraphics[scale=.4, angle=-90]{pil_effect_comp.eps}
\caption{Comparison of steady-state ${\rm Na}^{+}$ calculated only accounting
for the volume effect of pillars in the nanospace (red line) and
computed from the simulations (blue dots).}
\label{pillar_effect}
\end{figure}
\subsection{Random walk simulations: non-randomly distributed obstacles}
Clearly, the presence of obstacles to diffusion has an effect of
increasing $[{\rm Na}^{+}]_{\rm ns}$, however the values we obtain this way are not yet
comparable with those measured during the local $[{\rm Na}^{+}]$ elevation
transients. Other
junctional features need to be accounted for in order to understand the
mechanism giving rise to such high ${\rm Na}^{+}$ transients necessary to
reverse the NCX and observed
by Poburko and coworkers\cite{Poburko2007}.
We considered the hypothesis that nature might place these obstacles
``strategically'' rather than randomly, in a neighbourhood of a ${\rm Na}^{+}$
source, so as to favour the generation of the gradients needed to drive
the signalling chain. The rationale is that while a random set of
pillars does show an ability to retain ions in the nanospace longer and
therefore allow higher concentration build up, it does not do it
efficiently enough to quantitatively account for the observed $[{\rm Na}^{+}]_{\rm ns}$
transients. We then ran some simulations in which pillars are placed in
a circle around a ${\rm Na}^{+}$ source in such a way that we can control the
porosity of this pillar fence to the passage of random walking ions.
(Imagining to stand where the ${\rm Na}^{+}$ source is, the circle of pillars
would appear as a 20-nm-high set of slabs surrounding the source
itself, with thin rectangular gaps between the slabs; with
this in mind, porosity is defined as the ratio of the entire surface
area of the gaps
to that of the slabs plus gaps.)
The configuration of our model nanospace in this case is shown
in Fig. \ref{circle_14}, as a two dimensional $x$,$y$-projection.
\begin{figure}[tb]\centering
\includegraphics[scale=.45, angle=-90]{circle_14.eps}
\caption{To-scale $x$,$y$-projection of model nanospace including
14 10-nm-radius
cylindrical pillars positioned in a 5-nm-radius
ring around a ${\rm Na}^{+}$ source in the
centre, thereby giving a 1\% porosity for ion passage.}
\label{circle_14}
\end{figure}
Representative results from these simulations are reported in Fig.
\ref{Na_vs_tr_cop}.
\begin{figure}[tb]\centering
\includegraphics[scale=.55, angle=-90]{Na_vs_tr_cop.eps}
\caption{
$[{\rm Na}^{+}]_{\rm ns}$ within a model nanospace containing 14
pillars ``strategically'' positioned around a ${\rm Na}^{+}$ source at the
centre and making a 1\% porous fence, as in Fig \ref{circle_14}.
Left panel: computed $[{\rm Na}^{+}]_{\rm ns}$ as a function of time.
Right panel: concentration profile within nanospace at $t=0.0003$ s.
The red and the grey curves and dots refer to data displayed in Fig.
\ref{Na_vs_tr_bare} and \ref{Na_vs_tr_pil}.
}
\label{Na_vs_tr_cop}
\end{figure}
The dramatic increase in the $[{\rm Na}^{+}]_{\rm ns}$ in the vicinity of the source
caused by this type of obstacle configuration is immediately evident.
$[{\rm Na}^{+}]_{\rm ns}$ is in this case of the same order of magnitude as the
observed localized
$[{\rm Na}^{+}]$ transient elevation phenomenon\cite{Poburko2007}. Note
furthermore that in this configuration the model suggests that the time
for the $[{\rm Na}^{+}]_{\rm ns}$ to reach steady-state is much longer than in the
case of random distribution of pillars. The more scattered data in the
plot of the right panel in Fig. \ref{Na_vs_tr_cop} are due to the fact
that the system in this case has yet to reach equilibrium.
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 7,978 |
deb (сокр. от Debian) — расширение имён файлов «бинарных» пакетов для распространения и установки программного обеспечения в операционной системе проекта Debian и других, использующих систему управления пакетами dpkg.
deb-old
Изначальный («старый») формат, обозначаемый в документации как deb-old, использовался до версии Debian 0.93. Его устройство следующее: две строки ASCII-текста, за которыми следуют два сцепленных архива формата tar.gz. Первая строка содержит номер версии формата, дополненный до 8 цифр (0,939000 для всех старых форматов). Вторая строка содержит десятичную строку (без начальных нулей), определяющую длину первого архива формата tar.gz. Каждая из этих строк завершается одним символом новой строки.
Современный формат
Начиная с Debian версии 0.93 deb-файл представляет собой архив формата ar.
Обычно архив содержит 3 файла в нижеприведенной последовательности:
debian-binary — текстовый файл, содержащий версию формата deb-пакета (современный формат — версия 2.0);
control.tar — tar-архив, содержащий информацию и скрипты установки пакета, может быть сжат с помощью gzip или xz, тип архива отображается в имени файла (к примеру control.tar.gz).
data.tar — tar-архив, содержащий дерево устанавливаемых файлов пакета, может быть сжат с помощью gzip, bzip2, lzma или xz, тип архива отображается в имени файла (к примеру data.tar.gz).
Архив control.tar содержит информацию о поставляемом в данном пакете программном обеспечении:
control — содержит краткую информацию о пакете программного обеспечения: наименование, версия, описание, целевая архитектура, зависимости от других пакетов и так далее;
md5sums — cодержит MD5-суммы всех устанавливаемых файлов;
conffiles — список файлов пакета, являющихся конфигурационными, при обновлении файлы из этого списка не перезаписываются новыми, если это не указано отдельно;
preinst, postinst, prerm, postrm — необязательные сценарии оболочки, выполняемые соответственно до и после установки или удаления пакета;
config — сценарий для debconf — механизма конфигурации;
shlibs — список разделяемых библиотек пакета.
Архив data.tar содержит устанавливаемые файлы пакета и при установке разворачивается в систему относительно её корня.
Репозитории
Основной вид распространения deb-пакетов — репозитории. Для описания репозитория обычно используется строчка:
deb http://ftp.debian.org/debian squeeze main contrib non-free
deb — указание типа репозитория
http://ftp.**** — URI корня репозитория. Может использоваться http:// ftp:// file:// и некоторые другие схемы.
squeeze — distribution part. Версия операционной системы.
main contrib *** *** — component — Компоненты операционной системы (в основном различающиеся свободой).
Репозиторий, размещенный в сетевых хранилищах, обычно объединяет несколько distribution part с общим хранением пакетов. структура обычно такова.
/pool/ — структуированное по имени хранилище скомпилированных пакетов и исходных текстов программ.
/dists/ — списки пакетов, входящие в определённый distribution part.
Программное обеспечение
Стандартная программа для управления этими пакетами — dpkg, часто используемая с помощью apt и aptitude.
Deb-пакеты могут быть преобразованы в пакеты других форматов, и наоборот, например, программа alien преобразует RPM-пакеты в формат deb и обратно.
Создание пакетов
Создают пакеты deb обычно с помощью утилит dpkg — в частности, dpkg-buildpackage. Основы создания пакетов описаны в «Руководстве нового сопровождающего Debian» и «Справочнике разработчика Debian».
Совсем простые, но малопригодные для серьёзного сопровождения пакеты можно создавать с помощью программы CheckInstall.
Debhelper — коллекция небольших программ, которые могут быть использованы в файлах debian/rules (наборах инструкций для сборки deb-пакета). Создана Джо Хессом с целью предоставить создателям пакетов Debian возможность писать структурно более простые debian/rules-файлы и повторно использовать готовые стабильные и удобные решения для многих подзадач сборки пакетов. По состоянию на конец 2010-х годов содержит более 60 небольших программ.
Часто вместе с программами debhelper используют написанную Крейгом Смоллом утилиту dh_make (не являющуюся его частью), которая копирует шаблоны всех файлов, необходимых для постройки deb-пакета из исходного кода программы. Эти шаблоны могут включать информацию, которую предоставил пользователь, и краткую информацию о том, как строится программа из исходного кода. После запуска dh_make, как правило, всё равно необходимо отредактировать большинство файлов шаблонов для того, чтобы построить deb-пакет.
Система CDBS — набор make-правил, использующий debhelper и позволяющий пользователям писать ещё более короткие файлы сборки deb-пакетов.
udeb
Проект debian-installer ввёл формат udeb («µdeb», «микро-deb»), который идентичен формату deb, но не полностью следует политике Debian, в частности, не содержит документации и должен использоваться только инсталлятором Debian (Debian-Installer), который является новым установщиком Debian, разработанным для Debian Sarge. Программа udpkg, используемая для работы с такими микропакетами, имеет ограниченные возможности по сравнению с dpkg, в частности, по связям пакетов. Причиной возникновения такого формата — недовольство ядра сообщества Debian наличием пакетов, не отвечающим политике дистрибутива, поэтому для них было выбрано другое имя, чтобы подчеркнуть это и не допустить их непреднамеренную установку на рабочую систему.
Именование пакетов
Структура имени пакетов такова: имя-дополнение-версия_архитектура.deb
Имя пакета;
Если данный пакет содержит:
заголовочные и другие файлы для разработчиков → «-dev»;
отладочную информацию → «-dbg»;
файлы документации → «-doc»;
исполняемые файлы (обычно идущие с библиотеками) → «-bin»;
«-» и версия пакета
После основной версии может стоять номер ревизии пакета в виде «-1», «-2»…
Если изменения касаются только соответствия критериям Debian по определению свободного ПО, то «.dfsg-1», «.dfsg-2»…
Для обновлений безопасности внутри стабильной ветки Debian добавляется «etch2», «lenny1»…
Если пакет загружен в репозиторий не одним из основных мейнтейнеров (), то добавляется «+1», «+2»…
«_» и архитектура: «_i386», «_amd64», «_all»…
Примечания
Ссылки
Форматы файлов
Debian
Форматы архивов | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 932 |
Q: I am using a picture to cover a full size of screen, but its not covering, vertical scroll bar is showing, horizontal scroll bar not I don't need scroll-bar. How to remove scroll bar from the display?
<!DOCTYPE html>
<html>
<style>
body{
background-position: center;
background-repeat: no-repeat;
background-size: cover;
}
</style>
<body>
<img src="flamingo.JPG" usemap="#flamingo-map" />
</body>
</html>
A: Use the following CSS that will help you, put image path in background-image property. Following code will help you.
<style>
body{
background-image:url('flamingo.JPG');
background-position: center;
background-repeat: no-repeat;
background-size: cover;
}
<style>
<body>
</body>
A: If u need an image as a featured image then u use this code. If u need an image as a background then use the previous answer. Hope this code will useful for u.
<!DOCTYPE html>
<html>
<head>
<title></title>
<style>
.image{
width: 100vw;
height: 100vh;
overflow: hidden;
}
img{
max-width: 100%;
max-height: 100%;
min-width: 100%;
}
</style>
</head>
<body class="image">
<img src="path">
</body>
</html>
A:
body {
background-position: center;
background-repeat: no-repeat;
background-size: cover;
background-image: url(https://i.pinimg.com/originals/be/26/a5/be26a57beb694df3cb91916cafb2d3b1.jpg);
overflow: hidden;
}
.img{ max-width: 100%;
max-height: 100%;
min-width: 100%;
object-fit: cover;
}
<body>
<img class="img" src="https://i.pinimg.com/originals/be/26/a5/be26a57beb694df3cb91916cafb2d3b1.jpg" usemap="#flamingo-map" />
</body>
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 101 |
La Organización Internacional para el Libro Juvenil, (en inglés:IBBY o International Board on Books for Young People) es un colectivo internacional de asociaciones y personas interesadas en fomentar la lectura entre los niños y jóvenes. Se fundó en Zúrich en 1953 y hoy tiene su sede en Basilea. En la actualidad cuenta con más de sesenta secciones nacionales, aunque de muy diversa entidad.
Cada dos años la organización publica la Lista de Honor IBBY, selección de libros sobresalientes que se hayan publicado en ese periodo en los países miembros; las secciones nacionales nominan a esta lista un libro de las tres categorías existentes: Autores, Ilustradores, Traductores (los países con una producción importante y continua de libros para niños en más de un idioma pueden proponer hasta tres libros en las categorías primera y tercera en cada idioma oficial).
Congresos internacionales
1998 Nueva Delhi
2000 Cartagena de Indias
2002 Basilea
2004 Ciudad del Cabo
2006 Macau, China
2008 Copenhague
2010 Santiago de Compostela
2012 Londres
2014 Ciudad de México
2016 Auckland
2018 Estambul
2020 Moscú
Secciones nacionales de lengua española
ALIJA: la sección argentina es Asociación del Libro Infantil y Juvenil de la Argentina.
IBBY Chile: la sección chilena, fundada en 1964 por Marcela Paz, la creadora del personaje Papelucho.
Fundalectura: La sección colombiana es Fundación para el fomento de la lectura, creada en 1990 por una serie de instituciones privadas.
La sección de Cuba cuenta con la presidencia de Emilia Gallego.
Girándula: la sección de Ecuador es Asociación ecuatoriana del libro infantil y juvenil), presidida por Leonor Bravo Velásquez.
OEPLI: la sección española es la Organización Española Para el Libro Infantil y juvenil, creada en 1982 a partir de la antigua Comisión de Literatura Infantil del INLE (Instituto Nacional del Libro Español). Junto con el Ministerio de Cultura, entrega el premio Lazarillo de ilustración y de creación literaria.
IBBY México: sección mexicana es la Asociación Mexicana para el Fomento del Libro Infantil y Juvenil, fue fundada en 1979, su presidente actual es Bruno Newman
CEDILI: en el Perú la sección correspondiente es el Centro de Documentación e Información de Literatura Infantil, presidido por Teresa Falcón de Paz López.
Referencias
Enlaces externos
IBBY
ALIJA
CEDILI
Fundación Leer
IBBY Chile
OEPLI
IBBY México
Literatura infantil
Literatura juvenil | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 6,373 |
package com.after_sunrise.oss.otdb.je.binding;
import static org.junit.Assert.assertEquals;
import java.math.BigDecimal;
import java.util.ArrayList;
import java.util.List;
import org.junit.Test;
import com.sleepycat.bind.tuple.TupleInput;
import com.sleepycat.bind.tuple.TupleOutput;
/**
* @author takanori.takase
*/
public class TupleBindingUtilsTest {
@Test
public void testLargeScale() {
// scale 16
BigDecimal value = new BigDecimal("+0.1234567890123456");
// Write
TupleOutput out = new TupleOutput();
TupleBindingUtils.write(out, value);
byte[] bytes = out.toByteArray();
// Read
TupleInput in = new TupleInput(bytes);
BigDecimal result = TupleBindingUtils.read(in);
assertEquals(value, result);
assertEquals(10, bytes.length);
}
@Test
public void testLargeValue() {
// Long.MAX_VALUE (9223372036854775807) + 1L
BigDecimal value = new BigDecimal("9223372036854775808");
// Write
TupleOutput out = new TupleOutput();
TupleBindingUtils.write(out, value);
byte[] bytes = out.toByteArray();
// Read
TupleInput in = new TupleInput(bytes);
BigDecimal result = TupleBindingUtils.read(in);
assertEquals(value, result);
assertEquals(12, bytes.length);
}
@Test
public void testLargeValue2() {
// Long.MIN_VALUE == Long.MAX_VALUE + 1 * -1
BigDecimal value = new BigDecimal(Long.MIN_VALUE);
// Write
TupleOutput out = new TupleOutput();
TupleBindingUtils.write(out, value);
byte[] bytes = out.toByteArray();
// Read
TupleInput in = new TupleInput(bytes);
BigDecimal result = TupleBindingUtils.read(in);
assertEquals(value, result);
assertEquals(11, bytes.length);
}
@Test
public void testLargeScaledValue() {
// Long.MAX_VALUE (9223372036854775807) + 1L with scale 16
BigDecimal value = new BigDecimal(
"9223372036854775808.1234567890123456");
// Write
TupleOutput out = new TupleOutput();
TupleBindingUtils.write(out, value);
byte[] bytes = out.toByteArray();
// Read
TupleInput in = new TupleInput(bytes);
BigDecimal result = TupleBindingUtils.read(in);
assertEquals(value, result);
assertEquals(18, bytes.length);
}
@Test
public void testSingleByte() {
List<BigDecimal> list = new ArrayList<>();
list.add(new BigDecimal(Byte.MAX_VALUE));
list.add(new BigDecimal("1"));
list.add(new BigDecimal("0"));
list.add(new BigDecimal("-1"));
list.add(new BigDecimal("-7"));
for (BigDecimal value : list) {
// Write
TupleOutput out = new TupleOutput();
TupleBindingUtils.write(out, value);
byte[] bytes = out.toByteArray();
// Read
TupleInput in = new TupleInput(bytes);
BigDecimal result = TupleBindingUtils.read(in);
assertEquals(value, result);
assertEquals(value.toPlainString(), 1, bytes.length);
}
}
@Test
public void testDoubleByte() {
List<BigDecimal> list = new ArrayList<>();
list.add(new BigDecimal("-8"));
list.add(new BigDecimal(Byte.MIN_VALUE));
list.add(new BigDecimal("0.0"));
list.add(new BigDecimal("+1.1"));
list.add(new BigDecimal("-1.2"));
list.add(new BigDecimal("+1.3"));
list.add(new BigDecimal("-7.4"));
list.add(new BigDecimal("1.27"));
list.add(new BigDecimal("12.7"));
list.add(new BigDecimal("0.0000127"));
for (BigDecimal value : list) {
// Write
TupleOutput out = new TupleOutput();
TupleBindingUtils.write(out, value);
byte[] bytes = out.toByteArray();
// Read
TupleInput in = new TupleInput(bytes);
BigDecimal result = TupleBindingUtils.read(in);
assertEquals(value, result);
assertEquals(value.toPlainString(), 2, bytes.length);
}
}
@Test
public void testTripleByte() {
List<BigDecimal> list = new ArrayList<>();
list.add(new BigDecimal("-129"));
list.add(new BigDecimal("+128"));
list.add(new BigDecimal(Short.MIN_VALUE));
list.add(new BigDecimal(Short.MAX_VALUE));
for (BigDecimal value : list) {
// Write
TupleOutput out = new TupleOutput();
TupleBindingUtils.write(out, value);
byte[] bytes = out.toByteArray();
// Read
TupleInput in = new TupleInput(bytes);
BigDecimal result = TupleBindingUtils.read(in);
assertEquals(value, result);
assertEquals(value.toPlainString(), 3, bytes.length);
}
}
@Test
public void testNumbers() {
List<BigDecimal> list = new ArrayList<>();
BigDecimal ones = BigDecimal.ONE;
for (int i = 1; i <= 20; i++) {
ones = ones.movePointLeft(1).add(BigDecimal.ONE);
// 1.111111...
list.add(ones);
// 0.00...01
list.add(BigDecimal.ONE.movePointLeft(i));
// 1.00...01
list.add(BigDecimal.ONE.movePointLeft(i).add(BigDecimal.ONE));
}
for (BigDecimal value : list) {
// Write
TupleOutput out = new TupleOutput();
TupleBindingUtils.write(out, value);
byte[] bytes = out.toByteArray();
// Read
TupleInput in = new TupleInput(bytes);
BigDecimal result = TupleBindingUtils.read(in);
assertEquals(value, result);
// System.out.println(value.toPlainString() + " : " + bytes.length);
}
}
} | {
"redpajama_set_name": "RedPajamaGithub"
} | 8,033 |
Edward James "Eddie" Griffin, Jr. (Kansas City, Misuri, EE. UU., 15 de julio de 1968) es un actor y comediante estadounidense. Es conocido por protagonizar la sitcom Malcolm & Eddie desde 1996 hasta 2000, además de participar en numerosas películas de comedia, destacándose entre ellas junto a Rob Schneider en Deuce Bigalow: Male Gigolo (1999) y Deuce Bigalow: European Gigolo (2005).
Filmografía
Cine
Televisión
Discografía
Álbum en vivo
Álbum de banda sonora
Apariciones en álbumes
Referencias
Enlaces externos
Eddie's Crash in the Enzo Ferrari
Howard Stern Radio Show, January 8, 2001
Official Website for Eddie Griffin
Actores de televisión de Estados Unidos
Nacidos en Kansas City (Misuri) | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 6,111 |
FBI seeks info in 2015 shooting death
Submitted Durwin Merrill Davis
Posted by Navajo Times | Jan 30, 2018 | News |
The FBI held a press conference Tuesday in an effort to gain leads to a murder that occurred on July 1, 2015, in Vanderwagen, south of Gallup.
Durwin Merrill Davis
The victim, 23-year-old Durwin Merrill Davis, was discovered outside a residence in Vanderwagen about midnight. He had been shot in the chest.
Frank Fisher, a public information officer for the Albuquerque FBI, said agents had followed through with a number of possible leads over the past two and a half years but none of them led to a viable suspect.
"Someone out there knows something," he said, which is why the FBI decided to try to jumpstart the investigation by holding a press conference – something they almost never do.
Fisher said the FBI is offering a reward of $1,000 to anyone who has information that leads to the arrest and conviction of the person or persons responsible.
Judy Pete, Davis' mother, made a personal plea at the press conference to anyone who may know who killed her son.
"I can't sleep. I can't eat," she said, breaking down in tears.
An FBI agent at the press conference said it appears that Davis was targeted by whoever shot him.
This is not gang related, he said, adding that the residence where he was killed was so remote that it couldn't have been a random killing.
To read the full article, pick up your copy of the Navajo Times at your nearest newsstand Thursday mornings!
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Navajo Times | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 6,009 |
A firefighter in Magalia, California attempts to contain the rapidly moving flames on November 9, 2018.
At least nine people are dead and thousands of homes have been destroyed in three dangerous wildfires which are burning across California.
The Camp Fire, in northern California, started Thursday morning, killing at least nine people and burning the entire 27,000-population town of Paradise.
Meanwhile, two smaller fires — The Woolsey and Hill Fires — also started on Thursday to the south, and are burning through parts of Ventura and the outskirts of Los Angeles, shutting down stretches of the freeway. Another small fire broke out on Friday morning inside the city limits of LA.
While so far there are no reported deaths or injuries from the southern California fires, at least 150 homes have been burned, according to southern California officials, with that number expected to rise.
Among those properties threatened are a number of celebrity homes, and A-listers were mong the 250,000 people in Ventura and LA countries who had already been evacuated as of Friday night.
Kim Kardashian-West was forced to flee her Hidden Hills property within one hour on Thursday night, according to People, after coming home to find that the wildfire in her neighborhood was burning out of control.
Jenner's home in Malibu hills has been completely destroyed by the flames, according to TMZ, but it was confirmed that the reality star had evacuated and was safe.
Kim's sister Kourtney lives in the area of Calabasas, and also chose to evacaute.
Smith took to his Instagram stories 14 hours ago to make a "daddy assessment" of the fire, but said he and his family had not yet been evacuated.
"We are prepared to evacuate as soon as we get the word," he said.
Iggy Azalea tweeted that she couldn't get home to any of her things at was "genuinely concerned" about her home burning down.
"The Office" star Rainn Wilson's home was evacauted due to nearby fires in Thousand Oaks, the same location as a fatal mass shooting on Wednesday.
He shared a tweet sending her prayers to the people Thousand Oaks. | {
"redpajama_set_name": "RedPajamaC4"
} | 9,097 |
Q: Defining a set by induction under ZFC The definition of a set by induction is used in first order logic to define a couple of sets and plenty other sets can be defined in this way, for example the set of all powers of 2.
Let $X$ be the smallest set such that
*
*$0 \in X$,
*if $x \in X$ then $2x \in X$.
This of course does not prove anything about the existence of the set $X$ and the only possible way I can see to assert the existence is to add an axiom that says so. But this feels unpleasant because is not ZFC anymore.
In general all the definitions i saw (logic and structure van dalen) match the following criteria
Let $X$ be the smallest set such that
*
*$x_0, x_1, \ldots \in X$
*If $A_0, A_1, \ldots, A_{k_1} \in X$ and $\phi_1(p_1, p_2, \ldots, p_{l_1})$ then $op_1(A_0, A_1, \ldots, A_{k_1}, p_1, p_2, \ldots, p_{l_1}) \in X$
*If $A_0, A_1, \ldots, A_{k_2} \in X$ and $\phi_2(p_1, p_2, \ldots, p_{l_2})$ then $op_2(A_0, A_1, \ldots, A_{k_2}, p_1, p_2, \ldots, p_{l_2}) \in X$
*$\vdots$
*If $A_0, A_1, \ldots, A_{k_m} \in X$ and $\phi_m(p_1, p_2, \ldots, p_{l_m})$ then $op_m(A_0, A_1, \ldots, A_{k_m}, p_1, p_2, \ldots, p_{l_1}) \in X$
where $op_i$ is not a function but a notation, like $n^+ := n \cup \{n\}$ used in the axiom of infinity, $\phi_i$ is a sentence and $k_i$, $i$ or any number is not a member of $\omega$ but the concept of number used informally like the one from the pairing axiom "for any two sets there exists ...".
In van dalen for example each one of these sets has a induction principle theorem and a primitive recursion theorem with a generalized proof, similar to what we have in $w$, in fact $w$ follows this criteria.
Is there a way to get around this under ZFC (in general) or am I missing something very simple?
EDIT
Another example
Let $[Int]$ be the smallest set such that
*
*$nil \in [Int]$
*For every $n \in \omega$ if some $x \in [Int]$ then $n :: x \in [Int]$
(Haskell like lists of integers)
[1, 2, 3] = 1 :: (2 :: (3 :: nil))
A: (I'm going to work with $1$ in place of $0$ here, since otherwise things are a bit trivial.)
There are various ways to approach this in $\mathsf{ZFC}$ (or similar).
I personally like a "from-above" definition - such definitions are extremely powerful, and - while less concrete - once understood are very easy to work with. First, recognizing that we're living in the context of the natural numbers, we introduce the operation $$f: \mathcal{P}(\omega)\rightarrow\mathcal{P}(\omega): A\mapsto A\cup \{1\}\cup\{2n: n\in A\}.$$ This $f$ can be produced by separation (+ powerset/infinity of course). Now say that a set $U\subseteq\omega$ is an $f$-fixed point if it satisfies $f(U)=U$. We can then consider the least fixed point of $f$, namely the set $$X=\bigcap_{f(U)=U}U=\{n: \forall U\subseteq\omega(f(U)=U\implies n\in U)\}.$$ Again, this exists via separation (and we can show that it satisfies $f(X)=X$ easily). This is exactly the set we want.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 518 |
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"redpajama_set_name": "RedPajamaCommonCrawl"
} | 1,692 |
package placement
import (
"errors"
"sort"
"sync"
"sync/atomic"
"github.com/m3db/m3cluster/generated/proto/placementpb"
"github.com/m3db/m3x/clock"
)
var (
errNoApplicablePlacement = errors.New("no applicable placement found")
errActiveStagedPlacementClosed = errors.New("active staged placement is closed")
)
type activeStagedPlacement struct {
sync.RWMutex
placements Placements
nowFn clock.NowFn
onPlacementsAddedFn OnPlacementsAddedFn
onPlacementsRemovedFn OnPlacementsRemovedFn
expiring int32
closed bool
doneFn DoneFn
}
func newActiveStagedPlacement(
placements []Placement,
opts ActiveStagedPlacementOptions,
) ActiveStagedPlacement {
if opts == nil {
opts = NewActiveStagedPlacementOptions()
}
p := &activeStagedPlacement{
placements: placements,
nowFn: opts.ClockOptions().NowFn(),
onPlacementsAddedFn: opts.OnPlacementsAddedFn(),
onPlacementsRemovedFn: opts.OnPlacementsRemovedFn(),
}
p.doneFn = p.onPlacementDone
if p.onPlacementsAddedFn != nil {
p.onPlacementsAddedFn(placements)
}
return p
}
func (p *activeStagedPlacement) ActivePlacement() (Placement, DoneFn, error) {
p.RLock()
placement, err := p.activePlacementWithLock(p.nowFn().UnixNano())
if err != nil {
p.RUnlock()
return nil, nil, err
}
return placement, p.doneFn, nil
}
func (p *activeStagedPlacement) Close() error {
p.Lock()
defer p.Unlock()
if p.closed {
return errActiveStagedPlacementClosed
}
if p.onPlacementsRemovedFn != nil {
p.onPlacementsRemovedFn(p.placements)
}
p.placements = nil
return nil
}
func (p *activeStagedPlacement) onPlacementDone() { p.RUnlock() }
func (p *activeStagedPlacement) activePlacementWithLock(timeNanos int64) (Placement, error) {
if p.closed {
return nil, errActiveStagedPlacementClosed
}
idx := p.placements.ActiveIndex(timeNanos)
if idx < 0 {
return nil, errNoApplicablePlacement
}
placement := p.placements[idx]
// If the placement that's in effect is not the first placment, expire the stale ones.
if idx > 0 && atomic.CompareAndSwapInt32(&p.expiring, 0, 1) {
go p.expire()
}
return placement, nil
}
func (p *activeStagedPlacement) expire() {
// NB(xichen): this improves readability at the slight cost of lambda capture
// because this code path is triggered very infrequently.
cleanup := func() {
p.Unlock()
atomic.StoreInt32(&p.expiring, 0)
}
p.Lock()
defer cleanup()
if p.closed {
return
}
idx := p.placements.ActiveIndex(p.nowFn().UnixNano())
if idx <= 0 {
return
}
if p.onPlacementsRemovedFn != nil {
p.onPlacementsRemovedFn(p.placements[:idx])
}
n := copy(p.placements[0:], p.placements[idx:])
for i := n; i < len(p.placements); i++ {
p.placements[i] = nil
}
p.placements = p.placements[:n]
}
type stagedPlacement struct {
version int
placements Placements
opts ActiveStagedPlacementOptions
}
// NewStagedPlacement creates an empty staged placement.
func NewStagedPlacement() StagedPlacement {
return &stagedPlacement{}
}
// NewStagedPlacementFromProto creates a new staged placement from proto.
func NewStagedPlacementFromProto(
version int,
p *placementpb.PlacementSnapshots,
opts ActiveStagedPlacementOptions,
) (StagedPlacement, error) {
placements, err := NewPlacementsFromProto(p)
if err != nil {
return nil, err
}
return &stagedPlacement{
version: version,
placements: placements,
opts: opts,
}, nil
}
func (sp *stagedPlacement) ActiveStagedPlacement(timeNanos int64) ActiveStagedPlacement {
idx := len(sp.placements) - 1
for idx >= 0 && sp.placements[idx].CutoverNanos() > timeNanos {
idx--
}
if idx < 0 {
return newActiveStagedPlacement(sp.placements, sp.opts)
}
return newActiveStagedPlacement(sp.placements[idx:], sp.opts)
}
func (sp *stagedPlacement) Version() int { return sp.version }
func (sp *stagedPlacement) SetVersion(version int) StagedPlacement {
sp.version = version
return sp
}
func (sp *stagedPlacement) Placements() Placements { return sp.placements }
func (sp *stagedPlacement) SetPlacements(placements []Placement) StagedPlacement {
sort.Sort(placementsByCutoverAsc(placements))
sp.placements = placements
return sp
}
func (sp *stagedPlacement) ActiveStagedPlacementOptions() ActiveStagedPlacementOptions {
return sp.opts
}
func (sp *stagedPlacement) SetActiveStagedPlacementOptions(
opts ActiveStagedPlacementOptions,
) StagedPlacement {
sp.opts = opts
return sp
}
func (sp *stagedPlacement) Proto() (*placementpb.PlacementSnapshots, error) {
return sp.Placements().Proto()
}
type placementsByCutoverAsc []Placement
func (s placementsByCutoverAsc) Len() int { return len(s) }
func (s placementsByCutoverAsc) Less(i, j int) bool {
return s[i].CutoverNanos() < s[j].CutoverNanos()
}
func (s placementsByCutoverAsc) Swap(i, j int) { s[i], s[j] = s[j], s[i] }
| {
"redpajama_set_name": "RedPajamaGithub"
} | 360 |
Renfe série 309 est une série de locomotives diesel de la compagnie de chemins de fer espagnols RENFE. Construites par MTM, elles ont été mises en service en 1985 et 1986.
Histoire
À la fin des années 1970, la Renfe songe sérieusement à moderniser son parc de locotracteurs de manœuvres, dont les unités les plus anciennes dépassent les trente ans. Dans un premier temps, une transformation partielle de la série 303 est envisagée. L'installation d'un moteur Bazan sur le 303-015 donne satisfaction, mais les éléments mécaniques et électriques de l'engin accusent leur temps. Courant 1982, la Renfe décide donc d'acheter du matériel neuf et ouvre un concours pour la fourniture de 50 locomotives diesel mixtes et de manœuvre, d'une puissance maximale de 1100 chevaux, à trois essieux ou à bogies, la transmission pouvant être hydraulique ou électrique. Les constructeurs nationaux se contentent de présenter divers modèles de firmes étrangères telles que Mak, Krauss-Maffei, ou Henschel. La MTM décide de faire cavalier seul et présente son type DH 700, un dérivé du DH 600 spécialement étudié pour la Renfe. En , la Renfe retient la proposition de MTM et signe un contrat pour la fourniture de 20 locotracteurs.
Conception
La MTM avait bien préparé son coup, et planchait depuis longtemps sur un tel projet. C'est en 1977 que le département des projets décide de réactualiser de vieilles études de 1955 afin d'être présent sur le marché du locotracteur de manœuvres lourd. Les modifications à réaliser sont si importantes qu'on opte finalement pour l'étude d'un modèle entièrement nouveau. Cela va déboucher sur la mise au point de plusieurs prototypes, capables d'assurer aussi bien un service de manœuvres qu'un service de ligne : les types DH 200, DH 300 et DH 600. Le type DH 2000, également étudié, ne dépassera pas le stade de la planche à dessin. La Renfe s'intéresse déjà de près au projet, et procède à divers essais des DH 200 et DH 300 dans les gares barcelonaises de La Sagrera et San Andrés Condal en 1980. D'autres essais auront lieu avec le prototype DH 600 dans les mêmes gares en 1983, alors que la future série 309 est déjà en cours de construction. Le moteur Guascor E 310 TO qui équipe ce prototype ne sera finalement pas retenu.
La première unité est livrée à la Renfe en . Elle tranche d'emblée avec le reste du parc de manœuvres par sa belle et colorée livrée "Estrella". Les premiers essais montrent diverses imperfections qui sont corrigées en usine à partir du 309-404 : renforcement des suspensions sur les essieux extrêmes, rétrécissement de la largeur de la cabine qui engageait le gabarit, et pose des équipements spécifiques à la reorque des trains de voyageurs. Après correction des diverses anomalies constatées, la première unité arrive à Fuencarral le , après quatre jours de voyage depuis Barcelona par ses propres moyens.
Service
Fin 1986, dix-huit unités sont déjà livrées et toutes affectées aux dépôts madrilènes de Fuencarral et Atocha. Elles assurent les manœuvres et les remontes des rames voyageurs depuis les triages de Santa Catalina et Vicalvaro. Du 22 au , le 309-005 est présenté au public lors de l'exposition "Semana del tren" à Madrid.
Après réception des dernières unités en , la série est répartie entre les dépôts de Fuencarral, Casa Antunez, Olaveaga, Santander, Irun, et Leon. Quelques transferts auront ensuite lieu vers Barcelona-San Andrés Condal et Ollargan.
L'étude d'une possible transformation pour la voie normale, menée en 1989, débouche sur un échec. par contre, en , la Renfe approuve un projet d'installation de la radiocommande sur certaines unités de la série 309. Désigné pour servir de prototype, le 309-003 est équipé par la MTM qui le dote également d'attelages automatiques type RK 900. La Renfe envisage alors d'équiper 10 unités sur ce modèle. Les contraintes de l'exploitation montrent vite les limites du système, et seuls les 309-001 et 002 reçoivent ces équipements en 1992.
Les premières radiations interviennent assez tôt. Les 309-011 et 017 sont l'objet d'incendies d'origines criminelles à Pasaia et Errenteria, ce qui provoque la réforme du 011 jugé irréparable. Le 017 sera définitivement réformé en 2000. Vers 2002, les 309-007 et 008 sont vendus à une entreprise privée qui les utilise depuis pour la manœuvre des trains de charbon à la centrale thermique d'Andorra, dans la province de Teruel.
Notes et références
Bibliographie :
Galan Eruste, Manuel. Locomotoras 309. In Maquetren n° 133, 2003.
309
309 | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 3,032 |
individual attention your thatched roof deserves.
are processed by a traditional craftsman in Puddletown.
thatched roof is a long-term commitment.
or simply some maintenance and repair work.
material, Listings status and local conditions. | {
"redpajama_set_name": "RedPajamaC4"
} | 4,518 |
{"url":"https:\/\/developer.here.com\/documentation\/routing-api\/dev_guide\/topics\/scooter-routing-no-highway.html","text":"# Exclude highway from scooter route\n\nThere is a parameter avoid[features]=controlledAccessHighway, which prevents highway usage. If this parameter is used, then scooters are not allowed to use highways even if allowHighway is set to true. In this case, with scooter[allowHighway]=true and avoid[features]=controlledAccessHighway, the scooter is not allowed on the highway and the calculation returns the fastest route that does not go through a highway. If no route is possible that avoids the highway, then the calculation returns a route that makes minimal use of the highway along with a notice (with notice code violatedAvoidControlledAccessHighway).\n\ncurl -X GET \\\n'https:\/\/router.hereapi.com\/v8\/routes?destination=53.335542,14.522257&origin=53.338226499,14.5058642048&transportMode=scooter&avoid[features]=controlledAccessHighway&scooter[allowHighway]=true&apikey={YOUR_API_KEY}'","date":"2022-07-03 08:36:40","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\": 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\": 0.5815367698669434, \"perplexity\": 1711.4483117174868}, \"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-2022-27\/segments\/1656104215805.66\/warc\/CC-MAIN-20220703073750-20220703103750-00176.warc.gz\"}"} | null | null |
# KATE
# KATE
# THE FUTURE QUEEN
KATIE NICHOLL
WEINSTEIN
BOOKS
Copyright © 2013 by Katie Nicholl
All rights reserved. No part of this book may be used or reproduced in any manner whatsoever without the written permission of the Publisher. For information address Weinstein Books, 250 West 57th Street, 15th Floor, New York, NY 10107.
Editorial production by _Marra_ thon Production Services. www.marrathon.net
BOOK DESIGN BY JANE RAESE
Text set in 13-point Mrs Eaves
Library of Congress Cataloging-in-Publication Data is available for this book.
ISBN 978-1-60286-227-2 (e-book)
Published by Weinstein Books
A member of the Perseus Books Group
www.weinsteinbooks.com
Weinstein Books are available at special discounts for bulk purchases in the U.S. by corporations, institutions and other organizations. For more information, please contact the Special Markets Department at the Perseus Books Group, 2300 Chestnut Street, Suite 200, Philadelphia, PA 19103, call (800) 810-4145, ext. 5000, or e-mail special.markets@perseusbooks.com.
FIRST EDITION
2 4 6 8 10 9 7 5 3 1
FOR MATILDA ROSE,
the most important chapter of my life,
AND CHRIS,
for always loving and believing in me
CONTENTS
Preface
Once Upon a Time
Moving Up in the World
A Model Pupil
A Change of Heart
An "Undie" Graduate at St. Andrews
The Bubble Bursts
The Breakup
Waity Katie
Princess in the Making
A Royal Engagement
Mr. and Mrs. Wales
A Tour of Duty
A Very Important Announcement
Epilogue
Kate Middleton's Family Tree
Bibliography
Acknowledgments
Index
PREFACE
When Catherine Elizabeth Middleton married Prince William, the future King of the United Kingdom, a new chapter of royal history was written. Kate, as she is best known, was the first "commoner" to marry into the royal family since the seventeenth century. Since her arrival, she has revitalized the British monarchy, whose members in turn have enjoyed a resurgence of popularity they feared might never occur following the death of Diana, the Princess of Wales, in 1997.
Now we have Kate. On July 22, 2013, at 4:24 P.M., she delivered a son, Prince George Alexander Louis of Cambridge, an heir and future King. She has, both metaphorically and literally, breathed new life into the British monarchy, producing the first Prince of Cambridge for over a century, and securing the lineage of the House of Windsor. Great Britain now has three generations of heirs awaiting the throne for the first time since Queen Victoria's reign, 150 years ago.
Royal constitution dictates that King Charles and possibly Queen Camilla will reign before King William V and Queen Catherine, but it is most likely that it will be Kate and William who will continue to drive and revitalize the monarchy over the coming years.
While Diana reignited the royal family, she also rocked the royal institution to its core. Kate, however, has taken to her role seamlessly, embracing the royal rule book. She is adored by the Queen and has won the admiration of the rest of the family. Now the world will wait to see how she and William raise their firstborn. Those close to the couple believe it will be with a hands-on approach, with as little stuffiness as possible. Although this child will always be His Royal Highness, destined to rule and be raised in palaces, Kate, along with her close-knit loving family, will enrich this future monarch's life considerably.
For the very first time, the direct heir to the throne has middle- and working-class blood coursing through his veins. With his mother's ancestry rooted in the mines of Durham and the textile mills of Leeds, this is a prince descended from coal miners as well as kings and queens. Kate is a middle-class girl, one of the people. She is truly a "people's princess." Certainly, since her and William's fairy-tale romance and now the birth of their first baby, Kate has enchanted her future subjects. She is that iconic British girl from the Home Counties who got her prince and is now the mother of the future King.
This is the story of a young woman who now calls Kensington Palace home and is reshaping the future of the world's most famous royal family. This is the story of _Kate: The Future Queen_.
# KATE
CHAPTER 1
Once Upon a Time
AS SHE LISTENED to the silence across the white snow-carpeted fields outside her window, Carole Middleton began to feel uneasy. On the radio, the Met Office was issuing a severe weather warning, and she knew that one more heavy snowfall would mean that her village would be cut off. Inside, the log fire offered warmth and some comfort, but Carole, who had been in the first stages of labor since the early hours, decided she had waited long enough to make the call.
Her husband, Michael, a flight dispatcher with British Airways, was working shifts at the airport, a forty-minute drive away, and had asked Carole to call him as soon as the contractions started. Not knowing how they would feel and aware that first babies can take their time to arrive, Carole had held off speaking to him until she was sure that the pains were not false alarms. She had called the local GP, who put her mind at rest by reassuring her that he would send an air ambulance if Michael wasn't back in time to drive her to the labor ward. Carole wasn't quite sure if he was joking.
Carole's friend and neighbor, a woman who was known to everyone in the village as George Brown, who was also due to give birth that same week, remembered the morning well, "It was a bitterly cold winter, there was lots of snow and we were both worried we would not make it to the Royal Berkshire Hospital because the snow was so heavy. Carole was really very concerned, but the doctor said he would get a helicopter to land in the field if need be."
In the event, Carole and Michael did get through the snow and to the hospital in time, and their baby, Catherine Elizabeth Middleton—known today as Kate—was born on January 9, 1982. The birth went smoothly; Carole delivered her firstborn naturally, recovered well, and was home within several days, with her precious newborn daughter.
"I saw Carole a week later," recalled Mrs. Brown. "She had had an easy and natural birth, which didn't surprise me. Carole was fit and competent from the word go. She seemed to take to motherhood amazingly well, and when I went round to see her, she was happily breastfeeding and seemed to know exactly what she was doing. Catherine was a lovely little baby, cherubic and chubby cheeked and so good. I remember she didn't cry much at all. I think that was probably because Carole was so relaxed."
She had always wanted to be a mother and shortly after she found out she was pregnant, Carole, a flight attendant for British Airways, decided to leave her job. Although she loved her career, she knew that globe-trotting, working shifts, and spending days and nights abroad were not conducive to raising a family. So it was with some sadness that she gave up work, as she had dreamed of being a flight attendant since she was a schoolgirl. A university education had not been an option for her because there was simply not enough money, and no one in her family had ever gone on to further their education. After leaving school at sixteen and working for a while in the clothing store C & A, Carole enrolled in a training program with British Airways. It was 1974 and air travel was still a novelty—the majority of the British public had never even been on a plane—and being a flight attendant was seen as prestigious and glamorous. Working for a high-profile airline such as British Airways was a feather in Carole's cap. Slim and pretty, she cut an elegant figure in her tailored blue jacket and skirt, red cravat, and smart pillbox hat, a uniform that she wore with great pride.
Carole was excited about the prospect of jetting around the world. Coming as she did from a modest background, family holidays were always spent in Britain on the south coast or walking in the countryside, and so the prospect of a job flying to exotic corners of the globe was wonderfully tantalizing. Her younger brother, Gary Goldsmith, recalled how she would practice flight announcements to perfect her technique. "I remember her training," he told the _Mail on Sunday_. "She used to practice doing her announcements on a tape recorder, much to my amusement."
When Carole qualified, her parents, Ron and Dorothy Goldsmith, were "over the moon," according to Gary. At school she had worked hard to pass her exams and now she was truly making something of her life. According to Jean Harrison, Dorothy's cousin, "When Carole became an air hostess, Ron and Dorothy were thrilled. It was a big job. I worked for British Airways at the same time Carole was there, but I was on the computer side. It was a big, exciting business to work for and a very respectable role."
The only daughter of Ron Goldsmith, a painter and decorator from Southall, and Dorothy Harrison, a shopkeeper from Hetton-le-Hole, a Durham coal-mining town, Carole came from humble roots. She had her parents to thank for the fact that she was given a decent education and a loving family home. Their upbringing had not been nearly as comfortable as hers.
Dorothy—Kate's maternal grandmother—was born into abject poverty. She was the daughter of Thomas Harrison and Elizabeth Temple. Thomas grew up in northeast England, close to the historic town of Durham, where his father and several generations before him had been coal miners. One of six siblings, Thomas was just fourteen years old when his father, John Harrison, was killed during World War I, a few weeks before armistice. The loss of her husband and the brutality of coal mining impelled Thomas's mother, Jane, to try to carve out a different path for her son, and she apprenticed him to her carpenter father, determined that at least one of her children would learn a trade.
It turned out that she was tremendously forward thinking, for during the Depression of the late 1920s, as the demand for coal decreased, the industrial areas of the northeast were badly hit and mining no longer offered the job security it had for so many previous generations in Thomas's family. Fortunately, there was a construction boom after the war, and tradesmen were in great demand. Thomas was therefore able to put his carpentry skills to use and spent the interwar years working in different parts of the northeast. It was while living in Easington Lane, a village near his mother, that he met Elizabeth Temple, the daughter of a farmworker. She already had a daughter, Ruth—scandalously born out of wedlock—a sweet child who Thomas took to at once.
Kate's great-grandparents, Thomas and Elizabeth, married in 1934 and moved back to his home village of Hetton-le-Hole. A year later Elizabeth gave birth to her second daughter, Dorothy, and life passed by uneventfully until the outbreak of World War II, when Thomas was called up to fight. Unlike his father, Thomas survived the war, and on his return, fearing that there wouldn't be enough work in the north of the country, he moved his family down to Southall on the outskirts of London, where he hoped to find enough employment to support his family.
Life postwar was tougher than Thomas had ever experienced. He found it hard to make ends meet and was forced to live in a dilapidated house in Bankside at the edge of the Grand Union Canal. Elizabeth contributed as much as she could, raising chickens and growing vegetables on a small farm nearby, but Ruth and Dorothy often had to go without. Despite their poverty, the two parents worked extremely hard, and Dorothy came to admire them and appreciate the values they instilled in her. As she grew into adolescence, she turned out to be a feisty girl with a steely determination to achieve. She dressed well and went out to earn money as soon as she was able, finding work as a sales assistant in local shops. It was while working in a branch of Dorothy Perkins that the teenage Dorothy met a young man named Ronald Goldsmith at the wedding of a mutual friend and fell head over heels in love.
Jean Harrison recalled, "Dorothy had met Ron when she was just sixteen. She used me as an excuse to go to a dance so that she could meet him again and they started courting. Ron was a very nice and easygoing person. He would always say hello and stop for a chat whenever I saw him."
At the time, Ronald Goldsmith—Kate's maternal grandfather—was working for his brother-in-law's haulage company, though his real love lay on the more creative side, in painting, baking, and making things. Ron was a kind, gentle man, liked by all who knew him, and, much like Dorothy, he had come up the hard way. His father, Stephen Charles—known as Charlie—worked as a construction laborer and, later, in a factory. Although he had managed to survive World War I, he died in 1938 of acute bronchitis at only fifty-three, leaving Ron's mother, Edith, with their six children. Fortunately, by this time four of the children were of working age, but Ron and his sister Joyce were still youngsters and needed a roof over their heads. Edith was penniless, so when Charlie died she had no choice but to move to a condemned apartment on Dudley Street, Southall. She took a job working on the production line in the local Tickler factory, which manufactured jams and jellies, but the wages never lifted her above the poverty line. Her older children helped look after Ron and Joyce, but even so, life was relentlessly harsh and food had to be stretched and shared in order to feed the ever-expanding family of brothers and sisters-in-law. When the going got really tough, the ever-resourceful, razor-sharp Edith resorted to pawning various items in order to raise money to feed her younger children. Ron was very close to his mother, and the whole family stayed within a few streets of each other throughout World War II, which was a great support through the hard times.
At seventeen, just after the war had ended, Ron got his call-up for national service and was sent to Aqaba in Jordan, where he worked as a baker, a skill that stayed with him for life. He returned a year later and went to work for his brother-in-law's haulage company. After a few years spent courting Dorothy, he proposed, and they were married on August 8, 1953, at the Holy Trinity Church in Southall. The wedding of Kate's grandparents was traditional and simple. The bride wore an Elizabethan-style lace gown with a taffeta underskirt and an embroidered veil pinned to her hair with orange blossoms. According to Jean Harrison, who attended the ceremony, "They were married when Dorothy was eighteen. She was very young, but she knew Ron was the man she wanted and that was that. The wedding was lovely and they held the reception at the Hambrough Tavern, which was the pub at the top of the road."
To begin with, the couple moved into Edith's tiny apartment on Dudley Road, a stone's throw from the busy Uxbridge Road, but it wasn't long before Dorothy—or "Lady Dorothy" as Edith and her family referred to her—called on her quiet ambition and moved them out to a nearby council house.
Over the next few years, with a lot of careful saving and some help from Ron's extended family, Dorothy and Ron were able to afford a deposit on a house of their own and moved to a small house on Arlington Road, to the north of Southall. By this time, they were proud parents of a daughter, Carole, and while Ron worked hard—taking evening classes to hone his skills—Dorothy took part-time jobs that she could work around motherhood. "We used to go and see Ron and Dorothy a lot when Carole was a baby," recalled Jean Harrison. "Dorothy was a very good mother, and very proud of her baby. She stopped working when Carole was born, but she went back to work once she could. She got a job at a jeweler on Hounslow High Street. I lived nearby, so I would often pop in to see her. She didn't work full time, but she wanted to get back to work. Money was sparse in the early years and she and Ron weren't well off. Dorothy liked nice things, she always did as a little girl."
Dorothy spent hours walking Carole around in a Silver Cross baby carriage—the same upscale brand used by the royal family—which she and Ron had been saving for ever since she got pregnant. It took some years before another baby graced the prized carriage, for it was not until eleven years later that Dorothy and Ron were blessed with another child. They had been trying for a baby for some time and were overjoyed when Gary arrived. "There was a big age difference between Carole and Gary," said Jean Harrison. "It's quite possible Dorothy miscarried, but things like that weren't talked about in those days. Ron and Dorothy were very old-fashioned people." With their family now complete, the Goldsmiths were happily married and earning decent money, and they invested everything in their children.
By the late 1960s, Ron and Dorothy had saved enough money to move to a larger house on Kingsbridge Road in Norwood Green—a newly built semidetached house with three bedrooms. At this point Ron decided to leave the haulage firm and set up as a builder. He had always loved working with his hands and he was talented, having once made a violin for Dorothy from scratch. Dorothy supported his career change; she believed he had the vision and ability to make a success of going it alone.
It was a vision that his children had also inherited. Carole was a hard worker, and like both of her parents, she was determined to do well in life. It was at British Airways that she met Michael Middleton, a handsome flight dispatcher who had one of the best paid and most important management jobs at the airport—the same rank as captain, though confined to the ground. At Heathrow, Michael was responsible for coordinating British Airways arrivals and departures, managing flight schedules, and occasionally handling passenger- and cargo-related matters. In his navy uniform and red cap, the well-spoken and always immaculately turned out Michael was considered quite a catch among the coterie of air hostesses. But it was Carole who caught his eye. Eventually he plucked up the courage to ask her on a date, and within a matter of months, they were in a serious relationship. Carole, who had never had a long-term boyfriend before, found Michael charming, thoughtful, and fun. Jean Harrison recalled that it was love at first sight, just as it had been for Ron and Dorothy: "Perhaps it is something in the Harrison bloodline. Dorothy's mother, Elizabeth, who we called Auntie Lily, had a long marriage and lots of children, Dorothy fell in love and married her sweetheart, and so did Carole."
Carole's job often took her overseas, so in order to make the most of the time she was in the country, she and Michael decided to move in together. They rented an apartment in Slough, a sprawling industrial town twenty-two miles from Central London and conveniently close to Heathrow Airport. They lived there quite happily for several years, and before long they were engaged to be married. "I remember Carole coming in and showing off her ring," recalled one of her oldest friends, Martin Fiddler, who runs the Bladebone Butchery in the village of Chapel Row in Berkshire. "Carole, like many of the airport industry, was living nearby and my wife, Sue, and I got to know her well as she often dropped in. She was always smiling and happy and there was just something lovely and fresh about her; she used to leave a scent of perfume in the shop. She was always chatty, bubbly, and lots of fun. She was delighted to be engaged, and I remember one day she brought Mike in and introduced him. She was a stunning lady and they were a great couple, a really good mixture."
Michael and Carole were married the following year on June 21, 1980, at the Parish Chapel of St. James the Less in the village of Dorney in Buckinghamshire—two years to the day before Prince William was born. Ron and Dorothy contributed to the wedding, but the amount they gave was a fraction of the total cost, because the Middletons were in a different league. Kate's father, Michael, was comfortably middle class and well off, having had a very different start in life than his bride. His family had the security that money can afford, and like his father and his grandfather, he was fortunate enough to have gone to a private school, receiving a good education and the attendant privileges of boarding school.
Michael also had all the benefits of being part of a close family—Peter, his father, and Anthony, his uncle, had married twin sisters and had four children each—and the eight cousins lived on neighboring streets in the well-to-do Roundhay district in Leeds, where they grew up together. Michael was proud of his father, an airline pilot and flying instructor, and was deeply appreciative of his mother, Valerie, who had spent part of her childhood in Marseilles and had stayed at home to bring up her four sons.
Michael's forebears were wealthy; his mother's father, Frederick Glassborow, worked in a bank, and his paternal grandparents, Olive Lupton and Noel Middleton, were the descendants of two of the most prosperous families in Leeds. Noel—Kate's great-grandfather—came from a line of famous and successful Leeds solicitors and received an inheritance following the death of his father, John Middleton, that was worth the equivalent of close to $4 million. Noel's wife, Olive Lupton—Kate's great-grandmother—descended from a long line of wealthy Yorkshire wool merchants, and her lineage was equally impressive. An Edwardian society beauty, she had a number of illustrious family members through marriage, including the children's writers Arthur Ransome and Beatrix Potter, and she could trace her lineage way back to Sir Thomas Fairfax, an attendant at the Tudor Court and a Parliamentarian general in the English Civil War. It is through Sir Thomas Fairfax that the Middleton family can, in fact, trace their lineage to royalty.
Olive's grandfather, Frank Lupton, a forward-thinking man, had expanded the family cloth business by buying an old mill and a finishing plant, thereby enabling his clothing merchants to own all parts of the production process. Philanthropic by nature, he gave back some of his wealth by helping to clear the slums of Leeds; his contribution was recognized by the town council, which named two streets after him. Frank was able to send his sons to public school, and as a result of his fine education, Olive's father, Francis, attended Cambridge University. Tragically, all three of Olive's brothers were killed in World War I, decimating her family, but it was of some relief that her mother had not lived to know of their senseless deaths. Olive and her sister inherited the family wealth on the death of their father and became enormously wealthy, with a personal fortune that amounted to the equivalent of nearly $15 million today. The trust fund Francis established was set up to ensure the stability of his descendants, and the trustees were instructed to pay the beneficiaries and fund the education of their children. When Olive died, she left behind an estate worth the equivalent of $13 million, to be divided among her four children. That meant Michael's father was a very wealthy man indeed.
According to members of the Harrison family, Dorothy was delighted that Carole had not only fallen in love but was marrying into money. On her wedding day, Carole had arrived at the church with her father in a horse-drawn carriage. She had four bridesmaids and wore a beautiful white gown, and she had asked her brother, Gary, who was fifteen at the time, to be an usher.
Unlike Ron and Dorothy's wedding reception at the local pub in 1953, Carole and Michael celebrated their wedding day in June 1980 in considerably more style with a sit-down luncheon at the exclusive Dorney Court, a Grade 1–listed Tudor manor house near Windsor in Berkshire. Unlike the Hambrough Tavern, which was on a busy main road, Dorney Court was set in the middle of the countryside with beautiful views of the surrounding fields and the River Thames. It was quite a step up from Southall. Guests were asked to wear dresses and lounge suits, and at the champagne reception, canapés were served from silver platters. Carole's brother, Gary, recalled, "It was a real departure for our family, and everything my mother could have wished for. It was natural, informal, and classy, but it wasn't pretentious or ostentatious." The party continued after the reception at Michael's brother Simon's house for homemade chili, drinks, and dancing. Michael's family was close and welcoming—that was one of the things that had immediately drawn Carole to him.
Both Michael and Carole wanted a family of their own, and at twenty-five, Carole felt ready. Shortly before their wedding, they had begun house hunting in the nearby Royal County of Berkshire. Carole loved its picturesque villages—among them Bradfield, a sleepy rural hamlet surrounded by beautiful English countryside and offering a charming central green where there was an annual summer fete and, above all, a friendly community.
According to their friend Dudley Singleton, a real estate agent who has known the couple for more than thirty years, they immediately fell in love with West View, a pretty redbrick semidetached cottage on Cock Lane, a winding country way just a short distance from the village. The house had four bedrooms, a pretty country kitchen with an Aga range, and a sitting room and dining room, each with working fireplaces. It was exactly what they were looking for, and they were delighted when their offer was accepted, according to Mr. Singleton: "They moved to West View to start a family, and Bradfield is a pretty desirable spot to live. Theirs was a modest country cottage and they did some nice things to it. It was a very comfortable home with plenty of character. Carole made it very pretty. She has a lot of style and arranges things very nicely. It was intrinsically pretty, with lovely sash windows and open log fires in the two reception rooms. When they moved in, they didn't have oodles of money, but Carole made it look great. She has a great eye for color and fabrics. She was always a very stylish woman and very traditional."
In the spring of 1981, Carole found out she was pregnant. The baby, due in early January, was to be Ron and Dorothy's first grandchild, and they were, as were Michael's parents, ecstatic. As her pregnancy progressed smoothly, the Middletons enjoyed the summer, joining with the rest of the country in celebrating the marriage of the Prince of Wales and the shy and enchanting Lady Diana Spencer. Carole, who came from a family of "complete royalists," according to her brother, and Michael were among the 750 million people worldwide who watched the wedding on their televisions. Diana, in her beautiful bridal gown with its twenty-five-foot-long train, was the epitome of a fairy-tale princess, and the wedding of the future King of England at St. Paul's Cathedral in Central London was a cause for celebration.
Now that she was expecting a baby, Carole decided it was the right time to leave British Airways. By a stroke of luck, the company was axing jobs at the time and she was offered a $7,000 redundancy package, enough money to put toward her planned loft conversion and kitchen expansion. George Brown remembered that the original kitchen was small, and Carole, who was an accomplished cook and an enthusiastic baker, was grateful for the extra space once the work was done. "Carole made the house a home. She had given up working as an air hostess, but Mike was still working at the airport and I remember by then he had had enough, he didn't like it much."
With a baby on the way, a mortgage to pay off, and only one salary, Michael took his position as the only breadwinner very seriously. Although he came from a wealthy family, the major part of his inheritance was tied up in the family trust fund, which was intended for their future children's education. As soon as Kate was born, they were determined to provide their daughter with the best of everything. They purchased a brand-new Silver Cross baby carriage, just as Carole's mother had years before, and in the spring they started to plan a christening. There were two churches in the village, but both Carole and Michael preferred the more traditional St. Andrew's Church of England in the old part of Bradfield, which overlooked the River Pang. Kate was christened on June 20, 1982, and Carole and Michael proudly posed for pictures outside the church in the summer sunshine, holding Kate, who was dressed in a full-length traditional christening gown. Although they weren't regular churchgoers, it was important to the Middletons that their daughter be baptized, and after the ceremony they hosted a party at West View. They had become friendly with their next-door neighbors David and Kirsty Phillpot. Mrs. Phillpot was the church treasurer and helped them organize the service. "The christening was a big occasion," recalled George Brown. "Carole did all the catering herself, from the sandwiches to the cakes, which she baked, and I remember she had lots of chilled champagne. All the grandparents were there, and it was a very happy occasion." The following day, June 21, Prince William was born, and thousands of people gathered outside Buckingham Palace to wait for the announcement to be displayed at the wrought-iron gates.
Within a year of Kate's birth, Carole was pregnant again, and on September 6, 1983, Philippa Charlotte Middleton was born at the same hospital as her older sister. The following March, "Pippa," as she was known to the family, was also baptized at the local parish church. With a baby and a toddler to look after, Carole's hands were full. She filled her days taking Kate (who was known as Catherine until her university days) to play sessions at St. Peter's Church Hall in the village while Pippa slept in the same Silver Cross carriage that Kate had used when she was a baby. Carole loved village life, and in her jeans and Wellingtons she fitted right in. She baked cakes for the village summer fete, got involved with the Christmas Nativity plays, and helped out with refreshments at the mother and toddler groups she attended with her daughters. It was completely different from her old life jet-setting around the world, but she loved motherhood and the relaxed pace of village life.
It was, therefore, with a degree of trepidation that in May 1984, four months after Kate's second birthday, the family packed up their belongings to leave for Jordan in the Middle East. Michael had been offered a transfer of two and one-half years to the capital, Amman. The salary was good, and although packing up their home would be an upheaval, the prospect of living somewhere else for a while appealed to both Michael and Carole, who both loved visiting new places. With Kate nearing nursery-school age, Carole and Michael had already started thinking about her education. Bradfield, the Church of England primary school that was next door to their home, seemed the obvious choice, but having spoken to some of the local mothers, Carole had heard excellent things about St. Andrew's Pre-Prep in the nearby village of Pangbourne. It was a fee-paying nursery school with an outstanding prep school attached, and although money was tight for the couple, they knew they had Michael's trust fund to go toward their children's education. Before they left for Jordan, they met with the headmaster, Robert Acheson, so that they could reserve a place for Kate. "I first met them in 1983 before they went abroad," he recalled. "They had inquired about the school and I sent a prospectus out. They explained they were going away but wanted a place for when they returned. They wanted coeducational from the start. They are a lovely family—very solid, and Carole and Michael were the sort of parents we wanted at the school; they were very supportive and trusted us to get on with the job."
Life in Amman could not have been more different from Bradfield. The densely populated city, which is situated over seven hills, is one of the largest in the world. It was an exciting and exotic destination with a long summer season, hot but dry, and the additional attraction of plenty of places to visit, including ancient ruins and the Red Sea. Michael had flown out ahead of Carole and the girls to find a house to rent, and within a few weeks he put a deposit down on a villa in the upscale neighborhood of Um Uthaina in the western part of the city. Compared to their attractive redbrick semi, the two-story building was nothing grand, but there was an excellent nursery school nearby.
The property, fully furnished and air-conditioned, came with a small garden with a swing where Kate and Pippa could play. The neighbors, Intissar and Nicola Nijmeh, remembered the Middleton family as friendly and kind. "They were good people," said Mr. Nijmeh. "I remember once when we were traveling to London and Michael saw us at the airport. He upgraded our tickets to first class."
Michael was based at the airport and was in charge of four airplanes, a TriStar and three Boeing 757s, which flew direct from London to Amman four times a week. Hanna Hashweh, a sales agent for General British Airways who worked alongside Michael in Amman, said that he was popular and quickly earned the respect of his team. "I remember him well. He was distinguished and a man of integrity, and he stood out from all the other managers. He had a sharp personality. Michael used to deal with passengers, and as part of our business we dealt with each other on a daily basis. As a director he was flexible, and the employees liked him."
Because the inbound flights arrived overnight, Michael worked nights. While he caught up on his sleep during the daytime, Carole and the girls would meet some of their new friends and go out for walks in the surrounding countryside. As soon as they had moved in, they bought a patio furniture set with a sun umbrella and an inflatable paddling pool for the small garden. Carole loved to sunbathe and read while the girls had their afternoon naps, and when the afternoon had cooled off, they often enjoyed tea outside together. The weekends were family time. Eager to explore and get to know the country, they visited the tourist attractions, including Petra and Jerash, to see the famous Roman ruins.
A sociable couple, Michael and Carole wanted to make new friends and decided to join the British Club in the nearby Abdoun neighborhood, where they met fellow ex-pats and other employees at British Airways. An avid sportsman, Michael loved to keep fit and often played tennis. They had soon created a circle of friends, and because they enjoyed entertaining, they hosted regular garden and dinner parties at their home. Carole was known to cook splendid three-course meals, and sometimes there would be up to thirty friends gathered in their dining room. Kate, who was about to turn three, was allowed to stay up until dinner was served, a treat she always enjoyed. Mr. Hashweh was often invited: "They frequently threw dinner parties and invited me and my wife and our employees. We would be around seventeen couples and the food was homemade. Kate was little and she was like a butterfly. We used to see her at dinner parties. She accepted people and she was sociable."
By her third birthday, Kate was enrolled in Assahera, a local nursery school just a short walk from their home and run by a local teacher, Sahera al-Nabulsi. It was brand new, built only two years before, and was the most expensive nursery for three- to five-year-olds in the district. Carole dropped Kate off in the mornings, and Michael would often collect her in the company car in the afternoon. "Her father used to pick her up in his work uniform, and the kids used to get excited and run to see him," said Mrs. al-Nabulsi.
Kate had a multicultural start to her preschool life. There were children from all over the world, and though some of her new friends were British, she also mixed with Japanese, Indonesian, and American children and was taught by British and Jordanian teachers in Arabic and English. The children learned Arabic and listened to passages from the Koran. "The morning routine included having all the children sitting in a circle where they would all sing 'Incy Wincy Spider' both in English and Arabic," said Mrs. al-Nabulsi. "We would also read one short verse from the Koran to improve their Arabic and tell stories about the Prophet's companions, like Omar bin Khattab. The idea was to reinforce concepts such as respect and love. The teachers used to ask in Arabic, 'who is wearing red today?' so that children then would recognize the colors."
Each morning at 9:30 A.M., Kate and her friends would have a traditional Jordanian breakfast of hummus, cheese, and _labneh_ , a condensed yogurt similar to spreadable cheese, which was accompanied by olive oil and thyme and served on a fish-shaped plastic plate. "We taught them table manners," said Mrs. al-Nabulsi. "Each of them would take a sandwich and then pass the plate to the other. They also had a snack of apples, carrot sticks, and green peppers as well as crackers, salty sticks, and biscuits, known as Mary Biscuits."
With an emphasis on play, the children were encouraged to use the designated sandbox and areas set aside for painting, and to Kate's delight there was a costume wardrobe. By the time she was four, she had already developed a feel for the stage and enjoyed the plays the nursery staged each term. Kate loved to dress up and took part in a fashion show in which the children dressed in different Arabic costumes that represented the Middle Eastern countries. There was a playhouse with small wooden toy beds, and according to Mrs. al-Nabulsi, another of Kate's favorite games was to pretend to have tea parties. She also loved to paint, and twice a month the nursery arranged visits to the local bird zoo and to the nearby markets, where the children held onto a beaded rope and walked in a line so they didn't get lost. At Christmas, the children were encouraged to dress up and act out scenes from the Nativity, and Mrs. al-Nabulsi dressed as Santa Claus. They also learned about Ramadan and other significant observations in the Islamic calendar.
Living in a different country and becoming part of the local community, getting to know a different way of life, the two and one-half years in Jordan were some of the happiest years of Michael and Carole's lives, but in the summer of 1986, Michael's transfer came to an end. And so, the adventure over, Carole, Michael, Kate, and Pippa returned home.
CHAPTER 2
Moving Up in the World
MOVING BACK to Bradfield after living in Amman was something of a culture shock for the Middletons. Britain was not in great shape. Prime Minister Margaret Thatcher was running the Conservative Party with an iron fist, having secured a major political victory over Arthur Scargill and his National Union of Mineworkers. While the Middletons had been overseas, the miners' strike had changed not only the political panorama of the country but the physical landscape of the north of England, Wales, and Scotland, all of which suffered terrible social and economic depression when twenty mines closed within a year and took 20,000 jobs with them. These closures had a dramatic impact on working-class Britain, and the Middletons were returning in a time of tumult and despair, especially in the north of England where Carole's great-grandfather, John Harrison, had once made a living working the very mines that were being shut down.
However, at the same time, trouble was also brewing in the already volatile Middle East, in Lebanon. Across the border from Amman, the British TV journalist John McCarthy had been kidnapped in Beirut by Islamic Jihad terrorists that April, so coming home was, in the end, something of a relief for Carole and Michael. Shortly after they got back, Carole was delighted to discover she was pregnant again. With two little girls already, both she and Michael were hoping their third child would be a boy to complete their family.
Kate, who was by now four years and eight months old, had grown into a delightful little girl. She was tall for her age, with curly hair, bleached blonde from her years in the sun. Ever since they had left Jordan, she had counted down the number of sleeps until her first day at school.
The Middletons were fortunate enough to be able to draw on the trust fund that had been set up solely for the education of the family's ongoing generations. Like his father and grandfather, Michael had gotten his high school education at the fee-paying Clifton College, in Bristol, and had thrived there both academically and on the sports field. Carole's schooling had been less privileged. Her parents had not been able to afford to send her to an affluent school. Instead, she attended the local public school, Featherstone High School. Former head teacher Alfred Borg remembered her as "quite bright, but [she] did not stand out academically. That said, she was very well-behaved and beautifully mannered." Although the school was not able to offer the same facilities as Clifton, the young and popular Carole was an avid musician and played cornet with the school brass band, making friendships that would last to this day. Later, her parents managed to scrape together enough money to send Carole on a school trip to Austria with the rest of the band.
Although the Middleton inheritance spanned generations, there was still money left in the pot for Michael and Carole's children's education, and they both recognized that a good education provided the building blocks for success in later life. St. Andrew's Prep filled the bill. It was small, with just three hundred pupils, and had a Christian foundation and ethos. Perhaps more important to the Middletons, it was also a "feeder" school for some of the best independent schools in the country. According to the headmaster, Dr. Acheson, Kate threw herself into daily activities as soon as she arrived. The school's motto, "Altiora Petimus" (We Seek Higher Things), encouraged an emphasis on pastoral care, playing, and making friends. The children enjoyed trips to local farms, going on nature trails, and looking after the school's guinea pigs, Pip and Squeak, nicknames that were then given to Kate, who was known as Squeak, and to Pippa, known as Pip when she later joined the school. Kate loved to climb the trees on the grounds, and her sports instructor, Denise Allford, remembered her "tearing around the place. She was a one-hundred-m.p.h. girl." On sports day, when the children were allowed to wear fancy dress as a special treat, Kate showed off the speed and agility that would years later see her win medals and cups. "Catherine joined us in Reception when she was four. The philosophy at the school was the same throughout: if children aren't happy they won't learn and they won't grow into rounded adults. We treated them as individuals from the start and encouraged them to develop their skills. Catherine was a delight to teach right from the start," said Dr. Acheson. "As a four-year-old she did as she was told and worked hard. I think a lot of that was down to the parents. They worked jolly hard when they got back from Amman. I get a bit fed up when people describe Carole as pushy—she wasn't. Like all good parents she wanted the best for her children."
While in Amman, Carole had mulled over the idea of setting up a small home business. Before leaving, she had helped a number of local mothers throw birthday parties for their children and, while abroad, realized that she had spotted a gap in the market. Shortly after her return, she decided the time was right to launch a mail-order children's party business that would sell everything a host could possibly need, sent straight to the customer. Carole was an expert at throwing themed birthday parties for her own children, and her party bags were locally renowned. Initially, she sold the party bags at St. Peter's Church Hall in the village, where Audrey Needham, chair of the preschool play group, helped get her budding business off the ground. According to Mrs. Needham's widower, Alan Needham, who was then the church warden, "Audrey bought about twenty bags for the children in the preschool one Christmas, and they went down very well. I remember that party bags were big in America then, but not so much in the UK then. It was a clever idea, and Carole was very ahead of her time."
Carole would pack the brightly colored bags with plastic toys, party bubbles, Wiz candy, foam planes, party streamers, and balloons at her kitchen table. The other mothers were relieved not to have the pressure of having to pack their own party bags, and Carole was delighted to be able to help out and make a bit of cash on the side. "I came up with the idea for Party Pieces when I was looking for party paraphernalia for my own children's parties," Carole recalled. "It was impossible to find anything easily in the shops, and trying to find value for party bag presents was a complete nightmare."
It was a case of word of mouth, and Carole's party bags became so sought after that she could no longer continue packing them at the kitchen table. She decided to empty out the shed in the garden and use it as a small office, with Michael helping by installing a heater and an electric light. He was a talented carpenter, often helping around the house and doing small jobs for some of their neighbors. Eager to help his pregnant wife, he spent a weekend extending the shed to accommodate the boxes of stock that Carole was ordering daily. "We are the original UK mail-order party company—starting from a shed in the back garden in 1987," Carole explained years later. "We have come a long way since then, but we are still very much a family business; I am still actively involved and love sourcing and developing new party products."
Party Pieces was an obvious and clever idea that required very little investment, and with her creative flair and entrepreneurial skills, Carole found that her business quickly thrived. By now Kate and Pippa were both attending pre-prep school, so it was the perfect way for Carole to fill her days before the new baby arrived. George Brown recalled, "Carole started Party Pieces in the garden shed. It was before James was born, and I would see her taking boxes down to the post office herself. Then suddenly the business took off and the shed was packed to the ceiling with bits and bobs. She was wonderful when it came to throwing parties, and she was always very clever when it came to making up party bags. I remember Catherine's fifth birthday party, which she did at the house. Carole did everything from start to finish, and everyone got wonderful bags to take home. I think Carole wanted to keep busy. She wasn't good at sitting around and doing nothing."
Certainly now with three young children to look after—a longed-for baby boy, James William Middleton had arrived on April 15, 1987, thus completing the family—resting on her laurels would not be an option. What had started as a small and local project soon snowballed. Carole's brother, Gary, had advised her to put Party Pieces online. According to one family member, "Gary told Carole to stop selling paper party bags from home and get them on the Net. Carole was reluctant and said, 'Mums don't use the Internet.' Eventually she gave in and decided to set up an online company called Party Pieces." The canny move proved to be the making of the Middletons' fortune. Party Pieces became so successful that Michael handed in his notice at British Airways so that he could also get involved, and Carole leased an office space in the nearby village of Yattendon because they needed more room. She got Kate and Pippa to model the goods, which included personalized T-shirts, and posted the pictures on the company's website. "I remember by then Michael had had enough at British Airways and didn't really like his job much, so he gave it up to help Carole out. He was a good man and very competent," said George Brown. As with starting any business, there were some stumbling blocks at the outset, and at the time, setting up an online business was a relatively new idea. According to Martin Fiddler, "At the start they had problems like everyone else; it was a slow starter but they kept working at it, and it paid off. They were 100 percent in it together. Mike and Carole are a real team."
Three years after she launched the business, Party Pieces started selling its signature party-themed boxes, which contained everything you needed for an at-home birthday party. "Way back in 1990 we launched our first in-house designed boxes," Carole revealed in a rare interview. "They were such a hit with everyone that now we try and make sure we have party boxes to go with every party theme." She admitted that she worked around the clock: "It's great fun but not for the fainthearted," she said. "I still work through to the early hours to hit a deadline and never take our success for granted. Your child's birthday is always a very special occasion so I think everyone tries to do something to celebrate the day even if money is tight. We've always believed that parties do not have to be lavish and expensive occasions and have always selected wonderful traditional and inexpensive games, tableware and activities."
According to Carole's brother, the business was so successful that Carole soon became a millionaire. Gary told the United Kingdom's _Daily Mail_ that, "No one seems to have picked up on the fact that both my sister and I were millionaires before we turned thirty." He had made $25 million when he sold his shares in a UK-based IT recruitment business. "She with her Party Pieces business and me with my company." By the end of 1986, Carole was thirty-one and very possibly a millionaire. Because Party Pieces is a private partnership, the accounts are not publicly accessible, but there was no doubt that the Middletons' finances were flourishing. They traded their old estate car in for brand-new Land Rover Discovery and started looking for a bigger house. Dr. Acheson recalled the business doing well within a short period of time after they returned from Jordan: "Things took off for them, but they worked very hard."
It was around this time that Carole suggested to her parents, Ronald and Dorothy, that they move from Norwood Green to Pangbourne. Carole was close to her mother and father, and as they got older, she wanted them to be nearer so they could spend time with their grandchildren. Financially, the Middletons were also in a position to put some money toward a property for them. Through a local estate agent in Bradfield, they found a charming cottage situated on the bank of the River Pang, overlooking the water and a little wooden bridge. It was chocolate-box pretty, and Ron and Dorothy fell in love with the cottage as soon as they saw it. But leaving Southall was a life-changing move for the retired couple, and they had a change of heart at the last minute. "They backed out of the sale and I told them they were mad," said Dudley Singleton, who eventually managed to sell them the property after much persuasion. "They were worried it didn't have a garage and the gardens were small. I told Ron he was silly not to buy the house, and they did say on many occasions afterwards, 'Thank God you persuaded us to buy it.' Dorothy was very strong-willed, just like Carole. She had second thoughts, but it turned out to be the perfect house and they were very happy. They made new friends in Pangbourne, went for long walks, and were often seen together at the local pub. They loved it, and the move and the house was right for them." Dorothy, who had worked as a shop assistant throughout her life, found a part-time job at WH Smith a few doors down in Pangbourne, and Ron spent Saturday afternoons with his grandchildren once they had finished games at school. On Sundays, the whole family would get together for a roast lunch at the local pub.
Even in Pangbourne, Dorothy had made an impression on the locals and was known by her nickname "the duchess": "The one thing I would say about Dorothy is you would never have known she came from a working-class background in the north. She had a good speaking voice and a lovely manner, which is why she was nicknamed the duchess," said Mr. Singleton. "She was always well turned out and very much Carole's mother. She was a strong-minded lady with a lot of natural charm that Carole inherited. Ron was a very nice man, very gentle, a bit like Michael. He didn't have a strong personality like Dorothy." Once a year, Ron and Dorothy, and Michael's parents, Peter and Valerie, who lived in Hampshire, were invited to Kate and Pippa's school for Grandparents' Day, when the children would perform plays and concerts. "They would come into the classrooms, and the children would put on concerts and productions and recite poetry for them. Ron and Dorothy were always there to watch them," recalled Mrs. Allford, who taught girls' sports and, later, was their housemistress. "Dorothy was tall and statuesque—you noticed her. She was always made up. Ronald was very low key; he was such a lovely man, he had a twinkle in his eye, and when I met James, I always saw a bit of Ron in him."
Weekends and holidays were family oriented. Wanting the girls to be kept busy and make local friends, Carole enrolled Kate and Pippa in the first local St. Andrew's Brownie troop in Pangbourne. In their uniform of brown culottes and yellow sashes, the girls made their Brownie Guide Promise to be good and help others. With three fingers raised and a toadstool in her left hand, a demure eight-year-old Kate pledged, "I promise that I will do my best to love my God, to serve the Queen and my country, to help other people and to keep the Brownie Guide Law." Once she became a fully fledged member of the troop, she was determined to collect as many badges as she could. Kate had no problem getting her housekeeping badges; she knew how to brew a pot of tea and boil an egg. June Scutter, the troop leader, known as a "Brown Owl," recalled Kate earning further badges for toy making and performing: "For the Jester badge, the girls had to get together and make a scene from whatever theme they were doing, and also make up a poem, to read aloud to the others." Then there were the Brownies' adventure-packed excursions to local places such as Hog's Farm, where they could see the animals close up, as well as camping holidays at Macaroni Wood in the Cotswolds, where the girls enjoyed a summer vacation with the rest of the troop. Former Brownie Isobel Eeley, who went on a Brownie trip with the Middleton sisters, remembers the girls loving the long walks and arts and crafts activities. Isobel, a cerebral palsy sufferer, remembered how Kate was kind-natured and took Isobel under her wing, "She helped me if I ever got stuck doing things. I can only use one hand, so she would help me with anything that needed two hands."
Back at school, Kate and Pippa were thriving. Avid musicians, they learned to play the flute and piano. They were such enthusiasts that they took extra piano lessons at home. Daniel Nicholls, who taught them, remembered Kate as a "really delightful person to teach. I don't think anyone would say she was going to be a concert pianist, but she was good at it. She always did everything she was told. I actually taught the whole family except Mike." Along with playing instruments, the girls loved to dance. Kate was especially good at tap and ballet. By the time she was in the prep school, she had made a circle of close friends in her year, among them Chelsie Finlay-Notman, Emily Bevan, who is still one of her best friends today, Zoe de Turbeville, Fiona Beacroft, and Katherine Nipperess.
There was no doubt that Kate was happiest on the playing field. She loved hockey and went on to become one of the best players in the under-thirteen team. Jill Acheson, who was known to the pupils as "Mrs. A," had spotted Kate's ability at all things sporting and recognized her potential to become one of the school's star players. The sports and drama teacher was the first person to hand Kate a hockey stick, noting that she was a natural player.
Denise Allford, who also taught in the pre-prep before moving to the main school as a sports instructor, also recalled both girls' natural agility at sports. "Both Catherine and Pippa stood out at sport because they were so good. We had games every afternoon. In the summer they would play from 4:30 until 5:45 P.M., and in the winter, it was after lunch and then lessons until about 5:30 P.M. It was a long day, and by the end of the week they were shattered, but their work ethic was tremendous." Kate was a member of the top hockey, netball, and tennis teams. The facilities at the school were excellent and included netball, tennis, and football courts, a hockey field, and an outdoor swimming pool. She was a fearsome swimmer, and her fast front crawl and backstroke enabled her to beat many of the school's records.
Kate was so happy at the school that when she was nine years old and about to start Year 5 (fourth grade) in fall of 1991, she told her parents she wanted to be a weekly boarder. "After a while a lot of the pupils decided they wanted to board," recalled Mrs. Allford's husband, Kevin Allford, who was Kate's class tutor from age eleven to thirteen and taught sports, French, and German. Although the eye-watering $4,000 per term was manageable, Carole and Michael knew that having Kate away during the week would mark a change in the family dynamics. The Middletons were an exceptionally close family, and Carole and Mike enjoyed the vibrancy of their children, the stories and noise and laughter. Every weeknight, they would eat a home-cooked supper together around the kitchen table. Mealtimes were an opportunity to bring the family together, and all three children were expected to help. One would lay the table, another would clear up, and they were not allowed to leave their seats until their plates were clean. "As children, we had to eat absolutely everything," Pippa recalled about family suppers in an article she wrote about her childhood.
According to George Brown, who was often at West View for tea with her daughters, Carole was a formidable cook and could mix up and bake a perfect Victoria Sponge in minutes: "She was what I would call a real homemaker. She was also a great baker and taught the girls to bake. The kitchen was a traditional cottage kitchen and the hub of the house, and Carole was always busy cooking up something." Certainly, the kitchen at West View had happy memories for all three siblings. Birthdays were always a special occasion and often themed. Kate recalled dressing up as a clown in giant dungarees, and playing musical statues, and how on her seventh birthday her mother made "an amazing white rabbit marshmallow cake." One of James's earliest childhood memories is of dressing up in his favorite Red Indian outfit and of the pirate-themed parties his mother used to organize, complete with water bombs and musical chairs. He said, "[I remember] my sister trying to make the cake and forgetting to add the self-raising flour! She ended up using the flat sponge to make a trifle cake instead. Boys don't like trifle when they should have had a pirate cake!"
When it came to holidays, the Middletons rarely went overseas. Weekends were spent walking and picnicking in the surrounding Berkshire countryside, and they would enjoy sailing holidays in Norfolk. Often, they rented a cottage for the school holidays in the Lake District. "The girls would talk about these wonderful holidays they had at the cottage with no water and no electricity," recalled Denise Allford. "They never came back with suntans; they holidayed in the UK most of the time. It was typical of their very grounded life."
By the time James was in pre-prep, Kate and Pippa were boarders, having won their parents over. The girls' boarding house was on the top floor of the newly built science block, and they lived with matron—a kindly woman named Margaret Hamilton. They settled in quickly, proud to be wearing their new uniform—a grey skirt and green sweater with the St. Andrew's tie in the winter and a green-and-white checked dress in the summer. The week worked by routine: Wednesdays and Saturdays were sports match days; hair washing was on Thursday evenings; the school day started at 9:00 A.M. after assembly and ended at 6:00 P.M.; every afternoon at 4:00 P.M. the boarders had tea on the lawns, unless it was raining. This was one of the highlights of Kate's week—the kitchen staff wheeled out trolleys piled high with homemade Marmite and peanut butter sandwiches, buns, and doughnuts. With such intense physical activity during the school week, Kate was burning so many calories that she had lost weight. Carole was concerned enough to pay a visit to the school. "Carole was very worried that Catherine wasn't having enough to eat. She was so thin, her school dress was hanging off her," recalled Mrs. Allford. "Carole came at least once to see Yvonne Blay, the school secretary, to ask her if Kate could be given seconds if they were available because she needed to eat more. Catherine was always tall and slim; she had a fast metabolism and was always tearing around the place. She would often come to see us in the two-bedroom flat we lived in at the school, particularly after our daughter Angharad was born. She and Pippa and their friends Thierry Kelaart and Joanna Hodge would come for toast and hot chocolate and to play with Angharad in the Wendy House. We tried to feed Catherine up, and the girls were allowed midnight feasts usually on Wednesdays, which were more relaxed because it was match day. They were allowed to change into their home clothes and buy some treats from the Tuc shop, which I organized. Catherine had braces at that time so couldn't have anything too sticky—I remember she loved penny sweets and chocolate."
On Saturdays, Michael and Carole would pick Kate up, and often her friends were invited to stay the night. According to Kate's good friend Fiona Beacroft, they would enjoy Saturday nights watching the TV show _Gladiator_ and the movie _Cocktail_ with Tom Cruise, which was Kate's favorite film: "We stayed at each other's houses many times. I remember camping in the backyard with Catherine and Pippa many times. The family are lovely people, very sociable and the house was always filled with laughter."
Being a boarder meant that during the week Kate could play sports as much as she wanted after school. Often once supper was over, she would head to the netball court with some friends for a practice game—taking up her position of goal defense—or to the tennis court for a knock-around with Pippa. But though she was a good all-rounder and fiercely competitive—"putting a lot of pressure on herself," according to Mrs. Allford—Kate did not always emerge triumphant. In Year 8 (seventh grade), when she was thirteen, she lost out on being "head girl," one of the most sought-after positions in her class year, to her friend Chelsie Finlay-Notman. The staff and pupils voted on their first choice, and it was Chelsie who emerged with the honor. Although Kate was successful, she was shy and introverted compared to some of the other pupils; Chelsie was more outgoing. Mrs. Allford remembered that Kate was "disappointed but she never showed it. It was a big deal, but Catherine was having so much success in sports it didn't matter. I think part of her wanted it but she cared about games more. There was always a competition between Chelsie and Catherine. When I was choosing the under-thirteen netball captain, it was between the two of them once again. In the end I made them joint captains."
Kate also had to contend with her sister doing better both in the classroom and on the playing field. While Kate had to put the hours in, Pippa, who was known at St. Andrew's as "Perfect Pip"—a sobriquet that would stick—was a natural at anything she tried. Many older siblings would have been jealous, but Kate was only ever happy for her younger sister. "They had such drive and were very competitive, particularly Pippa, but never against each other, they were very much a team," recalled Mrs. Allford. "Pippa was one of the youngest in her year and very bright and good at everything. I remember she wanted to be a professional sportswoman. She was such a good tennis player, she partnered up with Jim Boyd in the pupil-teacher end-of-term tennis championship. She was more athletic than Catherine, and more of a team games girl. She was the best in the school at rounders. I used to bowl five balls and Pippa would hit every one, and she could place the ball. She was amazing, and she was academically bright."
With their daughters in nearly every play, sports match, and concert, Carole and Michael became a regular fixture at the school. "You looked forward to seeing Mike and Carole," said Mrs. Allford. "They were at the school every Wednesday and Saturday for matches. They would turn up in their Discovery, and Carole was always very well turned out, stylish and slim. You got the impression life wasn't as serious for Mike—he would always make a joke. He brought some balance to the family, I think. Carole was in charge of negotiating the children's education; as parents they were a great team."
Carole enjoyed being involved with the school and joined a staff and parents' netball team that Mrs. Acheson and Mrs. Allford had started. Match nights were on Wednesdays in Newbury, and according to Mrs. Allford, Carole was an impressive goal attack. "She loved it. We used to train on Saturday morning, and Carole would come in early to the school and practice shooting. On a Wednesday night, we'd go to someone's house for a team dinner. Carole didn't keep it up for long because the business started to get busy. She gave up after a season."
At the end of the term, when the teachers wanted to give small presents to their class, Carole would help, and Mrs. Allford recalled her generously bringing leftover Party Pieces stock for the children: "She was very involved. I remember we put a pool table in the boys' quarters and made it into a common room, and Carole called up and said it wasn't fair that the boys had a common room and not the girls. The rules were changed, and we allowed the girls to go and use the common room until the youngest boarders had to go to bed. It was a very British compromise, all down to Carole. I don't remember Catherine or Pippa playing pool, though, but that wasn't the point; for Carole it was all about the principle. She wanted the best for her girls."
Carole and Michael's hands-on parenting paid off, and Kate and Pippa proved to be model pupils. "[Catherine] was a perfectionist and took great care over everything," said Mr. Allford. "She worked hard to keep up in lessons, and endeavor, diligence, and concentration got her through. She was meticulous about everything, and her handwriting was beautiful. Her reports were all first class, and parents' nights were a joy. They were great girls and in the classroom at 8:00 A.M. tidying up before classes. Catherine was tremendous fun. I remember she loved the TV show _Absolutely Fabulous_ , and she was a great mimic. She used to do an impression of Joanna Lumley, and would always joke to her friends when she thought the teacher wasn't listening: 'That's absolutely fabulous, darling!'"
Kate was consistently well behaved and got along well with her teachers. When Dr. and Mrs. Acheson left the school, Kate presented them with a teddy bear that everyone in the family had signed. She had carefully inscribed it with the words that Dr. Acheson had instilled in her: "I'll always keep smiling." "She had the most fabulous smile, and I always told her, whatever happens in life, keep smiling," he recalled.
She was also extremely fond of the Allfords, to whom she gave a framed print of a Picasso painting when she left. She had two other favorites: David Gee, who taught her physical education and math, and Jim Boyd, who headed up the English and drama departments. For a shy girl, Kate was surprisingly extroverted on the stage. The school put on two productions every year, and during her time there, she was in almost every play. It didn't matter whether she had a lead or supporting role; Kate simply relished being part of a team and a production and loved the opportunity to dive into the costume wardrobe. The school had an impressive drama department, with performances staged in the sports hall, known as the New Hall. The teachers and pupils made sets, and rehearsals often took place after class. "Catherine was in most of the school plays I produced, and she was a real joy to direct," said Jim Boyd. "She always remembered her lines, and she was very reliable when it came to rehearsals, which is why she always got good parts. She had a great voice and would often do solos, and she was very confident. If she didn't get a big part, she was never bothered, which was very endearing. She was also up for anything, especially if it involved her dressing up. For one of the parts she played, I had to draw a birthmark on her leg in red lipstick, and she was always happy getting dressed up for something like Comic Relief [the charitable organization]."
One of Kate's greatest achievements was playing the protagonist in _Dick Whittington_ , which required her to wear a green bodysuit and green tights. Pippa scurried along the floor as King Rat in the production, along with their brother, James. "They learned their lines while sitting around the kitchen table at home because it was one of the plays we did in the school holidays," explained Mr. Boyd. "Catherine was brilliant as Dick and managed to carry off playing a total buffoon very professionally. She had to be pretty stupid and gormless, and she executed her lines with great comic timing. I remember there was one line she had to say that went, 'I'm such a prat with a stupid cat,' which really made everyone laugh."
All three children loved being in school plays so much that during the summer holidays, they attended Mr. Boyd's drama camp. "[Rehearsals] would take place from 9:00 A.M. until 4:00 P.M. every day. We would always do a pantomime at Christmas and a play in the summer," recalled Mr. Boyd. Kate was given leading roles in _Snow White_ and in _Cinderella_ , in which she played Prince Charming opposite her best friend, Emily Bevan, who would later become a successful actress. Kate also played a gypsy queen in a play written by Jim Boyd called _Strange Happenings at Spittlebury Manor_ , and she had a key role in _Murder in the Red Barn_ alongside Barnaby Rodgers, the son of screen legend Anton Rodgers, that rather eerily entailed her falling in love with a boy named William who took her to London. When footage of the play was posted on YouTube years later, it caused a sensation. The grainy home video captured a thirteen-year-old Kate speaking to a soothsayer wearing a scarf and gold hoop earring. "Will he fall in love with me?" inquires Kate when she is told she will meet a rich landowner named William. "Indeed he will," responds the fortuneteller. "And marry me?" asks Kate. "And marry you," he confirms, after reading her palm. "It is all I ever dreamed of," she confides to the audience, adding to much laughter, "Oh how my heart flutters." Prophetically, a young man named William then proposes to Kate on bended knee.
As one of the school's best singers, Kate was also chosen to narrate a production of _Joseph_ , in which she mostly sang. Both she and Pippa were in the school choir, but when it came to singing, Kate was better than Pippa and wore a dark blue ribbon—to indicate her higher rank—over her chorister robes. Both girls attended choir every Sunday night in the school's chapel. Kate would often be chosen to sing with the head chorister, Andrew de Perlaky, who also starred alongside her in _My Fair Lady_. Early in Year 5 (fourth grade), she had been picked to play Eliza Doolittle, which was quite a coup as she was just ten. Now a successful West End stage star known as Andrew Alexander, he recalled how Kate successfully mastered a cockney accent, "We worked a lot together on stage, and I remember she was very good at pulling off a cockney accent." Andrew played the role of Freddie, who falls for Eliza, but she rebuffs him. There was a twist of irony to the tale, for in real life Kate had quietly fallen for Andrew, the blond-haired blue-eyed chorister with the voice of an angel. He was the best-looking boy in her year, and Kate had gotten to know him well as they were both in the school choir, but sadly for her, Andrew was already "dating" her friend Fiona Beacroft. "It was funny because it was passed on to me, as happens at school, that Catherine liked me. She never told me that herself, she didn't have the confidence," said Mr. Alexander. "One of her friends, Fiona Beacroft, was my girlfriend at the time. She was more of a chatterbox and a bubblier character, but these were very innocent relationships, and very fleeting—sometimes they lasted a matter of days. I do remember we would go off to the woods to play spin the bottle, and we even staged pretend marriages and had a quick kiss, but Catherine was never a part of that. She was on the outskirts and much shier than the other girls."
Pippa was far more likely to get involved in such hijinks, and when it came to the end-of-year school disco dance, she had to bat the boys away. Fellow pupils and teachers recalled how she was the more gregarious and extroverted of the two sisters, and the prettier of the two. Kate was tall for her age, lanky, and still wearing braces, and Pippa was more popular with boys. "I remember Pippa was more outgoing out of the two of them," said Mr. Alexander. "Catherine was very sweet, but quite shy and retiring, more than most. She wasn't one of the most popular girls in the school. I don't think she had a best friend as such; she had lots of friends. We all got along together and were best friends. No one was left out and there was no bullying. She was friends with everyone and everyone was friends with her."
Although she wasn't especially interested in boys, the arrival of one particular young man had caught her attention. Nearby Ludgrove Prep school would often play matches against St. Andrew's Prep, and there was much excitement when Prince William, a left back on Ludgrove's Colts team, came to St. Andrew's to play a hockey match when he was nine years old. William, like Kate, loved sports and was one of the best hockey and rugby players in his year. Of course, the arrival of the prince generated a flurry of excitement. "I remember when William came to play hockey. The boys wanted to know why so many cars had stopped on the way in because it was unusual," remembered Mr. Allford. "It was William's protection officers and bodyguards, and it caused quite a stir. It went round the school like wildfire." It was the first time Kate had set her eyes on the young prince, but certainly not the last.
CHAPTER 3
A Model Pupil
LIKE MANY PUPILS, Kate bade farewell to the secure and happy environment of St. Andrew's Prep in 1995 with apprehension. Not only was she leaving what had become a second home, but she was on the brink of beginning the next chapter of her life, and she was understandably daunted.
Kate's hard work and diligence in the classroom paid off, and she had gained a place at the prestigious independent all-girls school Downe House. She had visited it with her parents, who considered it the perfect choice. Set within 110 acres of wooded parkland on the outskirts of Newbury in the pretty area of Cold Ash, the school was a convenient ten-minute drive from the Middletons' new home. The family had spent the summer packing up West View, and they were moving to a beautiful detached house in the nearby hamlet of Chapel Row in the village of Bucklebury, which was three miles from Bradfield. Oak Acre was a serious jump up the property ladder and meant a bigger mortgage, but Mike and Carole could well afford it. Party Pieces was bringing in a handsome income, and West View had proved a wise purchase; after buying the property in 1979 for $52,000, they sold it for a substantial profit.
Chapel Row, with its wide tree-lined avenues, is more picturesque and wealthier than Bradfield. Most of the houses cost more than $1 million, and many belong to celebrities and millionaires who want to be in the countryside yet close to the M4 so they can commute to the capital. The village comprises an old part by the River Pang, a large common where the annual summer village fete is held, and Upper Bucklebury, which affords beautiful views of endless green farmland. Compared to West View, Oak Acre, with its five bedrooms, open-plan kitchen, and spacious reception rooms, was like a mansion. Set off a small country lane, the house had purple wisteria climbing up the walls, its own front gate, a gravel driveway, and well-tended front and rear gardens with panoramic views of the countryside. Much to the children's delight, there was also a tennis court.
Pippa's teacher Mrs. Allford recalled that she could not stop talking about "the big house," and the family hosted a housewarming party as soon as they moved in: "You could tell they came into money when they moved into the new house. Their place in Bradfield was tiny compared to Oak Acre, and they were all so excited, Catherine and Pippa especially because it had a tennis court." According to Mr. Singleton, who oversaw the sale of West View, Oak Acre had great potential: "It was a good stock country house; they bought more land because they had the money and they made it really nice. They bought a good few acres, because it was only sold with about three-quarters of an acre. Carole called in designers to help her do it up. She would go off to London to Sloane Square to get ideas and fabrics. The house had very nice soft furnishings—I remember Carole having a thing for tassels at one time, but it wasn't over the top or pretentious. She had a real vista for Oak Acre and she and Michael did a fair bit of work."
By now Party Pieces had been relocated from a rented warehouse in Yattendon to a more spacious converted barn house in Ashampstead Common, a mile down the road from the Middletons' new home. Carole and Michael employed a staff, although Carole was determined the enterprise should retain the feel of a family business. The new office space had a number of outbuildings spaced around a central courtyard and plenty of room for expansion. Now that the business was online, orders were coming in from all over the country, and the warehouses were stacked to the rafters with boxes of party toys.
The Middletons were no longer solely reliant on Michael's trust fund for the education of their children, and Party Pieces' profits helped with the $45,000-a-year fees at Downe House. The school had a good sports record, but above all else, it was known for being academic and getting its pupils into some of the country's best universities. According to the website, it has "strong educational traditions, a firm Christian foundation and a reputation for excellence that goes back over 100 years." Some of the pupils have been daughters of wealthy aristocrats, including Prince and Princess Michael of Kent's daughter Lady Gabriella Windsor—a notable former alumna who was suspended for being caught with cigarettes.
With its impressive position in sports ranking, Michael and Carole were confident going to the school was the right move for their daughter, but Kate had reservations from the outset. Possibly intimidated by the scale of the school, she opted to be a day girl rather than a boarder. Her parents agreed, but it was to prove a terrible mistake as most of the girls in her year were boarders and many had been there from the age of eleven. When Kate arrived at age thirteen, class friendships had already been formed and she struggled to find her place. Being especially slender and a head taller than her peers, she stood out for the wrong reasons and was teased for being gangly and lanky.
According to former pupil Emma Sayle, who was four classes ahead of Kate, "Part of the problem was that Kate was a day girl. Most of the girls were boarders and all of the bonding and friendship-making happened in dorms. Kate missed out on all of that and because she joined when she was thirteen rather than eleven, she had to try and make friends with girls who had been there for two years and had already formed friendships. . . . It is a very cliquey school and there was a lot of pressure. The girls were all high achievers, and there were lots of girls with eating disorders. Everyone wanted to be the best, the fittest, the prettiest. I think Kate was miserable from the start."
Former pupil Taffeta Gray recalled in an article she wrote for the _Spectator_ that Kate was "quiet and square with brown hair. She was a day girl, which is always difficult. In the cliquey atmosphere of a girls' boarding school, to be a day girl makes you an oddity. The day girls tended to keep to themselves, and we boarders looked at them with suspicion." Georgina Rylance, another former pupil, agreed that Kate was at a disadvantage. "I was there from eleven till sixteen and I was four years above Catherine. It does make a difference going from eleven. You have two years of bonding, your first time away all together," she told the _Sunday Times_. "Even some of the most popular girls in my school had a hard time when they came in at thirteen. And of course she was a day pupil. In boarding schools a lot of the bonding takes place late at night, or at the weekends, going to the local sweetshop."
Kate missed out on the nocturnal bonding and banter in the dormitories. She arrived in time for assembly, and then it was straight into lessons. Even by the time she got to class, she found that many of the girls had already paired up with their best friends. Compared to the curriculum at St. Andrew's, the lessons were hard, and she struggled to keep up with her peers academically. Even when it came to sports, where she should have excelled, Kate found she was out of her league. The predominant game at Downe House was lacrosse, which she had never played, and there was no hockey on the curriculum. According to her headmistress, Susan Cameron, who gave an interview to the _Mail on Sunday_ , "She was not selected for the school teams during her time with us, which, given that she was very sporty at her last school, was slightly unusual. Kate may have felt slightly out of things because people at that level would have been well into lacrosse, and I think she probably had never played. It strikes me that could have been a crushing disappointment. You pick up a lacrosse stick and think you're good at games, then someone says to you, 'That's not how you pick up a lacrosse stick,' and you feel rather squashed. It's a delicate age."
Disappointed not to be part of a team on the sports field and shy compared to some of her more outgoing classmates, Kate retreated into her shell. She found the all-girl environment alienating and had little in common with many of the wealthy pupils who owned ponies and came from high-society families. Others, like former pupil Emma Sayle, came from precocious private London schools. There was a hierarchy in place, and according to Emma, you were judged on your class, your background, and how pretty you were. Socially forward girls seemed to have the advantage, as did those who were more developed. Some of the older girls had experimented with alcohol, some had boyfriends, and others were already secretly smoking, but not Kate, who by nature was not transgressive. As her former teacher Mr. Boyd recalled, "Catherine had no interest in boys. She was always very innocent." At Downe House, her naïveté and natural kindness made her a target, and she was picked on. "There was a group in our year called the 'London Trendies,'" said Emma, who became friends with Kate years later when they took part in a charity boat race together. "Kate just wouldn't have fitted in with that sort of thing. She also didn't know anyone, and I think she was very lonely."
Word that Kate was struggling reached her old teachers at St. Andrew's. "We heard quite soon that Catherine wasn't happy at Downe House. It was talked about in the staff room," recalled Mrs. Allford. "It seemed to be more a case of her not fitting in. She was very innocent and ordinary, and the other girls might have been more sophisticated. Catherine had always been sheltered and protected." Mr. Boyd agreed: "I can see why she didn't settle into Downe House; she was an all-rounder and not just a straight-A student."
Although she was desperately unhappy, the headmistress, Miss Cameron, who met with the Middletons several times, played down reports that Kate was badly bullied. "She may well have felt a fish out of water, or unhappily not in the right place. Certainly I have no knowledge of any serious bullying at all. But there's what everyone calls bullying, and there's actual real, miserable bullying where someone has a dreadful time. That certainly didn't happen," she said. "Yes, there would be teasing. It's all part of the normal competition of growing up, of establishing a pecking order. Girls are cliquey by nature and they can be rather cruel. If you're attractive, too, that can be seen as rather a threat. They can sense those who are slightly weaker or who haven't shown their strengths yet, and it's those girls who are likely to end up being picked on or teased. I think it's fair to say she was unsettled and not particularly happy. Maybe in Catherine's case she just kind of went quiet and didn't say anything."
Kate's experience wasn't unique. Some of her friends from St. Andrew's Prep also found the transition of moving to secondary school challenging. "I can totally imagine why Kate had a hard time at Downe House," said Andrew Alexander, who went to Bradfield College. "We'd had such a lovely, innocent time at St. Andrew's Prep, and secondary school was very different. When I went to Bradfield College, I was stunned when I saw people smoking—it was drilled into us not to smoke. It was a shock. St. Andrew's was a complete bubble. Back then Kate wasn't gregarious or assertive, so I can see she might have struggled and didn't fit in. It felt like a rat race compared to the paradise of St. Andrew's."
Not so far away, thirteen-year-old Prince William was also struggling to adjust to his new life at Eton College in Windsor. Whereas his parents—who had separated three years earlier—posed as a happy family outside Manor House, his boarding school, the public appearance, which was captured by no less than three hundred photographers, masked an unhappy truth. The Wales's marriage was over, but their private lives were being relentlessly raked through in the tabloid press. Within William's first term, he had to deal with reports that his mother was having an affair with England's rugby player Will Carling and then a London-based art dealer, Oliver Hoare. He was mortified when Princess Diana gave a now-infamous interview to the BBC's _Panorama_ , during which she lifted the lid on her marriage and revealed her husband's affair with his long-term mistress, Camilla Parker Bowles, who was married to Andrew Parker Bowles at the time. "There were three of us in this marriage, so it was a bit crowded," she told interviewer Martin Bashir. To William's horror, she also spoke candidly about her affair with former Life Guards officer James Hewitt, a family friend who had taught William and Harry to horse ride. Despite the college's best efforts to protect the prince, many of his peers watched the program, and for weeks, paparazzi lurked in the shadows of Windsor Castle, waiting to get a shot of William, who would head there at weekends to stay with his grandparents. It was a difficult start for the schoolboy prince.
William managed to settle in and find his feet, but Kate did not. She hated the name-calling and practical jokes, which were part of the school's rite of passage. Her father, Michael, who under duress had been "a fag" (servant to senior pupils) at Clifton College, remembered how testing school life could be. As a young pupil, Michael had to wait on the older prefects, and he was tasked with shining their shoes, cleaning their studies, and making cocoa, or he risked being punished. He urged his daughter to follow the family mantra and "grin and bear it," but after a second term, it was apparent Downe House was not going to work.
As Pippa and James were still at St. Andrew's and Kate had been so happy there, Michael and Carole paid a visit to the headmaster, Jeremy Snow, for some advice. He suggested that Kate might be happier at Marlborough College in Wiltshire, with its national reputation for sports and academic excellence.
So after visiting Marlborough, the Middletons took their daughter out of Downe House. Leaving halfway through the academic year could have had repercussions on her school reports, but there was no other option, according to Mr. Acheson, "They did the right thing and pulled Catherine out when they realized she was unhappy. It was absolutely the right move. Marlborough was the right choice." Being that it was an hour's drive from home, it was agreed that Kate would be a boarder, which meant Carole and Michael would only see her for weekends every fourth week.
Set on the edge of a historic market town where it dominates local life, Marlborough College is an impressive collection of original buildings scattered around the beautiful Wiltshire countryside. The school, considered to be one of the most promising coeducational establishments in the country, was founded in 1843 for the sons of Church of England clergymen. The $44,000-a-year college counts the poet Sir John Betjeman; singer Chris de Burgh to whom Kate is distantly related through her father; the Prime Minister's wife, Samantha Cameron; and Princesses Beatrice and Eugenie as notable former alumni. Out of its fourteen boarding houses, it educates a total of 889 pupils from the ages of thirteen to eighteen, about two-thirds of them girls.
It was a warm spring morning in April 1996, the sun shining on what the Middletons hoped was an auspicious new beginning. As Carole and Michael arrived at the school, they were characteristically optimistic and upbeat. Dressed in her new uniform of a dark green kilt, round-necked navy sweater, and blue-and-white striped cotton shirt, Kate knocked—a little tentatively—on the front door of her new home, Elmhurst, an impressive Victorian house with a modern extension. Her housemistress, Ann Patching—who became something of a surrogate mother during the school year—was there to greet her. Kate said good-bye to her parents and went upstairs to her room, her trunk packed full of notebooks, mementos, and pictures of her family and friends, plus a pretty bedspread Carole had sent along to make her feel at home.
Kate wasn't the only pupil to join halfway through the academic year: Sebastian Robles-Rudd, a boy from Argentina, also arrived on the same day. As a governor of St. Andrew's, the headmaster of Marlborough, Edward Gould, was aware of the circumstances under which Kate had left Downe House, and he took her under his wing, inviting her to join him and his wife for occasional mealtimes so that he could keep an eye on her. According to another pupil, Gemma Williamson, who lived in Mill Mead boarding house a short walk away, Kate arrived a slip of a girl and painfully shy. "Apparently she had been bullied very badly at her previous school and she certainly looked very thin and pale. She had very little confidence," she told the _Daily Mail_.
Kate's residence house tutor, Joan Gall, recalled how timid she was on arrival and that she suffered from mild eczema, often a result of stress. "When she first arrived, she was very quiet. Coming into a big school like Marlborough was difficult, but she settled quickly," she recalled. Ann Patching, who worked at the school for over a decade and was married to Mitch Patching who taught rugby and French at the college, said that Kate didn't talk about her past experience. "She didn't make a big deal about it. I can't remember if it was her or Carole who mentioned Downe House. It was a concern, but they were determined to move on."
Another pupil, Hannah Gillingham, who was in Kate's boarding house, was assigned to look after her, but Kate made friends quickly and was affectionately known as "Catherine Middlebum." An early riser, she had no problem with the 7:00 A.M. wake-up calls and was always the first at breakfast, where she typically enjoyed fresh croissants. Lessons started at 8:45 A.M. and continued until lunch at 1:00 P.M. Afterward, pupils played sports until 4:00 P.M., when it was time to head back into the classroom until supper at 6:00 P.M. Mealtimes were relaxed and pleasant in the atmosphere of the Victorian dining room, complete with its original arched beams. According to Mrs. Patching, Kate had a healthy appetite and soon put on the weight she had lost at Downe House. "Catherine loved eating. She loved lasagnas and pasta bakes, good old carb stuff. I used to do a chicken pesto. The girls were great to cook for because they would eat anything. Catherine always stayed very slim but she always had a very healthy appetite."
Students did their homework, or "prep," in the communal dormitories from 7:30 until 9:00 P.M., with house tutors on hand to help. There was then time for some rest and relaxation. Walkmen were the latest thing, and Kate loved to either listen to music or read a novel. Her favorite TV show was _Friends_. According to Miss Gall, she was such a fan of the American sitcom that at one of the end-of-year concerts known as the "House Shout," Kate belted out the theme tune with her friends. Lights-out was at 10:30 P.M. Mrs. Patching had a no-nonsense approach, and any horseplay would mean being assigned an early morning run the next morning.
Unlike at Downe House, Kate's class year was small. There were seventy girls in her house and just fourteen pupils in "The Remove," as her year was known. She lived in a dormitory with three others—the girls didn't get their own rooms until they entered sixth form (the last two years of secondary school)—and in order to prevent them from becoming too cliquey, Mrs. Patching chose the dorm mates and rotated them every term. "It was a way of keeping things fresh," she explained. "Catherine was able to settle in very easily, as soon as she joined. She got involved in school life and loved sport and music."
It wasn't long before Kate's sporting prowess was observed, and she gained a coveted place on the school's hockey and netball teams. Much to her delight, she was made joint captain of the first tennis team with her friend Alice St. John Webster. Miss Gall, who was also head of physical education, recalled that Kate switched positions to goal attack in her netball and "was very good, but her hockey was stronger." She also excelled in high jump and swimming.
Eager to ensure their daughter was happy, Carole and Michael visited Kate regularly. They came to watch interschool matches on Saturdays, and as the spring and summer terms progressed, she began to come out of her shell. During the summer holidays, she was full of stories about her school life, eager to make Pippa, who would be starting in the new academic year, feel excited and part of the school community. The fact that Pippa had won an all-rounder scholarship to Marlborough was a source of pride to the whole Middleton family. "Pippa came into the school as a sports scholar. Catherine was very protective, but I don't think Pippa needed much protecting—she was very successful," recalled Mrs. Patching. "She was in the first hockey team from a young age, while Catherine worked her way up. She settled in easily and Catherine kept an eye from a distance. There could have been jealousy on Catherine's part because Pippa was very talented. She was good at everything and sharper academically, but I don't think Catherine ever resented that. She was always pleased for her sister's success." From her very first day, Pippa exuded a natural confidence, and along with her bubbly exuberance, she made friends easily, attained grade A's effortlessly, and was known, as she had been at St. Andrew's Prep, as "Perfect Pip."
Both siblings continued with their music. Kate sang in school concerts and played the flute and piano. "There was one occasion when Catherine was playing a game and Pippa was in a concert, so Michael and Carole split up so they could both support the girls," recalled Mrs. Patching. "I remember once they played a duet on the piano in one of our house concerts, which we had on a Sunday and Michael and Carole were there for that. I seem to remember a giggle after the first couple of bars; they'd made a mistake and cheekily turned to the audience and said, 'We think we better start again!'"
Both girls were on the First Hockey team with Hannah Gillingham, Alice St. John Webster, and Emilia d'Erlanger, all boarders in Mill Mead House. "The girls all became close and we would have a lot of fun together," said their hockey teacher, Jon Copp. "I used to tease them and challenge them. I remember Emilia was quite a character and cheeky from the start. She put a snowball down my neck in the first term. Alice St. John Webster was a bundle of energy and Hannah Gillingham was one of the school's best hockey players. They gelled as a group and became great friends. We used to have pizza parties at the end of term to celebrate our wins."
The only unhappy spell at Marlborough came when Kate was forced to stop playing hockey. She had discovered a lump on the left-hand side of her head. Evidently concerned, the school called Carole who rushed Kate to their doctor. The lump was considered potentially serious, and Kate was operated on within a few days. Mrs. Patching recalled, "I can remember the incident and her having an operation. I don't recall anything happening on the hockey pitch [field] that had anything to do with the lump," she said after some of the media reported that her scar might have been the result of a sporting accident. "Catherine had the operation during her term time. She was back at school very soon afterwards. As usual, nothing was too much of a big deal for her. You could never accuse Catherine of being a drama queen, but Carole was very worried, as any mother would be."
One former pupil said that the operation "was pretty serious" and alarmed everyone, as it happened shortly after the tragic death of a fellow pupil, Hugo McDermott, from a brain tumor. "Catherine and Pippa were very kind to Hugo's brother Ed who was also at the school when his brother died, and they got involved with some fund-raising," recalled a former student. The operation left Kate with a small scar on her hairline that is still visible today, though it mostly stays hidden under her hair. Privately, she and William—who uncannily also bears a scar on his head from being struck by a golf club at age nine—are said to refer to their wounds as their "Harry Potter scars."
It was a brief moment of concern amid an otherwise very happy time. "It was like a big happy family in Elmhurst," said Miss Gall. "We would do things like bake cakes and watch videos." As she made her way through her school days, Kate made friends for life. As well as her hockey friends, she was close to Susanna Housden in her house, and Catriona Lough and Gemma Williamson, who both boarded at Mill Mead House. The girls would catch up in "Court," the principal meeting place by the main school building and the hub of the school. On weekends, they were allowed to take tea at the Polly Tea Rooms in the town center. In the evenings, they would relax in the common room of their house, which had its own TV and a small kitchen—known as a "brew"—where Catherine would make her favorite microwaved Marmite sandwiches. Sometimes the Patchings, whose children, Bethan and Daniel, were in Catherine's year at the school, would host barbecues for the pupils. "The Patchings and Mrs. Gall were totally wonderful, like surrogate parents," recalled former Elmhurst pupil Alex Martin. "We had dorms in the first two years, which gave the house a family feel, but mainly it was all the extras the Patchings arranged—spontaneous barbecues on weekdays in the summer after prep, trips to the cinema on Saturdays, weekends away in the Wye Valley camping and canoeing, an annual house walk and sleep over in a barn. The Patchings would welcome us into their home and were always around for a chat.'
As she gained in confidence and maturity, Kate was seen as one of the school's most promising students, and as such she was given more responsibility than most. She was made a "guardian" for new pupils in the first year—a job that she took seriously. Having experienced what it was like to feel overwhelmed and unhappy in a new school, she was perfectly positioned to help others who might have been homesick and apprehensive. "She would take care of the newcomers. You could see that Catherine wasn't a threatening character, the new girls could talk to her and approach her, they felt comfortable with her," said Mrs. Patching.
Kate studied hard, sitting for various exams for the General Certificate of Secondary Education (GCSE) in the summer term of 1998. Intending to make the most of her freedom afterward, she and her friends took part in a school hockey and rugby trip to Argentina. Returning home, Kate and her family spent the remainder of the summer in the sun-kissed Caribbean. When she went back to school for the lower sixth in September to study for the first year of her A-levels (the academic track), it was obvious to everyone that sixteen-year-old Kate had undergone something of a metamorphosis. "It happened quite suddenly," Gemma Williamson recalled. "Kate came back after the long summer break an absolute beauty. Although she was sporty, Kate was very feminine, too. She always had a lovely willowy figure, but now she had filled out and the color was back in her cheeks . . . every boy in the school fancied her rotten." With her honed figure, blonde highlights, and attractive dimples, she was suddenly top of the "Fit List," ahead of Alice, Emilia, and Pippa. "We had fit lists that the boys pinned on the walls. Kate was at the top," said a former pupil. Denise Allford also recalled being bowled over by Kate's transformation when she came back to St. Andrew's to collect James, who was about to start at Marlborough. "Carole had taken the girls shopping on the King's Road for the day. Pippa was always a tomboy, but Catherine had lost her braces and looked stunning. She was wearing makeup and looked amazing."
As a sixth former, Kate no longer had to wear a uniform; instead, she was allowed to wear a long black skirt that she could team with a jacket—so long as it was tailored. Even then she favored simple classic designs and had a collection of blouses and sweaters from the high street store Jigsaw. She also had a penchant for gilets (waistcoats), which were fashionable at the time. For the first time she also used makeup—only a hint of blusher and a lick of mascara. Always lithe because of her love of sports, Kate had filled out physically. One entry in the school's yearbook read, "Catherine's perfect looks are renowned . . . but she is often found squinting down her top, screaming, 'They're growing!'"
Although the girls and boys at Marlborough had lessons together, there were strict rules when it came to socializing. Mrs. Patching allowed boys into the boarding house, but any visits had to be cleared by her in advance. Kate never took advantage of Mrs. Patching's liberal attitude, and according to those who knew her well, she wasn't particularly interested in having a serious boyfriend until she got to the sixth form. Being educated with boys for most of her life, Kate was relaxed around them and had plenty of male friends. She got along particularly well with some of the boys in her year: Hugh Macdonald-Brown, Mrs. Patching's son Daniel, Hugh Twort, and Andrew Coventry. She had her first kiss with Woody, the elder brother of her friend Alice St. John Webster. Their innocent relationship involved nothing more than some harmless smooching behind the Mound, a renowned landmark at the heart of the college grounds, where, according to Arthurian legend, Merlin's bones are buried. Woody was in the year ahead of Kate, and they had gotten to know each other through Alice. A boarder in Cotton House and captain of the rugby and tennis teams, Woody was remembered by one former pupil as "popular and kind." With his athletic physique and boyish good looks, he had caught Kate's eye. But the relationship was short-lived, and even when she developed a crush on Willem Marx, a dashing floppy-haired boarder, Gemma Williamson felt that Kate was hanging back: "I got the distinct impression that Kate wanted to save herself for someone special. It was quite an old-fashioned approach, especially at Marlborough, where half of the pupils were already having sex."
Kate was still a virgin, and she did plan to save herself for someone special. At school, it was Pippa who was more popular with boys. "She could hold her own in any social situation. She was bright, pretty, sweet and always tanned," recalled one of their contemporaries. "Even though Kate was older, it was Pippa who got talked about more. She was more light-hearted and up for a party, whereas Kate was reserved and didn't like to drink that much. Pippa was never short of male attention." Pippa dated several boys at the school, including one of Marlborough's best rugby players, but Kate didn't have a serious boyfriend, though according to her dorm mate Jessica Hay, she harbored a crush on the teenage Prince William. "She would joke, 'There's no one quite like William.' She had a picture of him on her wall," Miss Hay told the _Mail on Sunday_. But Kate laughed off the story in her first-ever interview years later: "No, I had the Levi's guy on my wall, not a picture of William." Indeed, when William came to Marlborough for interschool events, Kate was more interested in playing hockey than waiting at the goal line on the hockey field above Wedge-wood, where some of the girls congregated to gawp at the prince. Others would gather outside Mill Mead, where the buses parked, so they could chase after the boys as they drove off. But not Kate. "There was a little bit of spying by some of the girls, but Catherine was busy playing hockey," said Mrs. Patching. "Afterwards, she would host a table for the away team. She and William may have bumped into each other then, because the home and away teams all ate in the dining room."
Painfully shy and acutely aware of his unwanted celebrity, William was known for keeping his head down, self-consciously trying to avoid the attention he attracted. He was still coming to terms with the trauma of losing his mother two years earlier in a tragic car crash in Paris. Like all her friends, Kate had followed the story closely, deeply saddened by the princess's death, which had prompted an outbreak of mass mourning around the world. The loss to Prince William and Prince Harry was almost unbearable, and when William returned to school, he threw himself into his studies as a distraction. He had pleasantly surprised his teachers at Eton when he passed each of his twelve GCSEs, excelling in English, history, and languages. Throughout his school life, William was well aware of how different he was. He would joke on the weekends that he was "off to WC," which baffled his friends at first until they realized he didn't mean the toilet, but nearby Windsor Castle "to see granny."
With her stunning transformation, it wasn't long before Kate caught the eye of the best-looking boy at the school and began dating Harry Blakelock, an upper sixth former, in the fall of 1998, when she was in the lower sixth. It was her first proper romance and Kate was smitten. Tall, incredibly good looking, and popular, Harry had a reputation for being quite a catch among the girls. "It was well known that Kate was dating Harry when he was in the upper sixth, although it has stayed a secret until now. They were together for most of Harry's final year," recalled a friend and former pupil. "Harry was a boarder in B1 and he was very sporty and captain of his year's rugby team. He was an excellent scrum half and a good cricketer. He played in the First Eleven, and he was also very good at hockey. He was what you'd call a model pupil—top of his year and very clever. Kate was in the lower sixth and it was her most serious relationship at Marlborough. It fizzled out when he left school and took a gap year [year off]." Kate was heartbroken, according to her friends. She desperately wanted to make the relationship work, but Harry was planning to travel overseas and they both agreed it would be quite impossible to be in a relationship when they would be on opposite sides of the world.
The summer of 1999, before she started the upper sixth, was one of mixed emotions for Kate. She was crushed and bruised from the breakup with Harry, but her attention soon turned to new possibilities. Her friend Emilia d'Erlanger had introduced Kate to some of her out-of-school friends. The niece of the tenth Viscount Exmouth, Emilia was fantastically well connected and part of William and Harry's friendship group, known as the "Glosse Posse," so called because most of the aristocratic "members" resided in Gloucestershire, where the Prince of Wales has his country house, Highgrove. The Glosse Posse would meet on weekends and during holidays when they were invited to Club H, William and Harry's "den" in the cellars of Highgrove. Complete with a set of turntables on which they played vinyl records, a bar stocked with nonalcoholic beverages, and a portrait hung in the bathroom of their ancestor Edward VIII, who threw the monarchy into chaos when he abdicated in 1936, the get-togethers were a great deal of fun.
Being so close to Emilia and Alice, who was also a member of the exclusive group, it was only a matter of time before Kate met William, and that summer they were introduced. "We all knew as teachers that that year group was moving in royal circles, they were friends," recalled Mrs. Patching. Another of Kate's teachers described Kate as "on the fringe" of the royal set. "I was aware that William was friends with Mark Tomlinson and Emilia d'Erlanger. It doesn't surprise me that she met William while she was at Marlborough. It was certainly within the bounds of possibility, put it that way."
Their very first encounter is not something Kate has ever spoken about; indeed, it has always been believed that Kate first met William when they were freshers (freshmen) at St. Andrew's. When she returned to school in September, there was much talk about the summer holidays. Alice told friends that she had met up with William and that he had asked for her number, but Kate kept quiet about their own meeting and threw herself with gusto into her final year.
During her upper sixth, Kate, like William, was given the honor of serving her school. The prince was made a member of Pop, a select group of prefects at Eton, and Kate was appointed head of house. "Marlborough did some big social days out in London, and as a prefect, one of Kate's jobs was to promote the school. She was an ambassador for the school and a very good one," said Mrs. Patching. "Catherine had a good relationship with everyone. She was very well-mannered, she was aware of social situations. She had a real confidence in herself. She felt secure at Marlborough. She was successful and diligent and hard-working. When she got to the upper sixth, she had a lot more responsibility. She was able to go into any sort of social situation and speak to anyone."
As a prefect, Kate enjoyed the use of a special common room and was also allowed to hand out punishments to others, but she rarely did. In fact, when she caught older pupils having a forbidden cigarette on the playing fields beyond the central quad, she turned a blind eye, not wanting to be seen as a tattletale. She herself had never been part of the more hedonistic set that experimented with boys, smoking, and alcohol. Apart from having to join Mrs. Patching on one of her "punishment runs"—for little more than having her lights on late—Kate was never in trouble. She performed well in class, and though she wasn't a natural academic, her hard work got her good grades in her chosen subjects—chemistry, biology, and art. Kate was determined to go to a university, aware that she would need top grades to be selected for one of the best in the country. She would also need an array of extracurricular activities to add to her university application. Although her passion was still for sports, she enrolled in the Duke of Edinburgh Gold Award program, which entailed volunteering in the local community, learning a new physical skill for a year, and participating on a four-day trek in the wilderness. According to Mrs. Patching, it was "a huge achievement" for Kate, who was one of the few pupils who made a point of completing the paperwork so that she could go and receive her medal at Buckingham Palace. It was a fitting end to a very happy school life. Now all Kate needed were her grades.
CHAPTER 4
A Change of Heart
KATE FLEW DOWN the stairs as soon as she heard the letterbox clatter. It was Thursday, August 17, 2000, and the whole family had been waiting for the postman to arrive. The brown paper envelope that would seal Kate's future lay on the doormat. "Open it," squeaked Pippa, who had raced downstairs behind her sister. Kate tore it open and read the typed letter twice. She smiled, looked up at her family, and announced the good news. She had achieved two A's and a B, exactly the grades she needed for her first-choice university, Edinburgh. She skipped with joy, threw her arms around her sister, and rushed to phone Emilia and Alice, who had also applied to the Scottish university. For most of the upper sixth, the three best friends had imagined their lives together as students in the Scottish capital. Kate hoped desperately that they had gotten their grades.
Some 8,000 miles away in the Belize jungle, Prince William was also celebrating. The eighteen-year-old prince was on exercise with the Welsh Guards in the South American jungle when he received an e-mail from his housemaster at Eton, Andrew Gailey, telling him that he had achieved an A in geography, a B in history of art, and a C in biology, and most important, a place at the University of St. Andrews to study for a degree in the history of art. His father had already sent an e-mail of congratulations, and back at home Charles told reporters he was delighted with William's results: "I know how hard William worked to achieve these excellent results and I am very proud that he has done so well." St. James's Palace issued a statement confirming the happy news. "Prince William is obviously delighted and relieved that he has got into St. Andrews and is very much looking forward to becoming a student in a year's time."
St. Andrews University is steeped in royal history—the Scottish King James V studied there in the early sixteenth century—but of course when the Palace announced that Prince William was going, the university became world-famous overnight. The compact coastal town of St. Andrews is "a destination rather than a place one stumbles across, because it is so remote," according to the university's former vice chancellor Brian Lang. The population is tiny, just 18,000 residents, and the town is dominated by students. With the news that William was going to be studying there, its popularity rocketed and the university's registrars recorded a 44 percent rise in applications. Coincidentally, the university had just shot up the league table to become the only Scottish university in Britain's top ten elite colleges, ahead of Edinburgh. Delighted to be charged with the education of a future King, a spokesman said, "We are pleased for Prince William as we are for all successful applicants to the University of St. Andrews, and look forward to welcoming him to our community next year," adding that the university would be a "unique, nourishing, and challenging" place to study.
Like Kate, William had initially wanted to study at Edinburgh, where the history of art degree program is considered one of the best in the country. Whereas his father and his uncle Edward had studied at Cambridge, William had been eager to break the mold. He didn't want the academic pressure of studying at Oxford or Cambridge, and he had loved Edinburgh when he visited the campus. The city was considered the party capital of the British Isles and some of William's friends from the Glosse Posse were heading there. But despite William's enthusiasm, both his housemaster and his father had urged him to reconsider. Edinburgh is a large, fast-paced city, where the protection of the prince would be complicated. On their recommendation, William had gone to visit St. Andrews, a smaller, more sheltered university than Edinburgh, where the history of art program also enjoyed a first-class reputation. The Queen's cousin James Ogilvy, the son of Sir Angus Ogilvy and Princess Alexandra, was a former student. He had loved studying there and urged William to take a look. After an informal visit, William agreed it was the right choice.
Kate, however, was set on Edinburgh, and according to her residence house tutor, Miss Gall, who helped Kate complete her Universities and Colleges Admissions Services (UCAS) form, and Jasper Selwyn, the career adviser at Marlborough College, it was the first choice on her UCAS form. "As far as I am aware she had a place confirmed at Edinburgh," said Mr. Selwyn. "She was accepted through the usual UCAS routine. In those days you applied for five courses and got acceptances and rejections depending on your grades. You chose one firm place and one insurance. Kate's firm choice was Edinburgh and that was confirmed." Miss Gall insisted that it was not just the fact that her friends wanted to go that made Kate enthusiastic about going. "She wouldn't have applied to Edinburgh just because her friends were going; it was because of the course. She wanted to read history of art," she said. The arts faculty is regarded as one of the best in Britain and in their final year, the history of art students are given highly coveted work placements at either a gallery or a museum to prepare them for life as a postgraduate.
Although the course was prestigious, the social life was another attraction, and with only six hours of lectures a week, the students, who at the time had the biggest students' union in Britain, were known to spend more of their time in coffee houses or bars, or throwing dinner parties, than studying. Emilia and Alice couldn't wait to move to Edinburgh, but upon receiving her grades, Kate had a dramatic and sudden change of heart. She decided to turn down her place at Edinburgh, take a gap year—a year off—and reapply for St. Andrews.
It was a bold move and very risky, and rather out of character for Kate. There was no guarantee that she would get a place in the history of art program at St. Andrews, which was oversubscribed now that William had confirmed his place. Kate was convinced it was the right thing to do and already had an idea for the first part of her gap year. Her cousin Lucy, an undergraduate at Bristol, was studying Italian in Florence and had been badgering Kate to join her, tempting her with the city's historic art, the opportunity to learn Italian, and the great social life to be had. It suddenly seemed too good an opportunity to miss. Having discussed the idea with her parents and after outlining her evolving plans for the rest of the year, she enrolled in a three-month course to study Italian at the British Institute in Florence. The program started in September and ended at Christmas. There was a voluntary expedition to Chile that had caught Kate's eye, and she intended to do some research on that as soon as she sent off her new UCAS form. Her friends were rather taken aback—it was unlike Kate to let them down. Knowing they were going to be undergraduates together in Edinburgh had kept her, Emilia, and Alice going through their exams, and she knew that Pippa was planning to apply the next year. Her decision was rather mysterious, according to her housemistress, Mrs. Patching: "After she left school, Catherine made some different decisions, but why she made those decisions I don't know."
Jasper Selwyn believed that turning down a place at Edinburgh, which was deemed one of the best universities in the United Kingdom, was unusual. "Edinburgh was a very popular choice, St. Andrews less so, probably because it was smaller." Another senior teacher at Marlborough who oversaw the reapplication said that the school was fully supportive of Kate's decision, even if it was somewhat surprising. "The school would have been aware of her reapplying and they would have been involved. She would have reapplied at the end of August or the beginning of September; it was a fairly smooth system. Everything was set up to help her. She decided to reapply, which is fair enough."
Kate was required to turn down her place at Edinburgh formally through UCAS, so Marlborough advised her to write a letter to the university directly as a matter of courtesy. Once she had reapplied to St. Andrews, she packed her bags for Florence. She did have the required grades to get into the history of art program, and it was now more a matter of whether she would be able to gain admission. It seemed every girl in America wanted to come to St. Andrews to search out the prince. Kate would have read the papers. She would have known that William was going and that there was every chance they could be in the same program at the same time if she got a place to study there.
As usual, her parents were wholly encouraging and knew that when Kate set her mind to something, generally it happened. Some royal watchers have claimed that Carole persuaded her daughter to apply to St. Andrews. Society journalist Matthew Bell penned an intriguing article in the _Spectator_ after Kate graduated. "Some insiders wonder whether her university meeting with Prince William can really be ascribed to coincidence," he wrote. "Although at the time of making her application to universities it was unknown where the prince was intending to go, it has been suggested that her mother persuaded Kate to reject her first choice on hearing the news and take up her offer at St. Andrews instead." Bell, who claimed he had "a reliable source who knows Kate very well," fueled a frenzy of speculation. The truth is Kate did change her mind and reapplied to St. Andrews, knowing that the prince was going there, but only she truly knows whether her change of heart was because of William.
William had also been allowed some time to unwind before embarking on his vocational gap year. It was July of the new millennium and France had just won the European Football Championships, England having failed to even qualify for the quarterfinals. Despite this bitter blow to national pride, William was enjoying the summer, riding around the country lanes near Highgrove on the new Honda motorbike his father had given him for his eighteenth birthday. The present marked a coming of age, as did his new romance. Rose Farquhar, a student at the nearby Westonbirt School in Gloucestershire and part of the Glosse Posse, had been friends with William for some years. Like William, she had just finished her A-levels, and when one of their nights out had become amorous, they saw no harm in embarking on a summer romance.
However, idyllic as it was—both the summer and their romance—the courtship was brief, for William was to embark on an action-packed year off. Ideally, he had wanted to ride polo ponies in Argentina, but Charles had devised a more educational gap year for his son that was to be both fun and challenging. That August, William left the United Kingdom and headed for Belize for a taste of army life. There, William took part in an operation, code-named Native Trail, deep in the jungle, where he was trained by the Welsh Guards in survival skills, learning how to treat a snakebite and kill a chicken for food. Immediately afterward, he flew to Rodrigues, an island off the coast of Mauritius, a paradise of white sands and warm turquoise waters, a welcome contrast to the humid rain forest of South America. But William wasn't there solely to work on his tan; the Royal Geographical Society operated the Shoals of Capricorn project, and the prince was to spend most of the trip learning about the endangered coral reef. Determined to stay under the radar, he checked into a no-frills guesthouse for a month as "Mr. Brian Woods."
Meanwhile, Kate had arrived in Tuscany in September and was enjoying the dizzying charms of the Renaissance city of Florence. It was her first time living overseas without her family, and Carole had been on the phone to her niece Lucy to make sure everything was in place ahead of Kate's arrival. By a stroke of luck, a room had become available at the apartment Lucy was renting, and the British Institute, which oversees students' accommodation, offered Kate the room for $750 a month.
The apartment was situated in a residential block in the center of town, a stone's throw from the British Institute on the Via della Spada, one of the choicest roads in the city and conveniently located above a delicatessen where the girls could grocery shop. Each morning, just after 8:30 A.M., Kate pushed open the heavy door onto the bustling street, bought herself a cappuccino, and made her way through the beautiful Florentine palazzos to the British Institute. It was balmy and magical, and after her lessons from 9:00 A.M. to 12:00 P.M., she took advantage of the warm afternoons to stroll around the cobbled streets, soaking up the city and its Renaissance treasures. Being in Florence was invaluable, given her choice of university degree, and she relished the opportunity to familiarize herself with the countless masterpieces that were on display around the city in galleries, museums, cathedrals, and churches.
Ever the ambitious student, Kate had signed up for an intermediate course, but languages were not her forte, and after a couple of weeks she dropped down to beginner's Italian so that she could spend less time studying and more time enjoying the delights of the city. She had brought with her a professional camera with a long lens and set about compiling a portfolio of work. Mostly, she shot scenes of city life, spending hours on the busy Ponte Vecchio capturing the hustle and bustle of the Florentines and the city's myriad of tourists as the afternoon sunshine dipped into early evening.
Sharing a house with Lucy and her two other roommates meant Kate was rarely homesick. But several weeks after she arrived, her cousin moved into another apartment in the city. But by then Kate had forged new friendships, and though she was never lonely, she was still pining for Harry. Those who knew her during her time in Florence say she was still heartbroken after the breakup and often talked about her ex-boyfriend. "When Kate arrived, she was really hung up about this boy from Marlborough called Harry," recalled a friend. "She spoke about him all the time. I think he might have broken her heart slightly. He seemed to have blown hot and cold with her when they were at school, and she was always talking about how she could get him back. He was the only boy she talked about, and I don't even think it was that serious. They definitely didn't sleep together. I got the distinct impression she was still a virgin."
With her wavy brown hair, button nose, and athletic physique, Kate was a hit with the boys and known as "pretty Kate." But she didn't date anyone during her time in Florence, nor did she engage in flirtations with the many handsome young Italian barmen who would ask her out. "Italian bar men would love Kate, and the irony was that because they always fancied her, the rest of the girls used to get free drinks, but Kate would only have one glass," said her friend. "Whenever she went to a bar, the Italians would fall over themselves to serve her. She would handle their compliments very gracefully but would never rise to it. She was very demure, and partly because her Italian wasn't very good, wouldn't respond." Kate found the attention amusing and would giggle at their over-the-top pickup lines, but she simply wasn't interested. "She was very unassuming and young for her age and not really interested in boys," added the friend. "She would attract male attention, but she was shy around boys. When they approached her, she would always get very embarrassed. She never seemed comfortable with the attention. She had an aura about her, and everyone who met her adored her. She knew she was good-looking, but she wasn't arrogant about it."
Although she socialized, Kate wasn't a big drinker, and when her friends went to the famous Caffè Giacosa, the home of the Negroni cocktail, Kate would make a solitary glass of wine last all evening. Occasionally, she would go to the Art Bar next to her apartment, which was famous for its fresh fruit cocktails, but she would never drink to excess. "She'd get giggly and silly after a few glasses, so then she would stop," said a friend. "She was never interested in getting really drunk. She wasn't really a party girl. There was lots of socializing among the British Institute pupils, who were all very well-to-do, posh public-school kids. They would all get rather drunk and silly, but Kate didn't enjoy alcohol. She wasn't uptight or boring, she was really fun and lovely, but going out and getting wasted really wasn't her thing. She never, ever let herself get out of control. While others were often doing drugs around her, she wouldn't be anti or judgmental, in fact she was quite interested in what drugs did to you, but she would never ever try them. I never saw her smoke, either." She rarely went out clubbing but loved to dance and would sometimes go to a member's club called the Blob just behind the Piazza della Signoria.
Although alcohol and drugs did nothing for her, Kate was passionate about food and loved to shop at the _rosticerria_ (rotisserie) opposite her apartment that sold delicious home-baked lasagnas and pasta dishes to take out. On Sundays, Kate and her apartment mates treated themselves to a leisurely brunch by the river and then went shopping. The designer boutiques Valentino and Versace were on the road parallel to theirs, but Kate didn't have the money to shop at such expensive boutiques. She had arrived with just one suitcase, and her staple outfit was fitted jeans and V-neck sweaters, which she wore smartly with a Ralph Lauren shirt. "She was very horsey and public school in her fashion," according to one of her girlfriends. "She always wore her hair curly, not straight, and she was curvier than she is now." That might have been because of her love of cooking and the fact that she often prepared dinner parties for her friends in the open-plan kitchen. She would spend hours browsing the local food markets for fresh produce, and like her mother and sister, she was a good cook.
When her parents came to visit in October 2000, they checked into a boutique hotel and treated Kate to dinners at some of Florence's most fashionable restaurants. "Her father, Michael, was quiet, but Carole was very gregarious and would not stop telling Kate how beautiful she had become," recalled a friend. "She had rosebud lips and this amazing mane of hair and she was gorgeous. When they were at dinner, Carole would exclaim to the waiters: 'Look at my English rose. Isn't she so beautiful? What do you think of the waiter, Catherine?' Kate would be cringing in the corner, but she knew it was true."
Like her peers, Kate spent much of the time thinking about the future and pondering what university life might bring. Her friend recalled that she had set her sights on St. Andrews and was waiting to hear if she had been accepted to study there, "She was going off to university, but she had deferred her place. We talked about the fact that William was going to St. Andrews." The prince was a popular topic of discussion after it was speculated in the press that he might be enrolling at the prestigious John Hall Pre-University Course in Florence to brush up on his history of art, before going to St. Andrews. Prince Charles had hosted a lunch at Highgrove that August for the mayor of Florence and a number of well-known Italian dignitaries, who suggested that William, soon to be a history of art student, should visit the city. There was quite a buzz about an imminent royal visitor among the aristocratic crowd in Florence, among them Princess Anne's goddaughter Lady Eloise Anson, who was taking a fine art course and was a popular fixture at the riverside bars. "There were a lot of very well connected posh English girls straight out of boarding school and lots of girls who knew Prince William, or claimed to know him. And there were people in particular who would brag about him all the time, especially as we thought he was going to be coming out to study on the John Hall course," recalled a former student. Kate, however, appeared nonchalant and didn't tell a soul that she had already met William.
While she waited to hear if she had been accepted at St. Andrews, she learned that she had qualified for a place on a volunteering expedition to Patagonia in Chile that was organized by the UK-based company Raleigh International, which coordinates community and environmental projects in South America. Kate had found out about the program through the career department at Marlborough, and being an avid explorer, when she realized she had a whole year to fill before going to her university, had applied for the $4,500 trip. At school she had loved adventuring and hiking, and the Duke of Edinburgh Gold Award had prepared her well.
She felt she was more than equipped to apply for the overseas adventure, and after a preliminary interview, she took part in a tough assessment weekend in the countryside in Oxfordshire, where she had to carry out survival exercises and sleep underneath a tarp, with only a ration pack for sustenance. Some weeks later, she was informed she would be heading to Coyhaique, the small capital of Region XI, where Raleigh is based, at the start of the new year. By coincidence, it also happened to be the very same destination to which William would be heading in October.
Prince William returned home from Rodrigues at the end of September, but he had an onerous task to carry out before he left Chile. The British media had agreed to leave William alone during his gap year in return for some controlled access to him, and on September 29, William gave his first solo press conference at his father's Gloucestershire home. While Charles hovered protectively, William, dressed in his jeans and a sweater that he tugged at nervously, faced the press gang. The reporters asked him about his trip to Rodrigues and how he was enjoying his gap year, while the photographers snapped away. For someone who hated the limelight, William handled the situation admirably. He had learned from his mother that saying too much could backfire badly, but he also knew he had to give the newspapers "a line." The reporters got their story, and pictures of the suntanned prince graced the pages the following morning.
But Fleet Street had missed its scoop. Just days later, on October 1, 2000, William boarded a British Airways plane going from Gatwick to Santiago. The trip had been kept top secret, and St. James's Palace only announced the prince was leaving at the very last moment. Malcolm Sutherland, who was in charge of the expedition, said, "The whole aim was to get him out to Chile on expedition just a few days before announcing it. It was a very well-kept secret." Mr. Sutherland went to Clarence House, Prince Charles's London residence, where William and Harry had their own private living quarters, to meet with the prince ahead of his departure. In the privacy of William's apartment, he warned the young royal that Raleigh was not for the fainthearted. He would be working and living with 103 young volunteers from all walks of life. Some were part of Raleigh's "at risk" program and included former drug addicts and recovering alcoholics. Others, like William, had just finished their A-levels and wanted a stimulating challenge. Kate was one of the latter, but unlike William, who was fast-tracked, she had to endure the grueling selection process.
William was in Chile for three months. From the moment he arrived, he threw himself into his new surroundings and got to know the other people on his trip. According to Logistics Manager Graham Hornsey, who has led an impressive thirty-five expeditions and came to know William well, the prince proved to be a very grounded and decent young man: "William coped very well, and what struck me about him was how normal he was. He said he wanted to be treated like everyone else, and he was. When you saw him cleaning the toilets, it wasn't for the cameras, he really did clean the lavatories." During his time in Tortel, a small coastal town, William oversaw the construction of a fire station, and he tracked huemul, an endangered species of South Andean deer in the Tamango National Park. The most challenging expedition of all was sea kayaking up to 12 miles a day through the deep ocean fjords of Patagonia. In the remote wilderness of the Patagonian countryside, William could be himself. For the first time he didn't need to wear the electronic tag that enabled his protection officers to monitor his every move. On the snowcapped mountains, he was free—and he reveled in the moment.
Kate boarded a British Airways flight to Chile just days after William landed back in Britain, having completed his time there. Once again their paths had come tantalizingly close to crossing, and it was one of the many coincidences that would come to define their romance. According to Mr. Sutherland, Kate could not have known William was going to Chile when she applied for the program, because her application would have been submitted before he left in October. "That's the bizarre thing about it. Her application would have been well and truly complete before the announcement by St. James's Palace that William was going out there," he said.
Kate arrived at base camp in Coyhaique on a bitterly cold day in January 2001. Before she left, she had received a letter from St. Andrews confirming that she had a place there and was able to enjoy a lively family Christmas at Oak Acre. Delighted and relieved to know that she hadn't jeopardized her chance of studying, she looked forward to the next part of her gap year. She had spent the holidays shopping for all-weather clothes and equipment suitable for extreme climates, and she had spent a small fortune acquiring everything on the checklist.
Arriving in Coyhaique, Kate donned her navy blue Raleigh fleece and took part with gusto in the ice-breaking games. According to Mr. Sutherland, she fitted in from day one. "I remember her well; she was level-headed, she kept her head down and got on with things. She didn't make a name for herself for the wrong reasons. She got stuck in with the rest of her team. She was rather like William actually, reserved but in a nice way. There was no arrogance about her. She would pool together and make things happen. She made friends quickly and gravitated towards the people I suppose she could relate to." Although she didn't stand out as one of the big personalities of the team, Kate did make an impression, and Graham Hornsey recalled her being a "big achiever. . . . She was proactive when it came to projects. It was largely down to the Venturers to set their targets and Kate aimed high."
Unlike William, Kate didn't take part in the sea kayaking or tracking the endangered huemul deer. Instead, she conducted a marine survey on the south coast with British and Chilean scientists. An adept amateur sailor, she quickly mastered how to use the small, uncomfortable—but powerful—inflatable Zodiac boats to navigate the choppy, freezing waters in order to survey the flora and the fauna of the inlets. There were no sanitary facilities, and Kate washed in a bucket of cold water and survived off ration packs. Robin Vincent Smith, the assistant logistics manager on the trip, recalled how competent Kate was despite the difficult conditions. She knew how to pitch a tent and make a campfire and was able to cope with walking long distances. "It was cold and wet and we were sleeping in tents on the beach. We would get up very early in the morning and make porridge on a campfire, then get into the Zodiacs and drive out to the fjords in Puerto Yungay. We'd go quite a distance and they weren't the easiest boats to drive or particularly easy places to reach, but I remember Catherine and her group learned to navigate the boats quickly. We were in the middle of nowhere in very extreme conditions. It was one of the hardest expeditions I have done; even lighting campfires was hard work because it was so wet and damp. The waters were choppy, and we used to wear oilskins and rubber suits because the regular hiking clothes were just not good enough to keep us warm and dry."
Although some of the volunteers protested and even broke down, Kate never complained, even when she had gone without a hot shower for weeks on end. "She was mature enough to cope with the experience. You could just tell that she was very with it," said Mr. Sutherland. Like William, she spent her free time reading, listening to music in her tent, and writing letters home. She struck up friendships, and according to Rachel Humphreys, an interpreter on the trip, she was popular with the boys: "She had a certain presence. She was a very mature girl, attractive and popular, particularly with the boys. But she was always in control of herself and impeccably behaved."
Understandably, the prince was a topic of much interest, having left Chile only a few weeks before the new recruits arrived. But though some were curious about his time in Chile, Kate didn't ask about the prince at all. "People were very respectful of William and the fact that he wanted the trip to be private," said Mr. Sutherland. "It was the only time he was going to have a normal experience, and there was a feeling among the volunteers that they weren't going to talk about it. William loved being in Chile, he loved the fact that it was so remote and cut off. He merged into the masses and was part of the team."
For Kate, the highlight of the trip was teaching Chilean children at a local primary school once a week in the village of Tortel, where, like William, she was involved in building one of two fire stations. Despite not speaking Spanish, Kate found other ways to communicate with the children, drawing them pictures and acting things out. "Kate loved it and made it a lot of fun," recalled Mr. Sutherland. "She was very patient in the classroom, and she had a very easygoing approach. . . . She also loved the final part of her tour, trekking in the Patagonia hills. She seemed to really enjoy the solitude and being out in the wilderness. That was a parallel between her and William. Actually I think they are both very similar. They are reserved but in a positive way and very thoughtful. You can see why they work so well together."
When she returned home at the end of March, Kate was tinged with sadness that the adventure was over. It had been a long, tough but rewarding ten months, but now she had to settle back into "real" life. She had helped contribute to the cost of the trip, so with her savings account somewhat depleted, she needed to secure a summer job. Although her parents were generous and Kate never wanted for anything, money wasn't just handed out and Kate knew that she was expected to earn her keep. Her father suggested she apply for a job working at Ocean Village Marina in Southampton, where he had heard there were positions for deckhands on board Challenger boats. Despite the fact that Kate's sailing experience only extended to family holidays in Norfolk and, once they had come into money, Barbados, she loved being out at sea, and according to Sir Chay Blyth, the former round-the-world yachtsman and then–managing director of the hospitality business, Kate got a job as a deckhand from June until the end of the summer. "Kate applied the usual way and would have submitted her CV and been interviewed, although she would likely have come via a recommendation."
During the warm summer of 2001, while William was on a four-month work placement at the Lewa Downs conservation park in Kenya, Kate was causing something of a stir in sunny Southampton. Working for the BT Global Challenge Yacht, where Princess Anne is the patron and the famous sailor Ellen MacArthur came up through the ranks, was prestigious. Kate was privileged to be working with seasoned professionals, several of whom had sailed around the world, and fortunate to be in the company of many students, who, like her, had taken summer jobs ahead of their fall university studies. Each morning and evening, she was required to wash down decks, and in no time at all, she had amassed an army of male admirers, due to her habit of hosing down the yacht wearing the briefest pair of shorts. With her long, tanned legs and tumbling brown hair, Kate stood out and was so eye-catching she would often bring the parking lot to a standstill as visitors admired her statuesque form. "Kate had a reputation for being very pretty and for wearing very short shorts, and she had a great set of pins," joked Sir Chay. "She was singled out for being a stunning girl, and she was a favorite with the crew, which was mostly male."
Kate spent four months working on different Challengers, but most of the time she was onboard the seventy-two-foot-long _Isle of Man_ , earning $75 a day. The hours were long—she was on the deck at 7:00 A.M. and never finished before 6:00 P.M. She took her meals on the boat and slept in a sparse and very small cabin in a bunk bed she shared with a fellow female deckhand. Kate was under the joint command of South African–born skipper Cal Tomlinson and his British counterpart, David Melville. The boats were hired out by businesses eager to treat their clients to a day of luxurious hospitality, culminating in an afternoon racing on the Solent, the strait that separates the Isle of Wight from the mainland of England. As well as washing the decks, Kate was expected to help load the 660-pound catering boxes on board and wash and pack away the sails at the end of the day. "It was back-breaking work," said Mr. Tomlinson. "Kate mucked in and was very professional. She fitted right in, although she did stand out for being so pretty. She spoke well, she was very attractive, and she had an air about her. She was competent and confident but very unassuming. She was polite and respectful to whoever was in charge of her and neat as a pin. She never wore any makeup; she was naturally beautiful."
Greeting the guests as they came on board, Kate was a very popular hostess. After instructing them to take off their shoes, she showed them through to the main deck, where they were offered a glass of champagne before lunch. Before they set sail, Kate was sometimes required to carry out an onboard safety demonstration. It was something her mother used to enjoy doing when she worked as a flight attendant, and Kate laughed at the fact that she was now doing the same thing. She didn't see the funny side, however, when some of the crew played a practical joke on her. "When she pulled the toggle, the thing inflated and a load of condoms fell out," recalled Mr. Tomlinson, who witnessed the moment. "She was mortified and very embarrassed. She took it more seriously than the others might have, but she wasn't thrown off her stride. She was angry at first, but she settled down, and I don't remember her ever getting her own back."
The Challenger crews were the life and soul of Ocean Village, and after work they socialized in Southampton, congregating at Los Marinos, a lively late-night bar at the local cineplex. Kate rarely went out, but when she did, she would often stay on the periphery. "Ours wasn't a party boat and Kate wasn't out partying every night," said First Mate Paul Horsford. "She wasn't aloof, but she wasn't part of the 24/7 Ocean Village lifestyle. I don't remember her drinking at all. She was always very professional and very private, and very careful with what she said. We got along very well and spoke about most things. I was a lot older than her and her skipper, so we mostly talked about sailing."
Kate loved being on the open water, and as an amateur sailor she was eager to learn more. Over the course of the summer, she learned how to heave a line, throwing a long thick rope to a neighboring yacht for hours. Astonished by how far it could be thrown out to sea, she loved competing against the others to see who could heave the farthest. "She was keen to hone her big-boat skills and develop herself as a sailor," said Mr. Tomlinson. "She made no bones about that. She was a naturally competent person and you could tell she had been sailing before. She was no fool . . . and had a good head on her shoulders. She was keen to learn and she had the right attitude."
Although she didn't integrate much with her colleagues socially, Kate did strike up a friendship with a fellow deckhand named Ian Henry, who escorted her on the rare occasions she did go out. "He thought he was in with a chance. He was a nice, good-looking guy and he had his own car, which was a rarity for a crew member," recalled one of Kate's team. "He was sweet on Kate, but somebody was delegated to tell him to back off because she wasn't interested. As far as I know she wasn't seeing anyone." Mr. Henry never spoke about the alleged romance to the press, insisting he and Kate had only ever been "very good friends."
With university just weeks away, the deckhands joked with Kate, asking if she planned to make a beeline for Prince William. "Towards the end of the season, the onboard conversations turned to the future, and she told us she was going to St. Andrews," said Mr. Tomlinson. "We all knew William was going there, and we asked if she would be seeing him. She told us she was going to be in the same hall as him and when some of the crew teased her and said, 'Are you going to go for it?' she just smiled and shrugged her shoulders. That was the last that was said about it. We had no idea at the time we were looking at the future Queen of England."
Although Kate gave nothing away to her colleagues, she was more candid with Mr. Horsford, who had become avuncular during their time together.
"We spoke about Prince William," Mr. Horsford revealed. "I said, 'Obviously you might meet him,' and she said, 'I've already met him once or twice before.'" The admission surprised Mr. Horsford. He and Kate had worked together all summer, and although she had talked about going to St. Andrews, she had never mentioned knowing William until then. Bragging wasn't her style, and she was intuitive enough to realize that if she wanted to stay friends with the prince, discretion was the way forward. It was exactly the foresight that ensured that when they did next meet at St. Salvator's Hall, William trusted her from the start.
CHAPTER 5
An "Undie" Graduate at St. Andrews
STANDING AMID the throng of excited freshers in Younger Hall, the very place she would eventually stand in her graduation ceremony, Kate listened as Brian Lang, the principal and vice chancellor of St. Andrews University, delivered his welcoming address.
After telling his nervous students that they would need to work hard and behave themselves, his tone softened: "And if you do work hard," he said, "you will enjoy a good social life here." He paused. "In fact, look around you. You could, at this very moment, be looking at your future spouse." The undergraduates glanced around and exchanged shy smiles. Even if they weren't looking at their future husbands and wives, these would likely be their friends for life.
It was early September, the weather was still mild, and Kate and her fellow undergraduates planned to make the most of the late summer before the temperature dropped and the small coastal town prepared to shiver through winter. Despite being so exposed to the elements, St. Andrews University is an attractive option for many students—it has an excellent academic reputation and is well known for caring for and nurturing its students. As the town is so remote and relatively small, the university community is well integrated within the town. Along with all freshers, Kate had already signed the Sponsio Academica, an oath of commitment to respect university life, preserve its reputation, and look out for other students. And this year, most unusually, students had also been asked to sign a confidentiality agreement on enrollment. There was already a united feeling of common purpose in the hall, and when Brian Lang ended his talk, as he did each year, by quietly asking the students to respect each other's privacy, there was an added degree of poignancy to his request. Everyone in the hall knew that very soon, their lives would be touched in some way by the arrival of the most famous undergraduate the university had seen in many years.
Like everyone else present, Kate knew that William Wales—as he was to be known—had not yet arrived, having made a decision to join his fellow students after Freshers' Week. The university hierarchy was nervous about the media storm that would greet Prince William's arrival and, together with the Palace, had made an agreement with the press that they could have limited, managed access to the prince if they left him alone for the rest of the time. William himself was well aware that even with this agreement in place, his participation in Freshers' Week might provoke a media frenzy and spoil things for the other students, and anyway, he was doubtful of the benefits of the pre-term partying, later saying, "I thought I would probably end up in a gutter completely wrecked, and the people I had met that week wouldn't end up being my friends anyway."
For Kate, the end of Vice Chancellor Lang's speech marked the beginning of a hectic week of partying, meeting her "university parents"—older pupils who were in charge of looking after freshers—finding her way around the town, and settling into her residence hall. After a year of freedom and adventure, she was ready to begin life as an undergraduate. In between parties and Orientation Week events, Kate made Room A-31, her first-floor, corner bedroom, feel homey and welcoming. A practiced photographer, she put up a collage of photos—all framed with neat white borders—that she had taken of her family, friends, and travels in her gap year, with room to add more as she charted her university days. She and her roommate, Sarah Bates, got to know each other, chatting about their school days and people they knew in common. Sarah was also a boarding-school girl but very much into shooting, hunting, and fishing, and though the two young women got along well, their social lives took slightly different routes.
Kate had picked her accommodation wisely. St. Salvator's—or Sallies, as it is nicknamed—is a beautiful, Oxbridge-style residence hall and one of the last at St. Andrews that continues long-standing traditions, such as a formal dinner at High Table once a week. Most of the rooms have glorious views of the lawn, the North Sea, or St. Andrew's Castle, and the facilities—the well-resourced library, the stained-glass wooden-paneled dining hall, the pool and ping-pong tables, and an old-style common room, complete with open fire, a grand piano, and daily newspapers—allow the students to get to know each other. Kate soon found her way around and was often seen relaxing in the common room, curled up in an armchair, a cup of tea in hand, either reading newspaper articles her father rather touchingly mailed to her or getting to know her fellow hall mates.
Kate had to make an effort to get to know people, but as Freshers' Week drew to a close, William moved into Room B-31 on the floor above her, surrounded by a ready-made group of friends, some of whom were, like him, Old Etonians. Known immediately as the "Sallies Boys," they included Fergus Boyd, Ollie Chadwyck-Healey, Charlie Nelson, and Oli Baker. It certainly didn't take them long to spot "Beautiful Kate," as she had been crowned by the other Sallies residents at the end of Freshers' Week. She was initially more reserved than many of the other young women, but her natural beauty was apparent. Tanned from a recent holiday in Barbados with her parents, fit from her regular early morning run or swim, and dressed in her comfortable Hennes jeans, fitted sweater, and signature cowboy boots, she radiated an outer freshness and an inner confidence.
It took William a couple of weeks to summon up the courage to ask Kate to join him and his friends for breakfast. He immediately remembered her, and they quickly discovered they had plenty in common besides their mutual friends. They were both health conscious, always opting for a breakfast of muesli and fruit over the cooked option; they discussed sports and skiing trips; they compared notes on their gap year experiences in Chile; and they talked about the different courses they planned to take in the history of art program. Kate got along well with the rest of the Sallies Boys, and within a couple of weeks, she was hanging out with the "Yahs," as the other students called them, sitting side by side on the long benches in the canteen eating meals with them, socializing in hall or going for drinks at Ma Bells or the West Port, the most popular student haunts in town.
Both Kate and William became friendly with an American student, Laura Warshauer, who lived down the corridor from Kate and was at St. Andrews for a year to study history of art. In shock after hearing the horrific news that many people in her hometown, New York City, had been killed in the catastrophic 9/11 terrorist attacks on the Twin Towers, she was comforted by her fellow students, including both William and Kate. Laura was a talented musician, composing and singing songs on her guitar. William would pop into her room to listen to her jamming, and Kate borrowed a tripod and camera to help Laura make an audition tape to send back to the States. But music wasn't Laura's only allure. "Will would often come to my room in search of cookies and hot chocolate," she remembered. "I was known for always having food supplies, and I would often cook for us in halls." Having developed a love of pasta in Florence, one of Kate's favorite pastimes was to join Laura for her popular lasagna parties, at which everyone would gather around and eat "on the floor of the halls just outside my bedroom door. Will, Ollie, and Fergus turned up once and brought plastic wine glasses from Woolworth's. Will seemed to really enjoy it."
As the term took shape, Kate immersed herself in university life. Her courses were stimulating and she was hardworking, eager to learn more about the art of Renaissance Europe, twentieth-century paintings, and critical approaches in art history. She was a diligent student and often took notes for William when he was unable to attend lectures, going over them later in the comfort of the common room, as the autumnal evenings gathered in around them. It soon became clear to others that they enjoyed a special connection. According to a former student, lots of people made jokes about it: "We would joke to her, 'Bet you'll be wearing a tiara soon!'" Others were less kind: "Some of the girls in her year weren't very nice to her. There was a lot of bitching behind her back. Kate hated that, I think because she was bullied at school. She wasn't at all bitchy, she was always very lovely to everyone, but the other girls, and most of them were society 'Yahs,' thought they should be with William and they were jealous that Kate was so close to him."
If, for a relatively quiet student like Kate, surviving the hurly-burly of Freshers' Week had been tough, then navigating her way through the university's infamous "Raisin Weekend"—the wild, carnivalesque first-year initiation during which academic "mothers and fathers" dress up and chaperone their "children" through a weekend of partying, culminating in the largest outdoor shaving-cream fight on the planet—was scary. As Michael Choong, a close friend of both William and Kate, remembered, "Raisin Weekend starts on Sunday morning with a champagne breakfast, and drinking continues through to the early hours of Monday, when the foam fight starts at noon in the Quad. Kate and I ended up at the same party on Raisin Weekend because my academic mum knew Kate's academic mum. It was the first time I met Kate. We were both nervous but also excited. It was like a rite of passage into St. Andrew's society. It was a huge amount of fun. Kate was quite shy, not overly gregarious. She didn't wear much makeup, she was in jeans and a blouse. We all ended up swapping clothes, covered in felt-tip all over our faces and all over our arms. It was an entire weekend of parties . . . The first semester was full of trepidation, you were finding your feet, it was all about discovery. I remember from Freshers' Week onwards, we basically just ended up going out for twenty nights in a row."
When it came to socializing, William kept a low profile. Having declined to join in the Raisin Weekend festivities, he preferred to spend the evenings with his friends in Sallies, enjoying dinner parties rather than nights out at the clubs in the town. William was, naturally, cautious about those who tried to befriend him and had a built-in system of vetting people, planting red herrings to catch anyone he suspected of selling stories about him. He kept his distance from the many clubs and societies on offer to the students, although he did join the water polo team, and in order to keep his swimming technique up, swam each morning, with Kate, at the luxurious Old Course Hotel. Within a few weeks of the first semester, their friendship was firmly established, and as Laura Warshauer noticed, "They had each other's backs and looked out for each other."
This was certainly true during Oli "Hairy" Baker's party in October of the first term. As Laura recalled, "Kate and I were eating brownies. Kate was never a big drinker, she didn't need alcohol to give her confidence. Will was getting really hit on by this girl at the party, and it was getting quite uncomfortable because he couldn't shake her off. He was being really polite, but this girl just didn't get the hint. All of a sudden Kate came up behind him and put her arms around him. He said 'Oh, sorry, but I've got a girlfriend,' and he and Kate went off giggling. He mouthed 'Thanks so much' to her in a really exaggerated way, but Kate was the only girl in the room who could have done that. And that was just a month after we started university."
Kate, however, was a long way from being William's girlfriend. She had attracted a number of admirers in Sallies: "Guys would go the canteen for breakfast and eye up Kate," remembered Michael Choong, and she had already turned down Al (Alexander) Smith, a first-year student who took a psychology course with her. They had become friendly during Freshers' Week, and like most of the boys in their year, Al had developed a crush on Kate. "It started off as a flirtation before Al plucked up the courage to ask Kate out," remembered one former student. "She turned him down, albeit very nicely. He was a little bit heartbroken but they stayed good friends."
Al Smith recalled Kate as being bubbly and beautiful. "Kate and I met in the first week. We were academic siblings—my friend was our joint academic father. We went out a few times as a group to some local bars and had a lot of fun. Kate was very striking and beautiful. She was bubbly and open and very likable. A lot of boys fancied her and asked her out. We got to know each other well. She was a very conscientious student and always turned up for lectures in her first year. She got good grades and gave up psychology at the end of her first year to concentrate on history of art."
Another first-year student, Sam Butcher, a devoted rugby player, also had designs on Kate. "Sam was charming and very sociable and came from Blackpool," recalled a former student. "He was very popular and he really fancied Kate. He sent her a saucy text and asked her out, but he didn't get a reply."
Kate had her romantic sights set elsewhere. Rupert Finch—otherwise known as "Finchy" or "Blue Hat Wonder"—was a handsome fourth-year law student. Never without his blue Oakley cap, Rupert was part of a boarding-school group that lived in Flat 2, The Scores. Tall, swarthy, and extremely desirable, he and Kate soon became an item. According to Michael Choong, "All the blokes loved Kate and all the girls loved Rupert. They were a golden couple. He would have crazy parties at his house, and all-night drinking sessions following nights at Ma Bells, when the vodka bottle came out." Kate had found herself a popular, older boyfriend, and while she was focused on her studies and committed to her hockey training and fitness regimen, she was enjoying a lively social life. The first term was going well for Kate.
Despite being happy to be going out with Rupert, it soon became apparent to those around her that Kate was wary of the other female friends in William's life. Unsurprisingly, he had no end of students interested in him. Many girls had gone to extreme lengths to meet him, even trying to change their degree program in order to attend history of art lectures. But being linked with women was no ordinary matter for the future King of England. He knew from past experience that any whiff of romance was pounced upon by the press and had the potential to cause both him and the young woman distress. Their families would be hounded and their every move charted. His summer romance with Rose Farquhar had remained secret—and did so for many years—but his more recent relationship with Arabella Musgrave, a member of the Glosse Posse and the daughter of Major Nicholas Musgrave, who managed the Cirencester Park Polo Club in Gloucestershire, was headline news. William had dated Arabella the summer before he started at the university, and the press had gotten wind of the romance, which came to a natural end when William left for Scotland. He wanted to be free to have fun, and one of the first girls he spotted was the Texan heiress Meghann Gunderman—known as Gundy. When William asked her out—something he did not do lightly—it came as somewhat of a shock when she declined his advances. This seemed to make him want her more. One student remembered, "I heard William ask her out on a date, but she wasn't interested at all and she turned him down. He kept saying, 'Why won't you go out with me?' She wasn't having it."
Soon after this setback, while auditioning for a part in an adaptation of J. D. Salinger's novel _Franny and Zooey_ , William met Carley Massy-Birch, an English language and creative writing student in the year ahead of him. Having enjoyed performing in school plays, William had noticed posters around town inviting male students to audition for one of two parts in the play. Accompanied at a distance by his protection officers, he bicycled to the Byer Theatre and, according to one of the directors, Andrew Sands, "He gave an audition and read from the script, as everyone else did. And it was quite a hard piece—he was in the bath talking to his mother. He wasn't nervous, he looked really good, and he delivered an amazing recital. Zooey is a bit of a fragile existential type and William got into it—he did it very well." William didn't end up getting the part—the play was only on for four nights in the tiny theater, and the production team felt that it would be unfair to the theater's regular audiences if the auditorium was packed with hordes of press every night.
William was already on the fringes of the thespian set. His close friend Fergus was a talented actor, and William loyally went to see whatever he was appearing in. However, after his audition he became more involved, smitten by Carley, an active member of the Drama Society. Raised on a farm in Axminster, in Devon, she described herself as "a country bumpkin." She was also extremely modest, as she was often praised for her sharp intellect and her arresting natural beauty. Unlike Meghann, Carley was eager to go out with him, and William was soon bicycling to her house on Crail Lane, where they got to know each other better over coffee and cakes at Cherry's café at the end of her road. Often, Carley would cook supper for them, and they were frequently seen drinking pints of cider at the Castle pub on North Street.
Whereas things between Rupert and Kate were pretty straightforward, being together was more complicated for William and Carley. As the first term drew to a close, Carley felt unable to continue, unsettled by the covertness of their relationship and also by William's inability to truly forget Arabella. And it wasn't just Arabella herself whom William appeared to be pining for. He missed his friends from home, weekends in Gloucestershire, and clubbing in London. Here, in the small town of St. Andrews, even though the press was generally respectful of his privacy, William found himself under the public gaze wherever he went. He was still rattled by the embarrassing furor when his uncle Edward's TV company, Ardent Productions, breached the media ban and tried to film him covertly during the first term, and he felt constantly spied upon. There were countless students—particularly ones from overseas—who would spend a fortune on new wardrobes and drink only at the most fashionable bars in the hope of spotting him and the well-meaning townspeople, who would stop and openly stare if they saw their future King bicycling to a lecture. Toward the end of the first term, William began to have serious doubts about life as an undergraduate and vowed to talk to his father as soon as he returned home for the Christmas vacation.
But before any big decisions needed to be made, there were parties to enjoy, including the most talked about one of the term. Both William and Kate were part of a select group invited by the Scottish heiress Hermione Wemyss to her parents' castle in Fife for a charity promises-style auction and party. The atmosphere inside Wemyss Castle was "insane," according to one guest: "There were van Dycks that had been sprayed with cobwebs." Laura Warshauer recalled, "Everyone was dressed up as school kids, and it was a Harry Potter theme. Kate was adorable in a pink sweater with a white buttoned-down shirt, a baseball cap, and a little skirt." Kate had volunteered her services as a girl Friday and lined up on the castle's grand staircase with the other "promises." As Laura recalled, there was a tangible connection between William and Kate as she came down the stairs. "They really had eyes on each other that night and William, dressed in a sweeping cape, bid $300 for a date with Kate. They spent the rest of the night dancing together, and though it was very innocent and nothing happened, there were sparks." At the end of the evening, Kate was driven back to the residence hall with William by his protection officer, but they went back to their respective rooms. The next morning, they both left St. Andrews—William giving Kate and Laura a lift to the airport—to return home for Christmas.
The holidays passed quickly. For Kate, it was a chance to recharge her batteries, catch up with her friends, get the gossip from Pippa and James as to the goings on at Marlborough, and spend a relaxing Christmas and New Year's Day with her parents. For William, things were more turbulent, as he talked his future through with Prince Charles and his former housemaster at Eton College, Dr. Gailey. They listened carefully to William and concluded that quite apart from the problems associated with feeling hemmed in at St. Andrews, William was not being inspired by his history of art course of study. After much discussion—in which his father shared his own difficult experiences of adapting to undergraduate life at Cambridge, and his grandfather, Prince Philip, issued a characteristic warning to "knuckle down and not wimp out"—it was decided, in conjunction with the university administration, that William would return to St. Andrews in January 2002. He was to remain in Sallies, where he was actually happy and comfortable, but would switch to pure geography, a subject he had excelled in and enjoyed while at school and had already been studying at St. Andrews as part of the broader Scottish system. This seemed like a good compromise, and William felt decidedly more optimistic about his undergraduate days ahead.
Returning to St. Andrews at the end of January 2002, a couple of weeks after her twentieth birthday, Kate learned that she had been chosen as one of the models for the upcoming Don't Walk fashion show. Back in November, Kate—along with two of her close friends and another four hundred or so hopefuls—had auditioned for the charity show that was taking place at the end of March and was one of the most important fixtures in the St. Andrews calendar. A fellow student, Charlie Moretti, more used to directing serious plays and building atmospheric stage sets, had been "tasked with rebooting the fashion show," the purpose of which was to raise money for charity—in 2002, for breast cancer and juvenile diabetes. Until now the show had been low key, with a bunch of students getting donations from local shops and railroading their friends to model, but with his characteristic theatrical flair, Charlie had decided to change all this and stage a more upscale show. He approached local and national designers and, somewhat ambitiously, got the national press involved. "All they wanted to know was whether William was going to be there, but I wasn't allowed to say because of the media deal," he recalled.
Kate passed the audition because of her natural good looks and fabulous figure, but she was also—as Andrew Sands, a member of the production team, testified—"in the right crowd," able to "bring the rich play cats to the show." There was no doubt in anyone's mind that the evening would have an edge if William were to attend, and though Charlie Moretti played water polo on the prince's team, they needed as many open avenues as possible. They all knew that Kate was as close to William as it got. Indeed, at the start of the second term, when it came to sorting out accommodations for the second year, William had asked Kate, Fergus, and Olivia Bleasdale to share a house with him—an invitation Kate had accepted. In the weeks leading up to the big night, there was much anticipation as to whether or not William would come.
Andrew Sands choreographed the show and decided who would walk down the runway: "The show was at the Student Union, which was very unglamorous. It's where the local disco The Bop was held. It was an uninspiring 1970s building. It was a blank canvas, and we created the mood we wanted. We had an uncomplicated central runway with tables around it. The top tables were closest to the catwalk and were offered to people in the show and sold out immediately. Kate was given a table, and she invited William and his good friend, Adam England, along with some others. It raised an eyebrow that she had invited William and definitely caused a bit of a stir." The price of the tickets was not prohibitive—between $23 and $38 each, with a table of up to ten people costing $300.
Preparations for the show were time-consuming, and Kate had to attend several rehearsals, during which she was taught to walk like a model, had her clothes fitted, and was paired up with appropriate runway partners, one of them being Fergus. Charlie had managed to secure donations from the fashion house Chloe, as well as some well-known French labels and some new, younger designers, among them Sophie McElligott and Charlotte Todd. Kate was given one of Charlotte's sheer skirts to wear, along with about eight other changes, from black underwear to more formal creations. This was a new world to Kate, but as Andrew Sands remembers, nothing was too much for her: "She was actually a great model, she put up with a lot of diva tantrums that always accompanied the show. She was always on time, smiley and polite, and wasn't diva-ish at all. She wasn't political and didn't try and befriend people on the committee, which plenty of others did. She was amazingly confident and didn't ask for huge amounts of guidance or fish for compliments. She wasn't nervous or panicky on the night, she was very self-contained."
When it came to the evening itself, Sophie Butler, the local hairdresser who did Kate's hair for the show, was backstage with the models: "We worked really hard before the show. On the actual night, it was really just tonging and putting in the colored straw ribbons we braided into the hair, which I had bought from a florist. Backstage, Kate was with a few of her friends who were also in the show, and lots of Red Bull was being drunk, so it was all very excitable. I just remember her being a lovely girl. She was happy to do anything and everything she was asked to do. She was so beautiful and natural, she did stand out and she really made an impression."
And maybe it was because Kate knew William would be there, in the front row, that just before it was her turn to take center stage, she decided to dispose of the chunky knitwear she was supposed to be wearing over Charlotte Todd's see-through long skirt and instead, as Andrew Sands recalled, "hoisted the skirt up and made it a much better-looking dress, which she wore over her black underwear." Whatever she did, it worked—as she shimmied down the runway, her long, curled hair braided with ribbons, her slender waist, washboard stomach, and toned legs visible through the sheer dress, William barely knew where to look. "Wow," he whispered to a friend. "Kate's hot!"
The show was a huge success and the mood was upbeat at the various after-parties, the first—for all those involved in the show—at the West Port and then a series of more-exclusive house parties around town. Both Kate and William ended up at the same party at 14 Hope Street, where, according to Andrew Sands, "They kissed at the end of the night. They were both standing up in the corner of the living room, and I recall seeing them out of the corner of my eye. It was dark, there were lots of people, and the music was playing very loud. Everyone pretended that they weren't taking much notice, but it went round St. Andrews like wildfire afterwards. It wasn't cool to make a big deal of it, you couldn't be seen to be acting like he was different from anyone else, but word got around."
Other people at the party report that Kate was seen pulling away as William leaned in to kiss her. She may have been momentarily concerned that anything more intimate than their already close friendship might muddy the waters when it came to living together. There was also the matter of Rupert, although her relationship with him had cooled over the Christmas vacation. But whatever the nature of the advance, this was the moment that seemed to mark a shift in their relationship, the possibility of something stirring. As Charlie Moretti concluded, "I think the fashion show made them the couple they are today. . . . I was always certain they would be together and maybe the fashion show was the crystallizing moment."
A few days later, on March 30, 2002, the Queen Mother died at the great age of 101, and William, who was extremely fond of his great-grandmother, returned to London to be with his family. The Queen Mother had links with the university—Queen's College was named in her honor, and in 1929, 72 years before William took his place there, she had been awarded an honorary degree of doctor of laws. In fact, the Queen Mother had sent William off with the immortal words, "If there are any good parties, invite me down." As William fondly recalled, "I said yes, but there was no way. I knew full well she would dance me under the table." It was a sad time for Queen Elizabeth II and her family—just seven weeks earlier, Princess Margaret had passed away: the death of both her mother and sister, in this, the year of her Golden Jubilee. Kate, along with the rest of the nation, was touched by the sight of William and Harry walking behind their great-grandmother's coffin from Westminster Abbey, with echoes of the pain of their mother's death etched on their faces.
Back at St. Andrews at the beginning of the summer term, William and Kate settled back into lectures, and Kate found herself socializing more and more with William's close circle, with intimate and increasingly intricate dinner parties being a favorite evening source of entertainment. Wanting to earn some extra money to fund her summer vacation, Kate secured herself a job at The Doll's House Restaurant, a popular bistro in town. Michael Choong took a friend and her parents there. "It was a cute little place in town. There weren't that many places to go out and The Doll's House was lovely. It had rustic wooden painted furniture decorated with dolls and doll's house furniture. We had a picture taken with Kate while she was working there. She wore jeans and a dark shirt and a black apron. It was a bit awkward having her wait on us, but she was very friendly and smiley and just got on with it." By now she had a close group of female friends, with whom she would spend her time. Among them was Olivia Bleasdale and Fergus's girlfriend, Sandrine Janet; Lady Virginia "Ginny" Fraser, the daughter of Lord Strathalmond, who knew Kate from her former school, Downe House; Mel Nicholson, who was dating Oli Baker; and Bryony Gordon who was studying geography with William. By now, Kate's relationship with Rupert had fizzled out. He was graduating at the end of the year, and they both knew, deep in their hearts, that their relationship was over. With William waiting on the sidelines, Rupert never really stood a chance.
As the undergraduate exams came to an end and the students were able to set aside their studies for the balls and festivities to mark the end of the academic year, Kate reflected on her first year at the university. As she packed up her room in Sallies, she looked at the photographs that told the story of the past ten months at St. Andrews and wondered what she would add during her second year. Living in the same house as William would, she knew, require the utmost discretion, so any photographs of life inside 13 Hope Street would have to be kept privately. She knew that there would be other restrictions on her freedom—much more than the Sponsio Academica or the confidentiality agreement required. But these were sacrifices Kate was prepared to make. William was by now one of her best friends. As she said good-bye to him and her other close friends and flew home for the summer, little did she suspect just how adventurous her second year would turn out to be.
CHAPTER 6
The Bubble Bursts
DURING THE SUMMER vacation, while Kate was working as a waitress at the Henley Royal Regatta and William was undertaking official royal engagements, back in St. Andrews, Apartment A at 13 Hope Street was undergoing radical internal redecoration. The well-maintained two-story, top-floor apartment was being fitted with bulletproof windows, a bombproof front door, a state-of-the-art laser security system, and floor-to-ceiling reinforced pine shutters. At the same time, Special Branch officers were informing residents of the quiet street that come the start of the academic year, new tenants were moving in and there would be increased security—and an initial flurry of activity—in their neighborhood.
And so, in September 2002, just before the beginning of their second year, William, Fergus, Kate, and Olivia returned to St. Andrews to settle into their new home. William's room, situated on the first floor between the galley kitchen and the high-ceilinged living-dining room, was the largest of the bedrooms and looked out onto the wild garden and the back of the Student Union on Market Street. Kate had a smaller bedroom, which she personalized with her usual flair—photographs taking pride of place. With its open-plan living area, the apartment was ideal for entertaining, and the quartet soon established themselves as great dinner party hosts—Kate and Olivia mostly responsible for the cooking and William and Fergus, the shopping.
Now that they were free from the regimen of eating in the university hall, it wasn't long before dinner parties became the craze among Kate's social set. The local Tesco grocery store had never seen anything like it and had become a locus of great excitement, a frisson of expectation in the aisles, buzzing with students and local people, who, at certain times of the week, "shopped to spot the prince." Dressed in his characteristic different shades of cream and white, Fergus stood out wherever he went, and if Fergus was browsing, shoppers could be pretty sure William was not far behind him. Andrew Sands remembered, "Tesco's was a bit of meeting place, and people would get seriously dressed up to go there. It's where the great and the good met up, often while they were buying groceries for that night's dinner party."
As the early evenings closed in and the weather turned, the apartment mates fell into the rhythm of term routine. William and Kate discovered that they were content to spend much of their free time in each other's company. After a morning swim or run, they would go off to their different faculties but return home as soon as they could to catch up. Studying was an important part of Kate's daily routine, and she rarely missed a lecture in either the core subjects of nineteenth- and twentieth-century history of art or the new courses on offer to second-year students. She had chosen to take a course in the history of photography, which enthralled her. While she maintained her flawless attendance, she would hurry back to study in the apartment or relax with William, spending the long evenings listening to music or watching films, occasionally venturing out for a drink at the West Port or Ma Bells. Discovering just how compatible they were, just how much they had in common, and all they had to talk about came as a surprise to them both, and as their friendship deepened, something shifted, and within a few months things began to fall quietly into place.
Of course, where William was concerned, this was not exactly straightforward: though he was enjoying a freedom that no royal before him had ever had, the tricky business of living a normal life while being in line to the throne continued to be difficult to navigate. Nothing illustrated this more in that autumn semester than the sudden collapse of Paul Burrell's trial in November 2002. Princess Diana's former butler had been accused of stealing over three hundred items from the estate of the Prince and Princess of Wales, but during the trial, an astonishing and unexpected out-of-court intervention from the Queen meant that the case against him no longer stood. William was as shocked as anyone when this happened, not knowing what to think of the man with whom he, his mother, and his brother had once been so close. Through all this, Kate was there to support William—especially during the unpleasant aftermath of revelations and counteraccusations, all played out in the frenzy of the media.
It was around this time that journalists thought they had spotted a new woman in William's life. He had recently started walking to the library and lectures with fellow geography student Bryony Daniels. Tall, with waist-length hair, she was extremely attractive, and the fact that the media assumed she was William's new girlfriend was no bad thing for the prince. "She was the cover for a long time because she was often seen with William and they were photographed walking together in town. He let the press think that she was his girlfriend because it was the perfect ruse," explained one student. "Bryony used to cut out the press clippings about them being an item and put them on the fridge. It was very convenient for William, but I think there was a bit of Bryony that wished they were dating."
Kate needed no warning that any obviously romantic connection to William would be seized upon by the press and that their bourgeoning relationship had to remain beneath the radar. And so, while life inside 13 Hope Street was changing for both of them, they made sure that they were rarely seen together in public. Charlie Moretti recalled that they would never hold hands while walking on campus as many of the students did. "They had some lectures together, so you would see them on campus, but they were never openly affectionate. They were never touchy or feely in public." According to Kate's lecturer and head of the History of Art Department, Professor Peter Humfrey, none of the lecturers knew that the couple had become close, and even on campus, Kate kept her head down. "She was extremely discreet, she wasn't the type to make a big show, she was very quiet and in retrospect I can see that it was perhaps a deliberate policy." Kate kept busy, and together with her friend Katherine Munsey and other second-year students, she got involved with the Lumsden Club, a group set up to rival the long-established, archaic, all-male Kate Kennedy Club. Andrew Sands observed the group at close quarters, full of admiration for Kate's dedication to its charitable aims: "She spent a lot of time with the girls from the club. Kate was one of the key figures in it. They organized charity events, including a garden party in the summer that became one of the things to go to. That went down well because it was all very much in good spirit—their opening event was huge, and they raised loads of money. The idea was that everyone bought a ticket and brought a toy to the event that would be sent off to a hospital or an orphanage." Between this, her studies, part-time work at The Doll's House, and hockey practice, Kate's life—on the outside at least—continued as usual.
However, though there may not have been a whole lot of difference in Kate's routine and activities, her close friends noticed a change in her behavior. Never having been one to party hard, Kate was nevertheless sociable and outgoing and in the previous year had spent a lot of time out and about with Rupert and her friends. Now, here she was going straight home after lectures or hockey practice and more often than not staying in for the entire evening. For William, the domesticated routine of living with his apartment mates—shopping, cooking supper, watching a movie, listening to music, even doing the housework—was exactly the normality he craved. This must have been bliss for Kate, the man she was falling in love with, wanting nothing more than a quiet night at home, no external distractions, night after night.
Dinner parties were a good way of socializing and enjoying each other's company without having to go out into town and risk being spotted together. Katherine Munsey, a mutual friend of Kate and William, was considered to be the queen of entertaining, astonishing her guests with a fine attention to detail: "She would go to extreme efforts and had the silver brought up from London when she was throwing a really big event," remembered Andrew Sands. "She was very stylish and so were her dinner parties, which would consist of courses and courses. They would take it in turns to host at each other's houses, which always entailed lots of drinking and lots of fun."
At Hope Street, Kate was in charge of the cooking and occasionally William attempted to make a dish, but as Kate recalled some years later, she was often required to come to the rescue when the meal risked being spoiled: "I would have to wander in and save something that was going."
One thing William could be relied on for was supplying copious bottles of Jack Daniel's for the popular after-dinner drinking games, a favorite of which was called "I've Never." This entailed one player admitting something he or she had never done and then asking the others if they had. Anyone assembled who had done the deed had to take a drink. One of their friends recalled, "William and Kate loved the game, but it went a bit wrong on one occasion when Carley came for dinner. She and William were still friends, and she lived across the road in Howard Place. She could literally wave to William from her sitting room, where she would sit knitting by the window, which rather grated on Kate. When it was Carley's turn to play, she announced, 'I've never dated two people in this room,' knowing full well that William was the only one who had, because Kate was sitting next to him. He shot Carley a thunderous look and said under his breath, 'I can't believe you just said that' before drinking his shot. Kate didn't speak to Carley much after that, but we were in shock. We knew they were together, but it was the first time William confirmed his and Kate's relationship."
A few weeks later, in the middle of November, William invited Kate—along with fifteen other friends, including Olivia Bleasdale and Ginny Fraser—to a shooting weekend at Wood Farm in Sandringham. Crammed into a six-bedroom cottage, Kate got her first taste of one of William's regular shoots and the advantages of being across the estate from Prince Charles, who sent over a home-cooked meal for them. This was to be the first of many such weekends, Kate having to get used to the routine of the shoot and the braces of pheasants hanging around the kitchen waiting to be cooked and eaten.
The rest of the second year passed gently by, both Kate and William busy with their coursework and summer-term exams. To the astute observer, there were glimpses of something developing between them—they were seen lying side by side in the spring sunshine during the breaks in a rugby match in which William was playing; they danced together at the Kate Kennedy Club annual May Ball—but they managed to keep the depth of their relationship under wraps. Some of their friends knew the true state of affairs, of course, and others had suspicions—but crucially, the public had no idea.
Ever alert, however, the press thought that something might be up. William and Kate had been spotted walking to lectures together, and the media suspected that Kate was too pretty to be just a friend. When William attended her belated twenty-first birthday celebration in June 2003, a reporter door-stepped her father, Michael, and asked him what he knew about their relationship. He was politely evasive: "We are very amused at the thought of being in-laws to Prince William, but I don't think it's going to happen." Kate had told her parents that she was growing close to William, and she also confided in her sister, but she swore them all to secrecy, insisting nobody was to utter a word to anyone else. The relationship hadn't fully developed, and she didn't want anything to upset this delicate early stage.
Carole had pulled out all the stops for Kate's party, renting a large tent for the garden and hiring caterers to help prepare a sit-down dinner for family and friends. The occasion was nearly overshadowed when Ginny Fraser, one of Kate's St. Andrews friends, sent out invitations to her own twenty-first party on the same date, causing a headache for members of their clique, who were put in the uncomfortable position of having to choose whose party to attend. According to one of their friends, "It caused a real divide and a bit of a social rift. Kate was very upset, as she had sent her invitations out first and invited Ginny. She cut Ginny off a bit after that."
Among their St. Andrews friends, twenty-first celebrations were big occasions. Kate and William were still talking about Meghann Gunderman's lavish party, which had been held at a Scottish castle and was rumored to have cost $150,000. The party had a Gone with the Wind theme, and, a fan of fancy dress, Kate had decided to make her party 1920s themed. Although some of her friends elected to go to Ginny's party over hers, William promised Kate he would be there to celebrate with her, and when his Volkswagen Golf crunched up the gravel driveway, followed closely by his security team, Kate's heart leaped. Her parents had treated her to a flapper-style cocktail dress, and she looked incredible, having spent the day preparing for the party with Pippa and Carole.
Not wishing to draw attention to his belated arrival, Kate discreetly slipped out of the cocktail reception to greet William at the front door, where she introduced him for the first time to her parents. Dressed in a smoking jacket and with his hair slicked down in a nod to the theme of the night, he quickly got into the swing of the party. Glasses of Pimm's and lemonade and flutes of champagne were served on the lawn before supper, where William was seated at Kate's table. According to one guest there that night, "There were lots of Marlburians as well as St. Andrews friends, but there was quite an overlap. Lots of them knew each other, and William knew quite a few people there, which made it very relaxed. We all gave him his privacy, and he kept himself to himself. It was a sit-down dinner and dance, and William looked very dapper; he seemed to be having a lot of fun—we all were."
Kate, along with a handful of their friends from St. Andrews, including the Sallies Boys, had been invited to William's twenty-first, which took place a couple of weeks later, on June 21. They had all been asked to dress up for the Out of Africa–themed birthday party at Windsor Castle. For Kate, this was the first time she would be in the presence of so many of William's family, including Queen Elizabeth II and Prince Charles, who had both gotten into the spirit of the party and were wearing colonial dress. Kate spent most of the night chatting with the St. Andrews crew and was pleased when William introduced her to some of his friends from Eton as well as the Glosse Posse she had heard so much about. In turn, they were curious about the girl William introduced to them, having heard him talk so much about his new friend at St. Andrews. William, however, had given no hint that they were dating.
In fact, on the day of his birthday, he had given an interview in which he claimed he was single. "There's been a lot of speculation about every single girl I am with, and it does irritate me after a while, more so because it is a complete pain for the girls," he said. "These poor girls, whom I've either just met or are friends of mine, suddenly get thrown into the limelight and their parents get rung up and so on. I think it's a little unfair on them, really. I'm used to it, because it happens quite a lot now. But it's very different for them and I don't like that at all. If I fancy a girl and she fancies me back, which is rare, I ask her out. But at the same time, I don't want to put them in an awkward situation because a lot of people don't know what comes with knowing me, for one—and secondly, if they were my girlfriend, the excitement it would probably cause."
His comments about being single hadn't unnerved Kate; she knew by now that William had a habit of planting red herrings, particularly to put the press off the scent, but something happened that night that did unsettle her. From the start of the evening, William had seemed rather preoccupied with Jessica "Jecca" Craig who had flown in from Kenya to celebrate his milestone birthday. William had first met Jecca, the daughter of British conservationist Ian Craig and his wife, Jane, in 1998 in Kenya during his school holidays when he worked on the game reserve. He returned during his gap year when rumors emerged in the press that he hadn't just fallen in love with Kenya but also with the Craigs' attractive daughter, who was just his age. William was upset about the story and eager to quash the reports, so he instructed his press aides at the Palace to insist Jecca was just a friend. Kate didn't know whether they had been romantically involved or not, but she noted that Jecca had been seated at the head table next to William, whereas Kate had to raise her glass to toast the prince from afar.
There was a mere mention of Kate being one of the prince's guests in the papers; a far bigger story had detracted from any of William's girlfriends there that night. A gatecrasher dressed as Osama bin Laden had managed to foil Palace security and not only gained entry to Windsor Castle but took to the stage while William was thanking the Queen and Prince Charles. The prince thought it was a prank organized by Harry until security men wrestled the intruder to the floor and arrested him.
Kate pushed the niggling sense of doubt she had felt since that night to the back of her mind and reassured herself with the fact that William had instigated something rather promising for the start of their third year. Having enjoyed living in Hope Street, William had decided that for his third and fourth years, when he didn't have quite as many lectures as previously, he would like the "space and freedom" and privacy of the countryside. Toward the end of the summer semester, he had invited Kate, Alasdair Coutts-Wood, and Oli Baker to move with him into Balgove House on the Strathtyrum Estate, about one-quarter mile from St. Andrews. Kate was thrilled. The house was set in stunning grounds, with glorious views from the bedroom windows—acres of lawn, orchids, and fuchsias instead of the concrete back of the Student Union. With the Palace still reeling from the security breach at William's twenty-first, it was subjected to the security measures necessary for a modern-day prince, and unmarked police cars patroled the estate while William's protection officers took up residence in the assorted outbuildings. Kate took on the role of homemaker, dressing the windows with pretty red-and-white gingham curtains, while William installed a champagne fridge and a huge oil painting of his grandmother in the impressive dining room.
The most significant advantage of the cottage was the privacy it afforded William and Kate, far from prying eyes. Not only was the long driveway framed by hedgerows, but the couple had the seclusion provided by two acres of wild meadow, hidden behind a six-foot stone wall. William joked that it was like a miniature Highgrove, and with its crabapple trees, blooming rhododendrons, and patches of wild poppies, it was an impressive substitute. For the first weeks of the term, while the weather was still warm enough, they would pack a picnic hamper and spend pleasant afternoons stretched out on a blanket, sharing a bottle of chilled white wine, their only company an occasional pheasant. It was during these quiet, reflective moments that Kate was able to confide in William how painful she had found the recent death of her grandfather, Ron. He had died at the age of seventy-two, after suffering from motor neuron disease for some years. According to Carole's brother, Gary Goldsmith, who was interviewed by the _Daily Telegraph_ , "He was up a ladder in his sixties cleaning a gutter for an old lady when he fell off it and broke both of his heels. He had to crawl into the house to phone an ambulance for himself. It was through that trauma that he believes he developed motor neuron disease. It was the erosion of a healthy man."
Denise Allford, Kate's former teacher at St. Andrews Prep, recalled how Ron's health deteriorated after the fall: "It was a terrible accident, and although he recovered physically, the shock really affected his system."
Jean Harrison, Carole's second cousin, who had known Ron and Dorothy since she was a girl, attended the funeral. "The wake was at the local pub in the village," she recalled. "Dorothy was very proud of Carole and Gary and how well they had done. They paid for most of Ron's funeral, and I think she was very happy about how well they had done, but she was devastated by Ron's death. The whole family was. Kate was at St. Andrews at the time, and although we didn't know she was dating William, it was obvious from some of the things that were said that she was seeing someone quite important."
Having recently lost his own great-grandmother, William well understood Kate's grief and gave her a shoulder to cry on. The shared experience only brought them closer.
It was this natural empathy and deep friendship that ensured they were so happy and relaxed in one another's company. Their romance was by now in full swing and made all the more exquisite by the fact that virtually no one knew of their love for one another. Of course, their close friends were aware, but they were protective of their romance and bound by the university pledge not to talk to the press. And so their third year as undergraduates began, a scaled-down version of the earlier years—smaller classes and tutorials and, when not entertaining, a quieter, more secluded home life. After the unsettling events surrounding his twenty-first birthday, Kate and William's relationship was back on track.
Their new home quickly became their castle. The cottage was spacious and rustic, with a large open fireplace. Michael Choong spent time there: "The house was really lovely. It had an Aga, a breakfast table, an outside area for a barbeque and a fire pit—perfect for entertaining." The pièce de résistance was an impressive dining room, complete with a long mahogany dining table with seventeen chairs, the oil painting of the Queen, and an oversized Union Jack flag.
Being out of town meant that Kate and William could go exploring more easily. William had a car at St. Andrews that he had kept in the police station for safety when living on Hope Street, but now the Golf was always within reach and he and Kate could explore further afield, driving out to the sea and walking along the beach or up on the cliffs. Michael Choong observed other parts of their routine at close quarters: "They would have barbecues in the summer and invite other students over. When people heard Will was having a party, there would be lots of people turning up in taxis. The parties were good fun and would go on 'til late at night. The protection officers were always there, but they were very cool. They just allowed us to get on with being students. I remember turning up once with sacks of ice for drinks, and they helped me unload it from the boot. We called them by their first names and they were always very friendly." Wanting to give William time with his friends, Kate made a point of not being at all the parties and would visit her girlfriends instead. "One of her closest friends was Mel Nicholson, who was going out with Oli Baker," recalled Andrew Sands. "They spent a lot of time together and used to go to Pizza Hut in town, where we'd see them huddled over a pizza having a very serious conversation." Determined to get the best grades she could, Kate applied herself to her studies and was very much in charge of domesticity in the cottage.
Around Christmas time in December 2003, rumors began to surface in the press that William and Kate were an item. Kate had already confided in her mother that their close friendship had blossomed into a serious romance and that she and William had fallen in love. With Kate's blessing, Carole told Michael, James, and her brother, Gary, during the Christmas holidays that the relationship was serious. Pippa, who by now was in her first year studying English Literature at Edinburgh University, having enjoyed a gap year like Kate, knew exactly what was going on; the sisters spoke at least every other day, and Pippa had been to stay with Kate and William at Balgove House. Not everyone in the family had been able to keep the secret, however. Unbeknownst to the family at the time, Gary broke his niece's confidence, later telling the press that "When Kate and William first began dating, Carole telephoned the immediate family to warn them that the relationship would likely to become public. I was so delighted that at a business meeting I pushed a piece of paper across the table to a colleague that read, 'I think I'm going to be the uncle of the future Queen of England.'"
Nevertheless, it was not until several months later in the spring that the romance was revealed to the world. William had invited Kate to join a select group of his friends on a skiing holiday at Klosters, and she had readily accepted. As this was the royal family's favorite resort in the Swiss Alps, a place to which they returned annually, it wasn't entirely surprising that William and the royal party were photographed on the slopes. Skiing holidays, rather like the family's church visit on Christmas morning, have always attracted the press, but this time they got more than they bargained for. Jason Fraser—a paparazzo who seven years earlier had snapped William's mother in the arms of Dodi Al-Fayed aboard the _Jonikal_ —managed to get a shot of William gazing lovingly at Kate as they glided up the mountain on the ski lift. The photo confirmed the rumors that had been around for months, and the _Sun_ was prepared to pay the highest price for the picture that confirmed there really was a romance between them. "Finally . . . Wills gets a girl," was the headline above the sensational front-page picture, published on April 1, 2004.
The Palace was furious, accusing the newspaper of breaching the press embargo that protected Prince William while he was at the university. They argued that the agreement did not just apply to the periods of the year that he spent at St. Andrews itself. Clarence House refused to comment on the _Sun_ 's claims and issued a statement that made it quite clear the matter was not open for further discussion: "We don't discuss the nature of William's relationships with his friends. There may be speculation about other women he is photographed with. We're not going to get into a debate about the nature of his friendships." Returning to St. Andrews, after their holiday Kate and William were more cautious than before, and their close friends threw an even tighter net around their privacy. Charlie Moretti remembered, "When it leaked that they were dating, we all tried to protect them. We would text William and Kate if we saw any photographers hiding out. None of us wanted their lives to be any harder. St. Andrews gave them a few years of normality, and I don't think any of us wanted to ruin that." Vice Chancellor Brian Lang, who was in constant communication with the Palace, said the university community made a point of giving William and Kate space: "The feeling was that they should be left alone—no one wanted to single them out for special attention."
In fact, the press did stick to the agreement, and when Kate and William kissed in public for the first time after a rugby match in May 2004, there were no cameras or photographers to record the moment.
During the rest of their third year, the couple remained pretty much behind closed doors, rarely seen together in public. They enjoyed being alone, and the time, importantly, afforded Kate a glimpse into royal life. They were often away for weekends, during which William taught Kate to shoot. She was gradually introduced to life inside Highgrove, Prince Charles's estate in Gloucestershire, as well as Balmoral, the Queen's Scottish estate, and Sandringham, the Queen's residence in Norfolk. As she had with her son, Charles, when he was a student, the Queen allowed William, her grandson, to use Tam-na-Ghar, a 120-year-old cottage tucked away in the remote countryside of the Balmoral estate, as a getaway. Surrounded by rolling hills and wild heather, it made a perfect retreat for Kate and William. After their last class on Friday afternoons, they would drive the eighty or so miles from St. Andrews to Balmoral and spend the weekend walking across the moors or strolling by the River Dee, returning to the cottage to cook and eat in front of a roaring log fire. Sometimes friends would join them, and Pippa and James would often come up to spend time getting to know their sister's boyfriend. These were idyllic times for Kate.
But storm clouds were brewing, and it was in the summer of 2004 that their relationship encountered its first set of serious difficulties. After enjoying a holiday together with a group of friends on the island of Rodrigues, which William had been wanting to revisit since his gap year, they realized it would be some time before they saw each other. William had been invited to Nashville, Tennessee, to stay with his close friend Anna Sloan, who was studying at Edinburgh University with Pippa. Although there was no suggestion of a romance, Kate hated the idea of him being away with another woman, even if Anna was just a friend. She knew it was a flaw, but she was territorial when it came to William. When he returned from that trip, he barely had time to unpack his bags and see Kate before jetting off again, this time to Greece with Guy Pelly and some of their friends for a boys-only cruise in the Mediterranean. Kate knew William well enough to realize that he clearly needed some space, and before he went to Greece, they agreed to use the time apart to think about things. As with many couples who meet at university, the crunch time came as the prospect of graduation loomed.
It was as if real life had suddenly intervened and burst their bubble once they had left Balgove House for the summer vacation. Kate knew she had no option and was forced to give William his freedom, but the rest of the summer was agonizing as she questioned his commitment to her and tried to make sense of what was going on. In truth, William was experiencing some unease about being tied down, and having agreed to a break with Kate, he had the opportunity to play the field again.
He had always had a soft spot for Isabella Anstruther-Gough-Calthorpe, the younger sister of William and Harry's polo-playing friend Jacobi. With her intimidating triple-barreled surname, Isabella was just the sort of rival that Kate feared—astonishingly pretty, titled, and the heiress to a stately home and a banking fortune. During the summer, William made repeated efforts to take her out, on one occasion boldly turning up at the family's Chelsea home on the pretense of seeing Jacobi. Isabella, however, had no aspirations to date a prince and, despite his amorous advances, declared that she was not interested in dating William.
In order to take her mind off things, Kate accepted an invitation from Fergus Boyd to join a group of university friends at his family's holiday home in France in the Dordogne. Among the group were Kate's friends Ginny and Olivia. She hadn't told them about the trial separation from William, but she was unusually subdued and they asked her what was wrong. At first she brushed off their concern, but one evening, she could no longer keep it to herself, confiding to them that she and William were taking a break. "She was debating whether or not she should text or call him. She got quite drunk on white wine and really let her guard down," recalled one of the group. "She said how sad she was and how much she was missing him."
However, the summer appeared to be a blip in their relationship, for while William had clearly needed time away, by October they were back together, returning to Balgove House for the start of their final year at St. Andrews. Kate had some conditions—the most heartfelt one being that he wasn't to contact Isabella again—and just as though nothing had happened, they slotted back into life as a couple. Later that term, Kate was invited to Prince Charles's fifty-sixth birthday party at Highgrove. William's father was very fond of Kate and already saw her as a future daughter-in-law. She was thrilled to be included. It was even clearer how much Prince Charles saw Kate as part of the family the following March, when she was included in his pre-wedding skiing holiday at Klosters, along with William and Harry.
However, whereas his father's wedding to Camilla Parker Bowles was just around the corner, William was in no hurry to tie any knots, as evidenced by the unguarded remarks he made to a reporter during an après-ski evening in a local bar: "Look, I'm only twenty-two, for God's sake. I am too young to marry at my age. I don't want to get married until I am at least twenty-eight or maybe thirty." Kate no doubt knew of William's thoughts on marriage—and maybe even felt the same way—but it can't have been reassuring to hear such a categorical, emphatic wish to remain single.
The runup to Charles and Camilla's wedding, meanwhile, had been beset by problems and was probably enough to put William off the idea, for the foreseeable future at least. Charles and Camilla had wanted a civil wedding at Windsor Castle, but when it was realized that if a license were granted, then any other couple could also be married there, the plan was scrapped. Instead, it was decided that they would marry at Windsor Guildhall, followed by a blessing by the Archbishop of Canterbury in St. George's Chapel in the castle. Although the British public had largely warmed to the idea of Camilla marrying Charles, there was speculation that the Queen would not be attending the nuptials. Charles was crestfallen that his wedding was being labeled a "fiasco" in the press but had been reassured by William and Harry's supportive joint statement: "We are both very happy for our father and Camilla and wish them all the luck in the future." It had been difficult for them in the early years following the death of their mother, but they had more than accepted Camilla as part of their father's life: "We love her to bits," remarked Harry.
Against all the odds, the wedding was a success, even though it had to be delayed a day because of the death of Pope John Paul II. When Camilla emerged from the shadows of Capital Guildhall into the spring sunshine to spontaneous applause from the waiting crowds, it seemed the worst was behind them. And while the Queen and Prince Philip had not attended the civil part of the ceremony, they were there at St. George's Chapel—along with the other seven hundred guests. The most moving tribute that day came from the Queen, when for the first time she gave the couple her public blessing: "My son is home and dry with the woman he loves."
Kate was not at the wedding—protocol dictated otherwise—and this, more than any other time in her relationship with William so far was the starkest reminder that her boyfriend's family was beyond anything she had ever known. From the outset, Prince Charles and Kate had enjoyed a good relationship. But there were strict rules about who could and could not be invited, and Kate was not yet an official part of the inner circle and wouldn't be until she was a royal fiancée.
The Easter break seemed to pass in a flash, and soon Kate was back at St. Andrews to prepare for her finals, putting the final touches to her dissertation on Lewis Carroll, the author of _Alice in Wonderland_ and a significant figure in the history of photography. According to her tutor, Professor Peter Humfrey, "Kate produced a good piece of work; it was very interesting." She had been a diligent student throughout her four-year program and was determined to get a good final grade.
Both Kate and William finished their finals at the end of May 2005 and launched themselves into the end-of-degree celebrations—including the traditional May Ball, which was organized by the Kate Kennedy Club and held at Kinkell Farm. For once Kate let her hair down, and not able to tolerate her drink, was carried out by Fergus Boyd before the night was over. Knowing this was the last few weeks they would all be together, William was characteristically generous and threw several barbecues and cocktail parties at Balgove House, Kate doing the catering while William tended the bar. There were also William's social engagements and obligations outside St. Andrews, and he included Kate in several of these, most notably flying down to Oxfordshire to attend the wedding of his close friend Hugh Van Cutsem to Rose Astor. This was the first society event at which Kate and William would appear together, and their rumored attendance ensured that a number of paparazzi turned up at the parish church. William was an usher and had arrived ahead of Kate, who appeared rather nervous as she made her way to the entrance past photographers desperate to get an image of her. As they left the church, Kate and William were pictured walking into the distance, heads tilted, bodies turned toward each other and deep in conversation. Their closeness was there for all to see.
On June 23, 2005, Kate and William graduated from St. Andrews, both with a well-deserved upper second degree. It was a high-profile event for the university as the Queen and Prince Philip had traveled to the town to see their grandson receive his degree certificate, the first time they had ever attended a family member's graduation ceremony. There had been much preparation ahead of the royal arrival; the university had sent details of every student graduating to the Palace ahead of the day, and in a pleasant surprise, the sun was out. Vice Chancellor Brian Lang recalled, "The Queen was wonderful; she was the proud admiring doting grandmother, I remember hearing William say: 'Hello Granny, I'm so glad you could come.' We knew she hadn't been well, but nothing was going to keep her away from that day and she was very good company. It was such a glorious day—St. Andrews at its best. In the sun, this beautiful ancient medieval town was full of bright good-looking students. Everything went right that day, thank goodness, because we had the world's press watching us."
Carole Middleton poses proudly with her baby daughter who was as good as gold and known as Catherine until she went to university. (© Rex Features)
Kate described her time at St. Andrews Prep School as "some of my happiest years." Here she is ( _first on left_ ), age 13, with her classmates and favorite tutor, Kevin Allford.
Kate ( _top row, center_ ) loved sports and played Goal Defense for the school netball team. Her mother Carole also played Goal Attack in a teachers' and parents' team.
Kate ( _far right_ ) loved her time at Marlborough College and made friends for life. A boarder at Elmhurst house, her favorite tutor, Ann Patching, says she was popular and talented. (© Solo Syndication)
Kate ( _top row, fourth from left_ ) was a skilled hockey player and made the school's top team together with her younger sister Pippa. (© ExclusivePix)
Kate's first boyfriend Harry Blakelock was in the year above her at Marlborough School. When they split up, Kate was heartbroken. (© Rob Rich/SocietyAllure.com)
Kate spent three months in Chile working for the voluntary organization Raleigh International just like Prince William. She is remembered for being a team worker and a competent sailor.
It was at St. Andrews University in Scotland where Kate, who was voted the prettiest fresher in her year, first caught William's eye. He invited her to breakfast and their friendship grew from then on.
Having discovered a passion for pasta in Florence during her gap year, Kate and her friend Laura Warshauer enjoyed pasta parties in St. Salvator's Hall.
Kate and her friend Olivia Bleasdale, one of the "Glosse Posse," dress as schoolgirls for a Harry Potter themed party in their first year at St. Andrews.
Fresh faced and make-up free Kate was nicknamed "beautiful Kate." Some girls were jealous of her close friendship with William and were unkind to Kate.
Kate dated Rupert Finch, a popular rugby player and third year law student, when she was a fresher. They were known as the golden couple at St. Andrews.
Kate and William enjoy a day out at the Beaufort Polo Club in June 2005. They didn't know if their relationship would survive post-university, but they were determined to make it work. (© Rex Features)
Kate caught Prince William's eye when she took part in a charity fashion show. She daringly decided to turn her see through skirt into a dress moments before she strutted down the runway. (© Malcolm Clarke/Daily Mail/Rex Features)
The hard work pays off and Kate receives a 2-1 degree in the History of Art. Her proud parents, Carol and Michael, were in the audience along with the Royal Family, who had come to see Prince William graduate at the same ceremony. (Kate © Newsphoto/Alamy; William © Anwar Hussein/WireImage/Getty Images)
Kate lived on the Kings Road where she was often photographed shopping and clubbing at some of the capital's most exclusive clubs. Here she is on a night out with her party-loving sister Pippa, in June 2006. (© Chicago/EMPICS Entertainment/Press Association Images)
As a royal girlfriend Kate was followed everywhere by the paparazzi. On the morning of her 25th birthday there were rumors the couple were about to announce their engagement and Kate had to battle her way past the cameras to drive to work. (© Mark Cuthbert/Getty Images)
William draws Kate in for a tender embrace on the slopes of Klosters in January 2006. Happy and in love, the usually camera shy prince throws caution and royal protocol to the wind and kisses his girlfriend. (© Scott Hornby/The Sun/News Syndication)
The pressure of being in the limelight was sometimes too much for Kate and William, who seemed distant from each other at the Cheltenham Festival Race in March 2007. Weeks later William announced they had split up. (© Stephen Lock/Rex Features)
Newly single, Kate took part in a charity dragon boat race, but when the event turned into a media circus she pulled out at the eleventh hour. (© Max Mumby/Indigo/Getty Images)
At the Concert for Diana in August 2007, William and Kate were secretly back together but they sat in separate rows in the royal box to avoid being photographed together. Kate danced with her sister Pippa and brother James instead. (© Alpha)
In addition to the Queen, who had been suffering from a cold on that day, Prince Charles and Camilla came to watch William, and of course Michael and Carole were there to proudly see their elder daughter graduate. As William knelt before the chancellor's wooden pulpit to collect his parchment, the flash of cameras was overwhelming as graduates and their guests captured the moment that the future King of England was awarded his degree. Moments later, Kate was called to the stage as Catherine Middleton to receive her degree in the history of art.
At the end of the ceremony, echoing his words from four years earlier when the assembled graduates had listened as nervous freshers, Brian Lang delivered his final words to them: "You will have made lifelong friends. You may have met your husband or wife. Our title as the top matchmaking university in Britain signifies so much that is good about St. Andrews, so we rely on you to go forth and multiply." Poignant and, as it turned out, prophetic words.
CHAPTER 7
The Breakup
IT WAS A BIZARRE experience and one Kate still hadn't gotten used to. As she flicked through the news channels, there was her boyfriend, leading every story. On his first solo overseas tour, William was in New Zealand representing the Queen, and as he laid a poppy wreath in Wellington to mark the sixty-year commemoration of the end of World War II, Kate watched with a mixture of respect and disbelief. This was exactly the situation that made their relationship so surreal, and although she had been catching up with William by email, there had not yet been a chance to talk on the phone for any length of time.
It was the first time that they had been away from each other since graduating a few weeks earlier, and their time together at St. Andrews already seemed distant. They had both agreed that they wanted to make their relationship work and didn't want to be apart for too long, so Kate planned to join William and his best friend, Thomas van Straubenzee, in Kenya in July. They were going to Lewa Downs, and never having been to Kenya before, Kate was looking forward to the trip, but she was also apprehensive. William's friendship with Jecca was still a sensitive subject, even though he had assured Kate they had only ever been friends. Kate and Jecca had met at William's twenty-first birthday party and then again more recently at the wedding of William's old friend Hugh Van Cutsem. The newspapers, which had already labeled Kate and Jecca "love rivals," had had a field day when Jecca, dressed in a poncho and cowboy hat, sat just a few pews ahead of Kate, rather more dignified in a cream suit and a black fascinator. Now, the very fact that William was taking Kate to Kenya was enough to allay any major fears on her part.
Kate fell in love with Lewa, where they stayed in the $2,300-per-night Masai-inspired Il Ngwesi Lodge in the middle of the Mukogodo Hills. It had spectacular views of the majestic snow-capped peak of Mount Kenya, which the couple enjoyed from their outdoor bathroom and the canopied four-poster bed that could be wheeled out onto the terrace underneath the stars. Days were spent outdoors, too. Situated next to the Ngare Ndare River, Lewa Downs is the natural habitat of the lion, elephant, rhino, buffalo, and the biggest herd of the world's endangered species of Grévy's zebra. While William tracked the endangered beasts, Kate, Jecca, and Thomas were taken into the bush. Each morning, as dawn broke, they set off in the safety of a guarded 4x4 safari truck over the waking plains of the savannah. Kate had brought her camera and took advantage of being so close to the wildlife. There were also plenty of other things to do while William worked, and she played tennis on the clay court with Jecca or swam in the saltwater pool. At sunset, William would join his friends for cocktails while a chef prepared freshly caught fish. Dining al fresco as the African sun set was a magical experience and any previous coolness between Kate and Jecca soon melted.
Post-holiday, William's future was already mapped out. Like his brother, Harry, he would be enrolling at the Royal Military Academy Sandhurst in 2006. Before that, in fall 2005, he was to undertake a series of work placements, including two weeks of land management in the Peak District, on the Chatsworth Estate owned by the Duke and Duchess of Devonshire, followed by three weeks at the Bank of England and the head offices of HSBC bank. It was, he reluctantly told friends, "time to join the real world." Similarly, after four years as a carefree student, Kate also had her future to think about, and she duly sent out her CV to a handful of London art galleries so that she could put her history of art degree to some good use. Finding somewhere to live wasn't a problem. Her parents had bought an expensive apartment in Chelsea before she graduated and had given Kate the keys. Located on Old Church Street off the fashionable and sought-after King's Road, the two-bedroom pied-à-terre was perfectly positioned and had been beautifully furnished by her mother. The plan was for Pippa to move in with Kate when she graduated from Edinburgh.
Kate's apartment was only a short drive from William's living quarters at Clarence House. By now, she was a regular visitor, and when she pulled up in her VW Golf, Kate was waved through the cast-iron gates without needing to stop for a security check. She even had a parking space reserved next to William and Harry's in the gravel courtyard. Kate was beginning to get to know Harry, who had been at Sandhurst since May and was full of tales of the tough training he had had ahead of his older brother. Unlike Pippa, who had come to visit at St. Andrews, Harry hadn't visited his brother, but he had met Kate many times at Balmoral on shooting weekends. Although they got along well, it was rather crowded when all three of them were at Clarence House. Charles and Camilla had the run of the large, four-story building, while William and Harry shared a small wing, consisting of a functional kitchen with a dining table for entertaining, a living area, a bedroom each, and a small gym.
In between looking for a job, Kate filled her days shopping on the King's Road, meeting friends, and seeing William. Because of the ongoing intense speculation about the seriousness of her relationship with William, she had to quickly come to terms with the fact that she was a constant target for the paparazzi. She only had the benefit of the prince's protection officers when she was with him, and so she had to deal with the unwanted attention alone. It was like navigating an obstacle course, and it seemed there was always a photographer ready to pounce, whether she was leaving her apartment to go to the shops or heading to Buckingham Palace to swim at the pool, a privilege she now enjoyed. The paparazzi soon worked out where she lived, shopped, and worked out, and she was photographed nearly every day. William was aware of the situation and anxious about it. He had seen firsthand how his mother had been harassed by the paparazzi and was determined that Kate not be subjected to the same treatment. At his request, she was given a hotline to the press office at St. James's Palace and the mobile number of the Prince of Wales's head of press, Paddy Harverson. "We had been introduced to Kate early on, and we were instructed from the outset to give her every support possible," said a senior press aide. "She was obviously the subject of a lot of press interest and intrusion from the paparazzi. William said we had a duty of care to her and her family and so we advised her on how to deal with the cameras. We told her to smile at the photographers so that it would be a better picture. She was given advice on how to manage the media, and we were there to support her if there was a crisis."
At St. Andrews, the media agreement had meant that the couple was sheltered, but out in the real world, Kate found herself in new territory. She was polite, but she never posed for the cameras, having been told by courtiers not to engage with the media. Earlier that summer, she and her mother had attended the Horse Trials at Gatcombe Park, Princess Anne's country house. With or without William, Kate's attendance at any event was now big news, and she was quickly surrounded by the press pack. Dressed in a cowboy hat, brown corduroy jacket, and fitted jeans, the photographers addressed her as "Kate" and asked her to pose for a photograph. "If I do it now, then I'll have to keep doing it," she explained. It was the first time she had ever addressed the media, and her response was smooth and calculated. It was the clearest indication yet that she was being given some very effective media training behind the scenes. Bizarrely, she had been advised to watch footage of the late Princess of Wales in order to learn how to deal with the paparazzi, notorious for being aggressive in their pursuit of a picture, taunting their prey in order to get a response. At the Palace, there was a concerted effort not to allow Kate to be exposed to the same ruthless treatment.
In a further show of support, Kate was also given access to the Prince of Wales's London-based legal team, Harbottle and Lewis. The lawyers were instructed to write to newspaper editors before the year was out to express their concerns about how much Kate was being photographed. When a German magazine, _Das Neue_ , pinpointed the exact location of Kate's London home, William was livid. Although the intrusive photography was bad enough, this was, he fumed, an unacceptable invasion of Kate's privacy and posed a serious problem for the prince's security team. William was often at Kate's apartment, and now it was a matter of public record that his chauffeur-driven Range Rover could be seen parked in the narrow street. Panic buttons linked to the local police station were installed at Kate's apartment as an additional security measure.
When it came to going out in London, William and Kate had their own way of dealing with the paparazzi. As they had done at St. Andrews, they never held hands in public—in fact, they never acted like a couple. At a private black-tie gala dinner in Whitehall that October, they sat at separate tables in order to not be photographed together and, according to guests, barely spoke to each other all evening. It was the same during a night out at the Mamilanji nightclub in London a couple of weeks later. William was enjoying himself on the dance floor, while Kate sat with her friends. They arrived and left separately, according to the British show-business journalist Emily Maddick, who was at the club that night observing them. "William was in very jovial spirits, chatting and drinking," she recalled. "Close to midnight, he hit the dance floor with some of his friends. He was having a great time dancing to 'Don'tcha' by the Pussycat Dolls, and he knew the words. He was loving it, but Kate was sitting in the VIP area with friends, cradling a glass of white wine. She didn't seem in the mood to dance, and William left the club separately and said he was on his way to a house party. You would never know they were together."
They made a point of keeping a low profile, and although the press speculated that the romance might be on the rocks, the truth was William and Kate were tighter than ever. Not acting like a couple when they were out was their way of keeping private what was special, even though it was not always easy for Kate. By November, she was still jobless, but she approached her parents with a business proposal to launch a children's clothing line on the Party Pieces website. They talked the idea through that Christmas when she went home. Carole thought it was an excellent plan of action. Children's T-shirts had always sold well on the site, and she believed that a clothing line had the potential to be successful.
Kate loved being back with her family at Christmas, and even though they were no longer children, Kate, Pippa, and James still opened stockings on Christmas morning before making a start on the Christmas puzzle, a family tradition. Ever since they were little, Michael had dressed up on Christmas Day, and this year he donned a sumo wrestler's outfit, which had the family in stitches. On Boxing Day, the day after Christmas, Kate packed her bags and drove to Norfolk to join William at the Sandringham shoot. She had stayed at the royal estate several times with William and their friends for shooting weekends, but she had never been invited for Christmas when the entire royal family was in attendance. William thought it better not to stay in the main house, where Kate might find things a bit daunting, so he arranged for them to spend several nights at Wolferton Marshes, an isolated cottage on the estate. She was thrilled to be part of the festivities and was now an accomplished shot herself. Diana never enjoyed her stays at royal residences, complaining that William and Harry were "always out killing things," but Kate loved the sport and seemed to settle in well.
After seeing the new year in together, William and Kate boarded a plane on New Year's Day for Klosters. The trip was an early birthday present for Kate before William started Sandhurst, and this time he didn't care who saw them on the slopes, as he kissed her passionately. They would not see each other for five weeks once he enrolled at Sandhurst, and they made the most of every minute together.
On their return to London with the days ticking down, Kate threw a champagne send-off for William at Clarence House with his closest friends, and then on January 8, 2006, William left London to begin his army training. Driven down by his father, while closely followed by his security team carrying the prerequisite ironing board, he was welcomed by the major general. After signing into Blenheim Company, William was shown to his sparse, soulless room, which overlooked Old College. Not wanting to overshadow his brother's arrival, which was captured by the waiting media, Harry was not there to greet William but made his way to his room later. Now that he was in his third term, Harry took great pleasure in reminding his older brother that his higher rank meant that William would have to salute him.
While William knuckled down to intensive physical and mental training, which would prepare him for his future career with the military, Kate started putting the wheels in motion for her new business plan. She worked on a business strategy and started sourcing reasonably priced, high-quality children's clothing. She traveled around the country looking at samples and flew to Milan where, using her basic Italian, she found a reliable manufacturer. That summer, the press reported that she had the backing of clothing label Viyella, which wanted to partner on the project, but the rumored venture came to nothing. Kate realized that starting a business was not easy, and she hit obstacles early on. She decided not to register the company with Companies House because it would mean publishing personal details as well as annual accounts. Her parents helped where they could, and Kate had some savings to get the business off the ground, but by the summer, she was operating the business at a loss. She confided to Jamie Murray Wells, an entrepreneur and close friend of William's, that she was struggling to break even. "The business is running into debt, but I really want to prove to my dad that I can do this without asking him for any money," she said. Kate decided that she might be better off working for a well-established fashion company instead. She was rumored to have been approached by the design house Ralph Lauren, which was interested in making her an ambassador. According to one former employee, it was "an idea, but it never took off." In the end, Lady Gabriella Windsor was appointed to the role. Kate was also rumored to have applied for a job at the Harrods store in Knightsbridge, London, as a buyer's assistant in the fashion department, but again, it came to nothing.
Although she was eager to carve a career for herself, not having the commitment of a nine-to-five day job rather suited her. As a royal girlfriend she was largely at William's beck and call, and she fitted in seeing him around his timetable. She also had a busy social life, constantly whizzing up and down the M4 motorway to London to see her friends. She was often spotted browsing in clothes shops in Kensington and Chelsea and attending glitzy nights out with William on the rare occasions he had time off from Sandhurst. They attended the Boodles Boxing Ball in June, a charity night for which some of their closest friends were competing in the ring, and the opening of a new shop at Bluebird, the fashionable restaurant and café on the King's Road, owned by the retail tycoons John and Belle Robinson, friends of the Middletons. Kate seemed to revel in her role, and even without William, she still mingled in royal circles. Earlier in the year, Kate had caused quite a stir when she was photographed in the Royal Box at the Cheltenham Gold Cup with Prince Charles and the Duchess of Cornwall. It was the first time she had appeared with the family at a public event without William, appearing happy and relaxed as she chatted with Camilla and her children, Tom and Laura. Kate's warm rapport with Charles had intensified, and the prince had grown even fonder of Kate. He loved it when William brought Kate to Highgrove for occasional weekends and had given them a set of keys and allowed them to share a room. "Charles was like any other father; he was very kind and hospitable towards Kate from the beginning," said a senior member of the household. "He was delighted William had found such a lovely girlfriend, and she was made to feel at home. Charles loved the fact that Kate enjoyed coming to Highgrove and to Birkhall in Scotland—where he would take her hill walking and deer stalking. It gave him great pleasure that they could share those pursuits." Birkhall, the eighteenth-century mansion that the Queen Mother gifted to Charles when she died, holds a great deal of significance for the Prince of Wales. Charles would escape from Gordonstoun, the Scottish boarding school he hated, to see his grandmother at the three-story house on the Queen's 50,000-acre Deeside Estate when he was a boy. The place, he said, had a "soul-refreshing effect," and he refused to move the eleven grandfather clocks from the dining room. Nor would he refurbish the moth-eaten tartan curtains, despite Camilla's protests.
Camilla, meanwhile, took it upon herself to advise Kate on royal etiquette. The duchess was skilled in royal courtship, and she encouraged Kate to work her diary around William's engagements. Kate made sure she kept the weekends free so she and William could be together. Often they stayed at her parents' house or at Highgrove with Charles and Camilla. They also had a close-knit group of friends, and there was always a shooting party to be enjoyed in the countryside. That Easter, to celebrate William's success in making it through the notoriously tough first term at Sandhurst, Kate had arranged for them to go to Mustique, an island in the Caribbean, where the Robinsons owned a luxury villa. They generously waived the $12,000-per-week rental charge and told William and Kate to make themselves at home.
William had longed to visit the private island for some time; his great-aunt, Princess Margaret, had owned a villa there where she conducted a long-standing affair with her young lover, Roddy Llewelyn, in the 1970s. Better known now as a private playground for rock stars and A-list celebrities who want five-star luxury and complete privacy, the paparazzi are banned, and every visitor is vetted by the island's twenty-five-strong security team.
Described by the fashion designer Tommy Hilfiger as "endlessly social yet perfectly private," Mustique is the epitome of luxury. It has its own private airport, nine stunning beaches, and some of the world's most sumptuous villas, one of which has its own golf course. There is just one hotel on the island—the Cotton House—and a guesthouse. The Robinsons' hillside home, a five-bedroom stone mansion overlooking the famous Macaroni Beach and the sparkling turquoise Caribbean Sea, was quite simply paradise. The villa came with its own maid and gardener, as well as a cook who, alerted to the fact that the future King of England was coming to stay, had the couple's favorite foods flown in from St. Vincent ahead of their arrival. Kate and William loved it from the outset. They slipped anonymously into island life, zipping around on golf buggies and sunbathing on the tranquil beaches. With a health spa, world-famous equestrian center, and a busy tennis club, there was plenty to do. According to Elizabeth Saint, who runs the island's equestrian center where William and Kate went riding, "They love it here; they can be natural, and that's very precious for the island and everyone that lives here. We value their friendship. Mustique is a haven and sanctuary for them because no one ever talks about what goes on here."
In addition to riding horses along the shoreline, Kate and William played beach volleyball and chilled out by the infinity pool at their villa, beneath the shade of the poolside gazebos. They challenged the Virgin Group tycoon, Sir Richard Branson, to games of tennis, appreciative of the loan of his catamaran, on which they enjoyed romantic dinners à deux. Some evenings they ventured to Basil's Bar, a rustic beach shack on stilts overlooking the sea. Wearing his famed caftan, Basil Charles, one of the island's most exuberant characters, poured William's vodka and cranberry while Kate enjoyed a chilled piña colada. They danced into the night, and according to one merrymaker, William was so relaxed he joined in a karaoke night and sang along to Elvis Presley's "Suspicious Minds." "William and Kate loved Mustique and promised they would come back," recalled a regular visitor to the island. "They were left alone to enjoy their holiday and no one bothered them. They could be themselves, and they really got into the spirit of Mustique. It can be as pretentious as you make it, but William and Kate were very relaxed. They were always dressed down and often turned up at Basil's barefoot."
Back in Britain, the romantic getaway prompted further engagement rumors, much to the amusement of the pair, who had started a wall chart in the kitchen at Clarence House to document the number of times the press speculated they would tie the knot. There were, however, reports that aides had started earmarking potential dates for a royal wedding around the calendar of the senior royals. It is not unusual for significant events to be planned months in advance, but St. James's Palace Press Office denied an engagement was imminent, insisting there were "no plans" for the couple to get married. When William and Kate attended Laura Parker Bowles's wedding to Harry Lopes in Wiltshire later that summer, there was no ring on Kate's finger.
If Kate was expecting a proposal, she didn't let her disappointment show. In fact, during the summer of 2006, the relationship seemed stronger than ever. The couple's fears about conducting their romance in the real world were largely allayed by packing in as many holidays as William's Sandhurst timetable allowed. In August, they headed to the party island of Ibiza to stay with Kate's uncle, Gary, who gave William, Kate, Pippa, James, and a few of their friends, including Guy Pelly, the keys to his $9-million Spanish villa, La Maison de Bang Bang. With gold engraving on the external wall, it is a fortress-turned-party-palace and a rather unlikely destination for royalty, but Kate and William had a ball. Gary, who knew the island well, chartered a yacht so that they could sail across the sea to nearby Formentera.
Surprisingly for such a popular vacation destination, William and Kate were able to explore the island in relative anonymity and spent a night at the Pacha nightclub without being recognized. "We organized a whole itinerary for them, including going over to a neighboring island on a boat. They've got mud baths and they were all rolling in the healing mud, which they thought was great fun, although it was particularly smelly," Gary recalled in a magazine interview. Tanned and toned in their matching white bikinis, Kate and Pippa performed expert backflips into the azure waters. Back at the villa, Gary arranged for William to learn how to mix music. "A friend of mine was teaching William how to mix on the DJ decks and he performed to the whole family. William loved the place. He said it was so much fun. Carole told me afterwards that they all had a brilliant time."
William had enjoyed being on vacation with Kate and her siblings, and just as Kate had been welcomed into the royal residences, William felt at home with her family, known by friends as the "En Masse Middletons" because they spend so much time together. It was entirely different from William's home life, and the couple often went to Oak Acre for Sunday-roast dinners. Carole made a point of stocking William's favorite red wine, and William was expected to help clear the plates after the meal, along with everyone else. Sitting around the family table and catching up over an informal meal was a treat the prince rarely enjoyed with his own family. He got along well with Michael and adored Carole, who apparently kept a picture of the prince on her mobile phone. William had been very supportive when Carole's mother, Dorothy, passed away in July after a four-month-long battle with lung cancer. Although he had never met "Lady Dorothy," he knew how close Kate was to her seventy-one-year-old grandmother, whom she regularly visited in Pangbourne. Her mother's death, four years after her father passed away, hit Carole hard. Dorothy had always been a strong, energetic, and charismatic woman, but when Ron died she was terribly lonely, according to Jean Harrison: "Dorothy was very sprightly, but she had always been very dependent on Ron, and she was immensely affected by his death. She never learned to drive, and without Ron she couldn't get about much. Then she got cancer, and it was Kate who called me up to tell me that she had died. She said that Dorothy had danced at her last birthday. It was obvious she was very close to her grandmother, and Dorothy would have been over the moon that Kate was dating Prince William, although Dorothy never told me. She knew how to keep a secret."
According to Gary, Dorothy was very proud that Kate was dating the prince. "To mum, Kate's relationship with William was like all her Christmases had come at once," he told the _Sun_ newspaper. "We are from such humble stock, and then here is her granddaughter dating Prince William. She was so proud."
Dudley Singleton recalled how Kate took care of her mother at the wake, which was held at Oak Acre. William was not at the funeral service, during which Kate read a poem, and according to Mr. Singleton, at the reception afterward, Kate chatted with the local villagers and her grandmother's friends who had come to pay their respects. "I remember talking to her and she was very quiet. She was very upset as she was very close to Dorothy, but she was dignified in her mourning. There was no great show of mourning—she didn't wear her grief on her sleeve. Kate was going places at this stage, she was with William, but she still made time to talk to the villagers and no one was excluded."
Still, not for the first time in her life, Kate was at a crossroads. Another summer had passed, and as the year 2006 advanced to its close, she had to admit she had no real vocation. Fortunately, a solution was around the corner, thanks once again to the Robinsons. Belle Robinson, who owns the Jigsaw clothing company with her husband, recalled, "She rang me up one day and said: 'Could I come and talk to you about work?' She genuinely wanted a job, but she needed an element of flexibility to continue the relationship with a very high-profile man and a life that she can't dictate." When an opportunity for an accessories buyer at Jigsaw Junior—the children's clothing division of the high-street chain—came up, Belle suggested that the job might suit Kate perfectly.
After a successful interview, she reported for her first day of work, arriving at the company's head office in Kew, immaculate in a crossover jersey dress and a pair of L.K. Bennett heels. Her four colleagues in the fashionable open-plan office were all female, glamorous, and ambitious, and each had been briefed ahead of Kate's arrival—not that she needed any introduction. By now she was a cover star, gracing the front pages of magazines and newspapers on an almost daily basis. Kate and William's recent holiday in Mustique had been major news, so the staff was well aware of her connections to their bosses. It was one of the reasons Kate was allowed to work a flexible week although she was expected to work from 9:00 A.M. until 6:00 P.M. Although Kate tried to blend in, her arrival most mornings was far from low key. These days she was driving a fancy silver Audi A3, the royals' car of choice, and had been given a discount on the luxury hatchback. It was more powerful than her Golf, but she could never outrun the paparazzi, who would stake out the entrance to the building, waiting for a picture. Belle recalled, "There were days when there were TV crews at the end of the drive. We'd say, 'Listen, do you want to go out the back way?' And she'd say: 'To be honest, they're going to hound us until they've got the picture. So why don't I just go, get the picture done, and then they'll leave us alone.' I thought she was very mature . . . and I think she's been quite good at neither courting the press nor sticking two fingers in the air at them. I don't think I would have been quite so polite."
According to another colleague, "Kate was pleasant from the outset and made friends quickly. We were aware of her connection to Belle and John, but she was never treated differently. She was very diligent and never late, and she had a very good work ethic. She made an effort to blend in and get on with the job."
Kate's job was to select children's accessories, and she was responsible for purchasing bracelets, necklaces, ballet slippers, hair clips, and anything else that she thought would sell. She spoke to suppliers in the Middle East and worked closely with her team, making key decisions about the season's trends and what would sell both on the shop floor and on the website. It was her dream job, and she seemed to have a genuine talent for spotting eye-catching designs. She quickly became part of the team, and if not working out in the company gym at lunchtime, she would often eat lunch in the staff canteen. Kate's colleagues knew when William called because she would take the call outside so as not be overheard. "She was very cautious," recalled a colleague. "She got on with the people she worked with, and she was close to a girl she worked with called Katie Orme, but they weren't people she confided in. She never talked about William or their relationship; she was always very discreet."
Being a family-run company, there were often social occasions such as barbecues and cricket matches held for the staff members and their families. Kate once attended a company fashion show and tea party at the Hurlingham Club, but despite her efforts to just be one of the team, an enterprising photographer used a long lens to snap her drinking a cup of tea, and the photograph was published in a glossy magazine. As a buyer, Kate had the opportunity to meet fashion writers and photographers when she went to press days at the New Bond Street office, and she was happy to talk with them. "Kate and the other buyers came to see how the collection had come together," said a colleague. "Kate was very comfortable among the fashion press and people were naturally curious, but she was just pleasant and confident. I remember her chatting to members of the press. She was very interested in the work they were doing." According to her friend Emma Sayle, "Kate loved the job. She always said she had great fun traveling to fairs across the country, where she would hunt for ideas and inspiration."
Kate's four-day-a-week arrangement, which had apparently annoyed some of the staff, meant that she could attend William's Passing Out parade at the end of December. Kate and her parents had been given VIP tickets to the ceremony, which in itself predictably sparked a flurry of media activity. It was the first time Kate had attended an official engagement in the company of the Queen and senior royals, and the fact that William had also invited her parents made it even more significant. Dressed in a scarlet dress coat and a wide-brimmed black hat, Kate beamed as she watched William graduate as a second lieutenant. He would be joining the Household Cavalry's Blues and Royals regiment in the new year to train as a troop commander, like Harry.
In her elegant fitted brown coat and Cossack-style fur hat, Carole stood next to her daughter, occasionally whispering an aside and glancing at her husband, who was sitting next to William's private secretary and most senior aide, Jamie Lowther-Pinkerton. Kate looked on as William paraded outside Old College in his smart dark-blue tunic adorned with a red sash, signifying that his platoon had the honor of carrying the sovereign's banner. William found Kate in the crowd and smiled. "I love the uniform—it's so sexy," she whispered to her mother. The cameras were fixed on Kate, and a lip-reader was commissioned by one broadcaster to relay her every word. Unfortunately, it was neither William's uniform nor Kate's comment but Carole's unfortunate habit of rather innocently chewing nicotine gum throughout the ceremony that made the headlines in the newspapers the next day. She had been trying to quit smoking and was mortified that she had been captured chewing away. It was a taste of things to come, and Carole vowed she would not slip up next time.
Within a matter of weeks it was Christmas, and once again William and Kate prepared to spend the holiday apart. The Middletons had rented a country house in Perthshire, and Kate had invited William to join them for the new year celebrations. She had decided not to go to Sandringham for the Boxing Day shoot this year so that she could be with her parents, who had both recently lost a parent—for along with the passing of Dorothy, Kate's other grandmother, Valerie, had also died that summer from lymphoma.
Set on the outskirts of Alyth, Jordanstone House, an eighteenth-century manor house, was quite something. It was bitterly cold outside, a foot of snow adding a touch of magic to the scene. Inside, the Christmas tree lights glowed and log fires crackled in the spacious hearths. There was an all-weather tennis court, snooker room, an orangery, acres of surrounding parkland to explore, and four-poster beds in most of the thirteen bedrooms. William and Kate had been assigned the most luxurious of all, and she was looking forward to his arrival. However, when William telephoned on Boxing Day evening from Sandringham to tell her he wasn't coming, she was crushed. It was not like him to let her down at the last minute, and as it was only a few days before William was to relocate to Combermere Barracks in Windsor to start life as an army officer with the Blues and Royals, Kate was even more upset that she wouldn't be spending time with him.
William tried to make it up to Kate by throwing a small party at Highgrove to celebrate her twenty-fifth birthday, but she was rattled. The prince was in Windsor on her actual birthday, and when Kate left her apartment that morning, she looked tired and puffy faced. Dressed in a pretty black-and-white print Topshop dress and her standard knee-high black suede boots, she had not expected to have to elbow her way past close to twenty photographers and TV cameramen who had been camped outside her front door since 6:00 A.M. Kate's birthday had prompted a fresh barrage of speculation that there would be an engagement announcement, and there was a panic to get the first pre-engagement picture. These days, a good frame of Kate was worth up to $30,000. The Princess of Wales's former press secretary, Patrick Jephson, had fueled the rumor mill by claiming in a magazine article that Kate was set to be the next royal bride and that an announcement was imminent. To an observer, the signs were there. Bookmakers had stopped taking bets on when the couple would get engaged, and the High Street store Woolworth's had already started designing "Wills and Kate" wedding china. There was talk of Kate being given around-the-clock police protection—a step that historically accompanied an engagement—and there were police outside her home that morning to keep the press gang in check. Like the young Diana Spencer on the eve of her engagement to Charles, Kate was like a rabbit in headlights as she walked to her car. Usually unflappable, she looked genuinely shaken when some of the photographers chased after her as she accelerated out of the street.
The memory of the Princess of Wales still lingered—it was just weeks since the official inquest into her death had been published and concluded that the car crash in Paris was a tragic accident. When William called to wish Kate a happy birthday, she was close to tears, and the prince instructed his aides to issue a statement complaining about the level of harassment Kate was experiencing. His message to the press was unequivocal: leave Kate alone. "Ms. Middleton is a private individual and as such can expect to have the privacy and private life that would be enjoyed by any member of the public," the Palace insisted. Even Prime Minister David Cameron remarked about his "concern about the number of people on Kate Middleton's doorstep."
There was no engagement, and deep down Kate feared there might not be one in the future. She was increasingly miserable at having to cope with the downside of her fame without William present, which only compounded her sense of loneliness. The pang of uncertainty she had felt since New Year's Eve had not subsided, and although she and William spoke regularly on the phone, she knew they would not be seeing much of each other over the coming months. After several weeks in Windsor, William was posted to Dorset for a two-and-a-half-month tank commander's course.
They managed to see one another on occasional weekends, and in March 2007, Kate and William were able to spend some proper time together on a skiing holiday at Zermatt in Switzerland with friends. Tucked away in their wooden chalet, Kate felt bold enough to voice her fears about their relationship, while William did his best to allay them, but they both knew this was a rocky patch. A long-distance romance didn't worry Kate, but she did have a problem with William coming to London to party instead of spending time with her, which had became a pattern since he had moved to Dorset. It seemed to her that William would rather go out and enjoy himself when he had a free weekend than spend time with her. When the press reported that William had spent the night flirting and dancing with another woman on a boy's night out at Boujis, Kate was furious and told him so.
William, who can be headstrong and stubborn, seemed intent on having as much fun as possible, however, and when he was in Dorset, he often went out drinking with his platoon. For Kate, the final straw came as March drew to a close. William had been photographed partying at the Elements nightclub in Poole with two local girls, and to ensure her humiliation, his drunken antics were published in the tabloids. There were pictures of William dancing on a podium with a nineteen-year-old student, Lisa Agar, who claimed William was "touchy, feely, and quite pissed."
Kate knew that the worst thing was to back William into a corner, but the time had come when she felt she had no alternative but to deliver William an ultimatum. If they were together, she wanted his full commitment, otherwise the relationship was over. The strain between them was apparent at the Cheltenham races at the end of March. In their matching tweeds, Kate looked downcast and hid behind dark glasses, while William seemed distant from her. That Easter, early in April, they agreed to split, for the second time in their six-year-long courtship. Kate was heartbroken.
William had spoken to his grandparents and his father about his concerns in the weeks leading up to the breakup. When he canceled the new year celebration with Kate at the eleventh hour, his grandfather told him he had to make his mind up about marriage. The Duke of Edinburgh had enjoyed a long courtship with the young Princess Elizabeth before officially proposing two months after her twenty-first birthday. They would have married sooner had it not been for King George V insisting they wait until Elizabeth's coming of age. Charles, meanwhile, advised William not to hurry into marriage. Although he knew firsthand the dangers of procrastinating, he had also endured the pain of a very public divorce. The Queen advised William to take his time and not be rushed into marriage. The truth was, commitment frightened William and he had gotten cold feet. He was twenty-four, loved his army lifestyle, and already said he didn't want to get married "until I'm at least twenty-eight, or maybe thirty." Apparently, he had been spooked by talk of courtiers looking for a suitable date for a royal wedding and china cups being made ahead of a royal engagement.
Kate, however, was prepared to wait, but no one was going to make a fool of her. Fortunately, on the weekend of the split, she was at home with her family, who as always, was there to support her. Belle Robinson, who had read the news in the papers along with the rest of the country, told her not to come into work that week, while Carole, always a cool head in a crisis, advised Kate to give William time. She reassured Kate that William would be back and suggested they go on a holiday to Ibiza with some friends. To make matters worse, the papers that weekend were full of spiteful commentary suggesting that the breakup came down to the fact that Kate was too middle class for William and was not a suitable royal bride. Given her love and loyalty to the prince, this must have stung Kate like salt in a raw wound; and besides, it wasn't true. Although Carole's family was proudly working class, Michael's family could be linked to earls, countesses, a former Prime Minister—William Petty-Fitzmaurice, the first Marquess of Lansdowne, who served as Prime Minister in Britain from 1782 to 1783—and royalty.
Genealogists are able to trace the Middleton lineage to King Edward III through Sir Thomas Fairfax, a wealthy aristocrat born in the seventeenth century. Fairfax was a parliamentarian general who served under King Charles I and was married to Anne Gascoigne, a direct descendent of King Edward III. They had twin sons who gave rise to two lines of descent. Nicholas Fairfax, the elder son, was distantly related to Princess Diana's family, the Spencers, and William Fairfax, the younger twin, was related to the Middletons. The discovery meant that William and Kate are in fact fourteenth cousins once removed.
But despite the family's distant connection with royalty, the Middletons came in for criticism, in particular Carole, who was labeled pushy and "unashamedly ambitious." Some commentators believed the royal family had lost its greatest asset since Diana. Others compared Kate to Camilla, fearing that like his father, William had just let his first true love slip through his fingers. Kate allowed herself the weekend to mourn the end of their romance. She was deeply touched to receive messages of support from Charles and Harry, who was preparing to go to Iraq, as well as the Duke of Edinburgh, who sent her his best wishes.
She mustered all her strength and took her mother's advice to show William exactly what he was missing. The prince had marked the end of their relationship with a night out at Mahiki nightclub, a Polynesian-themed bar in Mayfair, and Kate followed suit. The club, famous for its outrageously expensive and flamboyant cocktails, was managed by Guy Pelly. Dressed in a thigh-skimming minidress, Kate let her hair down and ordered a round of piña coladas. Michael Evans, who worked at the club, recalled that Kate was a model of decorum: "When Kate came to the club, she always queued and never expected free drinks." After hitting the dance floor, she spent the rest of the evening sitting on a swinging wicker seat talking to Guy. Until now, their friendship had been a touch frosty, but Guy had always been kind to Kate, protecting her from the jealous taunts of some snooty royal hangers-on who whispered "doors to manual" when Kate walked into the club—a derogatory reference to her parents' airline industry careers. He knew William better than most and assured her that the prince cared for her a great deal.
But Kate hadn't spoken with William, who was now drowning his sorrows back at the Elements nightclub with his new army friends. He could not have failed to notice the pictures of Kate in the daily newspapers. There she was, looking sensational, on front page after front page, enjoying nights out with her sister, with her friends, with people he didn't even know. She was photographed at a glamorous book launch in Mayfair with socialite Tara Palmer-Tomkinson and leaving a party to celebrate a movie about adult sex toys. It was a far cry from the tweed-clad young woman who had stood unhappily next to him at Cheltenham just a few weeks before. Far from appearing heartbroken, she seemed to be reveling in the attention she received from the many male admirers who were lining up to dance with her.
It seemed a case of what William could do, Kate could do better.
CHAPTER 8
Waity Katie
THE WEEKS AFTER the split were incredibly difficult for Kate and her family, and friends rallied around to support her. Fortunately, the media interest in her every move eventually died down, giving her some time to think about what she was going to do. Her life had come to a standstill; the man she hoped to one day marry had told her it was over, and now Kate was alone. For her, the future had always been William, and she had relegated every other part of her life to second place. She took her mother's advice and decided to turn what had happened into something positive. She now had an opportunity to think about herself and what she wanted to do. One friend from Marlborough, Alicia Fox Pitt, had been in touch to see if Kate wanted to take part in a charity boating challenge. A group of women, who called themselves the "Sisterhood," had decided to row across the English Channel to raise money for two children's charities, and Kate thought it sounded like an excellent idea for a worthwhile cause.
The criticism she had received in the wake of the split had wounded her, and she badly wanted to prove that she wasn't just "William's former girlfriend," as she was now referred to in the press, but a bright, determined, and driven young woman with a life of her own. Since the breakup in April, she had been inundated with interview requests and had been offered a multimillion-dollar book deal, but she would never dream of discussing her past with William. Secretly, she hoped there might be a reconciliation, but for the moment, she needed to focus on herself. She picked up the phone and called Emma Sayle, who was organizing the race.
"I first spoke to her in April on the phone after she and William had broken up," remembered Emma. "She said she wanted to be involved with something, and I told her about the race and she signed up in May."
Taking her place at the helm, Kate took the tiller and steered down the River Thames. Although she had learned how to sail a seventy-two-foot Challenger during her gap year, a dragon boat was an altogether different experience. Emma made Kate her co-helm, and Kate, who as a child enjoyed sailing holidays in Norfolk with her family, had proved herself to be a natural. "The idea was to split the rowing between us," said Emma. "The boat was heavy but Kate was strong and well coordinated. She was able to deal with the currents and waves, and I was very impressed with how good she was."
The race, from Dover to Cap Gris Nez, near Calais, was quite a challenge. The Sisterhood—a group of twenty-one young women—was competing against the all-male "Brotherhood," and Kate was expected at every 6:00 A.M. training session without fail. Having taken a week's compassionate leave, she was now back at Jigsaw and the early morning starts on the river were not her usual choice before a full day's work. However, she soon found that rowing was a form of therapy, and on this hazy morning, as she steered down the River Thames past Chiswick and downriver to Hammersmith, with the frenetic exercise clearing her mind, there was time to reflect.
Since the split, Kate had gone through a noticeable transformation. It wasn't just the shorter hemlines and daring outfits—she was more spontaneous without William at her side and more outgoing. Behind the scenes, Carole had encouraged her not to dwell on what had happened but to live her life to the full. Pippa, who had just finished her finals, had made it her duty to take her older sister out, insisting that sitting on the sofa at home would do her no good. A steady stream of gilt-edged invitations to the best parties in town dropped onto the doormat of their Chelsea apartment, and Pippa kept a busy social diary for them both. They rarely strayed further than Chelsea, and evenings out entailed drinking at Mahiki, dancing at Boujis, or sipping champagne at a glitzy party. With their amazing figures, glossy hair, and matching smiles, they were a tantalizing and photogenic duo. Pippa, at five foot six the shorter of the sisters by four inches—Kate stands at an impressive five foot ten inches—was always the more outgoing, steering Kate around and fielding off the paparazzi. That season, they topped _Tatler_ magazine's prestigious Most Invited list and, according to one newspaper, were now known not simply as the Middleton sisters but as "The Wisteria Sisters" because they were "highly decorative, terribly fragrant and have a ferocious ability to climb." William was certainly seeing a more tantalizing side to his ex-girlfriend and must have been reminded of the Kate who sashayed down the runway in her underwear and a see-through dress all those years before at St. Andrews.
Without the prince to take up all her time, Kate also had the chance to rekindle old friendships, and she was grateful for the chance to spend a week in Ibiza with Emilia d'Erlanger. Carole had arranged for them to stay at Gary's villa, La Maison de Bang Bang, and although she was "very low, spending huge amounts of time on the phone, walking around the pool," according to her uncle, she made an effort to go out to the fashionable Blue Marlin beach club, where she and Emilia drank cocktails and danced through the night. Kate loved spending time with her old best friend. It was, she said, the one good thing to have come out of the split.
Back in London, Kate forged a new friendship with Emma Sayle. They were spending a lot of time training together and got along well. They shared a love of sports: they both lived close to the King's Road and they had friends in common. In between training sessions, they would meet for coffee and got to know each other better. "She was very easygoing, and we all got on with her. She didn't have any airs or graces," Emma recalled. "We got to see a very different girl from the Kate you read about in the papers. She was lots of fun and really relaxed when she was training. She didn't make a big deal about the fact that she used to date William; in fact she kept it very quiet. A lot of the girls didn't know who she was at first, which really helped her settle in. She was very dedicated and always on time for training. She was also very fit and worked out at the gym. I remember she dropped down to a size six while we were training. She was devastated when she and William split up."
No doubt the emotional upset was another contributing factor to Kate's dramatic weight loss. By mid-May, however, William and Kate were back in touch and regularly talking on the phone. At the end of the month they secretly met up at Clarence House and at a pub close to Highgrove, where William told her he wanted to get back together. Kate didn't want to rush into anything. She had been badly hurt and told William she needed some time. According to Emma, "She was in touch with William the whole time she was training with us. She was very honest and open with me, and she always referred to William as the love of her life. He was the most important person in her life and that was very obvious. She would always speak about him very lovingly; to her he was just William. They had a very normal relationship and were very much in love. She said it was the best relationship she ever had and that when it's the two of them, it is perfect. It's when they are in the public eye it gets so complicated."
Back at Jigsaw's head office, Kate's colleagues noticed that she was spending more time on her mobile phone, talking in private outside the office in the parking lot. The start of June 2007 marked a pivotal moment. Kate and William had been invited to a party thrown by their mutual friend Sam Waley-Cohen at his family's seventeenth-century manor house, and according to one guest, they spent "hours" deep in conversation. "There's an idea that I was like Cupid with a bow and arrow. People love the idea that somebody put them back together, but they put themselves together far more," Mr. Waley-Cohen recalled of the night in an interview with the _Mail on Sunday_.
William pleaded with Kate to give their relationship another go, and by the time he invited her to a party on June 9 at his barracks in Dorset, she had made her mind up. Dressed as a nurse—a rather sexy one in fishnet tights and a short dress, for a Freakin' Naughty–themed fancy dress party—William followed her around "like a lost puppy," according to one guest who said they stayed on the dance floor most of the night. As the clock struck midnight, William leaned in and kissed Kate. "They couldn't keep their hands off each other," recalled the eyewitness. "William didn't care that people were looking. His friends were joking that they should get a room." William didn't need any persuading and took Kate by the hand and led her out of the party.
When she returned to training the following week, she was noticeably happier, according to Emma, one of the few people who knew about the reconciliation. The clandestine reunion didn't stay a secret for long, however, and before the month was out, the _Mail on Sunday_ reported that the couple was back together.
At the Palace the news came as no surprise. For some weeks, eagle-eyed courtiers had been observing Kate's Audi coming and going from its reserved spot at Clarence House. She was in residence whenever William was home from Dorset, and as well as spending some quality time with him, she had been helping him finalize the running order for a concert he and Harry had planned to commemorate the life of their mother. The summer of 2007 marked the tenth anniversary of the princess's death, and the concert was to be a celebration of her life. While Harry had been in Canada on military training exercise, William had overseen and approved the all-star lineup for the Wembly concert. The night before, Kate had slipped unnoticed into Clarence House to help William make the final tweaks to his speech.
The princes had reserved the entire Royal Box for their family and friends, but in order not to deflect from the purpose of the day, William and Kate agreed not to sit together. Instead, Kate sat next to James and Pippa, now nursing her own broken heart after breaking up with her long-term boyfriend, JJ Jardine Patterson. Before the start of the concert, William had been quizzed about his on-off relationship with Kate during an interview with the NBC _Today_ show and had managed to field the question well. A worldwide audience was tuned in to watch the concert, and he desperately didn't want it to be eclipsed by speculation about him and Kate.
Later, while Harry openly kissed his on-and-off Zimbabwean girlfriend Chelsy Davy in the front row, William and Kate were careful not to make eye contact, though when Kate sang along to Take That's "Back for Good," she allowed herself a momentary glance at William. It wasn't long until they could be together, away from the gaze of the media at the VIP after-party. According to one eyewitness, William couldn't take his eyes off Kate's revealing white lace dress and knee-high boots. They danced to the Bodyrockers' hit "I Like the Way You Move," which, according to friends was "their song," and they were later spotted canoodling in a dark corner. However, determined not to be photographed together, they went home separately at 4:00 A.M. the following morning.
Just days after the concert Kate was back at the helm, and with race day fast approaching, the Sisterhood's challenge was now headline news. With rumors buzzing that the couple had reunited, the paparazzi attended every training session, and the Palace was concerned that the event was becoming a "media circus." Once again, Kate had become the story, and when she appeared on the cover of _Hello_ magazine posing with her teammates in their dragon boat beneath the headline, "Posing Exclusively for _Hello_ with Her Crewmates," alarm bells rang at the Palace. Fully made up and beaming for the camera, Kate was accused of double standards in the press. One of her lawyers, Gerrard Tyrrell, had complained to the Press Complaints Commission about the level of harassment Kate was subjected to, yet here she was seemingly happy to take part in a promotional photo shoot. The late _Daily Mirror_ journalist Sue Carroll suggested she was being "driven by the oxygen of publicity," while _Daily Mail_ columnist Richard Kay noted that "the Sisterhood's practice sessions had become a magnet for publicity." The timing was unfortunate. The issue of the paparazzi's relentless pursuit of Kate had formed part of a landmark report by Parliament's Culture, Media and Sport Committee, titled "Self-Regulation of the Press." The report, published in July 2007, concluded that with regard to Kate, "harassment was evident" and editors could no longer use paparazzi pictures of her. The watershed moment had been her twenty-fifth birthday, when she was besieged by photographers outside her London home. The committee described Kate as the victim of "clear and persistent harassment" by the paparazzi. It was a major victory for Kate, her lawyers, and the Palace, but her participation in the now very public dragon boat race posed a serious dilemma and threatened to undo all their efforts in protecting Kate. She could not have it both ways, and according to Emma, the Palace advised her to pull out of the race.
"When the magazine came to photograph us at one of our training sessions, I'd already told them Kate wouldn't be in the picture, but when the day came, she was actually relaxed and wanted to be in on the team photograph. The magazine cropped Kate out and put her on the front page and made it the 'Kate Story' with a whole six pages about her on the inside. Kate was devastated. At the next training session, there were forty photographers and it was a nightmare. The whole thing was becoming a media circus, and Kate said she was under a lot of pressure to pull out by Clarence House. I thought it was a great shame and I actually told her I thought she was making a mistake . . . because it was the one chance Kate could prove to the world who she really was."
While her "sisters" rowed twenty-one miles across the English Channel that August, Kate paddled with William in the warm waters of the Indian Ocean off the coast of Africa. They had flown out to the luxury island of Desroches in the Seychelles for what they both knew was a make-or-break holiday. The prince had booked a $750-per-night private bungalow, and in order not to be recognized, they checked in as Martin and Rosemary Middleton. It was the perfect escape, and they spent the days swimming, taking kayaks out to the coral reef, and dining together on the terrace of their private villa. It was the first time they had been alone since their breakup, and they spent much of the holiday hidden away in the privacy of their beachfront bungalow. They had plenty to discuss. William was nearing the end of his training with the Blues and Royals and would be graduating as a troop commander in September, which effectively meant he was qualified to go to war like his younger brother, who was being posted to Afghanistan at Christmas. Harry had been due to go to Iraq that summer, but the tour of duty was canceled after Islamic militants vowed to kill him. It was exactly the reason that William, as heir apparent, could never be posted to the front line, despite his determination to be treated the same as every other soldier. As the future head of the Armed Forces, he would be assigned to work for each of the forces instead.
Kate knew that William wanted to serve in the military more than anything else. She understood that it was his means of having a sense of purpose—to serve his Queen and country meant everything to him, and she respected and supported him. But she had to think about her own future, too. She knew William was committed to the military, but what about his commitment to her? She needed some assurance that one day they would marry, if they planned to stay together. They had weathered their most serious split to date, and she needed to know that they shared the same aspiration—ultimately to be together. There on the paradise island, William promised Kate that he was in the relationship for the long term. For the very first time they talked seriously about marriage, and with the ocean before them and beneath the night sky, they made a pact to marry. "They didn't agree to get married there and then; what they made was a pact," a member of their inner circle explained. "William told Kate she was the one but he was not ready to get married. He promised her his commitment and said he would not let her down, and she in turn agreed to wait for him."
William was due to spend six months on attachment with the Royal Air Force (RAF) and the Royal Navy, and he would be away for much of the time. Kate listened carefully. She knew the sacrifices the future would entail, but she loved William and was prepared to wait for him. They sealed their secret deal with a kiss.
Back in England, William completed his tank-training course while Kate used the new chapter in her life to assess her own career. She had been working at Jigsaw for nearly a year, and although she was happy, she wasn't doing a job she was passionate about. Her real interest was in photography, and so, after talking to Belle Robinson, she handed in her notice in September. Kate had acquired an impressive portfolio of her own photographs during her travels, and she had started collating her work. According to Emma, "She talked about going abroad and pursuing a career in photography. She was considering going to Paris and also New York."
Now that she and William were back together, heading overseas was a less attractive option, so instead she approached the esteemed celebrity photographer Alistair Morrison, who was based in Windsor and whose work she had admired at the National Portrait Gallery in London. Mr. Morrison invited Kate to his gallery: "She was interested in photography and the history of art and she got in touch with me," said Mr. Morrison. "I was based in Windsor, and she was at her parents' home a lot, which was just down the motorway. She would often come to visit me at the gallery. I think I was seen as someone who could look after her interests and be discreet." When Kate said she wanted to curate an exhibition, Mr. Morrison suggested that she start with a series of his celebrity photographs. Kate's timing was fortuitous, and she was available to start work immediately. She spent several weeks coordinating the photographs and then worked on planning a party to launch the exhibition. She asked the Robinsons if they would allow her to use The Shop at Bluebird in Chelsea. "Catherine organized everything from the invitations to the selection of work and put together a guest list for the launch which included collectors, my list, the Bluebird's list and her own, including her family and friends," said Mr. Morrison.
Carole, Michael, and James came to the opening party, but William stayed away until the end of the evening, not wishing to upstage his girlfriend. "Prince William joined us for dinner," confirmed Mr. Morrison, who was so impressed with Kate's work he continued to mentor her afterward. "I encouraged her to pursue her photography, specifically some wonderful landscape work that she had done over her travels. At the same time I introduced her to my printers, as she was naturally keen to see some good quality prints of her work. She has a natural eye for landscape composition and uses light very well, often focusing on images heavily dominated by skies at all times of the day. Color was always her preference. Most of her work is a mixture of many locations and is almost exclusively sky dominated. I encouraged her not to generalize but to think about documenting one area through a number of different landscapes."
By now Kate had pretty much moved out of her Chelsea apartment and was mostly living at Clarence House. The prince, who had moved from Dorset back to Combermere Barracks in Windsor, was in London more frequently, and once again rumors of an engagement circulated. As 2007 came to a close, a public opinion poll in Britain found that 80 percent of Britons believed that Kate would be a good addition to the royal family, while courtiers at the Palace reverted to the forward-planning diary for potential dates. There was no doubt that Kate was back in the fold when she joined the royals' annual festive pheasant shoot at Windsor Park just before Christmas. She had been criticized by animal rights campaigners after being photographed deer hunting with Prince Charles in Scotland, but Kate had no intention of giving it up. She enjoyed the sport and often hunted with William, something she loved because it was a quiet and peaceful time for the two of them to be together.
The new year heralded a fresh start for the couple. They had celebrated Kate's twenty-sixth birthday at the beginning of January with a quiet dinner at Clarence House, a far happier and settled occasion than the year before. Once again, however, her birthday coincided with William leaving, this time for a four-month pilot-training course at RAF Cranwell in Lincolnshire. William had been looking forward to his secondment (temporary assignment) with the RAF. He had dreamed of being a pilot ever since he was a little boy and his uncle Andrew had regaled him with stories of flying helicopters in the Falklands. Now he was training for his own pilot's badge—known in the RAF as "wings"—on a fast-track course that entailed early morning starts and late-night cramming for exams. His career, according to his aides, was "his number one priority" and once again, they tried to dampen rumors of an engagement. Kate was prepared for the time apart and was reassured by the sheer intensity of the training, which left little time for William to party and misbehave. In March 2008, they flew to Klosters, and this time Pippa joined them. The sisters loved challenging one another on unmarked slopes. They were both better skiers than William, and Kate even outshone the protection officer who accompanied them down the slopes. Gliding expertly down the ski run, she conjured memories of Diana, who used to delight in outskiing Charles on the very same mountains.
This was not the only echo of the late princess. Back at home, Kate had joined the prestigious Harbour Club in Chelsea, where Princess Diana also used to work out. On Friday afternoons, she went shopping for groceries at the King's Road branch of Waitrose before driving to Clarence House to prepare for William's arrival from RAF Cranwell. The prince called her when he was en route, and Kate would always have a hot bath ready for him and a home-cooked dinner in the oven. Although their living space there was small, she had overseen a small refurbishment, and the Osbourne and Little wallpaper she had selected made their living quarters far more homey.
One friend, who was invited over for supper, recalled a scene of marital bliss: "Kate cooked and let William enjoy a glass of wine. Every so often he helped her stir and taste a sauce. They were very sweet together, very tactile, and they had a habit of finishing each other's sentences." They had been advised by Charles to stay away from nightclubs after their last visit to Boujis had ended in an unseemly scuffle among the paparazzi, who were desperate to get a picture of the couple now that they were back together. Because they were seen so rarely in public these days, photographs of William and Kate were worth a lot of money. When Kate had left Boujis she was nearly knocked over as she tried to get into a waiting car.
There had been another concerning episode when Kate and her family celebrated James's twenty-first birthday in April. Party promoter Ed Taylor, a friend of Kate's, had arranged a VIP table for them at Raffles nightclub on the King's Road, but unfortunately James downed one too many shots, and according to photographer Niraj Tanna, who was there, "Michael had to literally carry James to the car. He was all over the place and couldn't stand up properly. Carole was jumping up at me trying to push my camera so I couldn't take the photograph. James was swerving on the pavement, and then he started urinating on the street. That's when Carole started going mad and jumping up at my face trying to push the camera so I couldn't take a frame." Kate, who was said to be mortified, had left the club through a back entrance.
But it wasn't just James, however, who had come under scrutiny. William was at the center of an escalating argument in the press after it was reported that he had flown a Chinook helicopter to his cousin Peter Phillips's stag party on the Isle of Wight hours after graduating from RAF Cranwell. The two-hour sortie had been cleared by his senior flying officers, but there was a furor over the fact that the prince had been allowed to fly a $15-million helicopter to a stag party when there was a shortage of Chinooks in Afghanistan, where the aircraft is used to ferry in supplies to British troops. Questions were asked about why William had been allowed to use the aircraft as a taxi service. The RAF insisted the flight was a "legitimate training sortie which tested his new skills," but the episode descended into farce when it also emerged that William had made a number of practice flights to Highgrove, Windsor Castle, and to Oak Acre, the Middletons' family home.
Carole and Michael, who had no idea William was arriving by air, ran into their garden after hearing an almighty noise in the adjacent field, only to discover it was William "buzzing in." The storm over the flights blew over a few days later, however, when William flew to Afghanistan in a top-secret overnight visit to see British troops. The trip had been planned for some time, but the Ministry of Defence was accused of staging a public relations exercise to save face.
Harry had recently returned from serving on the front line in Afghanistan after finally realizing his dream to fight for his country, but William was only able to make a fleeting visit to meet with RAF servicemen in Kandahar. Nonetheless, his mission was significant because he brought home the body of a British serviceman who had been killed in combat.
Kate had been invited to the graduation ceremony at RAF Cranwell on Friday, April 11, 2008, to watch William get his wings, and she watched proudly as they were pinned onto his pristine uniform. As she chatted with Camilla and William's private secretary Jamie Lowther-Pinkerton in the audience, Kate seemed very comfortable, her presence in the front row signifying that she and William were back on track. The following month, William asked if she would attend his cousin Peter Phillips's wedding on his behalf because he had been invited to the wedding of Batian Craig, Jecca's brother, in Kenya. It was a year since their breakup, and the fact that Kate was representing William at a family wedding was a sign of just how serious the relationship was.
Peter was marrying his Canadian fiancée, Autumn Kelly, at St. George's Chapel in the grounds of Windsor Castle on May 17, and all the senior members of the family were attending. Harry and Chelsy, who were back together after a romantic reunion in Botswana, had been invited, and Kate was grateful, for she didn't know many of the guests. Her friendship with Chelsy was lukewarm; they were completely different characters, and the bubbly Zimbabwean got along better with Pippa. Kate had made an effort to befriend Chelsy, inviting her clothes shopping, but Chelsy had turned the offer down, leading to a coolness between them. On this occasion, however, they bonded, because they were both nervous about meeting the Queen. Although she was a regular guest at the royal palaces and had been to Sandringham for the Boxing Day shoot, this was, rather surprisingly, the first time Kate would be formally introduced to the Queen. Understandably, without William by her side, she was shy and later recalled, "It was amongst a lot of other guests and she was very friendly." The Queen had made a point of coming over to say hello to Kate, but according to Lady Elizabeth Anson, the introduction was brief: "There wasn't much time to speak. Meeting someone as far as the Queen is concerned is having tea with them, so for the Queen, this was an introduction rather than a proper meeting."
Despite the brevity of their encounter, the Queen was interested in Kate and wanted to learn more about the young woman who looked set to marry into her family one day. William had sought his grandmother's advice during their brief separation, and the Queen was pleased that they were now happily back together, but she was concerned that Kate did not have a career. Although she was working on her photography, it had been six months since Kate quit Jigsaw, and there seemed to be no urgency on her part to return to work.
For the Queen, who carries out hundreds of engagements and travels around the country conducting official duties practically every day of the year, the idea of not working was unthinkable. Even during holidays, her red government boxes, containing confidential parliamentary papers for her to read, are always close at hand. She has a strong work ethic and has raised all of her children to follow her lead, putting duty ahead of self. At the time, a source close to the family said, "The Queen has no idea what Kate does. Privately, she is very concerned about what the repercussions could be if Kate is not in a stable job as and when William is ready to propose. The Queen is very close to her grandson, and they of course discuss Kate. Her Majesty is very aware that it's a serious and long-term relationship. Although they are not yet engaged, it seems more likely than not that Kate will be a royal bride one day, and the Queen is of the opinion that Kate should be working. She believes in a modern monarchy and feels very strongly that the royals should be leading by example. Swanning from one five-star holiday resort to another is not the prerequisite for a young woman possibly destined to be Queen."
To observers, Kate did seem to be having rather frequent holidays, and the press, much to her frustration, had taken to calling her "Waity Katie" because she seemed happy to wait on the sidelines for a marriage proposal. This label stuck, and it hurt Kate, who felt she was in an impossible situation. The truth was she was in limbo. While Pippa was enjoying working for a London-based events company and James had started up his own business, Kate's career was on the back burner. It was impossible for her to commit to a full-time job while juggling her life around seeing William, who had started a two-month-long assignment with the Royal Navy at the start of June. The prince was following in royal footsteps when he enrolled at the Britannia Royal Naval College at Dartmouth. His great-grandfather, King George VI, had trained at the base, as had his grandfather and his father. Whereas William had a clear purpose to his life, right then flying naval helicopters and diving with nuclear submarines, Kate was becoming increasingly frustrated with her own lack of career.
Mr. Morrison was still encouraging her to curate an exhibition of her own work. He genuinely believed in her ability to take compelling photographs, but Kate was worried she might face a further backlash: "As with most young artists, the obstacle for Kate was confidence, and I think she was worried about being knocked. I encouraged her to look at her work and to edit it without asking for other people's opinions. I thought she could put together an exhibition, but she was worried that people would say that she was only being exhibited because of who she was. I think there was a fear of being criticized as well. I don't think the title 'Waity Katie' was fair. She wasn't lazy and just waiting for William. She was very aware of what she was capable of doing, and she went ahead and did it. She found opportunities to work in art and photography."
Kate was not, however, prepared to take the risk of showing her work and then be accused of cashing in on her royal connections. And while she was trying to forge her own future, her family watched helplessly from the sidelines. The concerns, at the highest level at the Palace, were privately being referred to as "the Kate problem" and had already made front-page news in the British press.
Carole wanted to put a plan in place before any further damage was done to Kate's reputation. She needed someone to shoot a new catalog for Party Pieces and help set up First Birthdays, a new section on the site. Kate was perfectly equipped to do both. Photographing princess outfits and treasure chests was quite different from shooting landscapes, and Kate described the work as "rather surreal" to her friends, but according to Mr. Morrison, it was an important technique for Kate to master and a happy compromise. "Still life is actually a good discipline. Kate may well have preferred doing landscapes, but this was part of her visual growing up. Working for Party Pieces was also a sensible stopgap opportunity for her. They are a very close family and very supportive of each other. Carole and Michael knew that Kate was going to be in a no-win situation, and I'm pretty sure they discussed the repercussions of being in the public eye. Carole's advice to all of the children was: 'You must prepare yourself.' I think she knew they weren't going to get patted on the back, and Kate particularly was always going to end up being criticized. People were always going to say that working for the family was easy."
James had recently launched a do-it-yourself cake-making enterprise—Cake Kit—within the Party Pieces operation, and Kate helped to coordinate a new website. It was a perfect arrangement that would keep them both out of the headlines, especially James, whose penchant for going out to fashionable London nightclubs and joshing that he would one day be "the brother of the future Queen" had been generating column inches in the press. There was no chance of them being spied on at Party Pieces' Bucklebury-based head office, and although it wasn't the most inspiring of jobs, the photography kept Kate busy and earned her some money. Most important, it gave her the flexibility to work her schedule around William. "This wasn't really a career choice. It was about being with the person she loved, who happened to be the heir to the throne," said Mr. Morrison. "Kate had to prepare herself for what that meant. It wasn't about being Waity Katie, it was about being with William. Quite simply, they loved each other, wanted to be with each other, and had to filter themselves through the fog of expectancy."
It was a sentiment echoed by her family and friends, and working for the family firm was considered the perfect solution. There was only one minor setback when Carole authorized a picture and biography of Kate to be posted on the website. It was designed as a positive PR move, but it backfired when the press accused Kate of breaching her own privacy, and within hours, the picture of her was removed from the website.
With her schedule now flexible, on June 16, 2008, when William was invested into the Order of the Garter at Windsor Castle, Kate was there to watch. The ancient ceremony saw William appointed a Royal Knight of the Garter, one of the highest honors bestowed by the Queen upon her most-trusted and dutiful "knights," among them Prince Philip and Prince Charles. William was invested in Windsor Castle's Garter Throne Room and then "installed" during a service at St. George's Chapel. Seeing him in his ornate velvet robes and hat of ostrich plumes, Kate, who was watching the procession with Prince Harry, couldn't resist a giggle. Later that month, she had plenty of time to plan William's twenty-sixth birthday, a small celebration at Highgrove for a group of their friends. When William left the country to spend five weeks aboard HMS _Iron Duke_ in the Caribbean at the end of the month, Kate kept herself busy at work.
The Queen had quietly suggested to William that Kate get involved with a charity, and they both considered it an excellent idea. Party Pieces already had a connection with Starlight, a children's charity in the United Kingdom, and Carole regularly sent out complementary "prince and princess"–themed birthday party bags to hospices and children's wards around the country. Before he left for the Caribbean, William and Kate attended the Boodles Boxing Ball in June at the Royal Lancaster Hotel in London, where they took a table at the black-tie gala with some of their friends. The charity night, which involved a series of boxing matches between former Etonians and Cambridge graduates, was followed by a champagne dinner and raised $180,000 for the charity. Charlie Gilkes, one of the couple's friends, organized the gala, and Kate had arranged for cystic fibrosis sufferer Bianca Nicholas, who had sung that night, to meet William and Harry, which had thrilled the aspiring singer. Kate thought highly of the charity, which grants terminally ill children a "once-in-a-lifetime wish," and she arranged to meet with Chief Executive Officer Neil Swan of the charity to see how she could help more. He recalled, "Kate was working with Party Pieces at the time, and she came up with a clever idea for a party bag that doubled up as a coloring-in gift. She also designed some Starlight-themed crayons and other bits and pieces to go in the bags. To us, she was just Kate, and we would go and have meetings with her at Party Pieces, and sometimes she would come to us. She came up with lots of creative ideas for parties that we were arranging for sick children, and she did a lot of work below the radar."
Wanting to learn more about the work of the charity and how it helped hospices and children's hospitals around the country, Kate began making secret trips to the Naomi House hospice in Hampshire, close to her family home. She would drive to the hospice bearing gifts for the children, with whom she would spend hours reading and playing. The press never found out about the visits, which Kate wanted to keep below the radar, according to one senior source at the charity: "We are used to working with high-profile people, and it is in our interests to keep the visits secret. A few of us were aware of the work Kate was doing in hospices at that time, but we were asked to keep it quiet."
Kate found the visits deeply rewarding and grounding, and it gave her great pleasure to know that she was able to bring a ray of happiness to some seriously ill young people. "It upset us a lot when we read in the papers that Kate was work-shy when she was actually doing a lot of charity work that no one knew about," said one of her friends.
Kate recognized that her profile afforded her the opportunity to do something worthwhile. In September 2008, she joined forces with her friend Sam Waley-Cohen and co-organized a charity roller-skating disco to raise funds for a new ward at the Oxford Children's Hospital. Sam's brother, Tom, had been treated at the hospital for a rare form of bone cancer before his death, and Kate, who had been at Marlborough with Tom, was profoundly affected when he passed away at the young age of twenty. She helped Sam plan the event at the Renaissance Rooms in Vauxhall, South London, and oversaw the guest list. "Kate has been fantastic in using her contacts to get people along—she persuaded loads of people to commit. Her involvement has obviously raised the profile," Sam told the _Daily Mirror_ after the event. The night was a sellout and raised $150,000, largely thanks to Kate, who whizzed around the skating rink in a pair of canary-yellow hot pants and a shiny green sequined halter top. On her final lap, she fell flat on her rear, spread-eagled in a most unladylike manner.
This, however, wasn't the only thing to knock Kate off her feet. William had announced, quite suddenly, that he wanted to join the RAF and become a search-and-rescue pilot, and the news had come as a surprise to Kate, the royal family, and the courtiers at the Palace. The prince had completed his military assignments with all of the Armed Forces, and now he was at a crossroads in his career. There were two real options; returning to the Household Cavalry or quitting the forces. The press had speculated that, having finished his assignments, the prince would be under pressure from the Palace to start carrying out more official engagements, but it wasn't what William wanted to do. He had seen his father struggle to carve a niche for himself as a king in waiting, and he didn't want the same fate, not yet. He had loved his time serving with the RAF, and now that he had his flying badge, he wanted to use it. The news that he was to join the RAF was made official on September 15, 2008. "The time I spent with the RAF earlier this year made me realize how much I love flying," William said. "Joining search and rescue is a perfect opportunity for me to serve in the forces operationally."
With that single decision, Kate's life was turned upside down. She had expected a proposal once William had completed his military training, but instead, she was forced to accept that there would be no engagement anytime soon. Kate would have to wait even longer.
CHAPTER 9
Princess in the Making
KATE WAS STILL coming to terms with William's about turn. It was late October 2008, and they had flown to Scotland for some downtime. William had recently completed an exhilarating charity motorbike ride across Africa with his brother, so this was the first opportunity he and Kate had to spend some time together.
He knew that his decision to join the RAF affected hugely on Kate's life and that she needed some reassurance.
The reality was that William would train for eighteen months, and after that he would be expected to serve with the Search and Rescue Force for a minimum of two years. He would be based at the Defence Helicopter Flying School in Shawbury, Shropshire, for a year before being posted to a remote base somewhere in the United Kingdom. The question was hanging: Was Kate prepared to join him? She supported his desires and ambitions, but privately she was crushed. Essentially, William was asking her to be an army wife—without the nuptials. Her frustration was understandable. She had loyally supported William ever since he enrolled at Sandhurst, but the pact they had made in Desroches suggested that his military training was coming to an end and marriage would be the next step. Now that he was joining the RAF, Kate could see that he would be married to his job for several more years.
William was optimistic that he and Kate could make the relationship work. They had coped successfully with long periods apart before. Kate knew there was no point in trying to change William's mind—he was strong willed and determined.
At twenty-six years old, the prince was not too young to marry or become a working royal, but he didn't want to commit to either just yet. At the same age, the Queen had already been married for five years and had ascended the throne following the death of her father. Charles had given up his career as a naval officer when he was twenty-seven, five years before he married Diana, to devote his life to official duties. William, however, had been allowed a very different upbringing. Both Charles and Diana had wanted to raise their sons as "ordinary," within the confines of royal protocol, and as they grew into young men, William and Harry worked hard to pursue careers independently of their HRH (His Royal Highness) titles. The military gave William the chance to live a "normal" life outside of the bubble of royalty, which was about the most important thing to him. The idea of flying Sea King helicopters to rescue ships or mountain hikers in distress was, for the prince, the epitome of this privilege.
For Kate, it was a step backward. It seemed that everyone was getting married except for her. Just days before William had made his announcement, they had flown to Austria for their friend Chiara Hunt's wedding. Her best friend, Emilia d'Erlanger, was engaged to her long-term boyfriend, David Jardine Patterson, and Oli Baker, their friend from St. Andrews University, had recently proposed to his university sweetheart, Mel Nicholson. William and Kate's former apartment mate Fergus Boyd was getting married to Sandrine Janet the following May, and William and Kate had accepted an invitation to Nicholas Van Cutsem's wedding to Alice Hadden-Paton in the summer. As she neared her twenty-seventh birthday, Kate's plan to be married with children by the time she was thirty was looking increasingly unlikely. And it wasn't just Kate who was unsettled about the future. Carole was also "jittery" about the absence of a ring on her daughter's finger. "Carole is very concerned that it might not happen," revealed a friend. "She is concerned about Kate's position and that there might not be a wedding at all."
Kate had promised William in Desroches that she would stand by him, and she wasn't about to go back on her word. When she attended Charles's sixtieth birthday party at Highgrove that same month, it was a clear indication that despite William's unexpected career decision, she was sticking with her prince. Days after the party, William was posted to Barbados to spend ten days with the Special Boat Service.
While William spent Christmas at the royal estate in Norfolk, Kate and her family flew to Mustique as they had the year before. It was Kate's third visit that year, causing the press to christen her the "Queen of Mustique," a title once reserved for Princess Margaret.
On the island, the Middletons were treated like royalty. It was their second trip as a family, and they knew many of the local residents, including the tennis coach, Richard Schaffer, and the island's yoga instructor, Greg Allen, who came to teach them on the terrace of their villa every morning. According to Greg's partner, Elizabeth Saint, who took the family horse riding on the beach, "They love to ride, and Greg did yoga with them on a daily basis. He went to their house and taught them there. They love Mustique, and on the island everyone is very protective of them. They walk on the beach in their flip-flops, play tennis, and do their yoga. They don't want people hassling them and taking their pictures."
In the privacy of the luxury villa, Kate and her family relaxed and enjoyed the services of the in-house chef. One source who enjoyed a supper with them recalled, "There was always lots of chilled white wine, Carole's favorite drink. They are amazing hosts and enjoyed having a big table of people for dinner. They quickly made friends in Mustique, and it was always an open house. They are a lot of fun, and they aren't afraid to poke fun at themselves. One of Carole's favorite dinner party jokes is to put on her best air-hostess voice and announce incoming flights as they come in. It had everyone in fits of giggles."
Kate was home in time to go to Scotland to see the New Year in, and this time she and William stayed with Charles and Camilla at Birkhall. Kate had helped Charles choose a Labrador puppy for William's Christmas present, and the four of them spent many happy hours traipsing over the hills with the energetic pup in tow.
They were back in England in time for Kate's twenty-seventh birthday, a small celebration at her family home. William drove to Oak Acre, where Ella, the newest addition to the Middleton family—a sweet black cocker spaniel puppy belonging to James—was bounding excitedly around the kitchen. Unusually, the prince had arranged to stay the night, so his protection officers booked into a nearby guesthouse. It was the last time he and Kate would be together before he moved to RAF Shawbury.
On January 11, 2009, Flight Lieutenant Wales drove himself to the Defence Helicopter Flying School in Shropshire, three hours from London. After a couple of weeks living at the base, which had far from luxurious living quarters, he moved to a nearby farmhouse on the grounds of a stately home, prompting comments that William was being given special treatment. The Ministry of Defence however, insisted that he was being treated "like any other officer." Very few of his fellow officers, however, were living in such luxury. Complete with a tennis court and an outdoor pool, the farmhouse was a more comfortable option when Kate visited, and there was a bedroom for Harry, who had just split up with Chelsy and was being posted to the same base to train with the Army Air Corps in the spring.
Often, William would drive the 130 miles from Shropshire to Bucklebury for the weekend. He and Kate enjoyed time together, mostly away from the public gaze. As his schedule was unpredictable, the paparazzi never knew when William was going to visit, and the locals were protective when they saw the couple in the village. They were able to drink and eat traditional pub lunches at the local Bladebone Inn without being disturbed, and William often shopped at the local Spar store for newspapers and Kate's favorite Haribo candy. Nothing was ever reported about them going about their daily lives, which was how they liked it. "In the village we are very protective. There's a lot of camaraderie towards the Middletons," reported resident Lynda Tillotson. Martin Fiddler, who owns the local butcher shop added, "William and Kate are often here, but no one makes a deal of it and we leave them be. We have known the Middleton children for years and they are part of the village life."
During the week, Kate immersed herself in her work and added another string to her bow, selling online advertising for the company. She cold-called companies, asking if they wanted to advertise on the site, and introduced herself as "Catherine from Party Pieces." She also attended marketing fairs and used her new connections to boost the website's profile. She consulted Sir Richard Branson about a potential online partnership and was often in London for development meetings. She was still involved with Starlight and making regular visits to the Naomi House hospice, and quite remarkably, the trips had still not been leaked to the press.
It wasn't just her charity work that Kate was keeping below the radar; both she and William were making an effort to maintain a low profile. They stunned their friends in May 2009 when they decided not to go to Fergus and Sandrine's wedding at the Château de Boumois in the Loire Valley, despite having RSVP'd their attendance. According to one former St. Andrews student, they canceled at the last minute, citing William's work commitments. Kate had no real excuse for not being there, and their absence was the talk of the reception. William and Fergus were close friends, and it was out of character for him not to be at such an important occasion, especially when all of their friends from their university days were there. According to one source, William was worried that there would be too many guests they didn't know, while Kate apparently didn't want to have to face the inevitable question: "When will you two be next?"
Not being seen and photographed together seemed to relieve the pressure because it gave the press less chance to speculate on the state of their romance. These days the couple rarely went out and had become rather reclusive, apart from attending the occasional polo match. The paparazzi were at the couple's favorite nightclubs in June, hoping to catch the prince celebrating his twenty-seventh birthday, but together with Harry and a couple of their friends, they were in Cornwall. Kate had found a private house to rent near the seaside town of Fowey, so they spent the weekend surfing and enjoying pints in a local pub, where they watched England play rugby against South Africa. There wasn't one photograph of the weekend in the newspapers.
It was a great relief to the Queen and Prince Charles that William and Kate were going out less. Britain was going through its worst economic recession since the 1930s, and the Queen didn't think that partying at expensive nightclubs projected a favorable image for the royals. Her view was that the family should be setting an example, which did not mean running up expensive bar bills at Boujis. There was also the thorny issue of privacy, which never seemed to go away. The Queen had recently asked her lawyers to consult the Press Complaints Commission about greater privacy for the royal family while they were in royal residence. The paparazzi staked out Sandringham House with alarming frequency, and she wanted this intrusion to end. William and Kate had been photographed shooting on the estate a number of times, and the Queen had not escaped the long lens, photographed some years previously, wringing the neck of a game bird. She had instructed a leading privacy lawyer to write to national newspaper editors explaining that action would be taken if they published pictures of the family and their friends on the royal estates. William backed his grandmother enthusiastically, but though the Queen was prepared to take legal action in order to protect the family, she also believed that her grandchildren had to tow the line. According to one royal source, "The Queen cannot understand why William, Kate, and Harry choose to go to well-known nightclubs and then complain about being harassed. Her view is if you don't want to be photographed, don't go." Kate, who had never really enjoyed clubbing, was more than happy to pare down their social lives. Instead of nightclubs, they went to the theater, slipping in once the house lights were dimmed, and they enjoyed dinners out at restaurants, where they made reservations under false names.
The one negative effect of William and Kate ducking out of the limelight was that the media's attention switched to Kate's family. James was still recovering from the humiliating coverage of his twenty-first birthday party when he had suddenly found himself back under the spotlight in the summer of 2008. A picture of him dressed in one of his sister's dresses had been leaked on the Internet, prompting taunts about his sexuality. Beer bottle in hand and red lipstick smeared across his face, James was clearly having fun with some university friends, but the photographs didn't seem so amusing when they were published in the _Daily Mail_ beneath the headline, "Wild Side of Kate's Family." Shortly afterward, photographs of Pippa dancing in her underwear and wrapped up in a minidress made from toilet paper were anonymously leaked to the newspapers.
Carole was concerned that her family was coming under fire and that they did not have a public relations expert to guide them through the minefield of adverse publicity. Although Carole had generally taken care not to say anything in public, she had once let her guard down to a reporter from the _Daily Telegraph_ during a day out at the races in November 2008. She told the journalist that she and her family felt "vulnerable." "I'm not a celebrity and I don't want to be one. Celebrities have minders and PR people. I don't want a PR person and wouldn't want to have to pay to employ one. I haven't asked for all this," she complained. She also said that James had found himself in a difficult situation while trying to promote his cake business: "James is very good with it all. He writes articles and has business projects which he wants to talk about, but then it's difficult when everything else is going on around him and people don't just want to know about his projects." Cake Kit was doing well. Gary had given his nephew a $16,000 loan and James had not been shy about promoting the business, but when he baked twenty-five cakes for _Hello_ magazine's anniversary edition, one of which featured an image of Princess Diana, royal eyebrows were raised. It was the sort of publicity the Palace abhorred, and the newspapers accused James of cashing in on his royal connections.
This, however was not the only scandal to rock the family; the summer of 2009 saw the Middletons weather their greatest storm yet. On Sunday, July 19, the _News of the World_ 's headline read, "I Called Wills a F——." Kate couldn't believe it. Her Uncle G—as he was affectionately known—who had looked after her when she broke up with William, had been filmed at his Spanish home by undercover reporters. Described in the article as a "braggart," he had been secretly filmed cutting up cocaine in his kitchen and rolling cannabis joints. Kate had never taken drugs, and she was equally horrified that Gary claimed to know how to organize prostitutes on the island. More worrying for Kate, he was incredibly loose tongued about her and William's relationship and talked openly about the holiday they had enjoyed at La Maison de Bang Bang. He was reported to have claimed that they would be announcing their engagement that year and joked that he would be giving Kate away. The Middletons were devastated, but as always, they stuck together. According to Gary, Carole telephoned him that morning. "The minute that story broke, Carole was on the phone apologizing to me on behalf of the family, specifically Kate, about me being suddenly thrust into the limelight," he later told the _Mail on Sunday_. It was a terrible time for the family, particularly for Gary, who had always had a love-hate relationship with his sister. "We are both headstrong and can bicker. But we are very close. We tease each other relentlessly," he said.
Whereas Carole was family oriented and sensible, Gary could be reckless. "The problem for Gary is that Carole never approved of Gary and his lifestyle," said a family member. Ultimately, Carole, who was in some ways more like a mother to Gary than a sister, forgave him and urged him to seek some help. Gary had been devastated when their mother, Dorothy, died. Perhaps that helped explain why he had fallen off the rails. He had made millions of dollars in IT recruitment, which afforded him his playboy lifestyle in Ibiza, but his marriage had collapsed. "Carole and Mike have an amazing relationship. They have nurtured three amazing kids," he said. "I should have taken more lessons from them on how to make the marriage work." Carole promised to help Gary, but first she needed to avoid the media storm and decided the best thing to do was to head to Mustique until the situation died down. William and Kate had actually been planning to go to Ibiza at the end of the summer, but in light of these events were compelled to cancel. They had no choice but to distance themselves from Uncle G for the time being. The Palace declined to publicly comment on the story, but William was as supportive as he could be, and when he and Kate attended the summer wedding of his old friend Nicholas van Cutsem, it was his turn to show the world he was standing by Kate.
In the summer of 2009, they returned once again to Mustique, and at the end of August headed to Scotland for the bank holiday weekend. Although Kate had been to Balmoral many times, this trip was significant because it was the first time she had been invited to the main house while the Queen and Duke of Edinburgh were in residence. The news was greeted with much excitement in the press, with unconfirmed reports that the Queen wanted to lunch alone with Kate. Kate had not been invited to Her Majesty's eighty-third birthday celebrations in June, but as she knew this was a matter of protocol, she did not view it as a snub. Until now, the Queen had met Kate only fleetingly at the wedding of Peter and Autumn Phillips, but she went out of her way to make her feel welcome, giving her permission to take pictures at Balmoral—a true gift to a photographer, with its turreted and Gothic-inspired architecture. As a woman who has lived her entire life in the public eye, the Queen rarely lets her guard down, and very few apart from her family and closest friends get to see the real Elizabeth. Now Kate was being granted an audience in a most intimate capacity. It was a generous move on the part of the Queen and an astute decision, given that the romance seemed to be very serious.
During her summer stay at Balmoral the Queen traditionally holds meetings with her most senior staff and her family, during which issues concerning the royal family—everything from overseas tours to marriages, birthdays, and state occasions—are discussed, and on this occasion, William was one of the subjects.
Once known as the "Way Ahead" group, started by the former Lord Chamberlain, the Earl of Airlie, in 1994, its gatherings are essentially an in-house royal forum and have proved to be very successful for planning the future strategy for the House of Windsor. The Queen, the Duke of Edinburgh, and their children were all invited, and William and Harry were recently asked to attend. According to one senior aide, "Philip traditionally chairs the committee, and there is always a twofold plan, the immediate future and the long term." The purpose of the summer 2009 gathering was to discuss the Queen and Philip's overseas tour schedule over the coming months. The Foreign Office had scheduled trips to New Zealand and Australia, Bermuda, and Canada, and the Queen felt that it was too much for her and the Duke of Edinburgh to take on, so she wanted to pass on some of her duties to younger members of the family. She was in robust health, but the four hundred or so engagements the previous year had taken their toll on the Duke of Edinburgh, who had been in and out of the hospital. William had been developing his philanthropic role, and he and Harry were planning to launch the Charitable Foundation of Prince William and Prince Harry, which was to serve as an umbrella organization for all of their charity work. William had said he wanted to be more than "just an ornament," and according to one well-placed courtier, the Queen felt now was the time to prove it. "The Queen is aware she is not getting any younger and she wants the new generation to start doing more. She sees Charles and now William as her substitutes, and she wants to get them off the bench," said the source. It appeared that a very subtle handover of power was being put in place. William was being lined up as a "shadow king" alongside his father for the very first time, and it was agreed that in the new year, he would go to Australia and New Zealand on behalf of the Queen. It was a momentous decision and a huge responsibility for the prince, as well as a key step in moving him to center stage alongside his father. It was an honor to be asked, and although he was excited to be representing his grandmother, it was a huge pressure and responsibility. William knew that it was a sign of things to come. Although his military career afforded him some relief from becoming a full-time royal, he would be expected to carry out more duties on behalf of his grandparents in the near future. His grandmother's Diamond Jubilee celebrations were already under discussion, and there was a strategy in place at the Palace not to overburden the Queen with official engagements.
Although there was no suggestion of Kate joining William, there were murmurs about creating a "princess-in-waiting role" for her. The Queen was pleased to hear that Kate was now so closely associated with Starlight. As well as her private visits to children's hospices, she was working on the committee for the "Maggie and Rose Art for Starlight" campaign, which involved running artwork shops for some of Starlight's children at the Maggie and Rose children's playgroup in Kensington. A number of leading artists had volunteered their time to teach the children, so Kate had helped organize the workshops. She was also involved in planning a gala dinner at the end of September to launch an exhibition of some of the children's paintings at the Saatchi Gallery. On the night itself, she walked up the red carpet with William. "We didn't know William was coming until about 6:00 P.M., when the sniffer dogs were brought in," recalled Neil Swan. "It was absolutely wonderful to have him there." It was an important night for Kate, and it had meant a lot to her that William and her family were supporting her, though Carole nearly upstaged both of her daughters in a stunning off-the-shoulder coral minidress. Party Pieces had donated a children's birthday party as one of the lots in the auction, but the greatest excitement was that William and Kate had arrived together. Even at a charity event, they were wary about being photographed together, and they refused to pose for the cameras. Society photographer Dominic O'Neill was asked to stay away from the event. "I got a note from the prince's office saying that Kate wouldn't attend the dinner if I was there," he recalled. "She was upset that I'd photographed her flat on her back at a charity roller-skating disco because the pictures had made the front page. There's definitely been a tightening up over the past year, and I suspect it is all preparation for a royal wedding."
But 2009 came to a close without an announcement. It was a continual cause of consternation for Carole, who was worried that her daughter was nearing thirty and still not engaged. She enjoyed a close relationship with William, and just before Christmas she had a quiet word when he came to visit. According to one family friend, she told him she was worried that an engagement might never happen. "Carole felt like she was treading water as far as her daughter's relationship was concerned. She put some pressure on William to let the family know where it was all leading. William spoke with her and assured her that the relationship was very much on track and that there would be an engagement soon." According to the source, they also discussed the longer-term future and children. "William said it was all on the cards and that when it did happen, Carole and Michael would be very much a part of their lives, and the lives of their own children. Carole trusted William and put her faith in him."
George Brown, who remained in touch with Michael and Carole, recalled, "It was a condition when they got married that they would be a part of the grandchildren's lives. Carole's a natural with children, and she will be a wonderful grandmother, and I imagine she'll want to be very involved."
Once again William and Kate spent Christmas apart, with the Middletons going to Restormel Manor, a holiday home in Cornwall. It was a relaxing, uneventful few days, that is, until Kate was photographed by a paparazzo while she played tennis on Christmas morning. When William heard, he was incandescent, considering it a flagrant breach of the PCC ruling that Kate was a private individual who should be left alone. He urged her to take legal action, and several months later, Kate won a record $15,000 in damages for breach of privacy. It was a warning shot to the press: Kate was not prepared to have her privacy invaded, and she had the weight of the royal lawyers to help fight her case.
By the start of 2010, William was one step closer to flying Sea King helicopters. He had graduated from flying a single-engine Squirrel helicopter to a double-engine Griffin. Kate had jokingly taken to calling him "Top Gun." On January 15, she was at RAF Shawbury to see his father present him with his latest flying badge. It was a poignant moment for father and son; Charles had been awarded his wings in the very same hall. William had been told he would be posted to RAF Valley, a search-and-rescue base on the island of Anglesey in Wales in the new year, which would be his new home for some time. By now Kate had attended three graduation ceremonies, prompting royal correspondents to ask: "Why is Wills still flying solo?" At the Palace, courtiers were pondering the very same question. Planning had already commenced for Prince Philip's ninetieth birthday in June 2011, the Queen's Diamond Jubilee, and the 2012 London Olympics. No dates were being discussed for a royal wedding, however, because William hadn't given any indication as to when it might happen. His next period of training at RAF Valley officially ended in September 2010, which seemed an opportune time to get engaged before he embarked on a full-time flying career. Their closest friends had privately put bets on a 2011 wedding, but no one could be sure.
The question of marriage was even being debated on the other side of the world. William had flown to New Zealand twenty-four hours after graduating, and there was a great sense of excitement over how his five-day long tour would be received. The prince had been warned about the republican movement in Australia, but crowds of thousands turned up at every event to see him.
Dressed in his chinos and an open-necked shirt rather than a formal suit, William chatted happily to wellwishers and seemed entirely comfortable conducting walkabouts. With his good looks and natural charm, it was hard not to think of Diana, although William insisted he wasn't "anywhere near her level" when he visited a children's hospital in Wellington. The reception he received in Sydney was equally warm. When he arrived at Government House in Melbourne, he was swamped by female fans carrying banners with the message "We love Wills."
He was asked by one woman when he planned to marry Kate, and he teased, "As I keep saying, wait and see." It was a playful and somewhat telling response. Until now, William had never commented on the subject of marriage in public.
When he returned to Britain, William moved into his new home—a rather basic single room in the officers' accommodation at RAF Valley. That Easter, Kate and William holidayed with her family at the French ski resort Courchevel, prompting royal observers to speculate once again about an engagement. The couple was photographed kissing at a mountaintop restaurant and later, chasing each other down the slopes on snowmobiles. According to a ski instructor who sat at a table near the group during lunch one day, William referred to Michael as "Dad." "Prince William and Kate looked like a honeymoon couple. He held her hand under the table, stroked her hair, and kissed her cheek," instructor Meret Visser told the _Daily Mail_. "William was clearly very close to Kate's father. Every time he spoke to him, William replied, 'Yes, Dad.' Everyone in their group was laughing at this—it was clearly jokey. But William did look like part of the family." According to one family friend, it was a private joke emanating from William's pledge to Carole.
Kate and William had decided that on their return from Courchevel, William would move out of his quarters at RAF Valley so that they could live together. With permission from his head of command, they rented a farmhouse on the Bodorgan Estate, owned by Lord and Lady Meyrick. The house, on the southwestern part of the island of Anglesey, near the Irish Sea, was only a twenty-minute drive from the RAF base. William had been told that, providing he passed his exams, he would be staying on at RAF Valley, news that pleased them both. The island was a perfect retreat from the paparazzi and incredibly beautiful. The farmhouse was surrounded by mountains and beautiful countryside, and was only a short walk from a small beach. This part of Wales could potentially be their home for at least two more years while William carried out a full tour of duty. Kate had moved all her belongings in by the beginning of June, but because the press was busy following William and Harry on their very first joint overseas tour to South Africa, no one noticed. William traveled home on his birthday and much was made of him turning twenty-eight, which was, after all, the year he predicted he might marry.
Although there was still no official announcement, the reality was that behind the closed doors of their new Anglesey home, William and Kate were already living the life of a married couple. By the end of June, Kate had given up working for Party Pieces and was immersing herself in her new life.
Anglesey was as normal as it was ever going to be for them both. The press agreed with the Palace not to photograph the couple's home because it was deemed a security risk. The farmhouse was well protected and could only be accessed by a private drive, making it virtually impossible to photograph anyway. As at St. Andrews, the locals on the remote island protected the couple, so they were able to go about their daily lives in relative peace. Since Kate's successful legal action in which she won substantial damages, newspaper editors were far more cautious about the pictures they published.
Their new home was idyllic, and with William at work, Kate filled her days taking photographs, walking on the beach, and compiling an exhibition of her work, having had the idea to stage a photographic exhibition and raise money for charity. Often, her only company was William's protection officers, an always entertaining group. Some, like Chris Tarr, had looked after the prince since he was a little boy and were full of stories. Michael and Carole visited from time to time, as did Pippa, and they all noted how happy Kate was in this phase of her life.
Although they had lived together as students at St Andrews, this time was different because it was just the two of them, a real road test for marriage. And it was proving to be a success.
William was, once again, being granted a privilege none of his predecessors had enjoyed. His father had spent most of his bachelor years refusing to settle down with one woman. He had proposed to Diana after a yearlong courtship, but he never got the opportunity to live with her before they married. William and Kate, however, knew each other's flaws and strengths, but the most important thing was that they knew they worked well as a team. Forever scarred by the pain of his parents' divorce, it was essential to William that when he married, it would be for life. Divorce had dogged the royal family for too long. From the abdication of Edward VII in 1936 that had nearly ruined the monarchy to the more recent divorces of Diana and Charles, as well as Prince Andrew and Sarah Ferguson, unhappy marriages threatened to seriously unhinge an otherwise solid establishment. Before William asked Kate to marry him, he wanted to be sure it was what she really wanted. By living together, Kate could decide whether it was, and as William later recalled "back out" if it wasn't.
William graduated as a fully qualified Search and Rescue Force helicopter pilot in September 2010 and joined Number 22 Squadron, C flight. It was a major achievement for the prince—he was now fully qualified to fly Sea King MK3 helicopters, which meant that he would be carrying out dangerous rescue missions and essentially saving lives. He spent the next few weeks familiarizing himself with the terrain and his crew before carrying out his first shift, during which he rescued an oil-rig worker who had suffered a heart attack at sea. It was a stressful but exciting job, and for the prince, incredibly rewarding. William was trained to fly in extreme weather conditions and was responsible for steadying the aircraft while lost climbers and casualties were winched to safety.
With his training completed, William and Kate were back in the spotlight as rumors circulated in the press once again that their long-awaited engagement would soon be announced. There was a flurry of activity to suggest that this time an engagement really was imminent. The _Mail on Sunday_ revealed that the Royal Mint, which must secure the Queen's permission before manufacturing any new coinage, had started preparations for a commemorative coin to celebrate a royal wedding. The Palace claimed to have no knowledge of the coin, but for the first time, royal representatives changed tack on their stance about a possible engagement. Usually, speculation was accompanied by a denial, but on this occasion an aide seemed to suggest that there would be an announcement: "We don't know the date; only William and Kate know," he said. "I don't expect we will be told until the last minute. William plays his cards very close to his chest, that's his nature."
The following year seemed a good bet for a royal wedding; the year 2012 was likely to be dominated by the Queen's Diamond Jubilee and the Olympics. Bookmakers across the country stopped taking bets on a 2011 wedding after it was reported that senior courtiers had been in touch with Westminster Abbey about a possible ceremony.
Ironically, it was the madness of this media frenzy that provided the distraction that enabled William and Kate to slip out of the country to Lewa Downs in Kenya. However, before he escaped, William paid a visit to his grandmother at Buckingham Palace, deliberately arriving by motorbike so as not to be followed or seen. In this private visit, he asked the Queen's permission to procure a piece of jewelry from her collection.
And so it was that no one—apart from his grandmother—knew that William was traveling to Kenya with his late mother's diamond-and-sapphire engagement ring hidden away in the depths of his knapsack.
CHAPTER 10
A Royal Engagement
AS THEY JETTED OUT of London's Heathrow Airport, bound for Kenya at the start of October 2010, Kate dared to hope that she might return from Africa with a ring on her finger, but as the holiday drew to a close, there was no sign of a proposal. There had been plenty of opportunities, each stage of their African adventure a potential setting for a romantic moment. But now on the last day of their trip, Kate's heart was heavy.
They had started with a trek to one of the most remote parts of the country, the rain lands of Ishak Bin, where they camped and cooked over a fire they built from forest wood. It was basic, remote, and most important, just the two of them—but there was no proposal. From Ishak Bin they traveled to Lewa, where they stayed at the same five-star lodge they holidayed in after their graduation. There they enjoyed game drives and on one occasion were lucky enough to spot a rare black hook-lipped rhinoceros, which was tranquilized and named in William's honor after he paid $9,000 to sponsor the beast and ensure it was safe in the wild. As the great animal lay breathing in the grass, he and Kate had touched it. But still there was no proposal, and so by the time they headed to Sarara for another safari with two friends from South Africa, Kate had given up hope. Instead, she threw herself into photographing the giraffe, elephants, wild dogs, buffalo, and vast open plains, which she planned to catalog when she got home.
The final leg of their holiday came as a complete surprise to Kate. William had booked a day and a night at the Il Ngwesi Lodge, a remote log cabin in the heart of the countryside near the great Lake Rutundu. He had stayed there before, so he knew it would be the perfect place to return with someone special. The lodge was basic and far from luxurious, but it was the remote location in the middle of the countryside that made it unique. And it was here that Kate's long-awaited dream came true. On the shores of Lake Rutundu, William got down on bended knee and asked Kate to marry him.
Even though she had thought about little else for so long, when the moment came, Kate was speechless. Later, she declared that it was "very romantic" and a total surprise. As always where William was concerned, a degree of rationality applied to even this unique moment in his life, and he and Kate agreed to keep the proposal a secret until he asked Kate's father for her hand in marriage. He also wanted them to be able to enjoy the moment together before the news was made public. It was a secret he knew they wouldn't be able to hold on to for too long, knowing that within a matter of seconds of an official announcement, the news would go global. So when Kate signed the guest book the next morning, she gave nothing away. "Thank you for such a wonderful twenty four hours," she wrote. "Sadly no fish to be found but we had fun trying. I love the warm fires and candle lights—so romantic. Hope to be back soon."
When they returned home to Anglesey, Kate put her engagement ring in the safe. Had it been any other ring she might have been able to get away with wearing it on another finger, but Princess Diana's diamond-and-sapphire cluster was immediately recognizable. Although no one—not even his father or brother—knew of his intention to propose to Kate while away, William had spoken with Harry to make sure his younger brother was happy for him to have their mother's ring, as and when the time came.
Once they were back in Wales and William had returned to work, he invited Michael and Carole to Birkhall for the weekend. He had personally overseen everything from ensuring that there were freshly picked flowers in the guest bedrooms to organizing the menus. Just before supper on the first night, William took Michael into the drawing room, poured them both a large whiskey, and asked for permission to marry Kate. Without a moment's hesitation, Michael gave William his blessing. Before William could make the announcement, he knew that royal protocol meant that he had to ask for his grandmother's permission to marry Kate. He made Michael swear not to tell a soul about their secret engagement, not even Carole, explaining why it was of paramount importance that the news did not leak out before the official announcement from the Palace.
Michael kept his word; however, the weekend away didn't stay a secret for long. Carole had been photographed hunting in the Highlands, and the pictures, which were published the following week, caused a sensation. The fact that the Middletons were staying in a royal residence was seen as highly significant, prompting fresh speculation in the press that an announcement was just around the corner. The story traveled across the world like wildfire, with magazines in America buzzing with predictions that a wedding really was about to happen. _Vanity Fair_ published an article predicting a wedding in 2011, while another tabloid publication in the States went further, dedicating its cover to the story: "Royal Wedding Is On!"
But despite the fervid speculation, there was no announcement from the Palace. When, weeks later, William and Kate were photographed in Gloucestershire at their friend Harry Meade's wedding, there were more rumors. Arriving arm-in-arm, smiling at the waiting cameras, they went through the front entrance rather than the side door. Later that evening at the reception, talk turned to when William and Kate would be walking down the aisle. "Maybe he'll get round to it some day," Kate told her friends, while William batted off jokes about how long he was taking to pop the question.
They knew they could not keep the engagement secret for much longer and agreed to make the announcement officially on Wednesday, November 3. The plan was abandoned, however, when Kate's only surviving grandparent, Peter, died suddenly the day before. William attended the funeral at the West Berkshire Crematorium before flying to Afghanistan for a Remembrance Sunday service with British troops, where he laid a wreath at Camp Bastion. Kate was deeply saddened not to have had the chance to tell her grandfather that she was engaged to William. She knew he would have been delighted for her.
On his return from Afghanistan on Monday, William and Kate agreed that they would make the announcement the following morning. The legally binding Royal Marriages Act 1772 obliged William to ask for his grandmother's consent. Providing she granted it, the Queen was then required to sign a notice of approval under the Great Seal of the Realm. Ironically, it had been made law by George III after his younger brother, the Duke of Cumberland, had secretly married the widow of a commoner. Now William and Kate, the first true commoner to marry into the royal family for several centuries, were about to write royal history.
It was Tuesday, November 16, 2010, and the Queen, who had been reading briefing notes on her official duties for the morning over her breakfast of cornflakes, was thrilled to receive William's call, albeit a little surprised at the suddenness of the announcement. "The Queen had no idea that there would be an announcement that morning," said a source. "She was eating breakfast with Philip when William called to tell her the news. It was rather hurried, because William was apparently worried about it leaking out."
William enjoyed outfoxing the media, and this was one announcement he wanted to make himself. The last thing he wanted was a newspaper getting the scoop, as had happened with his father's engagement to Camilla. When William called from his private living quarters at Clarence House with Kate by his side, Charles was with Camilla at Highgrove, preparing to travel to Devon that morning. They were both overjoyed.
Harry, who was at his army base in Hampshire, turned the air blue with a string of expletives when the couple called to tell him the happy news. "It took you long enough," he joked. Kate then called her parents in Bucklebury. Of course her father knew, and Kate wasn't sure whether he had told her mother. Either way, it didn't matter. Kate told them to brace themselves for the announcement.
It was just after 9:00 A.M. when the couple walked across the cobbled courtyard to meet with William's private secretary, Jamie Lowther-Pinkerton. The former Special Air Service officer, known for his meticulous planning, congratulated the couple and told them the Palace Press Office would be ready to make the announcement by 11:00 A.M. The couple then went to see William's chief press officer, Miguel Head, and his team. "We were ecstatic when they came in to tell us," recalled an aide. "We genuinely had no idea they were secretly engaged, and they looked so happy when they told us. There was a palpable sense of relief. Then the hard work started, and there was an awful lot to organize in a very short time. Two hours later, we made the announcement."
In keeping with their modern courtship, the news was posted on the royal family's recently launched Facebook page, while Clarence House also tweeted the news, which was retweeted thousands of times and went viral within seconds. A press statement was issued to the world's media via e-mail: "The Prince of Wales is delighted to announce the engagement of Prince William to Miss Catherine Middleton. The wedding will take place in the spring or summer of 2011 in London."
It was the job of the Queen's private office, together with the British government, to decide on the date. which was no small task. Heads of state and diplomats around the world, along with foreign royals, would all need to be consulted. Although William had secretly hoped for a family wedding at St. George's Chapel in Windsor, like his cousin Peter Phillips, he knew that his wedding day would be akin to a semistate occasion. The only real options were St. Paul's Cathedral, where his mother and father had married, or Westminster Abbey, where the Queen had married Prince Philip, and her father, King George VI, had married Elizabeth Bowes Lyon.
Within minutes of the announcement, hundreds of journalists and reporters had gathered at Buckingham Palace. By lunchtime, TV crews from across the world were assembled at Canada Gate on the Mall reporting on the biggest royal story since the death of Princess Diana. The Queen was the first to comment publicly: "It is brilliant news," she told TV journalists at Windsor Castle. "It has taken them a very long time." Charles joked to reporters: "They've been practicing long enough." Camilla declared the news "wicked," while Harry couldn't stop smiling. "It means I get a sister, which I have always wanted," he said.
Prime Minister David Cameron added his personal congratulations, and Kate's parents held an impromptu press conference at the family home, where reporters and camera crews had gathered at the end of their driveway. They had spent the morning working on a brief statement at the kitchen table, assisted by members of William's press team, who had made themselves available by phone. Now that the engagement was to be made official, the Middleton family, at William's request, would be supported for the immediate future by the Palace's impressive PR machine.
Apart from his quip to one reporter nearly eight years ago on the weekend of Kate's twenty-first birthday party, Michael had never spoken to the media. If he was nervous, he didn't show it, facing the cameras with composure: "Carole and I are absolutely delighted by today's announcement and thrilled at the prospect of a wedding sometime next year," he said. "As you know, Catherine and Prince William have been going out together for quite a number of years, which has been great for us because we have got to know William very well. We all think he is wonderful and we are extremely fond of him. They make a lovely couple, they are great fun to be with, and we've had a lot of laughs together. We wish them every happiness for the future." Carole, dressed in a fleece top and designer jeans, smiled but said nothing. She had telephoned James and Pippa that morning to warn them that they would probably be contacted by the press, and to not say a word. Although the family had never had any instruction from the Palace about how to deal with the media, Kate had always advised them not to say anything to reporters. The wall of silence she had insisted on ever since she and William started dating was more important now than ever before.
As soon as the announcement was made, Scotland Yard's elite Royal Protection, known as SO14, had contacted the commander of the Royalty and Diplomatic Protection Department at Buckingham Palace and asked for a team of three officers to be made immediately available to Kate. The officer in charge would be Inspector Karen Llewellyn, previously responsible for protecting Princesses Beatrice and Eugenie, whose royal protection had been scaled down as a cost-cutting measure. The other two were Sergeant Emma Probert, who, like Carole, had worked as a flight attendant before a change of career, and one of Prince Harry's close protection officers, Detective Sergeant Ieuan Jones. Kate had met with the officers that morning and from that moment on was accompanied everywhere by the team. There was also a permanent police presence at Oak Acre, where uniformed officers brandishing semiautomatic machine guns patroled the grounds. It was, Carole later admitted to a friend, one of the hardest adjustments to this new life, not just for Kate but also for the family. Their friends in the village also had to get used to police convoys and SUVs with black windows driving through Chapel Row, as well as an unprecedented number of reporters who knocked on doors of neighbors and friends and visited the local shops in search of information about the family. Soon, there were guided bus tours taking over the narrow country lanes, with guides pointing out the couple's favorite pub, Kate's first school, and the family's former home in Bradfield.
It was William's parents who had set the precedent for celebrating royal engagements by granting a TV interview, and William and Kate knew that it would be expected of them. The press aides at the Palace had been liaising with ITN News all morning. William wanted them to speak to the news network's political editor, Tom Bradby, who had interviewed him before. He was one of the few journalists William trusted, and by coincidence, Kate knew Mr. Bradby's wife, Claudia, a jewelry designer with whom she had worked at Jigsaw. Mr. Bradby was summoned to the Palace while he was walking to Westminster that morning. "The phone rang and it was Clarence House on the line," he told the _Daily Mail_. "They're engaged," said a voice. "It's out there. You're on." He was told that the interview was set for 7:00 P.M. that evening and that there was no time to waste. While TV cameras were set up at St. James's Palace, Kate and William chatted with Mr. Bradby: "They seemed in high spirits, happy and relaxed. 'Are you OK?' William asked Kate once or twice. 'I'm fine,' she told him. 'I'll be looking after _you_!'"
Kate chose a royal-blue silk jersey dress by one of her favorite designers, Brazilian-born Daniella Helayel of Issa, and the color perfectly complemented her ring. Meanwhile, her trusted hairdresser, James Pryce, was called to the Palace to blow-dry her hair. "I was doing a client when I got a call from the Palace asking me to come and do Kate's hair. They told me that they had announced their engagement. It was hugely exciting and the most important blow dry I'd ever done. Kate just asked me for the usual." Kate had been dreading the interview, and afterward Mr. Bradby remembered her leaning back and sighing with relief, exclaiming, "I'm no good at this!"
While the film was taken to an editing room, there was another nerve-wracking appointment still to go—the official photo session—which meant coming face to face with Fleet Street's royal press pack. William led Kate into the stateroom with some trepidation, but it wasn't the lion's den she had feared. Kate introduced herself as Catherine and happily displayed her ring. "I'm sure you all recognize it," said William. Some of the journalists had covered Charles and Diana's engagement announcement nearly thirty years earlier, and the ring brought back memories of a young Lady Diana Spencer. Back then, in Charles and Diana's interview, when a reporter asked Prince Charles if he was in love, he famously responded, "Whatever love means." With his arm protectively around Kate, it was clear William knew exactly what love meant.
Like the late Princess of Wales, Kate was statuesque and beautiful, with heavily made up eyes, but she seemed far more confident than Diana, who had been just nineteen when she and Charles got engaged. Although she admitted to being anxious, Kate managed to keep her nerves in check, and as she walked into the photo session, one step behind her fiancé, she appeared poised, almost regal, smiling despite the startling camera flashes.
The fifteen-minute interview was watched by a record 3 billion people across the world that evening. Incredibly, it was the very first time Kate had spoken publicly. She made a point of placing her hands on her lap so that she didn't fidget with her hair and spoke beautifully in a cut-glass accent. Some of her school friends noticed that her clipped tones were rather different from how she spoke when she was a young girl. "She has changed a lot, she's certainly grown into a beauty, and the funny thing is her voice has completely changed. She sounds very posh, and she definitely wasn't that well-spoken when we were at school," recalled one of her contemporaries from St. Andrew's Prep.
The first topic of discussion was the proposal. "It was very romantic," said Kate. "There's a true romantic in there." She admitted to being genuinely stunned when William asked her to marry him. "I thought he might have thought about it, but no, it was a total shock when it came and very exciting." William revealed that they had been talking about marriage for some time. "We've talked about today for a while . . . for at least a year, if not longer. It was just finding the right time. I had my military career and I really wanted to concentrate on my flying, and I couldn't have done this if I was still doing my training, so I've got that out of the way and Kate's in a good place in terms of work and where she wants to be, and we both just decided now was a really good time."
He also spoke movingly about why he had chosen his mother's ring. "It's very special to me. As Kate's very special to me now, it was right to put the two together," he explained. "It was my way of making sure my mother didn't miss out on today and the excitement and the fact that we are going to spend the rest of our lives together." They agreed that it was a "real relief" to finally be engaged, although Kate said it had not been an easy secret to keep: "We had quite an awkward situation because I knew that William had asked my father, but I didn't know if my mother knew. So I came back from Scotland, and my mother didn't make it clear to me whether she knew or not, so both of us were there sort of looking at each other."
William was remarkably candid about why he had waited eight years to propose. "I wanted to give her the chance to see in and back out if she needed to before it all got too much," he said. "I'm trying to learn from lessons done in the past and I just wanted to give her the chance to settle in and see what happens on the other side." They talked about their breakup in 2007, and Kate confessed it had been an unhappy time but insisted that she had come through it a stronger person. "You find out things about yourself that maybe you hadn't realized," she said.
She also spoke of her gratitude to William's father, who she said had welcomed her into the family early on. She described Charles as "very, very welcoming, very friendly." When Mr. Bradby asked Kate how it felt to be marrying into the most famous family in the world and her feelings about the late Princess of Wales, Kate stumbled for the first time. "Obviously, I would love to have met her," she said softly. William stepped in. "There's no pressure," he insisted. "No one is trying to fill my mother's shoes—what she did was fantastic. It's about making your own future and your own destiny, and Kate will do a very good job of that." They spoke about the importance of family and how they hoped to start their own in the future. "It's very important to me and I hope we will be able to have a happy family ourselves," Kate said. "We'll have to start thinking about that," William added.
With the nation glued to their televisions that evening, Kate paid a quiet visit to Westminster Abbey with Helen Asprey, William's trusted diary aide, who had been designated as one of the wedding planners. As Kate walked up the aisle, her footsteps echoing around the empty pews, she marveled at the scale and beauty of the abbey and the enormity of what lay ahead.
By the end of the month, the Palace announced that the wedding day—which was also to be a national holiday—would take place at Westminster Abbey on Friday, April 29, 2011. It was where William's mother's life had been celebrated at both her funeral and memorial service, and he thought it a fitting tribute to her. Both he and Kate loved the sacrarium, a raised platform at the abbey's high altar, which afforded them an intimate place to exchange their vows. In keeping with tradition, Dr. Rowan Williams, the Archbishop of Canterbury, was to marry them into the Church of England, of which William would one day be the head. Charles arranged for his good friend, the Bishop of London, Richard Chartres, to give the address. The Dean of Westminster, Dr. John Hall, was asked to conduct the service. The twin choirs of Westminster Abbey and Her Majesty's Chapel Royal, together with the London Chamber Orchestra, the trumpeters of the Household Cavalry, and the RAF Fanfare Team were appointed to fill the abbey with music.
While William returned to work, Kate decided to put her photography exhibition on hold so that she could fully focus on planning her wedding. Unlike other brides, Kate not only had a wedding to organize, she was also being intensively prepped on everything, from how to handle the media to constitutional matters. Sir David Manning, one of the Queen's most senior aides, had been tasked with ensuring she was properly briefed on state and foreign affairs, ceremonial matters, and crucially, the order of hierarchy when she was in the company of senior royals. A former British ambassador to the United States, Sir David taught Kate the protocol on receiving heads of state and foreign crowned heads, before whom she was expected to curtsy. When she attended the Queen's Christmas drinks party at Buckingham Palace that month for the very first time, Kate got the opportunity to put her training to use. She curtsied to Prince Charles and Camilla in the presence of the Queen, and she was also required to curtsy, or bob, to blood royals, including the Duke of York's daughters, Princesses Beatrice and Eugenie. It might have felt slightly strange because the young women occasionally socialized together, but it was the order of precedence.
Kate was happy to be spending her last Christmas as a single woman with her family; she knew once she was married, she would be expected at Sandringham every year. William was on duty at RAF Valley on Christmas Day, and as usual they were both together in Scotland for the New Year. Kate's twenty-ninth birthday was a typically low-key celebration, and instead of having a party, she and William spent her birthday weekend in North Yorkshire at the wedding of their friends Harry Aubrey-Fletcher and Louise Stourton. Not wanting to upstage the bride, Kate arrived separately from William through a side entrance with her protection officer in tow. She still found being shadowed a strange experience, and although she got along well with her protection officers, it felt unnatural having to tell someone where she was going and what she was doing every minute of the day. Possibly the strangest thing was having an armed guard with her when she went home to Bucklebury.
Kate divided her time between Anglesey and London, where she had regular meetings at Clarence House. She had taken the advice of some of her girlfriends who had found mood boards useful in the runup to their own weddings. Kate set about archiving cuttings from books and magazines and took the mood boards into the planning meetings. She wanted nature to feature strongly, and when she had the idea to bring maple trees into the abbey, Charles, who was picking up part of the bill together with the Queen and the Middletons, referred her to his florist, Shane Connolly. According to one senior aide, "William and Kate were told that anything they wanted was possible and Charles and the Queen made their full households available to them both." There was speculation in the press from the engagement day onward about everything to do with the wedding, from who was designing Kate's dress (a secret she was determined to keep until the wedding day) to how she would wear her hair. According to James Pryce, she decided on a demi-chignon in February and had considered flowers in her hair. "One of the ideas was to have lily of valley because it is beautiful, British, and seasonal, but then she decided she wanted to wear a tiara. She was very firm about what she wanted, and 'romantic' was the key word."
The Queen had suggested the couple carry out a brief tour of Great Britain ahead of the wedding and courtiers set to work preparing an itinerary to include Wales, Scotland, Ireland, and the north of England. Their first walkabout took place in Anglesey, and on a windy February morning, they launched a new lifeboat at Trearddur Bay, not far from RAF Valley. The next day they flew to St. Andrews University, as William had been asked to be the patron of the six hundredth anniversary appeal. Hundreds of wellwishers lined up to meet the couple, and as they talked to students, they recalled their own happy days in their university town. "It feels like coming home," said William, while Kate appeared to momentarily forget her etiquette and greeted the crowds with an endearing "Hi!" After visiting the university, they made a fleeting trip to Fife. "I have to try and keep up with him," Kate joked as she shook hands with some of the crowd. Dressed in an eye-catching scarlet dress and jacket, her outfit by Italian designer Luisa Spagnoli was such a hit that it sold out online within hours, leading fashion writers to predict that Kate was set to be just as great a style icon as Diana.
When the couple visited Northern Ireland at the beginning of March, the "Kate effect," as it was now referred to in the newspapers, was evident once again after the Burberry trench coat she wore sold out within hours. Kate seemed overwhelmed with the reception she received, and as she gamely flipped a pancake to mark Shrove Tuesday, she felt moved to show her gratitude and addressed those who had waited to see them: "Thank you for giving me such a warm welcome." The crowds were just as warm in Lancashire, where not even torrential rain could dampen the spirits of the people who queued for hours for a glimpse of the couple. As hundreds of local people gathered behind the police barriers, cameras poised, waving Union Jacks, there was much talk of how slim Kate was in the flesh. It was reported in the press that she had dropped a dress size and had to have her engagement ring tightened. "Are you nervous?" one wellwisher asked as Kate accepted a bouquet of rain-drenched flowers. "Of course I am!" she responded.
The Palace considered the tour so successful that it was decided William and Kate should visit Canada and the United States after their wedding. This young and glamorous couple appeared to be breathing new life into the monarchy, and a national poll conducted then by the _Sunday Times_ found that the majority of the public thought William would make a better king than Charles. Many said the heir should step aside so that William could take the throne upon the Queen's death.
Kate was having weekly update meetings at Clarence House, and by the end of March, most of the key decisions about the ceremony and the wedding reception had been made. Mr. Lowther-Pinkerton was in charge of the plans, but the couple made the final decision on everything. Kate had asked Charles to help her choose the music for the ceremony, and the pair spent hours listening to songs and hymns on Charles's iPod. Camilla treated Kate and Pippa to lunch so that they could discuss the forthcoming nuptials. A senior aide said that the duchess was eager to be a part of the preparations: "Camilla is very fond of Kate, and she wanted the chance to hear all about the plans and offer to help if she could in any way. It was a case of the family helping Kate as much as they could."
After much deliberation about the guest list, by March, the gilt-edged invitations, which were addressed from the Queen, were sent out. The comptroller of the Lord Chamberlain's office, Sir Andrew Ford, together with the Queen's private secretary, Sir Christopher Geidt, had drawn up a guest list, but William had balked when he saw it. "There was very much a subdued moment when I was handed a list with 777 names on—not one person I knew or Catherine knew," William told the British broadcaster Alan Titchmarsh. "I went to her [the Queen] and said, 'Listen, I've got this list, not one person I know—what do I do?' and she went, 'Get rid of it. Start from your friends and then we'll add those we need to in due course. It's your day.'"
Unlike Charles's wedding to Lady Diana Spencer, which was a state occasion, William as heir apparent was not obliged to invite the same number of dignitaries because he was not next in line to the throne. However, the heads of the Commonwealth and certain crowned heads had to be invited as a matter of protocol. Traditionally, recent royal weddings have followed a format: the ceremony is followed by a wedding breakfast before the newlyweds leave for a honeymoon at Balmoral, but William and Kate intended to do things differently. They wanted a dinner and party for their closest friends and family on the night of the wedding, so it was decided that canapés would be served at a champagne reception at the Palace for six hundred guests. The Queen agreed to give them Buckingham Palace for their wedding night so that the newlyweds could host a wedding party. "The Queen would have wanted to accommodate their wishes as much as possible," said Lady Elizabeth Anson. "They had been to lots of their friends' weddings, and they had a clear idea of what they wanted and the Queen understood that."
It wasn't the only break with tradition. William and Kate wanted a "historic but modest" wedding. Kate wanted to arrive at Westminster Abbey by car rather than in the state coach, and at the couple's request, and in keeping with their wishes to be relatively frugal, it was decided that extended members of the royal family and visiting royals were to be ferried from Buckingham Palace to the abbey in minibuses. They also wanted it to be a wedding for the people, so fifty of the couple's guests were drawn by lots from the charities they supported and invited to the ceremony in the abbey. They decided not to have a traditional wedding gift list and instead asked for donations to twenty-six charities that they hand-picked, among them an antibullying organization, Beat Bullying, that Kate personally wanted to support. It was a cause close to her heart ever since her painful experiences as a teenager at Downe House. The charitable fund was hugely popular, and members of the public helped to raise over $1 million for the couple's chosen causes.
William and Kate had asked Pippa to be the maid of honor and Harry to be best man, and the two of them were in charge of planning the evening party. Meanwhile, Kate was busy meeting with florists, cake makers, and the clergy. As part of her marriage preparations, she was confirmed into the Church of England. Although she had been baptized at birth, the Middletons were not regular churchgoers and Kate had never been confirmed. William and Kate, as future King and Queen of Great Britain, would be the heads of the Church of England one day, so they were expected to attend church every Sunday. Religion is embedded in the royal family, members of which until recently were not allowed to marry Catholics in order to preserve the Church of England faith, which was established in the sixteenth century by King Henry VIII. Kate was baptized at St. James's Palace in a private ceremony in March, to which only her family and William were invited.
There were top-secret dress fittings and clandestine trips to Hampton Court Palace, where the lace for her bridal gown was being hand-stitched by a team of seamstresses. The Palace had hired Anthony Gordon Lennox, a voice coach who was helping to prepare Kate for the wedding day. He used breathing techniques to help her relax and taught her how to project her voice so that it would fill the abbey. One of the exercises she was required to do was record herself on video camera and watch the footage to see how she came across.
Wedding fever had not only gripped the nation, but the world. An advertisement for one mobile phone company featured a spoof of the wedding day, complete with royal look-alikes, which became a YouTube sensation. William and Kate apparently downloaded it, finding it "hilarious," according to their friends. Meanwhile, in America, countless documentaries were made about Kate's rags-to-riches life, and her romance with William was deemed such a fairy tale that a feature-length movie was made about their university romance. The royal palaces in England and Scotland reported a record number of visitors. Westminster Abbey was busier than ever, with queues to get in, and thousands of street parties were being planned around the country for the wedding day itself. Official merchandise such as tea towels and commemorative bone china was hugely popular, festive bunting sold out, and Michael and Carole's website Party Pieces enjoyed weeks of bumper sales. The site had launched a "British Street Party" range of goods, which was selling well. It seemed everyone wanted to cash in on the wedding or anything to do with Kate. The see-through skirt that she wore in the St. Andrews fashion show where she famously caught William's eye was sold at auction for $118,000. The designer had vowed never to sell a "part of fashion history," but when a mystery bidder offered to pay in cash, she capitulated.
The official Royal Wedding website received thousands of hits every day. The engagement pictures, which had been shot by Diana's favorite photographer, Mario Testino, had been posted on the site, along with pictures from the Middleton family album of a three-year-old Kate rock climbing in the Lake District and visiting Petra in Jordan. The fact that Kate had spent her early childhood in the Middle East had only just become public knowledge.
Behind the scenes, Michael and Carole were in constant contact with the Palace. Historically, in-laws have always been kept at an arm's length, but in this case the Middletons were being allowed to contribute to the wedding, together with the Queen and Prince Charles. William had promised Michael and Carole they would always be included in their lives and his in-laws wanted to make a financial contribution. It was quite unprecedented. When Lady Diana Spencer and Sarah Ferguson married into the royal family, their families complained bitterly at being left out in the cold once their daughters married into royalty.
Carole and Michael were kept abreast of developments as the wedding took shape through a hotline to the St. James's Palace Press Office. Courtiers appreciated that, not coming from nobility, the Middletons might need some help navigating through all the rigmarole and protocol of a royal wedding. They were an ordinary family thrust into a most extraordinary situation, and there were a number of adjustments to be made to their lives within a relatively short space of time. The Middletons had already faced accusations in the press that their business was shamelessly cashing in on the royal wedding by stocking themed memorabilia. Carole called Mr. Lowther-Pinkerton for advice. When Britannia-themed scratch-cards complete with crowns—which were deemed rather tacky and in poor taste by some sections of the media—went on sale on the site, aides suggested withdrawing the products, which were then discontinued online. Michael and Carole found themselves in a difficult position: they had a business to run and a team of staff to employ, and everyone else was making a pretty penny out of the royal wedding. Nonetheless, they had to be careful not to be seen as exploiting their daughter's position. There were practical elements to consider as well. Since the engagement, there had been a permanent media presence outside the family home, and there was global interest in the other Middleton siblings.
Although Kate benefited from round-the-clock royal protection, her family did not, and Michael and Carole discussed security matters with William's aides at the Palace, who suggested a London-based private security firm, Salamanca. Run by Heyrick Bond-Gunning, a former captain of the Grenadier Guards, the firm specializes in personal protection for the rich and famous and charges a daily rate of over $1,500. Michael and Carole considered it a wise investment. Although the Chelsea apartment that Pippa lived in was fitted out with a state-of-the-art security system from when Kate lived there, Pippa was still relatively exposed in London and was now regularly followed by the paparazzi. There were genuine fears that she might be the subject of a kidnapping plot, and Michael and Carole looked into upgrading her BMW sports car to a bombproof Audi like her sister's.
The invitations and the order of service for the ceremony were being taken care of by Buckingham Palace, but Michael and Carole had been invited to draw up their own guest list and the North Lantern in the abbey had been reserved for their family and friends. They were in constant communication with Mr. Lowther-Pinkerton and Helen Asprey, who explained that only the immediate family would be invited to the lunchtime reception at Buckingham Palace. It was a delicate matter; Carole and Michael had friends from all corners of the world coming to the wedding. Some were family, others were old friends who had moved as far away as Australia. A handful of people were also coming over from Mustique. Michael and Carole decided to invite guests to a hotel in Central London, so courtiers assisted them in booking the Goring Hotel, a stone's throw from Buckingham Palace. The establishment is popular with the royal family and was one of the Queen Mother's favorite places in London. Carole started planning a pre-wedding supper and post-wedding barbecue in the hotel's gardens, and Mr. Lowther-Pinkerton advised them that they would also need a coat of arms, a prerequisite for any royal bride.
After a holiday to the Seychelles where they sealed their future with a secret pact to get married, the couple are pictured on a night out and look truly happy to be back together in October 2007. (© Copetti/Photofab/Rex Features)
Kate and William are pictured at the Boodles Boxing Ball in June 2008 in aid of the Starlight Children's Foundation. Kate worked closely with the organization and also made top-secret visits to a children's hospice in Hampshire. (© Davidson/O'Neill/Rex Features)
Finally, it's official! William and Kate announce they are to marry and pose for the world's media in the state apartments of St. James's Palace on November 16, 2010. (© Samir Hussein/WireImage/Getty Images)
Kate carries out her first official engagement with Prince William before becoming a royal bride. The couple named a lifeboat in Anglesey in Wales where they have lived for the past three years. (© Phil Noble/AFP/Getty Images)
Kate's last day as a commoner. She waves to the cameras on the eve of her wedding, flanked by her most trusted confidantes, her mum Carole and sister Pippa. (© dpa picture alliance/Alamy)
Not one kiss but two, William and Kate follow the royal tradition of kissing on the famous Buckingham Palace balcony, but it is all too much for little bridesmaid Grace Van Cutsem who is frightened by the cheering crowds. (© Leon Neal/AFP/Getty Images )
The Middletons are now a part of the Royal Family. William promised Kate he would keep her beloved family close and he has kept to his word. (© AFP Photo/Hugo Burnand/Clarence House/Getty Images)
Kate shows she has the common touch as she poses for royal fans in Canada on the couple's very first overseas tour on behalf of Her Majesty the Queen in June 2011. (© UK Press/Getty Images)
Like the late Princess Diana, Kate is kind, compassionate, and happy to breach royal protocol so that she can hug a seriously ill child who asks for a cuddle in Canada. (© AFP/Getty Images)
The Queen has taken her new granddaughter-in-law under her wing. Kate was honored to join the Queen during her Diamond Jubilee tour of the UK in June 2012. (© Max Mumby/Indigo/Getty Images)
William, Kate, and Harry await the Olympic Torch. All three were ambassadors for the 2012 Olympic Games and were thrilled to be able to support their joint passion—sports. (© Anwar Hussein/Getty Images)
William and Kate hug as Team GB secures another gold medal. (© Pascale Le Segretain/Getty Images)
Kate puts on a headscarf and a brave face as she deals with her biggest crisis to date. She and William were in Malaysia when a French magazine published pictures of the Duchess sunbathing topless in the south of France in September 2012. (© Getty Images)
William and Kate make their tour of South East Asia and the Pacific in September 2012 look like a second honeymoon as they get into the spirit of Soloman Island life. (© Chris Jackson/Getty Images)
Kate shows she is still a deft hand at hockey when she opens a new sports pitch at her old school. Her athletic prowess put reporters off the pregnancy rumors circulating at the time. In fact, Kate was in the early stages of her pregnancy. (© Getty Images)
Kate makes her last public appearance at Trooping the Colour before the birth of baby Cambridge. She dressed head to toe in baby pink. (© Samir Hussein/Wire Image/Getty Images)
Now we are three—William and Kate present their newborn son to the world and pose for the media on the steps of St. Mary's hospital in Paddington. Prince George Alexander Louis of Cambridge was named two days after his birth. (© Ruaridh Connellan/Barcroft Media/Landov)
As they did not come from aristocratic lineage, the Middletons didn't have a family crest. Lady Diana Spencer, Sarah Ferguson, and Sophie Rhys Jones all had family insignias when they married into the family, but the Middletons would need to register a petition for their own crest. Any individual in the United Kingdom can apply for such an insignia, but the College of Arms decides whether to accept the petition. Michael liaised closely with Garter Principal King of Arms and Senior Herald Thomas Woodcock from the College of Arms, and with Kate's input, they agreed to incorporate acorn sprigs within the design. Kate loved the notion that from tiny acorns great oaks grow, and the part of Berkshire where they lived was famous for its oak trees. The design, in blue, white, and red, to reflect the colors of the Union Jack, comprised three acorns, one to represent each of the Middleton children, and at the center was a gold chevron that represented Carole, the matriarch of the family, and acknowledged her maiden name, Goldsmith. There was a line down the middle of the crest—a play on the Middleton family name—and white chevrons to represent their love of mountains, skiing, and the great outdoors. The crest cost nearly $7,000, and according to Thomas Woodcock, the family was pleased with the final design, which they were all allowed to use from then on. "They had a very strong idea of what they wanted, particularly the acorns, which were Catherine's idea."
Carole and Kate were in daily contact, and when they were seen visiting fashion designer Bruce Oldfield's Knightsbridge store in Beauchamp Place, it was reported that the famous couturier, a favorite of the late Princess of Wales, had landed the coveted commission. Designers Daniella Helayel, who created Kate's engagement dress, Jenny Packham, Amanda Wakeley, Sarah Burton, and Alice Temperley were also rumored to be in the running for the commission of the century, but Kate was determined that her wedding dress should remain a secret until the moment she walked into the abbey. She wanted it to be a surprise for William, and the only people who knew the identity of the designer were her mother and her sister. According to Kate's hairdresser, James Pryce, "Kate described the dress from the waist up and said that it had a V neckline with lace sleeves, but that was really all we knew."
With all the planning, shopping, and liaising, William and Kate rarely had a quiet moment together, and they were grateful for the peace and solitude they enjoyed in Anglesey. Just weeks before the wedding, the Queen asked William if he would travel to Christchurch in New Zealand, which had been badly hit by an earthquake that had claimed many lives. He was back in time for his stag weekend, which had been planned by Harry and William's closest friend, Thomas van Straubenzee. The weekend before the wedding, spent somewhat ironically at a twelfth-century former monastery in North Devon, was one long party. Harry had arranged a competitive program of water sports, pub crawls, and drinking games, and the group, which included Guy Pelly, Tom Inskip, and Hugh and Ed Van Cutsem, emerged from the weekend the worse for wear after drinking bottles of vintage port supplied from Charles's cellar. Kate was too busy planning the wedding to organize a hen night, so Pippa threw a small party for her closest girlfriends.
As April drew to a close, the pressure of planning a royal wedding had begun to show on Kate, whose clothes seemed to hang off her. Carole, who was on a strict protein-only diet in order to shed a few pounds ahead of the big day, made a point of reminding Kate to eat, calling her every evening to check whether she had had supper. Her dress designer was summoned to Clarence House to make the necessary adjustments, and in addition to the final dress fitting, there was one last run-through with her hairdresser.
There was a rehearsal of the actual ceremony at the abbey the day before the wedding as well as a dawn run-through of the wedding-day procession. William's regiment, the Household Cavalry, responsible for ceremonial occasions, had been preparing for weeks, making sure every uniform was spotless, buttons and boots were polished, and the manes of their horses—two of whom had been named William and Catherine—were brushed to perfection. While most of London was still sleeping, there was a practice of the processional route from Westminster Abbey to Buckingham Palace. The Queen's carriages were driven through a ghostly Central London, horses trotted along Westminster's Whitehall in the chilly morning, and soldiers performed their drills in front of their commanding officers. The countdown had begun, with time-honored British precision.
CHAPTER 11
Mr. and Mrs. Wales
IT WAS JUST AFTER 6:00 A.M., and the morning sunshine streamed through the sash windows of the Royal Suite of the Goring Hotel, where Kate had spent her last night as a single woman. Outside, a lone road-sweeper brushed the street clean while Union Jack–themed bunting fluttered on the police barriers that ran the length of Beeston Place in Central London. Several photographers with long lenses and ladders were setting up their equipment on the pavement.
Hundreds of wellwishers had waited for hours the previous afternoon to greet Kate as she arrived at the hotel with her mother and sister from lunch with Camilla at Clarence House. There had been cries of "Good luck" and "Enjoy your big day," as cameras and smart phones were held high in the air for a final picture of Kate before she emerged the next morning as a royal bride.
The Queen had offered Kate a suite of rooms at Buckingham Palace on the eve of her wedding, but she had politely declined, preferring to be with her family. Her parents had organized a bridal dinner, and Kate was grateful for the chance to catch up with old family friends, some of whom she had not seen for several years. It had been a special evening, and Prince Harry, who had been dining with his brother and father at Clarence House, joined the party for a nightcap. Kate had retired to bed before 11:00 P.M., joking that she needed her beauty sleep, although she knew she would not be likely to sleep a wink. William, who like all grooms was not allowed to see his bride until the ceremony, had gone on an impromptu walkabout to meet the crowds outside Clarence House at 8:30 P.M. with his brother. The crowds had stayed, cheering the groom and singing "For he's a jolly good fellow" long into the night, and William had heard them from his bedroom window, sleep eluding him, too. "They were singing and cheering all night long, so the excitement of that, the nervousness of me, and everyone singing—I slept for about half an hour," he recalled.
Kate decided not to turn on the television. The news channels were devoting almost all their coverage to the wedding day, not a calming prospect for an already nervous bride. Neither was the prototype of Queen Victoria's wedding dress, which usually formed the centerpiece of the Royal Suite in a glass-fronted wardrobe next to the four-poster bed. The gown had been removed, and in its place Kate's wedding dress was hanging on a mannequin made exactly to fit her measurements. The layers of duchess satin and hand-embroidered lace were a work of art. Kate had worked closely with Sarah Burton, the head designer at Alexander McQueen, overseeing every stage of the creative process. The ivory satin bodice was slightly padded at the hips to accentuate Kate's waist and give the dress a Victorian feel, and hand-embroidered flowers had been stitched into the skirt. Sarah Burton had sneaked into the hotel for a final check the night before the wedding, wearing a hood over her head so that the waiting cameras could not get a clear shot of her.
Kate glanced at the day's itinerary. In less than half an hour, the hairdressers—eight of them—from the Richard Ward salon in Chelsea were due to arrive to start working on the bridal party. "It was strangely quiet as we drove through the city," remembered James Pryce. "We could see the police setting up the balustrades, and as we pulled up at the Goring Hotel, I saw that an awning had been erected over the entrance. The road was then closed off, and by that point the paparazzi were all in place. We started working on the aunts and uncles and the rest of the bridal party while Kate got ready."
Royal brides traditionally have flower girls, but Kate had wanted bridesmaids, and the couple had chosen four: William's cousin Lady Louise Windsor, the Earl and Countess of Wessex's seven-year-old daughter; William's three-year-old goddaughter, Grace Van Cutsem, the daughter of his friend Hugh Van Cutsem and Rose Astor; Eliza Lopes, Camilla's three-year-old granddaughter; and Margarita Armstrong-Jones, the Queen's nephew Viscount Linley's eight-year-old daughter. They were all placed under the charge of Pippa, the bride's maid of honor. They had also chosen two pageboys: William Lowther-Pinkerton, the ten-year-old son of William's private secretary; and Tom Pettifer, his former nanny Tiggy Legge-Bourke's eight-year-old son.
A suite had been designated for hair and makeup, and by 8:30 A.M., Kate was ready for Mr. Ward and Mr. Pryce to start work. Although Pippa and Carole had professional makeup artists, Kate preferred to do her own in the privacy of her dressing room. Her smoky-eye makeup was her trademark look, and she expertly applied her kohl pencil and shaped her brows. She was grateful to have a professional on hand to give her a touchup so that she looked flawless for the cameras, but Kate was determined to look like herself. Having been given the choice of three tiaras from the Queen's personal collection, she opted for the delicate and ornate "halo" tiara that had been commissioned by George VI in 1936 for the Queen Mother, who then passed it on to the Queen as an eighteenth birthday present.
The hairdressers worked through a checklist as they created the demi-chignon, half up, half down hairstyle. "I had a sheet with instructions on and ticked the list off one by one while James worked on the hair," said Richard Ward. According to James Pryce, the most complicated part was securing the tiara. "We backcombed the top to create a foundation for the tiara to sit around, then did a tiny plait in the middle and sewed the tiara on. Richard and I were both just chatting to her. Kate didn't want TVs on and we didn't talk about the wedding. This was about Kate being in her own space and we couldn't hear the noise from the street or anything." With her tiara in place, Kate went to another room to get into her dress. "It took about forty-five minutes," recalled James Pryce. "She was in her room, and I knocked on her door and went in. She was standing in her dress with Sarah and a few assistants working on her. I was like: 'Wow, you look amazing.' It was all too much to take in. Once I'd checked her hair over and made sure the tiara was secure, she left the room. I could hear the roar from the crowd as she left with her father."
William and Harry had left Clarence House shortly after 10:00 A.M. in a chauffeur-driven Bentley state limousine. Dressed in the bright scarlet uniform and cap of the Colonel of the Irish Guards, a title the Queen bestowed on William just before the wedding, the groom and his best man, who was dressed in his heavy ceremonial Blues and Royals uniform, looked resplendent.
There were cheers and shouts from the crowds who stood behind the police barriers. A major security operation had been taking place for weeks leading up to the wedding day; sewers and lampposts, traffic lights and public trash cans had been inspected, and manholes had been uncovered, leaving nothing to chance. The wedding day was a prime target for a terrorist attack; as well as the British royal family, there were fifty foreign heads of state attending and senior members of government, along with celebrities. The city had been on a constant terror threat alert since the London bombings in July 2005. There were also fears of republican demonstrations; the wedding was reported to be costing $30 million and the security bill alone, which would be met by the taxpayers, was close to $8 million. But as the royal brothers drove slowly down Horse Guards Parade that morning, the only chants from the flag-waving masses were celebratory.
Stepping out of the car, they turned to wave to the thousands of people who lined the streets. Entering Westminster Abbey, they were greeted by the Dean of Westminster, and as they walked up the aisle together to await the bride, forty minutes before she was due to arrive, it was impossible not to imagine how proud William and Harry's mother would have been. William seemed excited, though his habit of wiping his palms and clenching his jaw gave away his nerves. Sweat pads had been stitched into his heavy jacket to help him stay cool. At one point Harry made a quip, and William visibly relaxed and went to chat with his mother's side of the family, the Spencers, who had been given a front-row pew in the abbey. The church held many memories for the family, particularly William's soon-to-be-married uncle, Diana's brother Earl Spencer, who had delivered his now-famous and moving eulogy at the princess's funeral in the very same church.
It had been agreed that William and Harry would wait in the chapel of St. Edward the Confessor, which is separated from the high altar by a gilded screen and was where the abbey's marriage registers would be signed at the end of the wedding service. The chapel, which houses the shrine of St. Edward, is the burial site of medieval kings and queens. The great stone tombs would have been enough to send shivers down William's spine, but he was relieved to be away from the buzzing congregation and the TV screens that had been erected in the abbey so that everyone could see what was happening at the high altar.
The congregation had been gathering since 8:45 A.M., and every one of the guests had to go through rigorous security checks. As well as being scanned by metal detectors, they had been asked not to take photographs in the church and to arrive in plenty of time so that they could be seated before the VIPs arrived. Given that this was a royal wedding, there was a hierarchy among the guests, and celebrities were at the bottom of the pecking order.
Surprisingly, there was no seating plan in the nave, where most of the congregation was assigned pews. Among the sea of brightly colored outfits and designer hats were a number of familiar faces. David Beckham, who had worked with William on England's unsuccessful bid for the soccer World Cup, was proudly sporting his Order of the British Empire, and his heavily pregnant wife, Victoria Beckham, showcased a navy dress from her latest collection. The film director Guy Ritchie, who, the week before the wedding, had been revealed as a distant cousin of Kate's, arrived with his wife. Kate and William had also invited Joss Stone, whom they had gotten to know after she sang at the Diana memorial concert. Sir Elton John, who seemed to be struggling with the heat from the overhead lights, was accompanied by his husband. Tara Palmer-Tomkinson, an old family friend, caused a stir by dressing head to toe in electric blue. There was much pointing and waving, greeting and air kissing while everyone kept an eye on the great west door to see who would arrive next.
The Prime Minister and senior cabinet ministers had been instructed to take their pews ahead of the visiting heads of state and foreign royals, and they were seated in the stalls behind the choir. Whereas Prime Minister David Cameron was appropriately attired in his morning suit, his wife, Samantha, attracted some criticism from television commentators for choosing not to wear a hat. She was an anomaly, as most of the well-turned-out guests had heeded the formal dress code and opted for hats.
Certainly the visiting royals and the extended members of the British royal family did not disappoint in the hat department. They knew what was expected of a royal wedding, and as they piled out of the minibuses, which had escorted them from Buckingham Palace, there was an explosion of color, feathers, and netting. William's cousin Zara Phillips, who arrived with her fiancé, rugby player Mike Tindall, had opted for an oversized black hat that she struggled with as she stepped out of the rather unglamorous coach. Princess Beatrice, who was driven in a car with her sister, at the insistence of their father, Prince Andrew, had taken a risk with an extraordinary creation by milliner Philip Treacy, which was picked to pieces by the fashion brigade watching with eagle eyes and commenting live on the arrivals. With its bizarre and complex loops and tentacle-like flourishes, it was compared to an octopus and a giant pretzel.
The sight of kings and queens descending en masse from silver buses was something to behold, but they didn't appear to mind, and as they took their seats in the north and south stalls, they, together with crown princes and princesses, earls and countesses, sheiks and sultans of countries around the world, found themselves seated with many young guests. Over 1,000 of the 1,900-strong congregation were William and Kate's friends, and they had been seated in prime pews. These were friends from all aspects of their past and present, including childhood friends, school friends, university friends, and colleagues from work. There were girlfriends and boyfriends from their past, among them William's first love, Rose Farquhar; Arabella Musgrave and Jecca Craig, as well as Kate's ex-boyfriend from St. Andrews, Rupert Finch, and Harry Blakelock, the boy who had broken her heart when she was a schoolgirl. Kate had invited a significant contingent from Marlborough, including Emilia and Alice and their old headmaster, Edward Gould. Clearly fond of some of her former teachers, she had also included David Gee, her favorite mathematics teacher at St. Andrews Prep, as well as her former headmasters, Robert Acheson and Jeremy Snow, who were all surprised to be seated alongside royals, representatives of the church, and members of the cabinet.
The mother of the bride arrived with James shortly after the crowned heads of state and, as protocol required, before Charles and Camilla, and Queen Elizabeth II and Prince Philip. Dressed in a pale sky-blue Catherine Walker dress suit, Carole looked youthful and elegant as she smiled at some of the faces she recognized in the congregation. On the arm of her only son, she made her way to the high altar, followed at a discreet distance by the family's bodyguard, Bond-Gunning.
The Middletons' guests were seated in the north lantern and had clear views of the sacrarium, where the couple would exchange their vows. This was a wedding in which everyone was to be treated as equals, so seated immediately opposite the royal family were Michael's brothers, nieces, and nephews, along with some cousins and Carole's elderly cousin Jean. "I was the only member of Carole's side of the family to be invited," said Mrs. Harrison. "It was one of the most special days of my life and quite an incredible experience to be sitting in the Abbey with so many people. I felt truly honored."
Carole and Michael's guest list included trusted and loyal friends who had touched their lives over the years. There were also more recent friends from Mustique, among them their yoga teacher, Gregory Allen, and his partner, Elizabeth Saint; the island's tennis coach, Richard Schaffer; and Basil Charles, the owner of Basil's Bar. Carole's brother, Gary, had a second-row seat with his eight-year-old daughter, Tallulah, and his ex-wife, Luan. Dressed in top hat and tails, he was the model of discretion and generously swapped seats with Camilla's daughter, Laura, so that she could have a better view of her daughter walking in the bridal procession. Carole and Michael had not forgotten the loyalty of the residents and shopkeepers in Bucklebury who had protected them from the media and respected their privacy during Kate and William's courtship. The local pub landlord along with the postman and the village butcher, Martin Fiddler, were all seated. "It was amazing to be invited. My wife and I have known Carole since she was a young single woman," said Mr. Fiddler. "We have seen her married and watched the children grow up, and to see Catherine walk up the aisle was so very special. We had a good position in the abbey, which made us feel even more touched. We had amazing views and could see everything. The earlier you got there, the better seats you got, because there wasn't a seating plan. Carole and Michael coped brilliantly with the pressure—they all did. Mike looked like the proudest man in the world walking up the aisle, and Carole looked stunning, and I remember thinking how composed she was. I imagine there were lots of nerves and possibly a stiff drink before the service."
Charles and Camilla, dressed in a pretty pale-blue dress, were the last members of the royal family to arrive, ahead of the Queen and Prince Philip. Pristine in his Royal Navy Number One dress outfit, Charles was greeted by the Dean of Westminster and made sure that everything was in place ahead of the bride's arrival.
The crowds roared their approval as the Queen and the Duke of Edinburgh pulled up at the abbey and a trumpet fanfare sounded. The Queen, who had just celebrated her eighty-fifth birthday, was dressed in a dazzling primrose-yellow dress that reflected the spirit of the nation and the unexpected spring sunshine. According to courtiers, she had been in a joyful mood for days. She is known to love weddings and was delighted that her grandson was now settling down with the woman he loved. The courtiers said she was "practically skipping with joy" before she departed the Palace.
To the rousing march from _The Birds_ by Charles Hastings Parry, the Queen and the Duke of Edinburgh made their stately walk down the red carpet and up to the high altar, led by Charles and Camilla. It was quite a moment in history, Charles walking with the woman he had always loved, in the very same place where Diana's funeral had taken place. It was a scene that many, Charles included, believed might never happen. As Prince Philip walked alongside the Queen, it must have brought back memories of their own wedding day sixty-four years earlier in this, the most holy and sacred abbey in the kingdom. The congregation fell silent as the Queen took her place in the front pew.
At exactly 10:50 A.M., Kate and her father stepped out of the Goring Hotel. The awning over the threshold made it impossible to see the wedding dress in full. There was a glimpse of lace and plenty of train—6.5 feet, in fact—which had to be carefully piled into the waiting Rolls Royce Phantom. At one point, Michael seemed to be buried in tulle, causing Kate to giggle. She wanted some pictures of this special moment and asked her friend Millie Pilkington, a professional photographer who has known the family for years, to climb into the front seat and take some photographs. As father and daughter passed Buckingham Palace and headed down the Mall to Horse Guards Parade, they waved at the crowds, a sea of red, white, and blue that stretched as far as they could see. Michael took his daughter's hand and turned to smile at her. The eyes of the world were upon them, but in the backseat of the glass-roofed Rolls Royce, it was just Kate and her father sharing a very special moment. Like any other proud father, this was a moment of huge significance in his life, the first of his children's weddings.
The car pulled up in front of the great west door and Kate stepped out onto the red carpet, her train unfolding like a flower behind her. The collective cheer prompted a smile from the radiant bride. Some of the spectators had camped out for several nights to secure their front-row positions, and this was the moment they had been waiting for. In her glittering tiara and ivory-and-white satin gown, she looked every inch a princess. The train was regal, modest, and incredibly beautiful. The antique Chantilly and English lace bodice that was nipped in at the waist was exquisite, and the dipped neckline a touch daring, but entirely elegant. Commentators compared the gown to Grace Kelly's wedding dress, and only at that moment was it revealed by the Palace that the designer was Sarah Burton. The news was met with much excitement; Burton was one of Britain's most exciting designers at one of the country's most famous fashion houses, and it was seen as a poignant tribute to Alexander McQueen, who had committed suicide a year earlier. Kate had scored an ace; her dress was traditional yet contemporary, timeless but fashion-forward. Fashion editors commended the design as inspired and perfect.
Kate smiled at Pippa, who told her she looked beautiful. So did Pippa. Kate had wanted her younger sister to dress in white, and the fitted bias-cut gown, also designed by Sarah Burton, with its scooped neckline, suggestion of cleavage, and tease of buttons down the back to her bottom, was almost as sensational as Kate's wedding dress. It was typical of Kate's generosity and her self-confidence not only to dress her sister in white but also to want her to wear such a stunning gown. While Pippa tended to the train, Kate turned around to face the crowds. One day the British people would be her subjects. It was the same thought that had struck Diana, who had paused and waved to the nation, as was expected of royal brides, before she climbed the stairs of St. Paul's Cathedral. But while Diana had seemed full of trepidation, Kate, who was older and more experienced in her role as a royal consort, exuded an amazing sense of confidence and purpose. They were both royal brides, but Kate and Diana, for all the comparisons, were two very different women.
As Pippa made sure every pleat was in place, the little flower girls checked their floral headdresses and held on to their white-rose bouquets. The pages, grinning proudly, took their positions at the back of the bridal procession. Inside the abbey, Sarah Burton and James Pryce were on hand to make any final adjustments. Finally, the church bells that had been tolling since the bridegroom's arrival ceased, and the London Chamber Orchestra played the first chords of Charles Parry's "I Was Glad." The music filled the great church with the spirit of the occasion. "There was a collective gasp as Kate entered the abbey. I looked up and saw this beautiful silhouette—it was the most special moment," recalled James Pryce. "Watching her walk up the abbey was just magical. She glided and was breathtakingly beautiful." William kept his eyes fixed firmly on the altar, but Prince Harry couldn't resist turning around. "She's here. Just wait till you see her!" he said, grinning.
Walking slowly past the avenue of English maple trees and exquisite displays of her favorite lily of the valley, Kate breathed in the sweet scent, remembering to stay calm and focused on the moment. Arms linked with her father, they both kept their gazes fixed ahead as they walked the 318 feet to the high altar. This was Kate's final journey as a middle-class girl—she would leave the abbey a future Queen. When she reached the altar, William finally turned to face his bride. His eyes widened. "You look beautiful," he exclaimed. Sensing Michael's nervousness, he cracked a joke. "We're supposed to have just a small family affair," he whispered to his soon-to-be father-in-law.
With everyone in place, the organ ceased and the congregation fell silent as the service began. It was traditional and beautiful, in keeping with the Anglican faith, and punctuated with the couple's chosen hymns, including "Jerusalem," one of Princess Diana's favorites. There were nods of encouragement and grins of sheer pleasure between William and Kate, the gentle brushing of hands, and at one point a wink of encouragement.
William had opted not to wear a wedding ring, and as he presented Kate with hers—a simple band made from a piece of Welsh gold that the Queen had given them as an engagement present—he appeared to struggle to get it on, prompting nervous glances from the congregation and a reassuring smile from Kate. When she spoke, her voice was clear and audible. Nerves had gotten the better of Diana, who had muddled Charles's names, but Kate managed "William Arthur Philip Louis" in crystal-clear tones. As they exchanged their vows, their eyes locked. There at the high altar, it really was just the two of them. Amid all the preparations, pomp, and pageantry here, in the House of Kings where thirty-seven kings and queens had been invested since William the Conqueror was crowned on Christmas Day, the union of the future King and Queen of England was taking place. This was living history, and the wedding, which would be replayed many, many times over the years, was a reminder of the power of the monarchy and the love the country felt for its great and unique establishment. This was a landmark within the century—a marriage that would secure the thousand-year-old lineage of the House of Windsor and move it forward. History was being made, and the future of the monarchy seemed destined to succeed with William and Kate, a perfectly suited bride and groom, pledging their love and commitment to one another in the presence of God.
The vows were traditional, but Kate, the modern bride amid so much tradition, chose not to obey but to "love, comfort, honor, and keep." They had discussed their vows with the Archbishop of Canterbury, who counseled them in the months leading up to the wedding, and both William and Kate agreed they would prefer not to "obey," which somehow seemed so incompatible with the equality on which their relationship was founded. Upon the bride's "I will," there was a collective cheer up and down the country and around the world. Close to 2 billion people were watching the ceremony on television, and across the Atlantic many Americans had woken at dawn to witness the couple exchange their vows. On the other side of the world in Sydney, all-night parties were already in full swing to celebrate the royal union.
The couple's choice of lesson from Romans 12, delivered by Kate's brother, James, highlighted the virtues of self-sacrifice, modesty, honesty, and leadership. It was the only reading during the service, and James, who had suffered from dyslexia throughout his life, had learned the verses by heart. The Bishop of London gave a sermon in which he described marriage as a "hope in troubled times." He asked the congregation, and the rest of the world, to pray for the couple, adding, "It is good that people in every continent are able to share in these celebrations, because this is, as every wedding day should be, a day of hope." It was, he reminded them, the festival of St. Catherine of Siena, and touchingly, he spoke of the family that he hoped would bless the couple. He ended his address with a prayer the couple had written themselves in which they thanked God for their families and for "the love that we share and for the joy of our marriage." Once the Dean of Westminster had blessed the couple, the congregation burst into "God Save the Queen," and the bride and groom were led to the Chapel of St. Edward the Confessor to sign the register, away from the television cameras.
As William took his bride's hand to leave the abbey as man and wife, the London Chamber Orchestra played William Walton's magnificent "Crown Imperial." Kate, now a future Queen, curtsied deeply to the reigning monarch. "Amazing," Queen Elizabeth II declared of the wedding afterward, her single word summing up the mood of the nation.
Outside the great west door, the open-topped State Landau carriage stood gleaming in the April sunshine. As William and Kate stepped into the very same horse-drawn carriage that had taken Charles and Diana back to the Palace after their wedding nearly thirty years earlier, Kate turned to William, "Are you happy?" she asked. "Amazing, amazing," replied William. "I am so proud you're my wife," he replied, according to one of several lip-readers who had been tasked with relaying the asides that day. It was a touching moment that perfectly summed up why William adored her. Whereas he was used to all the fanfare, Kate was not, yet her instinct was to ask him if he was happy. He was always her first thought.
Thousands of servicemen and women lined the route back to Buckingham Palace. Soldiers, sailors, and airmen, among them some of William's colleagues from the RAF, each had a part to play, along with the ten-deep crowd, whose applause was a constant and tumultuous roar right up to the Palace gates. "It's mad, it's mad," William repeated to his bride as he looked out at the forest of upturned flags and past the temporary media village that had been constructed at Canada Gate for the thousands of journalists who were covering the event. The couple was genuinely touched by the public support in advance of the wedding, which they had described as "incredibly moving," and now, looking at the throngs of people lining the streets, they could only marvel at the loyalty and joy of the British people.
In front of the famous balcony that looks onto the gleaming Queen Victoria memorial, the crowds waited and waited, their cameras fixed on the very same spot where Prince Charles had kissed Diana. Years later, the Duke of York and Sarah Ferguson had followed suit, making the royal kiss something of a tradition.
When William led his bride out through the glass doors and onto the balcony at 1:25 P.M., the noise was deafening as the crowds clapped and cheered for what seemed like an eternity. "Kiss, kiss, kiss," they chanted. "Oh wow," said Kate, who appeared deeply moved by the spectacle. As the bridesmaids and pages, as well as the couple's families, followed onto the balcony, the roar grew into a crescendo. Carole and Michael stood next to Charles and Camilla and waved, not quite believing the sight before them. Pippa said something that made the Duke of Edinburgh smile, while Harry chatted with James. The Queen stood with her hands behind her back, surveying her subjects and beaming broadly. William and Kate waved. They knew what the crowd was cheering for, and finally, William turned to kiss Kate. It was more of a peck than a kiss, and the crowd cheered for more. William grinned. "Let's give them another one. I love you," he said as a Lancaster, a Spitfire, and a Hurricane thundered overhead. This time the kiss was longer and the crowd louder, so much so that little Grace Van Cutsem cupped her hands to her ears as she looked down rather grumpily. The Queen took this as a cue to leave and was followed by her family. William and Kate were the last to leave, Kate glancing over her shoulder to bid the crowd one final wave good-bye.
Inside, the 650 guests who had been invited to the champagne reception were served canapés. "Many of the guests were on the other side of the Palace and couldn't actually see what was happening on the balcony, so they watched on televisions," recalled Lady Elizabeth Anson. William and Kate spent close to an hour greeting their guests, some of whom they had never met before. Along with the ceremony, this was the formal part of the day and the newlyweds were required to meet the heads of the Commonwealth and the visiting royal families. After the cutting of the cake—a traditional two-tiered fruitcake adorned with English roses, Scottish thistles, Welsh daffodils, and the Irish shamrock, made by the British cake maker Fiona Cairns—Charles gave a short speech in the Picture Gallery, against the backdrop of one of the world's greatest collection of Old Masters. He welcomed his daughter-in-law into the family, telling guests, "We are lucky to have her." He also reminisced about William's childhood, saying, "It feels like only yesterday I was building houses out of chairs in the living room for William. On one occasion I bought a pedal car for him so he could drive around the garden. I told him he could drive around the old cedar tree, but he must not bump into the cedar tree. William drove round once, twice, and then crashed into the cedar tree. Well, that was the end of the pedal car." Unable to resist poking fun at his elder son, he also cracked a joke about William's thinning hairline. William, who took to the stage briefly to thank everyone for coming, retaliated with a joke about his father's expanding waistline. There was much merriment and laughter, and a toast to the bride and groom's happiness.
Carole and Michael mingled easily with the guests and seemed impressively relaxed with their new in-laws. The Queen had invited them for lunch at Windsor Castle the week before the wedding so that there would be no awkwardness on the big day, and according to courtiers, the date had been a resounding success.
Touchingly, William introduced Kate as "Mrs. Wales" when he addressed the wedding party, even though the couple was now officially the Duke and Duchess of Cambridge, titles bestowed on them by the Queen that morning as a wedding gift. "Prince William had changed into a more comfortable military coat, and he was laughing. It was rather wonderful; they had managed to have what felt like a family wedding in a most extraordinary setting," recalled Lady Elizabeth Anson. "Prince Charles's speech was very warm and loving and very funny. The reception was remarkably relaxed and really felt like a family affair."
By 3:30 P.M., guests were asked to make their way to the garden to wave the couple off. William had asked his father if he could borrow his treasured blue Aston Martin Volante, Charles's twenty-first birthday present from the Queen, to drive down the Mall to Clarence House. The car had been polished for the occasion, and much to William and Kate's surprise Harry had it decked out with "L" plates, a ju5t wed registration plate, and "W-and-C"–themed balloons. For good measure, a Sea King helicopter swooped down from the sky to escort them home. For the prince, there was something symbolic about driving his wife home, even if in the excitement of it all, he had forgotten to release the emergency brake.
Back at the Palace, the couple couldn't wait to run through the events of the day together. Careful not to crush her bridal gown, Kate changed into a fluffy terry cloth robe and they jumped like excited children onto the bed. They had recorded the televised ceremony and couldn't wait to watch it on playback. Harry joined them, and the three of them sat watching together. Kate was still wearing the Queen's priceless tiara. "It was lovely to see them so relaxed and happy. You could see how excited and in love they were," said James Pryce, who arrived at the Palace to arrange Kate's hair for the evening. "Kate was still wearing her tiara in the evening. We took it out and blow dried her hair."
Sarah Burton had created a second dress for Kate for the evening reception, a strapless floor-length ivory satin gown with a diamante sash. Teamed a white angora wool bolero to ward off the evening chill, Kate looked every inch a fairy-tale princess. This was the part of the day they were most looking forward to—a sit-down dinner with three hundred of their friends and family and a party that would go on until dawn. The Queen and Prince Philip had already left the Palace by the time the couple's guests arrived. William's cousins Zara and Peter Phillips, Princesses Beatrice and Eugenie, and Earl Spencer's daughters, Kitty, Amelia, and Eliza, were among the first to be driven into the courtyard at 7:00 P.M. They were greeted by bagpipers in the candlelit courtyard and taken through to the champagne reception. Carole and Michael, who had gone back to the Goring Hotel to see their guests after the wedding reception, had changed into their party clothes, as had Pippa, who had caused quite a sensation in her figure-hugging bridesmaid gown. Unbeknownst to her, she was now a global superstar—her name was trending on Twitter, and by the end of the day, Facebook groups dedicated to her derriere had thousands of followers. People wanted to know all about Kate's younger sister and how close she was to Prince Harry. The cameras had picked up on them leaving the abbey arm-in-arm and later, sharing asides on the Palace balcony. In fact, Pippa's date for the wedding day was her boyfriend of nearly a year, a handsome former Etonian and city financier, Alex Loudon, who had quietly become an intimate addition to the Middleton fold.
After vintage rose champagne from the Palace cellars, dinner was served at 8:00 P.M. At Kate's request, the room had been lit by hundreds of candles and every table set with nineteenth-century solid gold plates and cutlery dating back to the reign of King George III. The couple had named the tables, which were adorned with white roses, after some of their favorite places, among them St. Andrews; Lewa Downs; Rhoscolyn, one of their favorite villages in Anglesey; and Tetbury, the Gloucestershire village near Highgrove. They had spent hours on the seating plans and deliberately mixed up their friends and family so that everyone could get to know each other. The supper menu, created by one of William and Kate's favorite chefs, Anton Mosimann, comprised organically sourced crab from Wales, lamb from Highgrove, and a trio of miniature trifle, chocolate fondant, and homemade ice cream. Charles had helped to select the white Mersault burgundy and Pomerol claret. Shortly after 9:30 P.M., once coffee and petits fours had been served, Harry, who was acting as master of ceremonies, switched roles to deliver a hilarious best-man's speech. Adorning a fez, he recounted how he and William played soldiers as little boys, a game that always ended with him being beaten up by his older brother. There were jokes about William's bald patch and his long-standing inability to keep up with Harry during drinking games. Referring to the newlyweds as the "dude and the duchess," he said, "William didn't have a romantic bone in his body before he met Kate." A great mimic, Harry impersonated his brother, calling Kate "baby" to much laughter, but the mood changed when he spoke movingly of his love for his sister-in-law and how lucky his brother was to have found a woman who loved him unconditionally. Chelsy, who was back together with Harry and was sitting at the next table, looked momentarily downcast, while Kate brushed away a tear or two. There were more tears when William stood up and described Kate as his "rock" and said how much his mother would have loved her. There were tears of laughter as Michael recalled the unforgettable moment when William landed his Chinook in the back garden. "I knew things were getting serious when I found a helicopter in my garden. I thought, _Gosh, he must like my daughter_. I did wonder how William was ever going to top this if they ever got engaged. I just thought, _What will he do?_ You can't get much better than that, and we are certainly not used to princes landing helicopters in the garden!" He credited his "beautiful daughter" for her nerve and steadiness as they walked down the aisle and thanked the royal family for welcoming his family so warmly.
There was more laughter when William's two best school friends, Thomas van Straubenzee and James Meade, delivered a witty sketch about the prince, including references to his wild partying and the drunken occasion during which he wore a ladies' thong. There were jokes about the fact that Kate beat William "at everything—especially sports." Then, when the speeches came to an end, Harry announced that all the guests were to make their way to the Throne Room for the surprise that he and Pippa had been planning for weeks. It was perhaps just as well that the Queen and the Duke of Edinburgh were not there. The priceless chandeliers had been covered up and in their place were strobe lights, glitter balls, and a giant dance floor, which dominated the 120-foot long room. The dais, where the thrones usually had pride of place, had been replaced by a disco booth and a cocktail bar. Pippa had arranged for the room to be scented with Kate's favorite candles and for bowls of Haribo candies to be placed on the surrounding tables. The bar served a variety of drinks, including Boujis-inspired Crack Baby cocktails, a blend of champagne, vodka, passion fruit, and Chambord raspberry liqueur. William and Kate had been involved with the music and had asked the British singer Ellie Goulding to perform her chart-topping song "Starry Eyed" as their first dance. "It was an amazing honor to be asked. The atmosphere was incredible and it is a night I will never forget," Miss Goulding said afterward. She sang a number of covers, and Charles and Camilla took to the dance floor to her version of Elton John's "Your Song." Later on, a DJ took over, and Carole requested one of her favorite songs, the 1986 Jermaine Stewart song "We Don't Have to Take Our Clothes Off," as she and Michael bowed out of the party, leaving William and Kate to enjoy the rest of the night with their friends. The dancing continued until 2:30 A.M., when guests were invited to the gardens for a firework display. Catherine wheels had been pinned to the trees, and the twenty-second-long burst of red and white sparks could be seen from over the Palace walls, although the crowds had long since dispersed. When the final rocket had soared, William and Kate were driven across the courtyard in an open-topped RAF-personalized Fiat 500 to the Belgian Suite, where they were to spend their wedding night.
Back in the Throne Room, Harry declared it was time "for some serious partying," and the decks were turned up for one final tune. Merry from the Crack Baby cocktails, Harry suddenly launched himself into the crowd. "Harry literally stage dived—it was a great finale," one reveler remembered. It was certainly a party none of the guests would ever forget.
Shortly before 11:00 A.M. the next morning, William and Kate emerged from Buckingham Palace and strolled, hand-in-hand, across the lawn for their first photo session as husband and wife. The sun was bright overhead, and the couple, looking remarkably fresh-faced, announced they were heading off for "a private weekend." The Queen, who was in residence at Sandringham, had made Windsor Castle available to them so that they could enjoy some time alone before heading home to Anglesey, where William was due to resume work. "I am glad the weather held off. We had a great day," Kate said as she and William made their way across the courtyard to their waiting helicopter.
Going home to Anglesey at the end of what was surely the best weekend of their lives must have been something of an anticlimax, but as she pushed a cart around the parking lot of the local supermarket just days after the magnificent ceremony, Kate was glowing. Dressed in leggings and a sweater, her hair flowing in the breeze, Mrs. Wales, as William had affectionately called her on their wedding day, looked like the happiest girl in the world.
Eleven days after their wedding, William and Kate left for their honeymoon, leaving the country as unobtrusively as they were able. William had planned the two-week-long vacation down to the finest detail, but he had kept the destination secret from Kate. "By going back to work before leaving for their honeymoon, they were able to escape," said a friend of the couple. "It was a deliberate decoy."
Kate had been told to pack for the sun, and it was only when they arrived at the airport that William told her they were flying to North Island in the Seychelles. It was a romantic gesture; the Seychelles was where they had made their secret pact to marry when they stayed in Desroches, and now, four years later, they were returning as husband and wife. They flew by private jet to Mahé, the largest island in the archipelago, and then took a helicopter to North Island, a four-mile-long private island shaded by coconut groves and surrounded by cliffs. The exclusive North Island Lodge had been booked immediately after their wedding, and William had waited for one of the luxury wooden bungalows to become available. The sensational rooms looked out onto the crystal clear Indian Ocean and had private gardens, an outside deck where they enjoyed morning yoga sessions, their own plunge pool, and a spectacular open-air bathroom with a sunken bath that was filled with frangipani flowers each night by their private butler. Back in England, William had gone to great lengths to keep the honeymoon a secret, so he was upset when the island's owner told a Hamburg newspaper: "Yes, we rented the island to the British royal family. Prince William and his Kate are spending their honeymoon there." The news traveled around the world, and William, who was keeping a close eye on events back at home, where his grandmother was carrying out an historic trip to Ireland, knew that they would most likely be photographed now that the secret was out.
Determined not to let the whereabouts of their honeymoon location spoil the holiday, William arranged champagne picnics on the beach and a sunset cruise so that they could tour the island. During the days, they relaxed on the beach, working on their tans while admiring the island's turtles. At their villa there was a butler on call for them day and night, and a private chef who cooked whatever they wanted. William had sent a list of their favorite foods ahead of their arrival, including Philadelphia cream cheese, quail eggs, Granny Smith apples, and rather surprisingly, brussels sprouts. The latter immediately prompted rumors that Kate was trying to get pregnant. Sprouts are rich in folic acid, which is recommended for women who are trying to conceive.
When the couple returned to England at the end of May, it was back to reality with a bump. The President of the United States and the First Lady were in London for a state visit, and the Queen asked William and Kate to come to Buckingham Palace to meet with them just days after they touched down on British soil. It was their first official duty as newlyweds, and the Obamas, who had not been invited to the royal wedding, were eager to meet the Duke and Duchess of Cambridge. William charmed the President, while Kate and Michelle Obama "instantly hit it off" during the twenty-minute meeting. It was a canny public relations move on the Queen's part—William and Kate were set to visit the United States the following month, and the fact that the Obamas had been dazzled was an auspicious start.
CHAPTER 12
A Tour of Duty
THE CELEBRITY CROWD gathered on the sundeck and watched the Jaguar pull up. There was a collective gasp as Kate stepped onto the red carpet, stunning in a floor-length rose-pink sequined organza gown. As William escorted his wife past the banks of photographers, the flashes popped against the dusky night sky. They led the way into the cocktail reception, pausing before moving inside to admire the high divers displaying their acrobatic prowess at a deepwater pool.
The evening, to celebrate the tenth anniversary of one of their foundation's chosen charities, Absolute Return for Kids, was the couple's first engagement since their wedding. Every one of the wealthy guests wanted an audience with the newlyweds and had paid $7,600 for the privilege. Inside, cameras were banned, but it didn't stop the well-heeled throng from taking pictures on their mobile phones. "Where is your husband?" one guest asked when he was introduced to Kate. "We always get split up at these kind of things," she explained, but she didn't seem to mind and was just as starstruck by the celebrities she was introduced to as they were by her. She was particularly pleased to be seated at the same table as British actor Colin Firth, whose performance in _The King's Speech_ she had so admired. After supper, William addressed the guests and announced that he and Kate were committed to helping "young people who really need it." There was much applause and several wolf whistles, and William joked that he couldn't wait to tell his grandmother about the amazing night and the divers in tight Speedos.
In truth, it was most likely not the topic of conversation when the couple joined the Queen that weekend for the Trooping the Colour. The parade—an annual procession by the Queen's troops on Horse Guards Parade next to Buckingham Palace to celebrate the sovereign's birthday—marked the Queen's eighty-fifth birthday and was a rather nerve-racking occasion for both William and Kate. William was to ride on horseback in the event for the very first time, alongside Prince Charles, the Duke of Kent, and Princess Anne, to give the royal salute to his grandmother while Kate was to accompany the Duchess of Cornwall in the carriage procession. It was the first public outing for the couple since their wedding, and a record number of people were packed into the Mall to see them. William and Kate joined the family for the traditional balcony appearance, and Kate, who had chosen a cream dress and jacket by Alexander McQueen for the occasion, seemed comfortable and relaxed as she chatted with Camilla and Sophie Wessex, Prince Edward's wife.
Kate had spent the past few weeks in meetings with Sir David Manning, the Palace adviser who had helped the couple prepare before of the wedding, and Jamie Lowther-Pinkerton, both of whom would be accompanying them on their forthcoming tour of Canada and California. She had never been to the United States or Canada, and William had forewarned her that the tour would be immense fun but also hard work. For all the pomp and ceremony, palatial stays, lavish receptions, and unveiling of plaques, they would be working twelve-hour days and there would be little downtime. Sir David had spent weeks educating Kate on Canada's constitution, while she brushed up on her basic school-level French for their visit to Quebec and read up on Canada's history. In keeping with their no-frills lifestyle, the couple had agreed to travel light, and their entourage consisted of only seven staff. This was considered very modest by Palace standards; the Prince of Wales and the Duchess of Cornwall usually traveled with an entourage of at least a dozen, including a doctor, an equerry, valets, and even an artist. "We've kept it as tight as we possibly can," explained Mr. Lowther-Pinkerton, who had planned the eleven-day trip in conjunction with the Queen's private office, the Foreign Office, and the Canadian government, which was picking up the bill. In her only nod to vanity, Kate had asked her hairdresser, James Pryce, to join her. She had elected not to have ladies-in-waiting after their wedding; like William, she did not like to be fussed over, but it did mean that there was no one to travel with her, assist with her wardrobe, and collect bouquets while they were on touring.
At the Palace, there was some debate over whether Kate would need a personal dresser. Camilla insisted she would need someone to help her press and arrange her dresses in advance, but Kate was adamant that she could cope. She had asked her mother to help her shop for clothes that were elegant and practical, and Carole had sought the services of a local boutique in Berkshire. The royal wardrobe was no small matter; Kate would require at least forty outfits. There would be days when she would require as many as three changes. She usually shopped at High Street stores like Reiss and L.K. Bennett, but for this it was important that she have a working wardrobe of designer clothing. Sarah Burton had already created a number of outfits for the tour, as had two other British designers, Alice Temperley and Jenny Packham. Their timeless red-carpet dresses were exactly the sort of look Kate loved, and the Prince of Wales had generously paid for them.
Kate scored an immediate hit with the Canadian public as she descended the steps of their private plane in Ottawa in a navy lace dress designed by Montreal-born Erdem Moralioglu. Arriving for the Canada Day celebrations, William and Kate were taken to Parliament Hill by horse-drawn carriage. They were accompanied by the Governor General and an escort of red-coated Mounties and bearskin-clad Canadian Grenadier Guardsmen. Greeting them was an estimated crowd of 300,000 wellwishers, waving their red-and-white flags and cheering loudly. It was hot, and the strength of the sun caused Kate's makeup to melt, but as she took her place on the stage, she didn't let her smile slip. "We love you, Kate," the crowd chanted. Some of the young women in the crowds were wearing fascinators, a tribute, they said, to their new style icon, whose own bright-red headpiece incorporated a maple leaf, the country's national emblem.
William had been concerned about how Kate would cope with the punishing agenda and the huge media interest—more than 1,400 journalists were covering the tour—but she proved herself to be resilient and professional. She didn't seem to tire of meeting new people and happily shook hundreds of hands every day. Unlike the Queen, she chose not to wear gloves, and when it came to planting a tree at the Governor General's office in Ottawa, she shoveled away with gusto in four-inch stilettos. The image of Kate, spade in hand, brought back memories of Diana, who had planted an oak tree in the very same spot twenty-eight years before, on William's first birthday. Diana and Charles had brought their son on the tour with them, and as William admired the now-towering oak they had planted, he appeared overcome with emotion. Like the oak, he had grown over the years, but his mother, who had nurtured him from the day he was born, was no longer around to watch him thrive. It meant everything to him that he was here with the woman he loved the day after what would have been his mother's fiftieth birthday. Kate had paid her own tribute to the mother-in-law she would never know by wearing a dress designed by Diana's favorite designer, Catherine Walker.
There were several planned meetings with dignitaries and statesmen, but in order for the tour to be as relaxed as possible, the couple asked not to have too many official lineups, and to be addressed by their first names. William had made sure the tour incorporated some of Kate's interests, and when they attended a cooking class in Montreal, she couldn't wait to change into her chef's whites to prepare an Îles de la Madeleine lobster. When they traveled overnight from Montreal to Quebec City down the St. Lawrence River aboard HMCS _Montreal_ , she joked that sleeping in a bunk had not been very comfortable but she didn't once complain. And she was delighted to be visiting Prince Edward Island, the picturesque setting of one of her favorite books, _Anne of Green Gables_. There, the royal couple took part in a dragon boat race across Dalvay Lake, and while Kate took the helm with her crew, William rowed in his, beating Kate's team by a whisker. They were so competitive, William revealed, that they had never actually finished a game of tennis or Scrabble, but as he helped her out of the boat, he hugged her warmly.
When the Prince gave a demonstration of how to land a Canadian military Sea King on the water—a skill known as "water birding"—Kate clapped and cheered, taking pictures on her camera so they could have their own album from the trip. They looked very much a team; William had a habit of guiding his wife by the small of her back. He was on hand to assist when there were wardrobe malfunctions, helpfully zipping up her fleece on one chilly occasion and standing behind her when a frilly yellow dress she was wearing fluttered up in the wind, threatening to reveal her underwear. There were lingering gazes and jokes for the crowds.
When they headed to the Northwest Territories halfway through the tour, William arranged for them to have a night off on remote Eagle Island, also known as Honeymoon Island, to which they paddled in a canoe. They were the only visitors, and for once even their bodyguards didn't join them. A meal of local delicacies, including caribou and cranberries, had been prepared ahead of their arrival, and they watched the midnight sunset together. They had, royal observers noted, achieved the impossible and made an official visit look like a second honeymoon.
They were treading in famous footsteps: the Queen had visited Canada the year before, and although the republican debate bubbled constantly below the surface, the popularity of the royal visits was living proof that the majority of Canadians still wanted the Queen as their head of state. When William and Kate traveled to Calgary to open the annual rodeo, they were greeted like rock stars. Decked out in white Smithbilt cowboy hats, jeans, and cowboy boots, they looked like fresh-faced celebrities. Kate's grandfather, Peter, had trained as an RAF pilot in Alberta during World War II, so she had been particularly anxious to visit.
At the end of the tour, as they boarded the steps of the Canadian Air Force jet bound for Los Angeles, they were waved off by Prime Minster Stephen Harper. "We haven't seen a love-in like that since the first visit of the Beatles," he told them with a smile. "Everywhere you went, you left a trail of utterly charmed Canadians in your wake."
A similar "love-in" greeted them in Los Angeles. At a charity polo match in Santa Barbara, wealthy guests paid up to $4,000 to lunch with the royal couple. Their appeal was universal, and at a British Academy of Film and Television Arts dinner in downtown LA to celebrate upcoming British talent in the film industry, they dazzled and charmed some of the town's most influential people. They chatted with Tom Hanks and Jennifer Lopez, shook hands with film director Quentin Tarantino, and enjoyed their time with movie producer Harvey Weinstein and the actress Nicole Kidman. "Will and Kate Conquer America" was the headline on a commemorative issue of _People_ magazine, which crowned them America's new king and queen.
Back at home, aides briefed the Palace that the tour had been a resounding success. Kate, who was only eleven weeks into her royal tenure, had proved a flawless and priceless ambassador for Great Britain. The Queen wrote to William and Kate to congratulate them, while the British press labeled "Team Cambridge" a triumphant success. When Charles and Diana had visited Canada after their wedding, Diana had been the real star, eclipsing her husband and, in doing so, badly wounding his ego and denting his pride. Kate and William had been equals, and when the crowd chanted for Kate, William had proudly ushered her in their direction. There was no jealousy on his part—instead, he was delighted that Kate was such a natural.
The press decided the moniker "Waity Katie" no longer applied, rechristening her "Stately Kate." The transition in the young prince was also noted. When William had visited Canada as a shy teenager, he had hated being the center of attention, and even as a student prince, he had resented the media attention to his life. With Kate at his side, he seemed content, more accommodating of the cameras and ready to embrace his destiny.
Back in Anglesey, William and Kate eased back into married life. William had instructed his aides to keep their diaries clear of official engagements, as he was desperate to get back in the cockpit. Kate had let slip during one walkabout in Canada that she worried every time her husband went off on a rescue mission, but she accepted that it was part of his job and her role as an army wife was to support her husband. Although she loved the peace and quiet of their life in Anglesey, she was sometimes lonely when William was on shift and was often left without enough to do.
Fortunately there was a new project to occupy her: William and Kate had been given a new London home at Kensington Palace by the Queen. The two-bedroom house, known as Nottingham Cottage, which was situated within the Palace compound, was billed as a "starter home" so that they could move out of Clarence House and have their own London base.
They had been to visit Kensington Palace at the start of the year before their wedding, when the Queen had offered them a number of options, including suites at St. James's Palace and Buckingham Palace as a London residence. Both William and Kate loved KP, as Diana used to refer to the royal residence. William had suggested living in Apartments 8 and 9, his childhood home, which evoked many happy memories of learning to ride his bike in the courtyard, but according to a friend, Kate had found the idea "creepy" and far preferred the late Princess Margaret's Apartment 1A, which was being used as office space and the headquarters for the Prince of Wales's drawing school. The three-story property, with its forty rooms and walled garden, would, she suggested, make a fabulous London family home. It was in need of extensive renovation, and so it was agreed that the couple would live at Nottingham Cottage until the renovation was complete, with plans to move in sometime in 2013.
Situated next to Wren House, the former residence of the Queen's cousin, the Duke of Kent, Nottingham Cottage has a pretty front garden. Kate had revealed in Canada when she planted the ceremonial tree that she is an avid gardener, and as well as planting some bulbs, she also started on a small refurbishment and had the house painted. With the help of British interior designer Kelly Hoppen, who helped her choose fabric swatches and soft furnishings, Kate soon made the house their home. With just two bedrooms, a living room, a very small dining room, and a kitchen, it was small but delightful. It suited them well, and on weekends, when they were in London to catch up with family and friends, Kate would have her hairdresser or beautician come to the house: "It was more private and relaxed. She would be having treatments, while William was making tea and toast in the kitchen. It was all very relaxed," recalled one regular visitor.
Most of their time was spent in Anglesey, where their lives were simple and low key. While William was working, Kate began looking into the charities and organizations that she was interested in working with, and she started researching on the Internet. Hundreds of organizations had written to the Palace, desperate to have her patronage, and she was eager to find out more about some of them. Until now, she had only worked with Starlight and intended to develop her philanthropic role. She also took great pleasure in overseeing the running of their Anglesey home. They had a house cleaner but no other staff. It was William's job to put the trash out, with Kate in charge of keeping the pantry stocked and cooking meals. She had started making jam and was seen stocking up on canning jars at the local hardware shop. She also loved hill walking in the countryside and continued to take photographs of the coastline and the dramatic mountains. In the evenings, she cooked, and they loved staying in and watching a selection of DVDs, such as _The Killing_ , in marathon sessions. Sometimes they ordered pizza for delivery, and they often drank at the nearby White Eagle pub. Occasionally they went to the cinema, sneaking in unrecognized in baseball caps with a large bucket of popcorn to share. It was the ordinariness that William thrived on, and they loved the fact that they were never spied on. "People around here have taken them to their hearts. You won't catch anyone tweeting gossip about them as they go about their day-to-day business," said Jack Abbott, chairman of the local Trearddur Bay lifeboat station, part of the Royal National Lifeboat Institution, which the couple had visited earlier that year.
William wanted to make the most of this newly wedded bliss, confiding to friends that he was living on "borrowed time." He knew that at some point, he would be expected to take on more royal duties and that they would have to move back to London. That June, his grandfather, Prince Philip, had turned ninety and announced that he planned to scale back his official engagements. He had suffered a number of bouts of ill health and acknowledged it was time to slow down. "I reckon I've done my bit," he said with characteristic understatement. The Queen was in full agreement, and William knew that alongside his father and Harry, whom the Queen called her "substitutes," he would be expected to do more. The Queen had given William her blessing for the couple to enjoy two years of married life in Anglesey without the pressure of full-time royal duties. It meant that William could complete a full tour of duty with the RAF while Kate settled into royal life at her own pace. Back in 1947, the Queen had enjoyed two carefree years in Malta after her wedding while Philip was serving with the Royal Navy, and they were some of the happiest times of her life. Granting the couple some time out of the limelight was her way of helping Kate with the transition. There was also the matter of starting a family, something both William and Kate were eager to do.
Traditionally, royal brides conceive within months of getting married. The Queen was pregnant with Charles three months after her wedding, and Diana became pregnant two months after her wedding day. William and Kate had been married for three months and were in no hurry. Secretly, they hoped it would happen relatively quickly in the peace and solitude of their Welsh home. Kate had confided to her best friends that she was "desperate" to become a mother, and the press were on constant "baby-bump" watch. This royal bride, however, appeared to be getting thinner. When the couple attended William's cousin Zara Philips's wedding in Scotland at the end of July, Kate appeared to have lost even more weight since her wedding, prompting some concern among her family and friends, and her weight loss was noted by the ever-watchful media.
Like many brides, Kate had dropped a dress size ahead of her big day, but she had not put any of the weight back on since. During their trip to Canada and the States, she looked exceptionally thin, even when standing next to some of Hollywood's famously slender stars. Her busy travel itinerary on tour had meant they sometimes skipped meals, and Kate often nibbled on muesli bars to keep her energy levels up. She was reported to have dropped down to a UK dress size six, also known as "size zero" in America, where, among celebrities, it was something of a trend. Kate had always had a healthy, athletic figure, but these days she was a slip of her former self. Diana had developed an eating disorder within the first year of her marriage, such was the stress of her new role, and courtiers were anxious to make sure Kate stayed healthy and well. Her aides insisted her slim frame was due to her exercise regimen and healthy eating. When she was hailed as a role model for skinny women on a number of controversial pro-anorexia websites, however, she was upset and determined to distance herself from the controversial sites. She took her position seriously and wanted to be a healthy role model for her many admirers. She also knew that if she wanted to get pregnant, she ought to put on a few pounds.
The summer of 2011 afforded William and Kate some time to relax, so at the end of August, they traveled to Scotland to spend the bank holiday at Balmoral. The Queen was delighted to hear that Kate had spent some of her time drawing up a short list of charities she wanted to work with. Together with Jamie Lowther-Pinkerton and Rebecca Deacon, another of Prince William's eleven-strong team of aides who had been assigned to assisting the duchess, Kate had been quietly visiting a number of charities and organizations. She had read up on the ones she was interested in. It was important to her, as it was to William, that she not be just an ornament; they both wanted to be actively involved with their charities, and Kate wanted to represent causes she was genuinely passionate about. One charity that caught her eye was The Art Room, a small British charity based in Oxford that uses art as therapy to help disadvantaged youngsters. Its director, Juli Beattie, had written to the Palace asking if Kate would consider working with them, and she was delighted when the duchess visited an inner-city school in Islington in North London to see the charity's work firsthand. Juli remembered, "Initially, her private secretaries came to visit The Art Room at the Robert Blair School, and then she came so that she could meet the children and see firsthand what The Art Room did. She was pleased to see that we were faithful to our mission statement and the work that we do with the children. She was genuinely interested in how we use art as therapy. We were delighted when she offered to become our royal patron."
Kate was also eager to work with children's hospices, and having already seen firsthand how children benefited from the care available at Naomi House, she found out more about the East Anglia's Children's Hospices organization and made a private visit to the charity's hospice in Milton in Cambridge. According to the charity's chief executive, Graham Butland, "We got a call from St. James's Palace saying the duchess was keen to see our work. They asked if she could visit our hospice in Cambridge so that she could come and see the children and meet some of the staff. We were told it had to be absolutely private and confidential and there could be no press. She drove herself to the hospice and spent an hour meeting the children. It was apparent from the beginning that she had a genuine interest in our work. She met some severely handicapped children, and she was fantastic with them." Addiction, particularly in young people, was another area to which Kate wanted to lend her support, and she had researched the work of the small British charity Action on Addiction. The charity's chief executive, Nick Barton, remembered, "We didn't actually write to the Palace to request the duchess's patronage because we didn't think we would have a chance. We were stunned when her people came to us and said she was interested in our charity. When I went to meet Catherine, she told me she had spent a lot of time researching the problems young people face, and she said the subject of addiction seemed to be a big issue. That's how she found us. We are eternally grateful that she did."
Kate also wanted to work with either a gallery or a museum. In September 2011, she visited the National Portrait Gallery in Central London. According to the director, Sandy Nairn, she spent the day learning about how the gallery operated and how major exhibitions were staged: "I got a call saying she was exploring and researching the charities she was interested in, and we were asked if we were happy for her to come and research and see us behind the scenes. She came at the end of the month and spent most of the day with us, which was great. She was interested in finding out how we organized exhibitions, and we showed her what a working day was like. At the end of the day, she came into the galleries and into the public spaces to see the work."
These visits were kept out of the media. The Palace wanted to give Kate time to think about the charities before making an announcement in the new year. The public had barely seen the royal couple since their return from Canada, and their official engagements were deliberately few and far between. In Diana's first year of being a royal wife, she carried out hundreds of official duties, but since her wedding, Kate had undertaken fewer than fifty. There were unkind references to her in the press about her being "the Duchess of Dolittle," but she ignored the taunts and instead focused on making the right choices about the organizations she was investigating. She had decided she would only take on a handful of causes to begin with so she could be closely involved rather than spreading herself too thin. In September, William and Kate visited The Royal Marsden's new cancer treatment center in Surrey and hosted a reception for their joint charitable foundation at St. James's Palace. Then in October, while William was busy working shifts, Kate stood in for the Prince of Wales at a charity dinner at Clarence House, which was deemed to be a great success. The following month, she and William flew to Copenhagen for their very first joint humanitarian mission, a visit to a UNICEF relief depot where food supplies for the famine-stricken east coast of Africa were being packed. It was a part of the world they both loved and knew well, so when the Crown Prince and Princess of Denmark, who had been at their wedding, invited them to join them to pack aid relief for hungry families, they made themselves available. Kate caused a flurry of speculation that she might be pregnant after she repeatedly patted her tummy, which was hidden beneath an oversized coat during the trip to Copenhagen, and declined to try some peanut butter while she and William packed aid supplies.
The matter of a royal bump was a much-discussed topic and was even the subject of new legislation in the Houses of Parliament, where the rules of succession were in the process of being revised. Prime Minister David Cameron had proposed a change to the antiquated succession laws at the biannual meeting of Commonwealth heads in Perth in October, and the revision had been universally approved, although it still needed to be passed in the Houses of Parliament and made law by the Commonwealth realms. Essentially, the new law would mean that if the couple's firstborn was a girl, she would become Queen regardless of any male heirs born afterward. Previous governments had tried to implement the change of law, but the proposed amendments—which also prohibit any heir to the throne from marrying a Catholic—had never been passed. Now there was a real reason for change, and with the backing of the government, the Queen, and the Commonwealth, it looked set to happen, and William and Kate were the catalyst. "Put simply, if the Duke and Duchess of Cambridge were to have a little girl, that girl would one day be Queen," said Mr. Cameron. The revision would also mean that the law preventing members of the royal family from marrying Catholics, in order to preserve the Church of England, would be scrapped. There was every chance that Kate could be writing royal history once again.
As 2011 came to a close, Kate prepared for her first Christmas at Sandringham, flitting between excitement and panic. Although she was more comfortable now in the presence of royals, the festive period would be a challenging new situation. Camilla and Sophie, the Countess of Wessex, had volunteered themselves as mentors to Kate and were extremely useful in advising her on how to behave, how to dress, and what she should and should not do at court. Sophie, especially, was able to relate to Kate; although she came from a noble lineage, she was a career girl before she married Prince Edward, and like Kate, she was a modern royal bride. She and Edward had courted for six years before their wedding in 1999. It had given Sophie, a public relations expert, an opportunity to adapt to royal life. During that time, the Queen had taken an immediate liking to her new daughter-in-law and asked her to assist Kate. The Queen by now had gotten to know her granddaughter-in-law better. They had carried out their first engagement together that summer when they viewed Kate's wedding dress on display at Buckingham Palace following the royal wedding. The Queen had declared the exhibit "horrible" because of the eerie way the dress was modeled on a suspended mannequin, but Kate had taken no offense. The two women had met privately on a number of other occasions, and anticipating that Christmas might be an intimidating experience for the newest member of her family, the Queen had asked her private office to update a court manual known as the Order of Precedence in the Royal Household.
The book, essentially a guide for new recruits on how to behave in the presence of the royal family, was most useful to Kate, even if it was rather confusing. It had last been updated when Camilla married into the family, and it offered detailed instructions on who Kate was expected to curtsy to, both in private and public, when she was with William, and when she was alone. It gave advice on the royal pecking order, and who should be the first and last to arrive at events such as Trooping the Colour and Royal Ascot. Kate knew from her training with David Manning that she was always required to curtsy to the Queen, the Duke of Edinburgh, the Prince of Wales, and Camilla, whether or not she was with William. According to the court rule book, when Kate was not with William, she was still expected to curtsy to blood Princesses Beatrice and Eugenie, Princess Anne, and the Queen's elderly cousin, Princess Alexandra. Somewhat uncomfortably, Sophie Wessex and less senior members of the family were now expected to curtsy to Kate, who, as William's wife and a future Queen, was further up the order of precedence. Although it may seem rather archaic, according to courtiers, the order of precedence is important so that the Queen is not overwhelmed by her family when it comes to greeting them all at once, and to ensure there is no confusion at public engagements.
There was advice on what to expect at Sandringham; the family is instructed to arrive according to precedence on Christmas Eve and the Crown equerry issues a timetable detailing who should arrive when. The least senior members of the family—cousins and extended family members—are expected first, whereas Prince Charles, as heir, is the last to arrive shortly before lunchtime. The Queen and the Duke of Edinburgh always travel by train from King's Cross to King's Lynn. Although a private family occasion, Christmas is a formal affair at Sandringham, and Kate was told that she had to have up to five outfit changes a day. She was advised to pack full-length evening gowns and jewels for dinner. At home, the Middletons opened stockings in their pajamas, but there would be no lounging around at Sandringham, where one was expected to be properly attired for breakfast, lunch, tea, and dinner. Every family member was assigned either a butler or a maid, whom they were expected to tip at the end of the stay. Kate had been looking forward to shooting but was told that in the presence of the Queen, a lady does not take a gun, so instead she would have to stay with the beaters, whose job is to flush the birds from the thicket into the direction of the guns. Each evening, there would be a cocktail party before dinner, which would be served at 8:15 P.M. sharp. According to Lady Elizabeth Anson, "In the morning you are dressed for breakfast, then you change for shooting. You come back to the house and change for tea at about 5:30 P.M. into a wool dress or a suit with a skirt. In the really old days there were tea gowns, which were like long velvet dressing gowns. . . . Then you come down for drinks, still in your tea dress. It is before this that the Queen takes a bath and does her face, so her change for dinner is usually quick—the point is not to get caught out and think you have lots of time to change before dinner. The Duchess of Cornwall and the Countess of Wessex were there to give Kate advice, and she wouldn't have had to worry about pressing her clothes. She would have had a maid who would have laid her clothes out and chosen her dress for the night."
Kate had put much thought into both her clothes and presents for her first Windsor-family Christmas, deciding that her jars of homemade preserves would be perfect gifts. Joke presents always went down well, and she reportedly bought Prince Harry a "grow your own girlfriend" kit. William had explained that the family exchanged only small offerings and the Queen was always the first to open gifts, which were lined up on a trestle table in the Red Drawing Room and opened on Christmas Eve rather than Christmas Day, which the Queen believes should be an entirely religious day. Diana had embarrassed herself when, at her first family Christmas, she handed out expensive gifts, such as cashmere sweaters, which were considered ostentatious.
Kate was in church on Christmas morning along with the rest of the family, where prayers were said for the Duke of Edinburgh, who had been taken ill on the night before Christmas Eve and airlifted to a hospital after suffering chest pains. A crowd of nearly 3,000 people gathered outside St. Mary Magdalene Church on the Sandringham estate, numbers that had not been seen for many years. Certainly, the gathering of glamorous young royals made it an attractive and colorful spectacle. Kate had opted for a plum hat by milliner Jane Corbett and a coat in the same color. Princess Beatrice, who had caused a sensation at the royal wedding with her choice of garish headware, had opted for a subtle black pillbox, while newlywed Zara Phillips showed that she could keep up with Kate in the fashion stakes with an eye-catching ruched designer hat. Flanked by William and Harry, Kate wished the crowds a Merry Christmas before they headed back to the main house for a lunch of traditional turkey, cold meats, and all the trimmings, served on silver salvers. It was all very different from the relaxed Christmases at home with her father dressing up and James pulling out the Christmas puzzle. This year, Kate watched the Queen's speech with the monarch.
It must have been a surreal close to a formidable year. An ordinary girl from a very normal family, Kate was now seen as the rising star of the royal family. It was a daunting but exciting prospect. There was a part of her that deeply missed being with her own family. She was particularly sad not to be with her sister, who was heartbroken after having recently split up with her boyfriend, Alex Loudon. The former Etonian had ended the year-and-half-long romance, and Pippa's new celebrity status was rumored to be at the root of the split. She had become a global superstar following the royal wedding, and offers for interviews, modeling contracts, and book deals had come flooding in. Pippa edited an online magazine for Party Pieces and still worked part-time for an events company in London, and now she was working on her first book, having signed a six-figure publishing book deal just before Christmas. She graced magazine covers and was sent free designer clothes and handbags. But there was a downside to her new fame. Like her sister, Pippa couldn't buy a coffee or go shopping without being photographed. For Alex, who came from a very private aristocratic family, it was too much. Kate felt a measure of responsibility, as she knew that everyone in her family was in a vulnerable position now that she had become Her Royal Highness, the Duchess of Cambridge.
For Michael and Carole, it had been a slightly easier transition. They were able to live in relative peace at their home in Bucklebury, protected by the local community. "We tend to know when Catherine's in the village, because we see the protection officers and they often come in for a cup of tea," said Martin Fiddler. "It's lovely that William and Catherine still come here. We often see them and the family walking—we give them a wave and let them get on with their lives." William had kept his promise that they would not be left out in the cold, and earlier that same year, Kate's parents had been invited to Royal Ascot at the personal invitation of the Queen. They enjoyed lunch at Windsor Castle and arrived at the world-famous racecourse in the royal procession by horse-drawn carriage. Watching from the comfort of the Royal Box, they happily chatted with Princess Beatrice and Princess Anne and, as avid horse-racing fans and part owners of a racehorse named Sohraab, they spoke knowledgeably about the sport that the Queen has always loved. It meant a lot to Kate that so much effort was being made to include her family.
In January 2012, she chose to celebrate her thirtieth birthday at the family home, where Pippa and Carole had organized a special supper. William had already given Kate her present, a delightful black cocker spaniel from a litter of pups belonging to James's dog, Ella. Kate named him Lupo, the Italian word for wolf. The Middletons are wildlife enthusiasts and are friends with a local villager who runs a wolf protection charity in Berkshire.
It was deemed the perfect opportunity to announce she would be taking on working roles with the National Portrait Gallery, The Art Room, East Anglia's Children's Hospices, and Action on Addiction. She had also decided to work with the Scout Association. As a former Brownie and someone who loves camping and the outdoors, she was said to be particularly excited about this commitment. According to the Palace, she wanted to be actively involved and would spend the coming weeks visiting her chosen causes. The fact that her diary was so busy was a blessing. William was leaving for the Falklands for a six-week-long tour of duty at the start of February, and Kate, who had been dreading the time apart, moved from Anglesey to Nottingham Cottage.
She was understandably nervous about going solo, in particular about giving her first public speech. Until now, she had always had William to guide and support her. Her first visit to the National Portrait Gallery to view an exhibition of Lucian Freud's work in early February was a gentle introduction to her new life as a working royal. She used to visit the gallery as a student and being involved with its work was a dream come true. As she mingled with guests and commented on the exhibition, she seemed to be enjoying herself. As well as promoting the arts in London, Kate hoped to heighten the gallery's profile. The gallery had never had a patron before, and according to the director, Sandy Nairn, Kate's affiliation gave it a real platform. "The duchess opens us up to a wide range of people, some who might not know who we are. She is such a recognized public figure both in this country and abroad, having her as a patron is a very positive thing for us."
Compared to Diana's first public engagement, when she trembled with nerves as she switched on the Christmas lights on Regent Street, Kate was poised and composed. She had followed William's advice to be herself, though she was apparently teased by her family for her new "plummy" voice when she gave her first public speech at a hospice in Ipswich. Her frequent pauses and emphasis on certain words suggested she was still receiving voice coaching, but her passion for her causes was not something that had to be learned. "She had about 150 people standing watching her in the room, and several millions a camera lens away. It was a huge test for her," said Graham Butland, the chief executive of East Anglia's Children's Hospice who worked with Kate on her speech. "I think she was nervous, but she did really well. When she stepped off the platform, there was a genuine sigh of relief. I think she has grown a lot in confidence, and what she has achieved is amazing. She has raised the profile of children's palliative care around the world." When she visited a children's hospital in Liverpool on Valentine's Day on February 14, Kate was visibly moved when a sick four-year-old hugged her, and when later in the day she visited a rehabilitation center, she made a point of chatting to some of the people who had waited hours to see her. Some of them had brought red roses and handmade Valentines. She told one young fan that William had remembered to send her a card and flowers. She wasn't afraid to get her hands dirty, and when she visited The Art Room's headquarters in Oxford, she donned an apron so that she could join an art class. It was impossible not to draw comparisons with Diana, who had loved helping children.
Kate had little time to miss William while he was away. In March, she joined the Queen and Camilla for the opening of the Diamond Jubilee Tea Salon at Fortnum & Mason in London's Piccadilly. The invitation from the Queen was quite deliberate and sent a clear message: here were three generations and potentially two future Queens, and this was history in the making. As they admired a crown-shaped cake and sipped tea, the three women appeared to get along well.
That same month, the Queen invited Kate to Leicester for the start of her Diamond Jubilee tour of the United Kingdom. It had been decided that the Queen and the Duke of Edinburgh, whose health was still a concern, would travel around the country while the immediate family would tour the Commonwealth realms. The Jubilee celebrations, to commemorate the Queen's sixty years on the throne, were deemed hugely important, and trips to the Commonwealth countries and realms had all been planned as part of the celebrations. Prince Harry was to visit Brazil, Belize, Jamaica, and the Bahamas, while Prince Edward and Sophie Wessex headed to the Caribbean. Prince Andrew would visit India, while Princess Anne toured Mozambique and Zambia. Charles and Camilla were to carry out the lion's share of the tour and in the coming months would visit Scandinavia, Canada, Australia, New Zealand, and Papua New Guinea. Kate and William had been asked to travel to Asia and the South Pacific in September.
With another overseas tour to carry out, the Diamond Jubilee celebrations in June, and the London 2012 Olympics that summer, in which Kate, William, and Harry would be representing Team Great Britain as ambassadors, Kate had a lot on her plate and confided to one courtier that she knew she had "a lot to learn." The Queen had made it clear she was there to help, and taking Kate to Leicester was her way of showing her the ropes. She could have invited any one of her grandchildren to join her for the first day of her historic tour, but she had asked Kate. William had benefited from years of mentoring from his grandmother; Kate's tutelage was to be a crash course. As they walked through the city in the sunshine, the crowds cheered and waved Union Jacks. Kate was careful to follow the Queen's lead, falling in line behind her and watching and learning from her every move. The Queen and her advisers were shrewd enough to see that Kate had "star" quality. In her daringly above-the-knee skirt and towering stilettos, which she had selected herself for the day, she added a sprinkling of glamour, while the Queen and the Duke of Edinburgh brought majesty, history, and familiarity.
The start of June marked a weekend of celebrations for the Diamond Jubilee—and Britain was ready to celebrate. Street parties had been planned around the country as the nation celebrated a double national holiday. On Sunday, June 3, there was a spectacular river pageant down the River Thames. A concert outside Buckingham Palace had been organized with some of the biggest performers in the world taking to the stage on that Monday, and finally, on Tuesday, which marked the close of the celebrations, there was to be a service of thanksgiving at St. Paul's Cathedral.
There had been some resistance about the cost of the celebrations, given that Britain was already footing an $18-billion bill for the summer Olympics. But the $15-million river pageant was being funded through private sponsorship, and the greatest boat trip the country had ever seen was a resounding success, despite the driving rain. Millions of spectators packed the banks of the river and the bridges above to watch the flotilla of 1,000 boats sail from Wandsworth to Tower Bridge.
The Queen and the royal family sailed downriver aboard the _Spirit of Chartwell_ , a specially commissioned barge, and for five hours they stood in the freezing wind and rain, waving to the spectators.
In true British spirit, no one was going to let the rain put a dampener on the occasion, but the horrendous weather did take its toll on the Duke of Edinburgh, who was admitted to a central London hospital on Monday with a bladder infection. His absence was felt at the pop concert at Buckingham Palace, where 500,000 people cheered loudly at Charles's request in order that his father might be able to hear from his room at the King Edward VII private hospital. A spectacular fireworks display brought the evening to a climax, and William and Kate, who had been dancing in the Royal Box with the rest of the family, continued the party at a VIP reception for the artists and performers at the Palace afterward. It had been a wonderful night.
Tuesday marked the final day of celebrations, with a service of thanksgiving at St. Paul's, followed by a lunch at Westminster Hall and then a carriage procession to Buckingham Palace, all of it culminating in a royal aircraft display. The Duke of Edinburgh was still hospitalized, so during the service Charles sat next to his mother, who cut a lonely figure and looked lost without her husband. Later that afternoon, as the carriage procession made its way to the Palace, the crowds, easily as many as had watched William and Kate marry in the spring, filled every patch of red on the Mall from Admiralty Arch to the Queen Victoria Memorial. The sky was pregnant with rain, but it held off while the eighty-six-year-old monarch arrived home in the State Landau carriage. It was quite a moment; sitting next to her was Camilla. Once an outsider who was blamed for the breakup of the Wales's marriage, the Duchess of Cornwall was now given pride of place next to the Queen. There was an excited buzz among the flag-bearing crowds, cheering for their monarch from the street. When she emerged on the famous balcony, there was a thunderous roar, after which the crowd burst into the national anthem before the heavens opened. It was a pared-down House of Windsor standing on the balcony as the RAF jets soared overhead and a rifle salute marked the end of the four-day-long celebrations. At the center, the Queen was flanked by her "substitutes," the Prince of Wales and Prince William. Then there was Harry, "the spare," and Camilla and Kate. At the Queen's Golden Jubilee in 2002, all of her children and grandchildren had joined her on the balcony, but now the Queen wanted to send out a new message and a vision for the future. The monarchy was now a smaller, tighter entity. This royal lineup was deeply symbolic—it was about dynasty, a unified royal family, and succession. This was the future. The only hope now was that the Duke and Duchess of Cambridge would announce a royal pregnancy before the year was out to complete a most triumphant Diamond Jubilee.
Right now the royals were riding the crest of a wave. The family had seen its popularity soar around the world since William and Kate's wedding, which had seemed impossible after the tragedy of the death of Diana, the acrimonious divorces, and scandals that were better forgotten. At the core of this different perception were William and Kate, who symbolized a new hope. In just over a year of being in the public eye, Kate had proved to be a sparkling asset, and it was impossible to imagine the royal family without her. With the Duke and Duchess of Cambridge at the forefront, the future of the British monarchy looked brighter than it had in decades.
CHAPTER 13
A Very Important Announcement
STILL RIDING HIGH following the success of the Diamond Jubilee celebrations, Kate was excited to be closely involved with the 2012 Olympic Games at the end of the summer. Both she and William believed it was a way of uniting the nation, and with the eyes of the world once again on the capital, they were eager to do their part to promote Great Britain. Kate was fortunate enough to join the British women's hockey team for a practice match, proving she was still deft at the game by scoring a goal. She and William traveled to Dorset to watch the British sailing team and were in the stands cheering on his cousin Zara Phillips as she secured the silver medal in the Equestrian Eventing final. Hugging each other as they watched Chris Hoy pedal to victory, William and Kate reflected the overriding excitement of the nation as another member of Team Great Britain added a medal to the tally.
It had been an idyllic summer for Kate, with plenty to celebrate. William had turned thirty at the end of June, marking the milestone birthday with a small party with their friends. The prince's coming of age was seen by the media as a pivotal moment, and there was much speculation about what he planned to do with his future. His tour of duty with the RAF was due to end in the spring of 2013, fueling questions about whether he would quit the RAF in order to take on more royal engagements. There was talk among senior courtiers that William would have to start taking on more public engagements to relieve the pressure on the Queen and the increasingly frail Duke of Edinburgh. One source commented, "William has been told he has to decide whether he wants to be a pilot or a prince." There was also the question at the back of everybody's mind as to when Kate and William might start a family. In consideration of all this, William was given an extended deadline until after Christmas to make up his mind about his RAF career.
Kate, meanwhile, was settling into her new role as a working royal. By the end of the jubilant summer of 2012, she had carried out a handful of engagements. Wanting to bring a personal touch to her charities, she had invited a number of children from The Art Room to Kensington Palace to watch an exclusive screening of _The Lion, the Witch and the Wardrobe_. She also hosted a barbecue for The Scout Association on a beach close to her home in Anglesey, during which she helped the children gut fish and catch crabs. Her very first garden party at Buckingham Palace was, unsurprisingly, one of the most popular of the season. In fact, the only thing that overshadowed an otherwise fulfilling summer was the publication in _Woman's Day_ of photographs of her and William on their honeymoon in the Seychelles. Although it was fifteen months after their holiday, the pictures of the couple swimming in the sea and walking on the beach were still deemed newsworthy by the Australian magazine. The British newspapers had made a deal with the Palace to leave the couple alone during their honeymoon and consequently refused to publish the images, but William and Kate were disappointed that not everyone had respected their wishes.
When they flew to the South of France at the end of August, they both fervently hoped they would be left alone by the world's press. It felt entirely possible—the Queen's nephew Lord Linley, the son of William's aunt, the late Princess Margaret, had lent William and Kate his beautiful hunting lodge, the Château d'Autet, in the Luberon region in Provence, where they were promised total peace and privacy. Set on 640 acres of countryside and surrounded by fields of lavender, the terra cotta–tiled house was exquisite. They spent their days reading, relaxing on the sun terrace, and swimming in the pool. Secure in the knowledge that the area had been swept by their security team, Kate felt confident enough to slip off her bikini top as she sunbathed by the pool one afternoon. Toned from vigorous sessions in the gym, she was confident in her body and wanted to look her very best. Sunbathing topless was not something she usually did. When Pippa had once sunbathed topless in Ibiza, she was photographed by a paparazzo and Kate learned a valuable lesson. But here, at a family member's holiday home on private land, she believed she was safe.
Kate had recently stopped drinking alcohol and, taking advice from her friends who had had babies, was eating plenty of lean protein and dark-green vegetables, rich in folic acid. At thirty, the age at which she had always hoped to have a child, it seemed that Kate was preparing herself. It was reported in the press that she had consulted a fertility expert in order to ensure that she would have no problems getting pregnant, but the Palace refused to comment on the story.
Once their holiday was over, William and Kate began to concentrate on their royal tour of Asia and the South Pacific. On September 10, 2012, the couple boarded a Singapore Airlines flight to Shanghai International Airport, where they were greeted by ecstatic crowds. The British High Commissioner to the Republic of Singapore, Antony Phillipson, was in charge of accompanying William and Kate on their engagements, and he described them as "global superstars." When they visited the Singapore Botanic Gardens to name an orchid in their honor, hundreds of people waited for hours to see them, and throughout their stay in the city, wellwishers camped outside the Raffles Hotel in the city center where William and Kate were staying.
Despite the intense heat, Kate displayed an abundance of energy and enthusiasm, her warm smile putting people at ease. In Kuala Lumpur, she delivered her debut overseas speech at the Hospis Malaysia with confidence, the audience moved by the heartfelt emotion of her words. Kate had been eager to use this occasion to direct the spotlight on the work of hospices, as she knew that with her profile, she could raise awareness globally.
It was while they were in Malaysia that a French magazine, _Closer_ , made an audacious decision to publish a paparazzo's pictures of Kate sunbathing topless in the South of France. William and Kate had had no idea they had been photographed by a long lens, and because of the time differences, by the time they woke on the other side of the world, the magazine was already being sold on newsstands in France, the pictures a global sensation. Briefed over breakfast by their private secretary, Jamie Lowther-Pinkerton, they were furious, finding the publication of such personal images devastating and the timing deeply embarrassing. The tour had been going so well, and to be thrust into the headlines in such a humiliating manner was extremely stressful.
Nevertheless, William and Kate continued with a visit to the Assyakirin Mosque, the largest in the country. In keeping with religious protocol, Kate covered up in a pale gray dress and wore a headscarf. Jamie Lowther-Pinkerton had advised them that the best policy was to smile and carry on with their work, and as they made their way to their next appointment—a visit to a public park to watch a cultural show—Kate smiled as she shook hands and accepted bouquets from wellwishers. It was only at the end of the day, according to aides on the tour, that they finally got to see the pictures and the salacious headline: "Oh my God! The photos that will go around the world."
Aides in London were in talks with lawyers in Paris in a bid to get an injunction so that the pictures could not be reproduced, while the Palace announced it planned to take legal action against the photographer and the magazine at the behest of the couple. Back in Britain, newspaper editors unanimously agreed they would not publish the pictures, but this news in itself was a front-page story broadcast around the world. Later that afternoon, within minutes of leaving a tea party at the British High Commission, William instructed his aides to issue a statement condemning the magazine and the photographer that read, "Their Royal Highnesses have been hugely saddened to learn that a French publication and a photographer have invaded their privacy in such a grotesque and totally unjustifiable manner. The incident is reminiscent of the worst excesses of the press and paparazzi during the life of Diana, Princess of Wales, and all the more upsetting to the Duke and Duchess for being so." Back in England, Prime Minister David Cameron denounced the magazine: "We echo the anger and sadness of the Palace. They are entitled to their privacy."
The thorny ethics of privacy and the royal family were always a concern, but unfortunately for Kate and William, it was at this moment hugely topical. Several weeks earlier in August, Prince Harry had found himself in hot water after being photographed naked, cavorting with a young woman while playing a game of strip billiards with a group of friends. The image was leaked to the American gossip website TMZ, and within hours of being posted, the photograph had gone global, despite attempts by St. James's Palace to have it removed. The _Sun_ later published the picture on its front page, despite a request not to do so from St. James's Palace via the Press Complaints Commission. Kate's situation, however, was perceived differently; people took a less judgmental line—she hadn't been doing anything controversial—and one aide summed the mood up well: "Their Royal Highnesses had every expectation of privacy in the remote house. It is unthinkable that anyone should take such photographs, let alone publish them."
Back in the Far East, Kate remained dignified throughout this episode, a combination of her calm personality and well-honed media training. Arriving in Borneo, they were both determined to enjoy their visit to the Danum Valley Field Centre in Sabah, as they had been looking forward to seeing endangered orangutans in the rain forest there, and by the time they visited the Solomon Islands, they looked truly happy and relaxed, making it appear more like a honeymoon than a working tour.
Returning home a few days later, William and Kate wanted to get back to normal. While the prince reported for work at RAF Valley, Kate stayed in London so she could visit their new apartment at Kensington Palace. The extensive refurbishment of Apartment 1A was well underway. It involved complete rewiring of the seventeenth-century palace, an overhaul of the antiquated plumbing, and the removal of asbestos from the property. Kate was closely involved with the redesign, cutting ideas out of home magazines for mood boards like those she had used for her wedding. Although the British taxpayer was picking up the bill for the renovation work, William and Kate were paying for interior redecoration, and Kate busied herself selecting fabrics, wallpapers, and paint colors.
As well as William and Kate's London apartment, which was to be their principal family home, the Queen had gifted them Amner Hall on the Sandringham Estate in Norfolk. As a child, William had spent many happy weekends at the late Georgian property, which had once been the home of the Van Cutsem family. Plans were being submitted to the local council for some additional building work to make the property more private and secure, and much to Kate's relief, the house would be available to her parents at Christmas, now that she was expected to be at Sandringham for the holidays.
Meanwhile, Michael and Carole were also house hunting. Party Pieces, whose staff now comprised thirty full-time team members, was reported to be making profits worth millions of dollars. They had made an offer on a beautiful Grade 2–listed Georgian house called The Manor, half a mile from Oak Acre in Bucklebury. Situated off a quiet and secluded country lane, it afforded privacy and space, with wonderful views over the surrounding fields and the picturesque Pang Valley. The eighteen-acre property had a swimming pool, a tennis court, seven bedrooms, a library, an elegant drawing room, and an impressive entrance hall decorated with hand-painted silk wallpaper. There were also a number of outbuildings on the property that could be used by William and Kate's security team when they visited.
Carole and Michael seemed to have relaxed into their role as royal in-laws, but Pippa was still going through a period of adjustment. Although she had been placed in _Time_ magazine as one of the one hundred most influential people in the world and was concentrating on her career as a professional party planner, she faced a backlash in the media, accused of cashing in on her royal association when she signed a six-figure book deal to write her first book on the art of entertaining. And when she was photographed in Paris with a male friend who brandished a fake gun at a photographer following their car, Pippa found herself having to navigate out of a media storm without the sophisticated palace PR machine to assist her. She was making more headlines, at times, than her sister.
Still, Kate was not short of column inches, and speculation was growing over when she and William might start a family. Since the autumn, she and William had been busy opening exhibitions and traveling around the country on official engagements. In November, they visited Cambridge, their namesake, for the very first time to open a support center for the homeless. When William was presented with a tiny sleepsuit bearing the words "Daddy's little co-pilot," he appeared delighted and said, "I'll keep that," prompting a frenzy on Twitter that Kate might be expecting. However, when she readily accepted an invitation to open a new sports field at her old school, St. Andrews Prep, and joined an impromptu game of hockey in a pair of high-heeled boots, she put royal watchers off the scent that she might be pregnant and instead the media reported on her attractive new bangs. The truth, however, was that Kate was nearly two months' pregnant. Only William, her mother, and Pippa knew, eight weeks being far too early to make an official announcement.
Kate and William had decided they would make the announcement at Christmas after the baby's first scan, but Kate was overwhelmed by severe morning sickness. Initially, she was not alarmed, having read up on the early stages of pregnancy, but when the sickness did not abate after a weekend of being violently ill, William called the royal physician. It was early December, and the Prince had been away shooting in Hampshire. When Kate called to tell him she was feeling even worse, William drove to Bucklebury. On Monday, she still showed no signs of improvement, so the royal doctor advised her to go to King Edward VII's Hospital in central London. There, Kate was diagnosed with hyperemesis gravidarum—acute morning sickness—a serious condition that risks depriving the mother and baby of essential nutrients.
Worried about his wife and unborn baby's health, William had to deal with the likelihood that Kate's condition and hospitalization might be leaked to the press or, worse still, go global on Twitter. After speaking with Jamie Lowther-Pinkerton, it was agreed that St. James's Palace would issue a statement confirming the pregnancy, announcing that Kate had been admitted to the hospital. As he had ahead of news of their engagement, William called his grandmother and father to tell them of Kate's condition and forewarn them that her pregnancy was about to be made public. William also e-mailed Harry, who was then serving in Afghanistan.
While Kate was put on a rehydration drip and bed rest, the news was announced via a press statement and Twitter, both of which led to the couple's official website crashing. Within moments, there was a frenzy of excitement around the world, where twenty-four-hour news channels and newspapers dedicated their broadcasts to the conception of a new third-inline to the throne. On Twitter, the news started trending within minutes, with celebrities and politicians exclaiming their joy and sending the couple their best wishes. A cause for national celebration, David Cameron was among the first to publicly extend his congratulations to the couple, together with the Archbishop of Canterbury, who had married them. Across the Atlantic, President Obama and his wife issued a statement saying that it was "welcome news." But the excitement was, of course, muted, the concern about Kate's health and the early stages of pregnancy at the forefront of people's minds. Although the Palace had refused to comment on how many weeks pregnant she was, they said that she would remain in the hospital "for several days and will require a period of rest thereafter."
In the press, there was speculation about when the couple might have conceived, the due date, and whether, because of the acute morning sickness, they might be expecting twins. There was much commentary over the implications should the couple's firstborn be a daughter, because revisions to the Succession to the Crown Act were being passed through Parliament during the current session. The Queen, who was sympathetic to Kate's condition, having suffered from morning sickness herself, was aware that the proposed changes to the laws of succession were of paramount importance. Then there was also the matter of a title and the proposed amendments to ancient legislation drafted by King George V in 1917 that stipulated that the HRH title should be restricted to the children of the sovereign, the children of the sovereign's sons, and the eldest son of the Prince of Wales's eldest son, meaning that if William and Kate were to have a daughter, she would not have an HRH title.
Column inches were devoted to who might be asked to be godparents, with Pippa and Harry being named as favorites. Prince Charles spoke of his delight at the prospect of becoming a grandfather, telling reporters: "I'm thrilled—marvelous. It's a very nice thought to become a grandfather in my old age, if I can say so." Michael and Carole visited Kate in the hospital but declined to comment to the press, and three days later, Kate was discharged. William, who had been at his wife's side every day, accompanied her down the hospital steps. Sensibly wrapped up against the winter chill in a coat and scarf and holding a pretty bouquet of yellow flowers, Kate looked tired but happy. As she walked to her waiting car, she smiled at the cameramen and waiting crowds. "I'm feeling much better, thank you," she said.
Accompanied by a police escort, the couple headed straight home to Kensington Palace so that Kate could rest. She was advised to stay in London rather than head back to their home in Anglesey so that she could be readmitted to the hospital quickly if she suddenly became ill again. A team of doctors, including the Queen's surgeon gynecologist, Alan Farthing, and his predecessor, Marcus Setchell, were on call twenty-four hours a day to take care of her. She was under strict orders to rest and keep hydrated. Her aides canceled all immediate engagements, hoping that the media interest would die down now that Kate was out of the hospital.
This might have been the end of this unfortunate beginning to Kate's pregnancy, but a tragedy was around the corner. During Kate's admission, a pair of Australian DJs had made a prank call to the King Edward VII's Hospital, impersonating the Queen and Prince Charles and asking to be put through to Kate. It was the middle of the night in the United Kingdom, and despite their unconvincing accents, they were transferred by a nurse manning the switchboard to the ward where Kate was being treated and given an up-to-date medical briefing on Kate's condition by the attending nurse. The presenters Mel Greig and Michael Christian, who worked for Sydney's 2DayFM breakfast show, broadcast the call live and described it as "the easiest prank call we've ever made."
When news of the hoax call broke, there was outrage. William was said to have been livid, while the chief executive of the hospital, which has treated members of the royal family for decades, described it as a "foolish prank," launching an immediate investigation into the hospital's phone security. But then things took a serious turn, and just days after the hoax call, Jacintha Saldanha, the nurse who had transferred the DJs' phone call to Kate's ward, was found hanged in her nurses' accommodation. According to her family, the forty-six-year-old mother of two had taken her own life because she was so ashamed of what she had inadvertently done. Kate was at Kensington Palace when she received the news, and according to her aides, she was devastated, as was William. What should have been the happiest announcement of their lives had been overshadowed most terribly by a pointless death.
Kate was told to try to remain calm for the sake of her unborn baby. The Palace refused to comment, but privately she was said to be "badly shaken." When William returned to work at RAF Valley, Carole and Pippa moved into the Palace until she was given the all clear by her doctors to go to Bucklebury, where she continued to make a good recovery. As this was only days before Christmas 2012, it was agreed that it would be more relaxing for Kate to remain with her family in Oak Acre. Naturally, William wanted to be with Kate, and for the first time he was excused from being at Sandringham.
After quietly celebrating her thirty-first birthday at home, Kate and William decided to join the Middletons for their annual trip to Mustique. This year, Pippa's new boyfriend, stockbroker Nico Jackson, was joining them, but the relaxing holiday was overshadowed when Kate and William were photographed walking on one of the island's beaches. Once again, the British papers agreed not to publish the images, but _Chi_ , an Italian gossip magazine, splashed on its cover the images of Kate showing her small bump off in a bikini, much to the couple's wrath. They were still reeling from the topless pictures and "disappointed," according to Palace aides, that once again their privacy had been invaded at a deeply personal time in their lives. Returning home, Kate was unwittingly at the center of a controversy involving a lecture given by the award-winning novelist Hilary Mantel, in which she appeared to criticize the duchess. The media widely reported the author's comparison of Kate to a "machine-made princess" and a "shop window mannequin" with a "plastic smile," and though Hilary Mantel insisted her comments had been taken out of context, Kate rose above the distorted media coverage, smiling for the cameras as she left Hope House, an all-women's shelter that she supported.
Now that she was feeling better, she was determined to fit in as many engagements as she could before retiring from public life to prepare for the birth. In March, she braved the snow to join a scout volunteer training day in Windermere in the Lake District. There was an even greater surge of goodwill toward the couple now that a baby was on the way. During a walkabout at a St. Patrick's Day parade in Aldershot in Hampshire, Guardsman Lee Wheeler asked her, "Do you know if it's a girl or boy?" to which she replied, "Not yet. I'd like to have a boy and William would like a girl. That's always the way." When Kate, William, and the Prince of Wales opened a new outdoor center for young people at Dumfries House, Kate let slip to one staff member that the baby was due in mid-July, then adding, "Although babies have their own agenda." The couple's press officers refused to confirm the exact date, and Kate showed no signs of slowing down.
At every engagement she attended, Kate seemed to glow. Her skin was radiant, her trademark hair was even glossier and thicker than usual, and she continued to thrill the fashion brigade by stepping out in gravity-defying designer heels. She was quizzed constantly about how she was feeling and whether she was nervous about the imminent arrival, but she didn't seem to tire of the attention. It was reported that the couple had bought a pale-blue baby carriage, and British bookmakers took bets on what the couple would call their firstborn, with Elizabeth, Alexandra, and Charlotte being the most popular girls' names and George, James, and Alexander the favorites for a boy.
Like the royal wedding, it was a great opportunity for the memorabilia market, and manufacturers around the country were keen to cash in on the eagerly anticipated arrival. In true British style, there was a surge of royal-themed baby goods, from HRH embossed sleepsuits to crown-crested potties. Even the gift shops at the royal palaces stocked up on baby-themed memorabilia.
Meanwhile, Kate had not one but three nurseries to furnish. As well as Kensington Palace, where the nursery occupies most of the top floor, the couple had a designated baby room at Michael and Carole's house and at their new Norfolk home. They were still not sure whether they would be remaining in Anglesey long term, but provisions were made in their Welsh home for the baby. Intriguingly, there were reports in the British newspapers that Kate planned to move back home with her parents once William's two-week paternity leave was up. This was met with a degree of surprise by courtiers at the Palace, who had expected Kate and the newborn heir, as was traditional, to stay in royal residence. Although Diana had pushed the boundaries of royal protocol when William was born by opting to give birth in a hospital rather than a palace, this was a first. Kate had also decided against hiring a nanny and a maternity nurse, instead choosing to have her mother on hand to help her in the early weeks of motherhood. She told friends she hoped to have a natural birth, and she started to get familiar with breathing techniques to assist her in labor. Like her own mother, she planned to breastfeed. When she was photographed shopping for baby clothes and a Moses basket in Kensington with Carole, it was evident just how closely involved with the baby preparations Carole was. There was even some speculation in the tabloid press that Kate wanted her mother in the delivery room.
William was open to the idea of Kate moving back home after the birth, even if it did pose something of a problem for the protection officers and courtiers who were said to be concerned about the plan. The idea had its advantages, as the couple had been told that their apartment in Kensington Palace would not be ready in time for the birth because the discovery of asbestos had delayed the renovation schedule. They were still living at Nottingham Cottage with its two small bedrooms, so the more spacious prospect of her family home was appealing.
The couple had decided that the baby would be born at the private Lindo Wing of St. Mary's Hospital, a National Health facility where the royal family's gynecologist Alan Farthing is based and where both William and Harry were born. Such was the importance of the impending birth that Marcus Setchell, the Queen's surgeon gynecologist, postponed his retirement so that he could help deliver the baby. Once Kate had carried out her final engagement—the Trooping the Colour at Buckingham Palace on June 15—it was time for her to bow out of the limelight and figure out her birth plan. On the advice of friends, she consulted London-based antenatal expert Christine Hill. Rather than go to a session attended by other expectant mothers, Kate booked two private appointments so that she and William would have some idea of what to expect. Together they mastered breathing techniques that help with pain management during labor, and Christine Hill, who described Kate as a "delightful girl," advised her to relax as much as possible.
It was a hot summer and Kate retreated to her new family home as often as she could, grateful for the use of the swimming pool. Although she joked that excitement over Andy Murray's sensational win at Wimbledon might bring on an early labor, she pretty much took things easy as instructed. While her family joined the royals for the Coronation Festival to celebrate the sixtieth anniversary of the Queen's anniversary at Buckingham Palace in July, Kate stayed at home and put her feet up.
It had been reported in the British press that Kate was due to give birth on July 13, so since the end of June, the media had been assembling outside the Lindo Wing. Photographers equipped with extra-long ladders secured their positions with black duct tape, even paying members of the public to keep their place overnight. Broadcasters from around the world followed suit, and within days the entire pavement was crammed with journalists and reporters, all anxious to be the first to report the news of the birth. It was one of the hottest summers in England on record, and as the mercury soared into the high nineties, the ongoing story known as the "Great Kate Wait" in the media dominated the news headlines. The merest hint of activity fueled a frenzy that Kate had gone into labor. When a helicopter landed at Kensington Palace or a police car swept through Bucklebury, the cameras were ready to roll, and news desks around the world were on red alert. False rumors that the duchess had gone into labor sent the Twitter-sphere into a meltdown on more than one occasion. The couple, however, stayed remarkably calm, and while Kate spent the weekend of her reported due date with her family in Bucklebury, William, who was still working shifts at RAF Valley, played a charity polo match at Cirencester in Gloucestershire, a helicopter on standby just in case.
By the following weekend, there was still no announcement from the Palace. It wasn't just the hot and flustered media throng that was growing impatient. Charles and Camilla continued their engagements around the country and admitted to wellwishers that they were "waiting for the telephone to ring," while the Queen told one little girl during a walkabout at Lake Windermere in Cumbria that she hoped the royal baby would "hurry up" because she was planning to go to Balmoral for her annual vacation.
It was in the early hours of Monday, July 22, that Kate finally went into labor and the couple was driven into the hospital through one of the back entrances, cleverly giving the assembled press pack camped at the front of the hospital the slip. At 7:30 A.M., the Palace Press Office issued a statement confirming that Kate was "in the early stages of labor" and that things were "progressing normally," news that was broken to the world via the rolling news networks and broadcast on every radio station. The "Great Kate Wait" was nearly over.
THE LITTLE PRINCE
His Royal Highness Prince George Alexander Louis of Cambridge entered the world at 4:24 P.M. on Monday, July 22, weighing an impressive eight pounds, six ounces. With a wisp of dark hair and a perfectly proportioned little nose, he sported a "good set of lungs," according to his proud father. Kate had endured a nine-hour labor on the hottest day of the year, and William had been at her side throughout.
Not only was she faced with the overwhelming prospect of giving birth for the first time, but Kate was also carrying the weight of expectation of an enthralled nation and a worldwide audience of millions tuned in via television and radio. Outside the hospital and at Buckingham Palace huge crowds gathered, together with representatives from the world's media. This was, after all, the birth of a future sovereign—and the first Prince of Cambridge—in nearly two hundred years. Waiting for the arrival of a new heir to the throne is a royal tradition. When the Queen was born in 1926, thousands congregated outside 17 Bruton Street in Mayfair, eager for a glimpse of the new princess, and similarly, the crowds amassed in thousands when the Prince of Wales was born in 1948, the birth made public by a live announcement on the BBC.
Finally, after endless speculation and a wait that had become a global phenomenon, Kate was rewarded with the son she had longed for, a beautiful baby boy who shared the same Cancer astrological sign as his father and Diana, the grandmother he would never meet. Tucked away in a private suite on the third floor of the hospital, it must have been a deeply emotional and special time for the couple as they held their baby for the first time. Not wanting the moment to pass too quickly, they decided to keep the arrival a secret for several hours, telling only their immediate family members. Protocol dictated that William call his grandmother on a specially encrypted phone upon the birth. Then there were calls to Kate's parents in Bucklebury, her sister and brother, Prince Charles and Camilla, and Prince Harry, all of whom were relieved and elated in equal measure.
A minute before Big Ben struck 8:30 P.M. and dusk fell upon London, the couple gave their aides permission to issue a statement via e-mail and Twitter, announcing the birth. It was a last-minute change of plan. Traditionally, the notice of birth—a bulletin bearing the news of the baby's sex, weight, and time of birth and signed by the royal medical team—is taken from the hospital to Buckingham Palace, where it is posted on an easel in the forecourt. But not for the first time, William and Kate decided they wanted to do things differently and that it would be "simpler and easier" to announce the news via email and social media. The Clarence House tweet read: "Her Royal Highness the Duchess of Cambridge was safely delivered of a son at 4:24 P.M." The news sent Twitter into overdrive as 487 million people tweeted messages of congratulations.
The global media organizations broadcast the announcement simultaneously. When they did, an echo of cheers around the city could be heard from St. Mary's in Paddington to Buckingham Palace, where thousands had gathered to see the notice of birth. This document had by now been dispatched by an aide and driven to Buckingham Palace, where the Queen, having returned from Windsor Castle, was now in residence. The bulletin, posted at 8:48 P.M., read, "Her Royal Highness the Duchess of Cambridge was safely delivered of a son at 4:24 P.M. today. Her Royal Highness and her child are both doing well."
"It's a boy!" the crowds cheered loudly as they jumped into the fountains beneath the Queen Victoria Memorial. The Mall had finally cooled down after the blistering heat of the day. Many people remained in situ for hours, singing and celebrating and soaking up the atmosphere long after the lights at the Palace had gone out. Down the road, the fountains at Trafalgar Square were illuminated with blue lights to herald the arrival of the baby prince, along with Tower Bridge, while the lights of the BT Telecom Tower, one of the tallest landmarks in the city, lit up to beam the news "It's a boy" to the capital. William and Kate issued a simple statement, saying, "We could not be happier," and the Queen exclaimed that she and Prince Philip, who was at Sandringham recovering from abdominal surgery, were "delighted." The Prince of Wales issued a statement that he was "enormously proud and happy" to become a grandfather for the first time. Speaking outside 10 Downing Street, David Cameron said, "It is wonderful news. I am sure that right across the country and right across the Commonwealth, people will be celebrating." They were. Indeed, messages flooded in from around the world, President Obama wishing the couple much happiness: "Michelle and I are so pleased to congratulate the Duke and Duchess of Cambridge on the joyous occasion of the birth of their first child." In Canada, the Governor General tweeted, "Wonderful news," while in Australia and New Zealand, they were waking up to the happy news.
Dr. Setchell, who had emerged from the hospital after the birth to tell the waiting media the baby was "beautiful," had advised Kate to stay in the hospital overnight. William ordered takeout pizzas and slept at his wife's side, next to their son. They had not yet decided what to call their firstborn, despite having drawn up a short list of their favorite boys' and girls' names. Kate had affectionately referred to her bump as "grape" while she was pregnant, and there was a flurry of betting on the baby's name ahead of the birth.
The next morning, their first as parents, must surely have been surreal. Outside on the street, the rolling news stations were reporting every hour on the story, and at Buckingham Palace, a media village had been erected at Canada Gate on the Mall in order to broadcast every development of the breaking story. The front pages of the morning newspapers all carried the news of the baby prince, with the tabloid newspaper the _Sun_ changing its masthead for the occasion to "The Son." A forty-one-gun salute was fired in Green Park by the King's Troop Royal Horse Artillery at the same time as a sixty-two-gun salute at the Tower of London.
Shortly after lunchtime, following a visit from Dr. Setchell, Carole and Michael arrived to visit their daughter and first grandchild. They waved to the crowds before hurrying up to Kate's room on the third floor. When they emerged, an hour later, they were beaming. Carole, in a pretty summer frock, approached the press pack and addressed them for the very first time. Asked how her first grandchild was, she lit up and revealed she had enjoyed a first cuddle: "Marvelous, thank you very much, absolutely wonderful." She said the new parents were "both doing really well and we are so thrilled."
Prince Charles and Camilla were on their way to London, having carried out engagements in the north of England, and arrived soon afterward. When Charles emerged, twenty minutes later, his smile said it all, and upon being asked about the baby, he playfully pointed his finger and told newscasters: "You'll see in a minute."
The wait felt like hours, the hush of anticipation silencing the press corps, whose cameras were trained on the hospital's double glass-paneled doors. Behind them, William and Kate made a last-minute check to ensure that the baby heir, whom Kate had swaddled in a shawl, was settled and happy. It was 7:00 P.M. in the evening and the as-yet-to-be-named Prince of Cambridge was about to make his first public appearance on the very same steps where, thirty-one years, one month, and one day before, Charles and Diana had presented William to a jubilant nation.
On the pavement, packed together like sardines, the crowd stood behind police barriers. Some had camped overnight to secure their position. A handful of them had also been there to watch Charles and Diana make the same short journey all those years ago. The doors of the Lindo Wing finally swung open, and the family emerged to a riot of flashes, celebratory cheers, and calls of congratulations. As Kate negotiated her way down the stone steps in her wedge sandals, not once taking her eyes off her precious baby, it was impossible not to think of the woman in whose footsteps she was following. On her left hand she wore Diana's engagement ring, its sapphire and diamonds sparkling in the early evening light, and she had chosen a baby-blue-and-white polka dot dress similar to the patterned dress Diana had worn when she left the very same hospital with William. Possibly it was her way of paying a personal tribute to Diana, who would have been thrilled to be a grandmother. With a winning smile and her wide, warm eyes, she absorbed the incredible spectacle before her. As if on cue, baby Cambridge stretched his tiny fingers in front of his crumpled face as though he were giving the world a wave.
Then it was William's turn, and taking great care, he leaned into his wife, his arms held out in front of him to receive the swaddled baby. He looked down at his son with a look of joy and disbelief. Camera phones were held high in the air to capture the amazing scene, while TV reporters paused for breath to enjoy the moment. They had been allowed to ask a few questions of the couple, and when asked how she was feeling, Kate looked close to tears of joy: "It's very emotional and such a special time. I think any parent will probably know what this feeling feels like." She added proudly that William had "done the first nappy already," and when asked what they planned to call the baby prince, William revealed, "We're still working on a name so we will have that as soon as we can." After observing, "He's a big boy, he's quite heavy," he joked that the baby had his wife's looks, "Thankfully, and way more hair than me." After the brief press conference, it was time to head home, and, addressing his wife as "Poppet," William accompanied Kate back into the hospital. When they reemerged, William, with shirt sleeves rolled up, was carrying his son in a baby seat, which he expertly clipped into the waiting Range Rover, while Kate sat in the back next to the baby, stroking his little fingers. Once again, the shutters of hundreds of cameras clattered noisily, filling the evening sky with lightning-like flashes as William broke with tradition, just as he had on his wedding day, and climbed into the driver's seat. As he took the wheel and glanced in the rearview mirror at his wife, he smiled. This was what it was all about, the three of them and the wonderful future that lay ahead of them. As they swept through the wrought-iron gates to Kensington Palace, this was just the beginning.
Epilogue
THE BIRTH OF Prince George of Cambridge, now the third in line to the throne, heralds a new future for the monarchy. Together, William and Kate have secured the lineage of succession, a fourth living generation of the House of Windsor. They are also writing the future history of the monarchy. Kate has proved to be a priceless ambassador for the royal family, and now she has fulfilled the ultimate role by producing an heir. Not since the births of Princes William and Harry has there been such strong interest in the arrival of a royal baby, and though, in the end, their first child wasn't the little girl to rewrite royal history, the arrival of the baby prince destined to become King George VII is a historic occasion.
As they make the seismic transition to parenthood, William and Kate face the same steep learning curve of any new mother and father. In addition, however, they have a greater challenge—how to raise their baby as "ordinary" within the goldfish bowl of royalty. There are, of course, dangers of becoming too "normal" and informal, the risk of tarnishing the tradition of this unique institution, but one imagines that under the Queen's tutelage and the guidance of William's enlightened father, the couple will strike the right balance.
The greatest obstacle to the Cambridge family is undoubtedly the thorny issue of privacy, for there is an unprecedented interest in Kate and William—and now Prince George—which will only magnify as the years pass. Just as William's life has been chronicled, so too will his son's. There will be a fascination in everything—his first tooth and first steps, his early years in the nursery, his first day at school, and far beyond. Living at Kensington Palace in London, the family is likely to have a more public life than the relatively quiet life William and Kate led pre-baby in Anglesey. The couple is fiercely protective of their private lives but Prince George has been born into a digital age where smart phones are ubiquitous and daily life is charted on social networking sites. Fortunately, both William and Kate are sufficiently media savvy and no doubt have been looking to secure an agreement with the British media that grants restricted access to their lives and their son in return for peace and privacy the rest of the time.
As they showed on their wedding day, William and Kate have their own way of doing things, and this will pave the way for the future. Once they are in residence in Apartment 1a in Kensington Palace, the wheels of change will be set in motion. The couple's team of courtiers and press aides has already relocated to Kensington Palace, where a new court has been established. Prince Harry will be living next door, but the couple will have to make do without their trusted private secretary, Jamie Lowther-Pinkerton, who is retiring, marking the end of an era.
Over the years, Prince Charles has privately campaigned for a slimmed-down monarchy, and now William and Kate are at the forefront of this new streamlined House of Windsor. The royal family signifies tradition, stability, and continuity in an age of flux and media proliferation, but it must also continue to modernize in order to survive. Its future is under scrutiny not just here in Great Britain, where Scotland will next year vote on a referendum to become independent, but within the Commonwealth. Indeed, elsewhere in the world monarchies have collapsed, perceived as costly and anachronistic. The royal family's historic right to reign is no longer a given; its existence must be justified, together with its cost to the taxpayer. It is largely because of the Queen, who has ensured the gradual evolution of the royal family, that the British monarchy is still a much-loved institution, as was evident from her Diamond Jubilee celebrations. William and Kate have the power and potential to cement the monarchy's future. They are respected the world over and have helped ensure that the royal family will continue on as one of Great Britain's most coveted assets.
With the Duke of Edinburgh's cutting back on royal duties and the Queen's recent decision to scale back her overseas travel, William and Kate will be expected to carry out more official engagements than ever before. The two-year grace period the Queen granted the couple from full-time royal duties after their wedding is over, and they must now accept a future of royal service. There is talk of an overseas trip in 2014, possibly to Australia and New Zealand, and if this happens, it seems inevitable that they will take Prince George with them, just as Diana and Charles took the nine-month-old William when they, too, visited the Southern Hemisphere as new parents in 1983.
There is, according to well-placed sources, some pressure on William to give up his career as a Search and Rescue Force pilot, in order to fulfill his obligations to Queen and country. He now has a life-changing decision to make. So far, William has resisted the pressure, determined to forge a career independent of his birthright. But now he is a father, and there is a genuine need for him to join his own father as a shadow king alongside Queen Elizabeth II.
Although they plan to do things their way, William and Kate appreciate that they must also respect tradition. Later this year, their baby—potentially a future head of the Church of England—will be christened by the Archbishop of Canterbury. Unlike past royal generations, however, he will go to a local nursery rather than be educated by governesses and will go to school, like his father. Before then, there will likely be stroller walks in Kensington Park Gardens and trips to the nearby shops, which Diana so enjoyed making with her sons. Of course, there will be holidays at Balmoral in Scotland and Christmases at Sandringham, but Prince George will probably spend just as much time with his grandparents in Bucklebury as he will in royal residences. William promised Kate's parents before they were married that they would always be a part of their lives, and he has been true to his word. The Middletons have been more warmly embraced than any other in-laws.
There is little doubt that Kate has brought much-needed vibrancy and a freshness to the House of Windsor. She has charisma and the ability to connect with people from all walks of life. Prince George of Cambridge has been born into wealth and heritage. He has a loving and dedicated father who has a clear vision of what the monarchy should represent, and a thoroughly modern mother who has embraced her new role as a member of the royal family, while injecting her own unique brand of warmth.
If William and Kate strike a balance between informality and royal tradition, Prince George will have the very best of both worlds—a life of royal privilege, coupled with the same loving and ordinary family upbringing that Kate enjoyed and William always wanted. That will surely be a winning combination in his future role as King of the United Kingdom.
KATE MIDDLETON'S FAMILY TREE
BIBLIOGRAPHY
Bradford, Sarah. _Queen Elizabeth II: Her Life in Our Times_. Viking, 2011.
Clench, James. _William and Kate: A Royal Love Story_. HarperCollins, 2010.
Debrett's. _A Modern Marriage: A Royal Celebration_. Simon and Schuster UK, 2011.
Jobson, Robert. _William and Kate: The Love Story: A Celebration of the Wedding of the Century_. John Blake, 2011.
Joseph, Claudia. _Kate: The Making of a Princess_. William Morrow Paperbacks, 2011.
Junor, Penny. _Prince William: Born to Be King_. Hodder and Stoughton, 2012.
Middleton, Pippa. _Celebrate: A Year of Festivities for Families and Friends_. Viking Adult, 2012.
Morton, Andrew. _Diana: Her True Story_. Simon and Schuster, 1992.
———. _William and Catherine: Their Lives, Their Wedding_. Michael O'Mara Books, 2011.
Nicholl, Katie. _William and Harry: Behind the Palace Walls_. Weinstein Books, 2010.
———. _The Making of a Royal Romance_. Weinstein Books, 2011.
Seward, Ingrid. _Royal Entertaining and Style_. M Press, 2010.
Smith, Sally Beddell. _Elizabeth the Queen: The Life of a Modern Monarch_. Random House, 2012.
Smith, Sean. _Kate_. Simon and Schuster UK, 2012.
ACKNOWLEDGMENTS
First, I would like to thank Harvey Weinstein for being the inspiration behind this book and convincing me that I could write it in record time, having recently become a mother myself. I am also indebted to my wonderful editor, Gillian Sterne, who has been there for me every step of the way and helped me meet a punishing deadline. Thanks also to my family, especially my amazing husband, for always being so supportive of me, and my mother for always being there. Thanks also to my hardworking and talented researcher, Helena Pearce, who is as kind as she is fast. The team at Perseus and Weinstein Books is second to none, and I would like to specially thank David Steinberger for his vision, and Amanda Murray, Georgina Brown, Kathleen Schmidt, Christine Marra, and the entire publishing and PR team at Weinstein Books, both in the United States and the United Kingdom. Thanks also to my agents, John Ferriter and Jonathan Shalit, and to my picture researcher, Melanie Haselden, who helped me secure some exclusive images of Kate—no easy feat. I must also thank the Press Office at St. James's Palace, which so kindly assisted me with some of my research, in particular Paddy Harverson, Ed Perkins, and Nick Loughran.
I have many people to thank for their insight, personal anecdotes, and agreeing to talk to me. Many have asked to remain confidential, and I have, of course, respected their wishes. You know who you are and that I am indebted to you always. Others have agreed to be named, and I would like to thank the following people for their trust and contribution:
Robert Acheson
Andrew Alexander
Denise Allford
Kevin Allford
Lady Elizabeth Anson
Nick Barton
Fiona Beacroft
Juli Beattie
Sir Chay Blyth
Jim Boyd
George Brown
Graham Butland
Sophie Butler
Michael Choong
Laura Collins
Jon Copp
Claudine de Montule
Richard Dennen
Isobel Eeley
Martin Fiddler
Joan Gall
Edward Gould
Jean Harrison
Joyce Harrison
Graham Hornsey
Paul Horsford
Professor Peter Humfrey
Brian Lang
Suha Phillip Ma'ayeh
Emily Maddick
Alex Martin
Helen McArdle
Charlie Moretti
Alistair Morrison
Sandy Nairn
Alan Needham
Ann Patching
Elizabeth Saint
Andrew Sands
Emma Sayle
Niall Scott
June Scutter
Jasper Selwyn
Dudley Singleton
Al Smith
Malcolm Sutherland
Neil Swan
Cal Tomlinson
Robin Vincent-Smith
Laura Warshauer
INDEX
Abbott, Jack,
_Absolutely Fabulous_ (television program), ,
Absolute Return for Kids (charity), 257–258
Acheson, Jill, , ,
Acheson, Robert, 16–17, 23–24, 27–28, , ,
Action on Addiction, ,
Afghanistan, William and Harry in, 171–172,
Agar, Lisa,
Alexander, Andrew, , ,
Alexander McQueen (house of design), , ,
Al-Fayed, Dodi,
Alice in Wonderland (Carroll),
Allen, Gregory, ,
Allford, Angharad,
Allford, Denise, , , , , , , 36–37, , , ,
Allford, Kevin, , ,
Amner Hall (Sandringham Estate),
Anglesey, 197–199, , ,
_Anne of Green Gables_ (Montgomery),
Anson, Elizabeth, , , , ,
Anson, Eloise,
Anstruther-Gough-Calthorpe, Isabella, ,
Anstruther-Gough-Calthorpe, Jacobi,
Archbishop of Canterbury, , , , ,
Ardent Productions,
Argentina, ,
Armstrong-Jones, Margarita,
Army Air Corps,
Art Bar,
Art Room, The, , , ,
Ashampstead Common,
Asprey, Helen, ,
Assahera (school), 19–20
Assyakirin Mosque,
Aston Martin Volante,
Astor, Rose, ,
Aubrey-Fletcher, Harry,
Audi A3, 146–147
Australia, ,
"Back for Good" (song),
Baker, Oli, , , , ,
Baker, Ollie "Hairy,"
Balgove House, 117–118, 119–120, , , ,
Balmoral, , , 191–192, 268–269,
Bank of England,
Bankside,
Barton, Nick,
Bashir, Martin,
Basil's Bar, , ,
Bates, Sarah,
BBC,
Beacroft, Fiona, , ,
Beat Bullying,
Beattie, Juli,
Beckham, David, 234–235
Beckham, Victoria,
Belgian Suite,
Belize, ,
Bell, Matthew,
Betjeman, John,
Bevan, Emily, ,
bin Laden, Osama,
_The Birds_ (Parry),
Birkhall, 140–141,
Bishop of London, ,
Bladebone Butchery,
Bladebone Inn,
Blakelock, Harry, 61–62, ,
Blay, Yvonne,
Bleasdale, Olivia, , , , , ,
Blenheim Company,
Blob (club),
Bluebird, ,
Blue Marlin beach club,
Blues and Royals regiment, , , ,
Blyth, Charles (Chay Blyth), ,
Bodorgan Estate,
Bond-Gunning, Heyrick, ,
Boodles Boxing Ball, , 177–178
Borg, Alfred,
Borneo, royal visit to, 290–291
Boujis nightclub, , , , ,
Boyd, Fergus, , , , , , , , , , , ,
Boyd, Jim, 35–36, 38–39,
Bradby, Claudia,
Bradby, Tom, 211–212, 214–215
Bradfield, ,
Bradfield College,
Branson, Richard, ,
Bridesmaids,
Britain, economic depression in,
Britannia Royal Naval College,
British Academy of Film and Television Arts,
British Airways,
Middletons's employment with, , , , , , 17–18,
British Club (Jordan),
British Institute (Florence), , ,
Brown, George, , , , 25–26, ,
Brownie troop, Kate and Pippa in, 29–30
BT Global Challenge Yacht,
Buckingham Palace, , , , , , , , , , ,
Diamond Jubilee concert, 281–282
Bucklebury, 43–45, 185–186, 237–238,
Burberry,
Burgh, Chris de,
Burrell, Paul,
Burton, Sarah, , 230–231, , , ,
Butcher, Sam,
Butland, Graham, 269–270,
Butler, Sophie, 101–102
Caffè Giacosa,
Cairns, Fiona,
Cake Kit, ,
Calgary, William and Kate in,
Cambridge University,
Cameron, David, , , , , , ,
Cameron, Samantha, ,
Cameron, Susan, , 48–49
Camilla, Duchess of Cornwall, , , , ,
Diamond Jubilee and, 280–281,
news of engagement and, ,
Prince George's birth and, ,
relationship with Kate, ,
as source of advice for Kate, , ,
at Trooping the Colour,
wedding to Prince Charles, , 126–127
William and Kate's wedding and, , , , ,
Camp Bastion,
Canada, William and Kate's trip to, , 259–263
Canada Day,
Canada Gate, , ,
Canadian Grenadier Guardsmen,
Caribbean, ,
Carling, Will,
Carroll, Lewis,
Carroll, Sue,
Castle pub,
Catherine, Duchess of Cambridge
baby George's birth and first public appearance, 302–305, 306–308
baby preparations and, 299–300
at Balmoral, 268–269
birthday celebrations, ,
charitable work, 257–258, , 269–271, 278–280,
compared to Diana, ,
Diamond Jubilee and, ,
first Christmas at Sandringham, 272–273, 274–276
first public speech, 278–279
future of royal family and, 309–310
Hilary Mantel criticism of, 297–298
honeymoon, 253–254,
Jacintha Saldanha's suicide and, 296–297
at Kensington Palace, 264–266, ,
London Olympics and, ,
married life in Anglesey, 252–253, , 266–267
nickname "Stately Kate,"
official duties, 271–272, , 278–280, , 286–287, 288–291, ,
Order of Precedence in the Royal Household and, 273–274
paparazzi and, ,
pregnancy, 293–302
pregnancy speculation/rumors, 267–268, 271–272, 287–288, 292–293
renovation of Kensington Palace apartment, ,
royal tour of Asia and the South Pacific, 288–291
royal tour of Canada and U.S., 258–264
topless sunbathing photos, , 288–290
Trooping the Colour and, ,
voice coaching,
weight loss,
_See also_ Middleton, Catherine Elizabeth "Kate"; Prince George Alexander Louis of Cambridge
Chadwyck-Healey, Ollie, ,
Challengers, 83–85
Chapel of St. Edward the Confessor, ,
Chapel Row (Bucklebury), ,
Charitable donations, in lieu of wedding gifts,
Charitable Foundation of Prince William and Prince Harry,
Charity boating challenge, 157–159, 163–165
Charles, Basil, ,
Charles, Prince of Wales, ,
Birkhall, 140–141
birth of,
at Cambridge,
Diamond Jubilee and, 280–281,
divorce from Diana,
eclipse by Diana on visit to Canada,
as father, , , , , , , ,
Highgrove, 62–63,
marriage and giving up career in military,
marriage proposal to Diana,
news of William and Kate's engagement and, ,
public presentation of William as baby,
Prince George's birth and, , , ,
relationship with Kate, , , 140–141, ,
royal kiss with Diana,
at Sandringham,
skiing holidays,
slimmed-down monarchy and, 310–311
Trooping the Colour and,
wedding to Camilla, , 126–127
wedding to Diana, ,
William and Kate's wedding and, , , , 246–247, ,
Charles I,
Chartres, Richard, ,
Château d'Autet,
Château de Boumois,
Chatsworth Estate,
Chelsea, Middleton apartment in,
Cheltenham Gold Cup,
Cheltenham races, ,
Cherry's café,
Children's hospices, 269–270
Chile
Kate in, , 76–77, 79–82
William in, 77–79,
_Chi_ (magazine),
Chloe (fashion house),
Choong, Michael, 92–93, , , , 119–120
Christian, Michael,
Church of England, ,
_Cinderella_ (play),
Cirencester Park Polo Club,
Clarence House, , , , , , , , , , , , , , ,
William's apartment at, 133–134
Clifton College, ,
_Closer_ (magazine), 288–289
Club H, 62–63
Coat of arms, Middleton, 225–226
_Cocktail_ (film),
College of Arms,
Combermere Barracks, ,
Comic Relief,
Commemorative coin,
Companies House,
Connolly, Shane,
Copp, Jon, 55–56
Corbett, Jane,
Coronation Festival,
Courcheval,
Coutts-Wood, Alasdair,
Coventry, Andrew,
Coyhaique, ,
Crack Baby cocktails, ,
Craig, Batian,
Craig, Ian,
Craig, Jane,
Craig, Jessica "Jecca," 116–117, 132–133, ,
"Crown Imperial" (Walton),
Crown Prince and Princess of Denmark,
Cruise, Tom,
Culture, Media and Sport Committee,
_Daily Mail_ (newspaper), , , , , ,
_Daily Mirror_ (newspaper), ,
_Daily Telegraph_ (newspaper), ,
Dalvay Lake,
Daniels, Bryony,
Danum Valley Field Centre, 290–291
_Das Neue_ (newspaper),
Davy, Chelsy, , 172–173,
Deacon, Rebecca,
Dean of Westminster, , ,
Deer hunting,
Deeside Estate,
Defence Helicopter Flying School, ,
d'Erlanger, Emilia, , , , , , , , , ,
Desroches,
Diamond Jubilee, , , , 280–283
Diamond Jubilee Tea Salon,
Diana, Princess of Wales, ,
concert honoring, 162–163
death of,
discomfort over stays at royal residences, 137–138,
divorce from Prince Charles,
eating disorder,
first pregnancy,
Kate compared to, , , , ,
paparazzi and, , ,
public presentation of William as baby, 306–307
promotional use of,
royal kiss with Charles,
skiing holidays,
trip to Canada, ,
_See also_ Spencer, Diana
_Dick Whittington_ (play), 38–39
Dinner parties, 111–112
DJ prank during Kate's pregnancy, 296–297
Doll's House Restaurant, The, ,
Don't Walk fashion show, 99–102
Dorset,
Downe House, , 45–49, 50–51,
Drinking games, 112–113,
Duke and Duchess of Cambridge, . _See also_ Catherine, Duchess of Cambridge; Prince William
Duke and Duchess of Devonshire,
Duke of Cumberland,
Duke of Edinburgh. _See_ Prince Philip, Duke of Edinburgh
Duke of Edinburgh Gold Award, ,
Duke of Kent,
Dumfries House,
Eagle Island,
East Anglia's Children's Hospices, 269–270, ,
Edward III,
Edward VII,
Edward VIII,
Eeley, Isobel,
Elements nightclub, ,
Elizabeth II, ,
advice on marriage, ,
age at marriage,
birth of,
birth of Prince George and, ,
Charles and Camilla's wedding and, ,
death of sister and mother,
Diamond Jubilee, 280–283
first pregnancy,
as grandmother, , 128–129
intervention in Burrell trial,
need for William to take on more official duties,
official engagements with Kate, , ,
paparazzi and, 187–188
permission for William to use Tam-na-Ghar,
relationship with Kate, 173–174,
royal planning sessions at Balmoral, 191–193
scaling back overseas travel,
success of Wiliam and Kate's visit to North America and,
travel plans for William and Kate, ,
wedding of,
William and Kate's engagement and, , ,
William and Kate's wedding and, , 238–239, , 245–246
Ella (cocker spaniel), 184–185,
Elmhurst house,
Engagement, William and Kate's
announcement of, 206–208
secrecy surrounding, 204–206
Engagement ring, , , 213–214,
Engagement rumors, , 150–151, , , , , , 200–201,
England, Adam, 100–101
"En Masse Middletons,"
Eton College, 49–50,
European Football Championships,
Evans, Michael,
Facebook
official royal family page,
Pippa and,
Fairfax, Nicholas,
Fairfax, Thomas, ,
Fairfax, William,
Farquhar, Rose, , ,
Farthing, Alan, 295–296,
Fascinators,
Featherstone High School, 22–23
Ferguson, Sarah, , , ,
Fiddler, Martin, 9–10, , 185–186, ,
Fiddler, Sue, 9–10
Fife,
Finch, Rupert, 94–95, , , ,
Finlay-Notman, Chelsie, ,
Firth, Colin,
"Fit List,"
Florence, Kate in, 68–69, 71–76
Ford, Andrew,
Formentera,
Fortnum & Mason,
Fox Pitt, Alicia,
France, holiday in, 287–288
_Franny and Zooey_ (Salinger),
Fraser, Jason,
Fraser, Virginia "Ginny," , , ,
Freshers' Week, 88–89, ,
Freud, Lucian,
_Friends_ (television program),
Gailey, Andrew, ,
Gall, Joan, , , , , ,
Gap year
Kate's, 68–69, 76–77
William's, , 77–79
Garden party,
Garter Throne Room,
Gascoigne, Anne,
Gatcombe Park,
Gee, David, 37–38,
Geidt, Christopher,
General Certificate of Secondary Education (GCSE), ,
George III, ,
George V, ,
George VI, , ,
George VII, . _See also_ Prince George Alexander Louis of Cambridge
Gilkes, Charlie,
Gillingham, Hannah, , ,
_Gladiator_ (television show),
Glassborow, Frederick,
"Glosse Posse," 62–63, , , ,
Gloucestershire,
Godparents, speculation over choice of,
"God Save the Queen" (hymn),
Golden Jubilee,
Goldsmith, Carole. _See_ Middleton, Carole Goldsmith
Goldsmith, Dorothy Harrison (Kate's grandmother), 3–6, 7–8, , , 28–29, , 144–146
Goldsmith, Edith (Kate's great-grandmother),
Goldsmith, Gary (Kate's uncle), , , , , , , ,
Ibiza villa, 143–144, ,
media and, , 189–191
Goldsmith, Joyce (Kate's great-aunt),
Goldsmith, Luan (Kate's aunt),
Goldsmith, Ronald "Ron" (Kate's grandfather), 3–4, 5–7, , , 28–29, 118–119
Goldsmith, Stephen Charles "Charlie" (Kate's great-grandfather),
Goldsmith, Tallulah (Kate's cousin),
Gordon, Bryony,
Gordonstoun,
Goring Hotel, , 229–231,
Gould, Edward, ,
Goulding, Ellie,
Gray, Taffeta,
"Great Kate Wait,"
Great Seal of the Realm,
Greece, William in,
Greig, Mel,
Guest list, wedding, 219–220,
Guests arriving for wedding, 234–239
Gunderman, Meghann "Gundy," ,
Hadden-Paton, Alice,
Hall, John, , ,
Hambrough Tavern (Southall), ,
Hamilton, Margaret,
Hampton Court Palace,
Hanks, Tom,
Harbottle and Lewis (royal lawyers), 135–136
Harbour Club,
Harper, Stephen,
Harrison, Dorothy. _See_ Goldsmith, Dorothy Harrison
Harrison, Elizabeth Temple (Kate's great-grandmother), 4–5,
Harrison, Jane (Kate's great-great-grandmother),
Harrison, Jean (Dorothy Goldsmith's cousin), 3–4, 5–6, , , , , ,
Harrison, John (Kate's great-great-grandfather), ,
Harrison, Thomas (Kate's great-grandfather), 4–5
Harrods,
Harverson, Paddy,
Hashweh, Hanna, 17–18
Hats
Christmas,
fascinators,
at royal wedding, 235–236
Hay, Jessica,
Head, Miguel,
Helayel, Daniella, ,
_Hello_ (magazine), ,
Henley Royal Regatta,
Henry, Ian,
Henry VIII,
Her Majesty's Chapel Royal,
Hetten-le-Hole, ,
Hewitt, James,
Highgrove, 62–63, , , , , , , ,
High Table,
Hilfiger, Tommy, 141–142
Hill, Christine,
HMCS _Montreal_ ,
HMS _Iron Duke_ ,
Hoare, Oliver,
Hodge, Joanna,
Hog's Farm,
Holy Trinity Church (Southall),
Honeymoon, William and Kate's, 253–254,
Honeymoon Island,
Hope House,
Hoppen, Kelly,
Hornsey, Graham, ,
Horse Guards Parade,
Horse Trials,
Horsford, Paul, 84–85,
Hospis Malaysia,
Housden, Susanna,
Household Cavalry, , , ,
"House Shout" concert,
Hoy, Chris,
HRH title,
HSBC bank,
Humfrey, Peter, ,
Humphreys, Rachel,
Hunt, Chiara,
Hurlingham Club,
Hyperemesis gravidarum,
Ibiza holidays, 143–144, ,
Îles de la Madeleine,
Il Ngwesi Lodge,
Inskip, Tom,
Irish Guards,
Ishak Bin,
_Isle of Man_ (Challengers),
Issa,
ITN News,
"I've Never" (drinking game), 112–113
"I Was Glad" (Parry),
Jack Daniel's,
Jackson, Nico,
James V,
Janet, Sandrine, , ,
Jephson, Patrick, 150–151
"Jerusalem" (hymn),
Jigsaw company,
Jigsaw Junior, Kate as accessories buyer for, 146–148, 158–159,
John, Elton, ,
John Hall Pre-University Course,
John Paul II,
Jones, Ieuan,
_Jonikal_ (yacht),
Jordan, Middleton family in, , 17–20
Jordanstone House,
_Joseph_ (musical),
"Kate effect,"
Kate Kennedy Club, , ,
"Kate problem,"
Kay, Richard,
Kelaart, Thierry,
Kelly, Autumn, ,
Kelly, Grace,
Kensington Palace, ,
Nottingham Cottage, 264–266, ,
privacy and,
renovation of apartment IA in, ,
Kensington Park Gardens,
Kenya, Lewa Downs, 82–83, 131–133, , 203–204
Kidman, Nicole,
_Killing, The_ (film),
King Edward VII's Hospital, ,
_King's Speech, The_ (film),
King's Troop Royal Horse Artillery,
Kinkell Farm,
Klosters holidays, 121–122, , ,
Kuala Lampur,
Lake District,
Lake Rutundu,
Lancashire,
Lang, Brian, , , , , , 128–129
Leeds, Middleton family roots in,
Legge-Bourke, Tiggy,
Lennox, Anthony Gordon, 221–222
Lewa Downs (Kenya), 82–83, 131–133, , 203–204
Lindo Wing of St. Mary's Hospital, , ,
_The Lion, the Witch and the Wardrobe_ (film),
L.K. Bennett (store),
Llewellyn, Karen,
Llewelyn, Roddy,
London Chamber Orchestra, , ,
London Olympics, , , , ,
"London Trendies,"
Lopes, Eliza,
Lopes, Harry,
Lopez, Jennifer,
Los Angeles, William and Kate's visit to,
Los Marinos (bar),
Loudon, Alex, ,
Lough, Catriona,
Lowther-Pinkerton, Jamie, , , , , , , , , , , , ,
Lowther-Pinkerton, William,
Ludgrove Prep,
Lumley, Joanna,
Lumsden Club, 110–111
Lupo (Kate's dog),
Lupton, Francis, 11–12
Lupton, Frank,
Lupton, Olive, 10–12
Lyon, Elizabeth Bowes,
Ma Bells, , ,
Macaroni Wood,
MacArthur, Ellen,
Macdonald-Brown, Hugh,
Maddick, Emily, 136–137
"Maggie and Rose Art for Starlight" campaign, 193–194
Mahé,
Mahiki nightclub, ,
_Mail on Sunday_ (newspaper), , , , , , ,
Maison de Bang Bang, La, 143–144, ,
Malaysia, visit to, 288–289
Malta,
Mamilanji nightclub, 136–137
Manning, David, , , ,
Mantel, Hilary, 297–298
Marlborough College, 51–64
Martin, Alex,
Marx, Willem,
Massy-Birch, Carley, 96–97, 112–113
May Ball, ,
McDermott, Ed,
McDermott, Hugh,
McElligott, Sophie,
McQueen, Alexander,
Meade, Harry,
Meade, James,
Media
ban on covering William's life at St. Andrews, , ,
coverage of William and Kate's trip to Canada, , 263–264
Middleton family and, 170–171, 188–191, 205–206,
official photo session at engagement announcement, 212–213
Prince George's first appearance, 306–308
response to engagement announcement, 209–210
topless sunbathing photos of Kate and, 288–290
waiting for royal birth, , ,
_See also_ Paparazzi
Melville, David,
Memorabilia
royal baby,
royal wedding, , 223–224
Meyrick (Lord and Lady),
Middle East, unrest in,
Middleton, Anthony (Kate's great-uncle),
Middleton, Carole Goldsmith (Kate's mother), ,
advice on split from William, ,
baby preparations with Kate, 299–300
career as flight attendant, 2–4,
childhood, 7–8
death of mother,
disappointment over lack of engagement for daughter, , 194–195
education of, 22–23
family background, 4–9
involvement with grandson,
James's twenty-first birthday party and, 170–171
in Jordan, , 17–20, 21–22
Kate's birth, 1–2
Kate's birthday celebrations and, 25–26, , ,
Kate's christening, 14–15
at Kate's graduation from university,
Kate's pregnancy and, ,
Kate's unhappiness at Downe House and, 48–49, 50–51
life after William and Kate's wedding, 277–278
media attention to family and, , 188–189,
as mother, 15–16, 36–37, 51–52, , , , ,
as party hostess, , , ,
Party Pieces and, 24–28, 27–28, 175–176
at Passing Out parade, ,
pregnancies and birth of children, 1–2, , , , ,
premarital relationship with Michael, 9–10
question of role in Kate's decision to attend St. Andrews,
relationship with brother Gary,
relationship with William, 144–145,
revealing Kate and William's relationship to family,
role in preparing for Kate's trip to Canada and U.S., 259–260
secret engagement and, 205–206
security concerns,
St. Andrew's Prep and, 36–37
viewing Princess Diana's wedding,
village life and, 15–16
visit to Prince George,
wedding of, ,
William and Kate's wedding and, 223–226, , , , , , , 251–252
work ethic of, 8–9
_See also_ Middleton family
Middleton, Catherine Elizabeth "Kate"
as accessories buyer at Jigsaw Junior, 146–148, 158–159, , 166–167
in Anglesey, 197–199, , ,
Audi A3, 146–147
birthday celebrations, 114–115, , , 184–185,
birth of, 1–2
as boarding student,
as Brownie, 29–30
bullying of, 48–49
Carley Massy-Birch and, 112–113
charitable work, 177–179, , 193–194
charity boating challenge, 157–159, 163–165
childhood birthdays, 25–26,
choice of University of St. Andrews, 69–70, 75–76,
christening, 14–15
clothes shopping, ,
coat of arms design and, 225–226
compared to Camilla,
compared to Princess Diana, , , , ,
at concert honoring Diana, 162–163
as cook and hostess, 74–75, 103–104, , ,
curating photography exhibit, 167–168
dancing and,
death of grandparents, 118–119, 145–146
decision to take gap year, ,
Don't Walk fashion show, 99–102
Duke of Edinburgh Gold Award, ,
early relationship with William at St. Andrews, 90–92, 93–94, 102–103, 108–109, ,
end-of-degree celebrations, 127–128
engagement announcement, 206–208
engagement rumors, , 150–151
at exhibit opening,
expedition to Chile, , 76–77, 79–82
family Christmases, , 98–99, , 149–150, 183–184, ,
first boyfriend, 59–60
first sight of Prince William at St. Andrew's Prep hockey match,
first TV interview with William, 211–212, 213–215
friends at Marlborough College, 55–56,
gap year, 68–69, 71–76
grades for university,
graduation from St. Andrews,
as "guardian" for new students at Marlborough, 57–58
Harry Blakelock and, 61–62,
as head of house, 63–64
holidays in France,
holidays in Ibiza, 143–144,
holidays at Klosters, 121–122, , ,
holidays in Mustique, 141–143,
holidays in Rodrigues,
holidays in Seychelles,
holidays in Zermatt,
intent to study history of art,
introduction to Prince William,
introduction to Queen, 172–173
at investiture into Order of the Garter,
invitation to share house with William, , 104–105
jealousy of, 123–124
job hunt,
lack of career, 174–175
lawsuit for breach of privacy,
leaving St. Andrew's Prep,
in Lewa Downs, 131–133, 203–204
living at Clarence House, , 169–170
London apartment,
loneliness and uncertainty over relationship with William, 151–152
Lumsden Club and, 110–111
at Marlborough College, 51–64
media coverage of, 113–114, 120–122, 163–165
meeting Obamas, 254–255
as model pupil,
move to Oak Acre,
as musician, , 39–40,
nickname "Catherine Middlebum,"
nickname "Waity Katie," ,
nursery school, 16–17
official photo session following engagement announcement, 212–213
orientation to university, 87–89
palace support for, 134–136
paparazzi and, 134–137, , , 150–151, , , 163–165, , ,
at Passing Out parade, 148–149
photography and, , 167–168
physical transformation after summer of 1998, 58–59
plan to attend St. Andrews, 85–86
pre-wedding weight loss,
Prince Charles and Camilla's wedding and,
on Princess Diana's legacy,
proposal of marriage, 204–205,
protection detail, 210–211, 216–217
RAF Cranwell graduation,
Raisin Weekend and, 92–93
reconciliation with William, 161–162
relationships with boys, , 73–74,
relationship with Prince Charles, , , 140–141, ,
relationship with Prince Harry, 133–134
relationship with sister, 35–36,
reputed schoolgirl crush on William,
request to be boarder at school, 31–32
ride to and arrival at Westminster Abbey for wedding, 239–241
royal coaching, , 221–222
Rupert Finch and, 94–95, , ,
as sailor, 79–80, 82–86
Sandringham shoot and, 137–138
scar from removal of lump on side of head,
school dramatics and, 38–39,
school friends,
school trip to Argentina,
secret engagement and, 204–206,
separations from William, 123–127, 153–154, 155–161
shooting parties, , , , ,
as shy child, , ,
socializing at St. Andrews, 92–95, 103–104
socializing in Florence, 73–74
socializing in London, 139–140, 155–156, 159–160
socializing with Challenger colleagues, 84–85
social reclusiveness with William, 187–188
at St. Andrew's Prep, 23–24, 30–32, 33–41
as student at Downe House, , 45–49, 50–51
as student athlete, , 34–35, , ,
style of,
summer jobs, , 83–86,
as toddler in Jordan, 18–20
tour of Great Britain, 217–219
transformation following split from William, 159–160
University of Edinburgh plans and, , , 67–68
university years, 87–105, 107–123, 125–129
visits with William in Bucklebury, 185–186
visit to Balmoral,
wedding, dressing for, 231–232
wedding ceremony, 241–244
wedding planning, 215–216, , 219–222, 225–227
wedding rehearsal, 227–228
weekends home from school,
weight loss, periods of, 33–34, 160–161
William's assurance of marriage,
William's decision to continue military career and, 179–180, 181–183
William's visits to Marlborough College for sports events and, 60–61
working as waitress, , ,
working for Party Pieces, , 138–139, 175–177,
_See also_ Catherine, Duchess of Cambridge; Middleton family
Middleton, James William (Kate's brother), , , , , , , , 184–185, , ,
birthday memories, 32–33
career of, ,
family Christmases,
holiday in Ibiza,
media attention and, 170–171, ,
reading lesson at wedding,
visits to Tam-na-Ghar,
at Wembley concert,
Middleton, John (Kate's great-great-grandfather),
Middleton, Lucy (Kate's cousin), 68–69, ,
Middleton, Michael (Kate's father),
career at British Airways, , 17–18,
education of, ,
on engagement announcement, 209–210
family Christmases,
as father, , , , , ,
in Jordan, , 18–20, 21–22
Kate's birth and, ,
life after William and Kate's wedding, 277–278
middle-class background of, 10–12
at Passing Out parade,
premarital relationship with Carole, 9–10
on relationship between William and Kate, 113–114
relationship with William, 144–145
visit to baby George,
wedding of, ,
William and Kate's wedding and, 223–224, 239–240, , 250–251
_See also_ Middleton family
Middleton, Noel (Kate's great-grandfather), 10–11
Middleton, Peter (Kate's grandfather), , , ,
Middleton, Philippa Charlotte "Pippa" (Kate's sister), , , , ,
breakup with Alex Loudon, 276–277
career of,
celebrity status following wedding, ,
family Christmases, ,
on family meals,
"Fit List" and,
holiday in Ibiza, ,
holiday at Klosters,
Kate's pregnancy and,
Kate's thirtieth birthday and,
knowledge of Kate's relationship with William,
as maid of honor, , , , , 240–241, , ,
maid of honor dress, 240–241
media attention and, , , ,
as musician, 39–40,
nickname "Perfect Pip,"
Nico Jackson and,
paparazzi and, ,
popularity with boys,
as possible godparent,
relationship with sister, 35–36,
security for,
sister's engagement and,
socializing in London, 159–160
as student, 30–31, 33–34, 35–37, , 39–41, 54–55
as student athlete, , 35–36,
visits to Tam-na-Ghar,
at Wembley concert,
Middleton, Simon (Kate's uncle),
Middleton, Valerie (Kate's grandmother), , ,
Middleton family
birthday traditions, 32–33
closeness of,
coat of arms, 225–226
family and Christmas holidays, , , 149–150, 183–184, 190–191, ,
Kate in Bucklebury during pregnancy,
lineage of, ,
media attention paid to, 188–191, 205–206
move to Oak Acre, 43–45
move to The Manor, 291–292
move to West View,
trust funds, 11–12, , ,
wedding guest list, 237–238
Mill Mead House, ,
Ministry of Defence,
Montreal,
Mood boards, ,
Moralioglu, Erdem,
Moretti, Charlie, 99–100, , , ,
Morrison, Alistair, , , 174–175,
Mosimann, Anton,
Munsey, Katherine, , 111–112
_Murder in the Red Barn_ (play),
Murray, Andy,
Musgrave, Arabella, , ,
Musgrave, Nicholas,
Mustique
Middleton family holidays in, 183–184,
wedding guests from,
William and Kate in, 141–143, ,
_My Fair Lady_ (musical),
Nabulsi, Sahera al-, 19–20
Nairn, Sandy, 270–271,
Naomi House hospice, 178–179, ,
National Portrait Gallery, , 270–271, 278–279
National Union of Mineworkers,
Native Trail,
Needham, Alan,
Needham, Audrey,
Nelson, Charlie,
_News of the World_ (newspaper), 189–190
New Zealand, William in, , ,
Ngwesi Lodge,
Nicholas, Bianca,
Nicholls, Daniel,
Nicholson, Mel, , ,
Nijmeh, Intissar,
Nijmeh, Nicola,
Nipperess, Katherine,
Northern Ireland,
North Island Lodge, 253–254
North Lantern,
Northwest Territories,
Norwood Green, ,
Nottingham Cottage, 264–266, ,
Oak Acre, 43–45, , , , , , ,
security at, 210–211
Obama, Barack, 254–255, ,
Obama, Michelle, 254–255,
Ocean Village Marina, , 83–86
Ogilvy, Alexandra,
Ogilvy, Andrew,
Ogilvy, James,
Old College,
Old Course Hotel,
Oldfield, Bruce,
Olympic Games, London, , , , ,
O'Neill, Dorothy,
Order of hierarchy, , 273–274
Order of Precedence in the Royal Household, 273–274
Order of the British Empire,
Order of the Garter,
Orme, Katie,
Ottawa,
Oxford Children's Hospital,
Oxford University,
Pacha nightclub,
Packham, Jenny, ,
Pageboys,
Palace Press Office, ,
Palmer-Tomkinson, Tara, ,
Pangbourne, , ,
_Panorama_ (television program),
Paparazzi
Diana and, , ,
Elizabeth II and, 187–188
Harry and,
James's twenty-first birthday party and, 170–171
Kate and, 134–137, , , 150–151, , , 163–165, , , , 286–288,
Pippa and, ,
_See also_ Media
Parker Bowles, Andrew,
Parker Bowles, Camilla. _See_ Camilla, Duchess of Cornwall
Parker Bowles, Laura, , ,
Parker Bowles, Tom,
Parry, Charles Hastings, ,
Party Pieces,
Kate working for, , 138–139, 175–177, ,
launch of, 24–28
success of, 27–28, , ,
wedding merchandising, , 223–224
Patagonia, , 77–78,
Patching, Ann, 52–53, , , , , , , , 63–64,
Patching, Bethan,
Patching, Daniel, ,
Patching, Mitch, ,
Patterson, David Jardine,
Patterson, JJ Jardine,
Peak District,
Pelly, Guy, , , ,
_People_ (magazine),
Perlaky, Andrew de,
Perthshire,
Pettifer, Tom,
Petty-Fitzmaurice, William,
Phillips, Peter, , , , ,
Phillips, Zara, 235–236, , , ,
Phillipson, Antony,
Phillpot, David,
Phillpot, Kirsty,
Photo session, official, 212–213
Pilkington, Millie,
Polly Tea Rooms,
Pop (prefects group),
Potter, Beatrix,
Pregnancy, Kate's first, 295–302
announcement of, 293–294
DJ prank regarding, 296–297
due date,
severe morning sickness,
speculation about possible, 267–268, 271–272, 287–288, 292–293
speculation on name for firstborn, 298–299,
Press Complaints Commission, , ,
Prince Andrew, , , ,
Prince Charles. _See_ Charles, Prince of Wales
Prince Edward, , ,
Prince Edward Island,
Prince George Alexander Louis of Cambridge
birth announcement, 303–305
birth of, 302–303
first public appearance, 306–308
future of royal family and, 309–310, 312–313
public celebration of birth of, 304–305
Prince Harry, ,
as best man, , , , 233–234, , , , , ,
brother's birthday party,
brother's engagement and, , ,
concert honoring mother, 162–163
death of grandmother and,
Diamond Jubilee and, ,
family Christmas gifts,
father and Camilla's wedding and,
informed of Kate's pregnancy,
at investiture into Order of the Garter,
at Kensington Palace,
London Olympics and,
military career, 133–134, , , ,
news of Prince George's birth,
nude photos of,
official duties and, ,
Peter Phillips's wedding and, 172–173
as possible godparent,
relationship with Kate, 133–134,
royal planning sessions and,
Prince Philip, Duke of Edinburgh, , , , , , ,
health concerns regarding, , , , ,
royal planning sessions and, 192–193
William and Kate's wedding and, 238–239,
Princess Alexandra,
Princess Anne, , , , ,
Princess Beatrice, , , , , , ,
Princess Diana. _See_ Diana, Princess of Wales
Princess Eugenie, , , ,
Princess Margaret, , , ,
Prince William
Anna Sloan and, 123–124
anxiety over Kate and paparazzi, ,
Arabella Musgrave and, ,
assurance of marriage to Kate,
auditioning for school play,
at Balmoral, 268–269
birthday celebrations, 115–117, , ,
birth of,
Carley Massy-Birch and, 96–97, 112–113
charity work, , 257–258
Charles and Camilla's wedding and,
concert honoring mother, 162–163
death of grandmother and,
Diamond Jubilee and, , ,
disinterest in marriage, 125–126
Don't Walk fashion show and, 100–101
drinking games and, 112–113
early relationship with Kate, 90–92, 93–94, 102–103, 108–109, ,
end-of-degree celebrations,
engagement announcement, 206–208
engagement rumors,
at Eton College, 49–50,
first press conference,
first TV interview with Kate, 211–212, 213–215
future of royal family and, 309–310
gap year, , 77–79,
gift of Lupo for Kate,
"Glosse Posse" and, 62–63
grades for university,
greeting crowds evening before wedding,
holidays in Ibiza, 143–144
holidays at Klosters, 121–122, , ,
holidays in Mustique, 141–143,
holidays in Rodrigues, ,
holidays in Seychelles,
holidays in Zermatt,
honeymoon, 253–254,
introduction to Kate,
investiture into Order of the Garter,
invitation to Kate to share house with him, , 104–105
Isabella Anstruther-Gough-Calthorpe and, ,
Jecca Craig and, 116–117,
with Kate at exhibit opening,
Kate's birthday parties and, 114–115
Kate's reputed schoolgirl crush on,
at Lewa Downs, 82–83, 131–133, 203–204
London Olympics and, ,
loss of mother,
married life in Anglesey, , 266–267
media scrutiny over use of RAF aircraft,
meeting Obamas, 254–255
as member of Pop,
military service, , , , , , , 179–180, 195–196, 197–198, 199–200, , , , , , , 311–312
military training, , , , , 148–149, , , , , 195–196
official photo session, 212–213
parents' divorce,
partying while in army,
Passing Out parade, 148–149
at photography exhibit opening, 167–168
pregnancy announcement and, 293–294
pregnancy speculation and, 292–293
press embargo and, , ,
Prince George's first public appearance and, 306–308
proposal of marriage, , 204–205,
on publication of topless photos of Kate, 289–290
at RAF Valley, 195–196, 197–198, , , ,
reconciliation with Kate, 161–162
relationship with Middleton family, 144–145, , 194–195,
return to Anglesey after wedding,
royal duties, , 171–172, , , , , 260–264, , , 288–291, 311–312
royal planning sessions and, 192–193
Sandringham shoot, 137–138
scar on head,
secrecy of engagement, 204–206
separations from Kate, 123–127, 153–154, 155–161
shooting parties, , , ,
socializing at St. Andrews, 93–94
social life in London post-university, 139–140
social reclusiveness with Kate, 187–188
in South Africa,
stag weekend,
summer before gap year, 70–71
support for Kate in light of uncle's press coverage,
tour of Great Britain, 217–219
trip to Afghanistan, 171–172,
trip to Canada and U.S., 260–264
trip to New Zealand,
Trooping the Colour,
University of Edinburgh and,
university years, 75–76, 87–105, 107–123, 125–129
use of Tam-na-Ghar,
visits to Marlborough College for sports events, 60–61
visit to St. Andrew's Prep,
wedding ceremony, 241–244
wedding day, 233–234
wedding guest list and, 219–220,
wedding planning and, 208–209
work placements,
_See also_ Prince George Alexander Louis of Cambridge
Privacy, royal family and, 187–188, ,
Probert, Emma,
Proposal of marriage to Kate, 204–205,
Pryce, James, , , , , , , ,
Quebec City,
Queen Mother, , ,
Queen's College,
Queen Victoria Memorial,
RAF Cranwell, , ,
RAF Fanfare Team,
Raffles Hotel,
Raffles nightclub,
RAF Shawbury, ,
RAF Valley, 195–196, 197–198, , , , ,
Raisin Weekend, 92–93
Raleigh International, ,
Ralph Lauren,
Ransome, Arthur,
Reiss (store),
Renaissance Rooms (Vauxhall),
Restormel Manor,
Rhys Jones, Sophie,
Ritchie, Guy,
River Thames, river pageant down, ,
Robert Blair School,
Robinson, Belle, , , , , , ,
Robinson, John, , ,
Robles-Rudd, Sebastian,
Rodgers, Anton,
Rodgers, Barnaby,
Rodrigues holidays, ,
_Romans_ ,
Roundhay,
Royal Air Force (RAF), William and, , 179–180, 181–183
Royal Ascot, , 277–278
Royal Berkshire Hospital,
Royal family
Diamond Jubilee appearance,
divorce and,
Facebook page,
order of precedence, 273–274
popularity of,
Prince George and, 309–310, 312–313
privacy and, 187–188, ,
slimmed-down, 310–311
symbolism of wedding for,
Royal Geographic Society,
Royal kiss, 245–246
Royal Lancaster Hotel,
Royal Marriages Act,
Royal Marsden cancer treatment center, The,
Royal Military Academy Sandhurst, 133–134, , , 148–149
Royal Mint,
Royal National Lifeboat Institution,
Royal Navy, ,
Royal Protection (SO14),
Royalty and Diplomatic Protection Department,
Royal Wedding website, 222–223
Rules of succession, revision of, , 294–295
Rylance, Georgina, 46–47
Saatchi Gallery,
Saint, Elizabeth, , ,
St. Andrew's Church of England,
St. Andrew's Prep,
Kate at, 23–24, 30–32, 33–41,
Pippa at, 30–31, 33–34, 35–37, , 39–41,
transition to secondary school and,
St. Andrew's Pre-Prep, preregistration of Kate in, 16–17
St. Edward,
St. George's Chapel, , , , 208–209
St. James's Palace, , , , , , , ,
St. James the Less,
St. John Webster, Alice, , 55–56, , , , , , , ,
St. John Webster, Woody, 59–60
St. Mary Magdalene Church,
St. Mary's Hospital, ,
St. Paul's Cathedral, , ,
St. Peter's Church Hall,
St. Salvator's Hall, , 89–90
Salamanca,
Saldanha, Jacintha,
Salinger, J. D.,
Sallies, ,
"Sallies Boys," 90–91,
Sandringham, , , , , , , ,
Kate's first Christmas at, 272–273, 274–276
shooting party, 137–138
Sands, Andrew, , , , , , ,
Santa Barbara (California),
Sarara,
Sayle, Emma, , , , , , , , 164–165,
Scargill, Arthur,
Schaffer, Richard, 183–184,
Scout Association, The, ,
Scutter, June,
Sea King MK3 helicopters, 199–200,
"Self-Regulation of the Press,"
Selwyn, Jasper, 67–68,
Setchell, Marcus, 295–296, , ,
Seychelles, , ,
Shanghai International Airport,
Shoals of Capricorn Project,
Shooting parties, , , , 137–138, ,
Shop, The,
Silver Cross baby carriage, , ,
Singapore, Republic of,
Singapore Airlines,
Singapore Botanic Gardens,
Singleton, Dudley, , , , 44–45, 145–146
Sisterhood, The, 158–159, 163–165
Sloan, Anna, 123–124
Slough,
Smith, Al (Alexander),
Smith, Robin Vincent,
Snow, Jeremy, ,
_Snow White_ (play),
SO14,
Sohraab (horse),
Solomon Islands,
South Africa, William and Harry's visit to,
Southall, , , ,
Spagnoli, Luisa,
Spar store,
_Spectator_ (magazine), ,
Spencer, Amelia,
Spencer, Charles, ,
Spencer, Diana
engagement ring, , , 213–214,
marriage proposal,
media and,
wedding of, , ,
_See also_ Diana, Princess of Wales
Spencer, Eliza,
Spencer, Kitty,
Spencer family
coat of arms,
Middleton relation to,
Spirit of Chartwell,
Sponsio Academica, ,
Starlight, 177–179, , 193–194,
"Starry Eyed" (song),
"Stately Kate,"
Stewart, Jermaine,
Stone, Joss,
Stourton, Louise,
_Strange Happenings at Spittlebury Manor_ (play),
Strathalmond (Lord),
Strathtyrum Estate,
Succession to the Crown Act, revisions to, , 294–295
_Sunday Times_ (newspaper), ,
_Sun_ (newspaper), , , ,
Sutherland, Malcolm, , 79–80, ,
Swan, Neil, ,
Tamango National Park,
Tam-na-Ghar,
Tanna, Niraj, 170–171
Tarantino, Quentin,
Tarr, Chris,
_Tatler_ (magazine),
Taylor, Ed,
Temperley, Alice, ,
Temple, Elizabeth, 4–5,
Temple, Ruth,
Tesco's,
Testino, Mario,
Thatcher, Margaret,
13 Hope Street (St. Andrews), 107–108
Throne Room, ,
Tiara, worn at wedding, ,
Tillotson, Lynda,
_Time_ (magazine),
Tindall, Mike,
Titchmarsh, Alan,
TMZ (gossip website),
_Today_ (television program),
Todd, Charlotte, ,
Tomlinson, Cal, 83–84,
Tomlinson, Mark,
Topless sunbathing photos, , 288–290
Tortel (Chile), , 81–82
Tower Bridge, 304–305
Tower of London,
Trafalgar Square,
Treacy, Philip,
Trearddur Bay, ,
Trooping the Colour, , ,
Turbeville, Zoe de,
TV interview, William and Kate's first, 211–212, 213–215
Twitter
birth announcement on,
Pippa as maid of honor and,
pregnancy announcement on, ,
pregnancy speculation on,
2DayFM breakfast show,
Twort, Hugh,
Tyrrell, Gerrard,
Um Uthaina (Jordan),
UNICEF relief depot,
United States, William and Kate's trip to, , ,
Universities and Colleges Admissions Services, 67–68
University of Edinburgh, , , 67–68
University of St. Andrews
Prince William's acceptance at, 66–67
William and Kate's first year at, 87–105
William and Kate's fourth year at, 125–129
William and Kate's graduation from, 128–129
William and Kate's return visit to,
William and Kate's second year at, 107–117
William and Kate's third year at, 117–123
Van Cutsem, Ed,
Van Cutsem, Grace, ,
Van Cutsem, Hugh, , , ,
Van Cutsem, Nicholas, ,
_Vanity Fair_ (magazine),
van Straubenzee, Thomas, 131–132, ,
Visser, Meret,
Viyella,
Voice coaching for Kate,
Waitrose,
"Waity Katie," ,
Wakeley, Amanda,
Waley-Cohen, Sam, ,
Waley-Cohen, Tom,
Walker, Catherine, ,
Walton, William,
Ward, Richard, ,
Warshauer, Laura, , ,
"Water birding,"
"Way Ahead" group,
Wedding
bridal dinner,
bridesmaids,
cake,
ceremony, 242–244
choice of music,
dress, , , , , 230–231,
evening dinner and party, 248–252
guests, 219–220, 234–239
hair style and tiara, ,
hats at, 235–236
Kate dressing for, 231–232
official merchandise,
official website, 222–223
pageboys,
planning, 208–209, 215–216, , 219–227
processional, 241–242
reception, 246–248
rehearsal, 227–228
return to palace, 244–245
ring,
royal kiss, 245–246
sermon, 243–244
vows,
Wedding day spoof,
"We Don't Have to Take Our Clothes Off" (Stewart),
Weinstein, Harvey,
Wells, Jamie Murray,
Welsh Guards, William training with, ,
Wemyss, Hermione,
Wemyss Castle,
Wessex, Sophie, , , , ,
West Berkshire Crematorium,
Westminster Abbey, , , , , 227–228,
Westminster Hall,
West Port, , ,
West View (Bradfield), , ,
Wheeler, Lee,
White Eagle pub,
WH Smith (store),
Williams, Rowan, , , , ,
Williamson, Gemma, , , ,
William the Conqueror,
"Wills and Kate" wedding china,
Wimbledon,
Windermere,
Windsor, Gabriella, ,
Windsor, Louise,
Windsor Castle, , , , , , , ,
Windsor Guildhall,
Windsor Park,
"Wisteria Sisters,"
Wolferton Marshes,
_Woman's Day_ (magazine),
Woodcock, Thomas, ,
Wood Farm (Sandringham),
Woolworth's,
Wren House,
"Yahs," 90–91,
Yattendon, ,
"Your Song" (John),
YouTube video, wedding day spoof,
| {
"redpajama_set_name": "RedPajamaBook"
} | 8,696 |
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